Animal Welfare

SUBCHAPTER A—ANIMAL WELFARE

PART 1—DEFINITION OF TERMS Ambient temperature means the air temperature surrounding the animal. Animal means any live or dead dog, AUTHORITY: 7 U.S.C. 2131–2159; 7 CFR 2.22, cat, nonhuman primate, guinea pig, 2.80, and 371.7. hamster, rabbit, or any other warmblooded animal, which is being used, or § 1.1 Definitions. is intended for use for research, teach- For the purposes of this subchapter, ing, testing, experimentation, or exhi- unless the context otherwise requires, bition purposes, or as a pet. This term the following terms shall have the excludes birds, rats of the genus Rattus, meanings assigned to them in this sec- and mice of the genus Mus, bred for use tion. The singular form shall also sig- in research; horses not used for re- nify the plural and the masculine form search purposes; and other farm ani- shall also signify the feminine. Words mals, such as, but not limited to, live- undefined in the following paragraphs stock or poultry used or intended for shall have the meaning attributed to use as food or fiber, or livestock or them in general usage as reflected by poultry used or intended for use for im- definitions in a standard dictionary. proving animal nutrition, breeding, AC Regional Director means a veteri- management, or production efficiency, narian or his designee, employed by or for improving the quality of food or APHIS, who is assigned by the Admin- fiber. With respect to a dog, the term istrator to supervise and perform the means all dogs, including those used official work of APHIS in a given State for hunting, security, or breeding purposes. or States. As used in part 2 of this sub- Animal act means any performance of chapter, the AC Regional Director animals where such animals are shall be deemed to be the person in trained to perform some behavior or charge of the official work of APHIS in action or are part of a show, perform- the State in which the dealer, exhibi- ance, or exhibition. tor, research facility, intermediate APHIS official means any person em- handler, carrier, or operator of an auc- ployed by the Department who is au- tion sale has his principal place of busi- thorized to perform a function under ness. the Act and the regulations in 9 CFR Act means the Act of August 24, 1966 parts 1, 2, and 3. (Pub. L. 89–544), (commonly known as Attending veterinarian means a person the Laboratory Animal Welfare Act), who has graduated from a veterinary as amended by the Act of December 24, school accredited by the American Vet- 1970 (Pub. L. 91–579), (the Animal Wel- erinary Medical Association’s Council fare Act of 1970), the Act of April 22, on Education, or has a certificate 1976 (Pub. L. 94–279), (the Animal Wel- issued by the American Veterinary fare Act of 1976), and the Act of Decem- Medical Association’s Education Com- ber 23, 1985 (Pub. L. 99–198), (the Food mission for Foreign Veterinary Grad- Security Act of 1985), and as it may be uates, or has received equivalent for- subsequently amended. mal education as determined by the Activity means, for purposes of part 2, Administrator; has received training subpart C of this subchapter, those ele- and/or experience in the care and man- ments of research, testing, or teaching agement of the species being attended; procedures that involve the care and and who has direct or delegated au- use of animals. thority for activities involving animals Administrative unit means the organi- at a facility subject to the jurisdiction zational or management unit at the de- of the Secretary. partmental level of a research facility. Buffer area means that area in a pri- Administrator. The Administrator, mary enclosure for a swim-with-the- Animal and Plant Health Inspection dolphin program that is off-limits to Service, or any person authorized to members of the public and that di- act for the Administrator. rectly abuts the interactive area.

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Business hours means a reasonable through any place outside thereof, or number of hours between 7 a.m. and 7 within any territory, possession, or the p.m., Monday through Friday, except District of Columbia; or for legal Federal holidays, each week (2) Which affects the commerce de- of the year, during which inspections scribed in this part. by APHIS may be made. Committee means the Institutional Business year means the 12-month pe- Animal Care and Use Committee riod during which business is con- (IACUC) established under section 13(b) ducted, and may be either on a cal- of the Act. It shall consist of at least endar or fiscal-year basis. three (3) members, one of whom is the means the operator of any air- Carrier attending veterinarian of the research line, railroad, motor carrier, shipping facility and one of whom is not affili- line, or other enterprise which is en- ated in any way with the facility other gaged in the business of transporting than as a member of the committee, any animals for hire. Cat means any live or dead cat (Felis however, if the research facility has catus) or any cat-hybrid cross. more than one Doctor of Veterinary Class ‘‘A’’ licensee (breeder) means a Medicine (DVM), another DVM with person subject to the licensing require- delegated program responsibility may ments under part 2 and meeting the serve. The research facility shall estab- definition of a ‘‘dealer’’ (§ 1.1), and lish the Committee for the purpose of whose business involving animals con- evaluating the care, treatment, hous- sists only of animals that are bred and ing, and use of animals, and for certi- raised on the premises in a closed or fying compliance with the Act by the stable colony and those animals ac- research facility. quired for the sole purpose of maintain- Dealer means any person who, in ing or enhancing the breeding colony. commerce, for compensation or profit, Class ‘‘B’’ licensee means a person delivers for transportation, or trans- subject to the licensing requirements ports, except as a carrier, buys, or under part 2 and meeting the definition sells, or negotiates the purchase or sale of a ‘‘dealer’’ (§ 1.1), and whose business of: Any dog or other animal whether includes the purchase and/or resale of alive or dead (including unborn ani- any animal. This term includes bro- mals, organs, limbs, blood, serum, or kers, and operators of an auction sale, other parts) for research, teaching, as such individuals negotiate or ar- testing, experimentation, exhibition, range for the purchase, sale, or trans- or for use as a pet; or any dog at the port of animals in commerce. Such in- wholesale level for hunting, security, dividuals do not usually take actual or breeding purposes. This term does physical possession or control of the not include: A retail pet store, as de- animals, and do not usually hold ani- fined in this section, unless such store mals in any facilities. A class ‘‘B’’ li- sells any animal to a research facility, censee may also exhibit animals as a an exhibitor, or a dealer (wholesale); minor part of the business. any retail outlet where dogs are sold Class ‘‘C’’ licensee (exhibitor) means a person subject to the licensing require- for hunting, breeding, or security pur- ments under part 2 and meeting the poses; or any person who does not sell definition of an ‘‘exhibitor’’ (§ 1.1), and or negotiate the purchase or sale of whose business involves the showing or any wild or exotic animal, dog, or cat displaying of animals to the public. A and who derives no more than $500 class ‘‘C’’ licensee may buy and sell gross income from the sale of animals animals as a minor part of the business other than wild or exotic animals, in order to maintain or add to his ani- dogs, or cats during any calendar year. mal collection. Department means the U.S. Depart- Commerce means trade, traffic, trans- ment of Agriculture. portation, or other commerce: Deputy Administrator means the Dep- (1) Between a place in a State and uty Administrator for Animal Care any place outside of such State, includ- (AC) or any other official of AC to ing any foreign country, or between whom authority has been delegated to points within the same State but act in his stead.

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Dog means any live or dead dog or intended for use as food or fiber, or (Canis familiaris) or any dog-hybrid for improving animal nutrition, breed- cross. ing, management, or production effi- Dwarf hamster means any species of ciency, or for improving the quality of hamster such as the Chinese and Arme- food or fiber. This term also includes nian species whose adult body size is animals such as rabbits, mink, and substantially less than that attained chinchilla, when they are used solely by the Syrian or Golden species of for purposes of meat or fur, and ani- hamsters. mals such as horses and llamas when Endangered species means those spe- used solely as work and pack animals. cies defined in the Endangered Species Federal agency means an Executive Act (16 U.S.C. 1531 et seq.) and as it may agency as such term is defined in sec- be subsequently amended. tion 105 of title 5, United States Code, Euthanasia means the humane de- and with respect to any research facil- struction of an animal accomplished by ity means the agency from which the a method that produces rapid uncon- sciousness and subsequent death with- research facility receives a Federal out evidence of pain or distress, or a award for the conduct of research, ex- method that utilizes anesthesia pro- perimentation, or testing involving the duced by an agent that causes painless use of animals. loss of consciousness and subsequent Federal award means any mechanism death (including a grant, award, loan, con- Exhibitor means any person (public or tract, or cooperative agreement) under private) exhibiting any animals, which which Federal funds are used to sup- were purchased in commerce or the in- port the conduct of research, experi- tended distribution of which affects mentation, or testing, involving the commerce, or will affect commerce, to use of animals. The permit system es- the public for compensation, as deter- tablished under the authorities of the mined by the Secretary. This term in- Endangered Species Act, the Marine cludes carnivals, circuses, animal acts, Mammal Protection Act, and the Mi- zoos, and educational exhibits, exhib- gratory Bird Treaty Act, are not con- iting such animals whether operated sidered to be Federal awards under the for profit or not. This term excludes re- Animal Welfare Act. tail pet stores, horse and dog races, or- Federal research facility means each ganizations sponsoring and all persons department, agency, or instrumen- participating in State and county fairs, tality of the United States which uses livestock shows, rodeos, field trials, live animals for research or experimen- coursing events, purebred dog and cat tation. shows and any other fairs or exhibi- Field study means a study conducted tions intended to advance agricultural on free-living wild animals in their arts and sciences as may be determined natural habitat. However, this term ex- by the Secretary. cludes any study that involves an Exotic animal means any animal not invasive procedure, harms, or materi- identified in the definition of ‘‘animal’’ ally alters the behavior of an animal provided in this part that is native to a under study. foreign country or of foreign origin or character, is not native to the United Handling means petting, feeding, wa- States, or was introduced from abroad. tering, cleaning, manipulating, load- This term specifically includes animals ing, crating, shifting, transferring, im- such as, but not limited to, lions, ti- mobilizing, restraining, treating, train- gers, leopards, elephants, camels, ante- ing, working and moving, or any simi- lope, anteaters, kangaroos, and water lar activity with respect to any ani- buffalo, and species of foreign domestic mal. cattle, such as Ankole, Gayal, and Yak. Housing facility means any land, Farm animal means any domestic spe- premises, shed, barn, building, trailer, cies of cattle, sheep, swine, goats, lla- or other structure or area housing or mas, or horses, which are normally and intended to house animals. have historically, been kept and raised Hybrid cross means an animal result- on farms in the United States, and used ing from the crossbreeding between

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two different species or types of ani- gaged in any business in which he re- mals. Crosses between wild animal spe- ceives custody of animals in connec- cies, such as lions and tigers, are con- tion with their transportation in com- sidered to be wild animals. Crosses be- merce. tween wild animal species and domes- Inspector means any person employed tic animals, such as dogs and wolves or by the Department who is authorized buffalo and domestic cattle, are consid- to perform a function under the Act ered to be domestic animals. and the regulations in 9 CFR parts 1, 2, Impervious surface means a surface and 3. that does not permit the absorption of Institutional official means the indi- fluids. Such surfaces are those that can vidual at a research facility who is au- be thoroughly and repeatedly cleaned thorized to legally commit on behalf of and disinfected, will not retain odors, the research facility that the require- and from which fluids bead up and run ments of 9 CFR parts 1, 2, and 3 will be off or can be removed without their met. being absorbed into the surface mate- Isolation in regard to marine mam- rial. mals means the physical separation of Indoor housing facility means any animals to prevent contact and a sepa- structure or building with environ- rate, noncommon, water circulation mental controls housing or intended to and filtration system for the isolated house animals and meeting the fol- animals. lowing three requirements: Licensed veterinarian means a person (1) It must be capable of controlling who has graduated from an accredited the temperature within the building or school of veterinary medicine or has structure within the limits set forth received equivalent formal education for that species of animal, of maintain- as determined by the Administrator, ing humidity levels of 30 to 70 percent and who has a valid license to practice and of rapidly eliminating odors from veterinary medicine in some State. within the building; and Licensee means any person licensed (2) It must be an enclosure created by according to the provisions of the Act the continuous connection of a roof, and the regulations in part 2 of this floor, and walls (a shed or barn set on subchapter. top of the ground does not have a con- Major operative procedure means any tinuous connection between the walls surgical intervention that penetrates and the ground unless a foundation and and exposes a body cavity or any proce- floor are provided); and dure which produces permanent im- (3) It must have at least one door for pairment of physical or physiological entry and exit that can be opened and functions. closed (any windows or openings which Minimum horizontal dimension (MHD) provide natural light must be covered means the diameter of a circular pool with a transparent material such as of water, or in the case of a square, rec- glass or hard plastic). tangle, oblong, or other shape pool, the Interactive area means that area in a diameter of the largest circle that can primary enclosure for a swim-with-the- be inserted within the confines of such dolphin program where an interactive a pool of water. session takes place. Mobile or traveling housing facility Interactive session means a swim-with- means a transporting vehicle such as a the-dolphin program session where truck, trailer, or railway car, used to members of the public enter a primary house animals while traveling for exhi- enclosure to interact with cetaceans. bition or public education purposes. Intermediate handler means any per- Nonconditioned animals means ani- son, including a department, agency, or mals which have not been subjected to instrumentality of the United States special care and treatment for suffi- or of any State or local government cient time to stabilize, and where nec- (other than a dealer, research facility, essary, to improve their health. exhibitor, any person excluded from Nonhuman primate means any the definition of a dealer, research fa- nonhuman member of the highest order cility, or exhibitor, an operator of an of mammals including prosimians, auction sale, or a carrier), who is en- monkeys, and apes.

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Operator of an auction sale means any Principal investigator means an em- person who is engaged in operating an ployee of a research facility, or other auction at which animals are pur- person associated with a research facil- chased or sold in commerce. ity, responsible for a proposal to con- Outdoor housing facility means any duct research and for the design and structure, building, land, or premise, implementation of research involving housing or intended to house animals, animals. which does not meet the definition of Quorum means a majority of the any other type of housing facility pro- Committee members. vided in the regulations, and in which Random source means dogs and cats temperatures cannot be controlled obtained from animal pounds or shel- within set limits. ters, auction sales, or from any person Painful procedure as applied to any who did not breed and raise them on animal means any procedure that his or her premises. would reasonably be expected to cause Registrant means any research facil- more than slight or momentary pain or ity, carrier, intermediate handler, or distress in a human being to which exhibitor not required to be licensed that procedure was applied, that is, under section 3 of the Act, registered pain in excess of that caused by injec- pursuant to the provisions of the Act tions or other minor procedures. and the regulations in part 2 of this Paralytic drug means a drug which subchapter. causes partial or complete loss of mus- Research facility means any school cle contraction and which has no anes- (except an elementary or secondary thetic or analgesic properties, so that school), institution, organization, or the animal cannot move, but is com- pletely aware of its surroundings and person that uses or intends to use live can feel pain. animals in research, tests, or experiments, and that (1) purchases or trans- Person means any individual, partnership, firm, joint stock company, ports live animals in commerce, or (2) corporation, association, trust, estate, receives funds under a grant, award, or other legal entity. loan, or contract from a department, Pet animal means any animal that agency, or instrumentality of the has commonly been kept as a pet in United States for the purpose of car- family households in the United rying out research, tests, or experi- States, such as dogs, cats, guinea pigs, ments: Provided, That the Adminis- rabbits, and hamsters. This term ex- trator may exempt, by regulation, any cludes exotic animals and wild ani- such school, institution, organization, mals. or person that does not use or intend to Positive physical contact means pet- use live dogs or cats, except those ting, stroking, or other touching, schools, institutions, organizations, or which is beneficial to the well-being of persons, which use substantial numbers the animal. (as determined by the Administrator) Pound or shelter means a facility that of live animals the principal function accepts and/or seizes animals for the of which schools, institutions, organi- purpose of caring for them, placing zations, or persons, is biomedical re- them through adoption, or carrying search or testing, when in the judg- out law enforcement, whether or not ment of the Administrator, any such the facility is operated for profit. exemption does not vitiate the purpose Primary conveyance means the main of the Act. method of transportation used to con- Retail pet store means any outlet vey an animal from origin to destina- where only the following animals are tion, such as a motor vehicle, plane, sold or offered for sale, at retail, for ship, or train. use as pets: Dogs, cats, rabbits, guinea Primary enclosure means any struc- pigs, hamsters, gerbils, rats, mice, go- ture or device used to restrict an ani- phers, chinchilla, domestic ferrets, do- mal or animals to a limited amount of mestic farm animals, birds, and cold- space, such as a room, pen, run, cage, blooded species. Such definition ex- compartment, pool, or hutch. cludes—

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(1) Establishments or persons who Study area means any building room, deal in dogs used for hunting, security, area, enclosure, or other containment or breeding purposes; outside of a core facility or centrally (2) Establishments or persons exhib- designated or managed area in which iting, selling, or offering to exhibit or animals are housed for more than 12 sell any wild or exotic or other nonpet hours. species of warmblooded animals (ex- Swim-with-the-dolphin (SWTD) pro- cept birds), such as skunks, raccoons, gram means any human-cetacean inter- nonhuman primates, squirrels, ocelots, active program in which a member of foxes, coyotes, etc.; the public enters the primary enclosure (3) Any establishment or person sell- in which an SWTD designated cetacean ing warmblooded animals (except birds, is housed to interact with the animal. and laboratory rats and mice) for re- This interaction includes, but such in- search or exhibition purposes; and clusions are not limited to, wading, (4) Any establishment wholesaling swimming, snorkeling, or scuba diving any animals (except birds, rats and in the enclosure. This interaction ex- mice). cludes, but such exclusions are not lim- (5) Any establishment exhibiting pet ited to, feeding and petting pools, and animals in a room that is separate the participation of any member(s) of from or adjacent to the retail pet store, the public audience as a minor segment or in an outside area, or anywhere off of an educational presentation or per- the retail pet store premises. formance of a show. Sanctuary area means that area in a Transporting device means an interim primary enclosure for a swim-with-the- vehicle or device, other than man, used dolphin program that is off-limits to to transport an animal between the the public and that directly abuts the primary conveyance and the terminal buffer area. facility or in and around the terminal facility of a carrier or intermediate Sanitize means to make physically handler. clean and to remove and destroy, to Transporting vehicle means any truck, the maximum degree that is practical, car, trailer, airplane, ship, or railroad agents injurious to health. car used for transporting animals. means the Secretary of Ag- Secretary Weaned means that an animal has be- riculture of the United States or his come accustomed to take solid food representative who shall be an em- and has so done, without nursing, for a ployee of the Department. period of at least 5 days. Sheltered housing facility means a Wild animal means any animal which housing facility which provides the is now or historically has been found in animals with shelter; protection from the wild, or in the wild state, within the elements; and protection from tem- the boundaries of the United States, its perature extremes at all times. A shel- territories, or possessions. This term tered housing facility may consist of includes, but is not limited to, animals runs or pens totally enclosed in a barn such as: Deer, skunk, opossum, rac- or building, or of connecting inside/out- coon, mink, armadillo, coyote, squir- side runs or pens with the inside pens rel, fox, wolf. in a totally enclosed building. Wild state means living in its origi- Standards means the requirements nal, natural condition; not domes- with respect to the humane housing, ticated. exhibition, handling, care, treatment, Zoo means any park, building, cage, temperature, and transportation of enclosure, or other structure or animals by dealers, exhibitors research premise in which a live animal or ani- facilities, carriers, intermediate han- mals are kept for public exhibition or dlers, and operators of auction sales as viewing, regardless of compensation. set forth in part 3 of this subchapter. State means a State of the United [54 FR 36119, Aug. 31, 1989, as amended at 55 States, the District of Columbia, Com- FR 12631, Apr. 5, 1990; 58 FR 39129, July 22, 1993; 62 FR 43275, Aug. 13, 1997; 63 FR 47148, monwealth of Puerto Rico, the Virgin Sept. 4, 1998; 63 FR 62926, Nov. 10, 1998; 65 FR Islands, Guam, American Samoa, or 6314, Feb. 9, 2000; 68 FR 12285, Mar. 14, 2003; 69 any other territory or possession of the FR 31514, June 4, 2004; 69 FR 42099, July 14, United States. 2004]

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EFFECTIVE DATE NOTE: At 64 FR 15920, Apr. Subpart E—Identification of Animals 2, 1999, the definitions of buffer area, interactive area, interactive session, sanctuary area, 2.50 Time and method of identification. and swim-with-the-dolphin (SWTD) program 2.51 Form of official tag. were suspended, effective Apr. 2, 1999. 2.52 How to obtain tags. 2.53 Use of tags. PART 2—REGULATIONS 2.54 Lost tags. 2.55 Removal and disposal of tags. Subpart A—Licensing Subpart F—Stolen Animals Sec. 2.60 Prohibition on the purchase, sale, use, 2.1 Requirements and application. or transportation of stolen animals. 2.2 Acknowledgement of regulations and standards. Subpart G—Records 2.3 Demonstration of compliance with standards and regulations. 2.75 Records: Dealers and exhibitors. 2.4 Non-interference with APHIS officials. 2.76 Records: Operators of auction sales and 2.5 Duration of license and termination of brokers. license. 2.77 Records: Carriers and intermediate 2.6 Annual license fees. handlers. 2.7 Annual report by licensees. 2.78 Health certification and identification. 2.8 Notification of change of name, address, 2.79 C.O.D. shipments. control, or ownership of business. 2.80 Records, disposition. 2.9 Officers, agents, and employees of licensees whose licenses have been sus- Subpart H—Compliance With Standards pended or revoked. and Holding Period 2.10 Licensees whose licenses have been suspended or revoked. 2.100 Compliance with standards. 2.11 Denial of initial license application. 2.101 Holding period. 2.12 Termination of a license. 2.102 Holding facility.

Subpart B—Registration Subpart I—Miscellaneous

2.25 Requirements and procedures. 2.125 Information as to business; furnishing 2.26 Acknowledgement of regulations and of same by dealers, exhibitors, operators standards. of auction sales, intermediate handlers, 2.27 Notification of change of operation. and carriers. 2.126 Access and inspection of records and Subpart C—Research Facilities property. 2.30 Registration. 2.127 Publication of names of persons sub- 2.31 Institutional Animal Care and Use ject to the provisions of this part. Committee (IACUC). 2.128 Inspection for missing animals. 2.32 Personnel qualifications. 2.129 Confiscation and destruction of ani- 2.33 Attending veterinarian and adequate mals. veterinary care. 2.130 Minimum age requirements. 2.34 [Reserved] 2.131 Handling of animals. 2.35 Recordkeeping requirements. 2.132 Procurement of dogs, cats, and other 2.36 Annual report. animals; dealers. 2.37 Federal research facilities. 2.133 Certification for random source dogs 2.38 Miscellaneous. and cats. 2.134 Contingency planning.

Subpart D—Attending Veterinarian and AUTHORITY: 7 U.S.C. 2131–2159; 7 CFR 2.22, Adequate Veterinary Care 2.80, and 371.7.

2.40 Attending veterinarian and adequate SOURCE: 54 FR 36147, Aug. 31, 1989, unless veterinary care (dealers and exhibitors). otherwise noted.

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Subpart A—Licensing such animals to a research facility, an exhibitor, a dealer, or a pet store dur- § 2.1 Requirements and application. ing any calendar year and is not other- (a)(1) Any person operating or intend- wise required to obtain a license; ing to operate as a dealer, exhibitor, or (iii) Any person who maintains a operator of an auction sale, except per- total of three (3) or fewer breeding fe- sons who are exempted from the licens- male dogs, cats, and/or small exotic or ing requirements under paragraph wild mammals, such as hedgehogs, (a)(3) of this section, must have a valid degus, spiny mice, prairie dogs, flying license. A person must be 18 years of squirrels, and jerboas, and who sells age or older to obtain a license. A per- only the offspring of these dogs, cats, son seeking a license shall apply on a or small exotic or wild mammals, form which will be furnished by the AC which were born and raised on his or Regional Director in the State in her premises, for pets or exhibition, which that person operates or intends and is not otherwise required to obtain to operate. The applicant shall provide a license. This exemption does not ex- the information requested on the appli- tend to any person residing in a house- cation form, including a valid mailing hold that collectively maintains a address through which the licensee or total of more than three breeding fe- applicant can be reached at all times, male dogs, cats, and/or small exotic or and a valid premises address where ani- wild mammals, regardless of owner- mals, animal facilities, equipment, and ship, nor to any person maintaining records may be inspected for compli- breeding female dogs, cats, and/or ance. The applicant shall file the com- small exotic or wild mammals on pleted application form with the AC premises on which more than three Regional Director. breeding female dogs, cats, and/or (2) If an applicant for a license or li- small exotic or wild mammals are cense renewal operates in more than maintained, nor to any person acting one State, he or she shall apply in the in concert with others where they col- State in which he or she has his or her lectively maintain a total of more than principal place of business. All prem- three breeding female dogs, cats, and/or ises, facilities, or sites where such per- small exotic or wild mammals regard- son operates or keeps animals shall be less of ownership; indicated on the application form or on a separate sheet attached to it. The (iv) Any person who sells fewer than completed application form, along with 25 dogs and/or cats per year, which the application fee indicated in para- were born and raised on his or her graph (c) of this section, and the an- premises, for research, teaching, or nual license fee indicated in table 1 or testing purposes or to any research fa- 2 of § 2.6 shall be filed with the AC Re- cility and is not otherwise required to gional Director. obtain a license. This exemption does (3) The following persons are exempt not extend to any person residing in a from the licensing requirements under household that collectively sells 25 or section 2 or section 3 of the Act: more dogs and/or cats, regardless of (i) Retail pet stores which sell non- ownership, nor to any person acting in dangerous, pet-type animals, such as concert with others where they collec- dogs, cats, birds, rabbits, hamsters, tively sell 25 or more dogs and/or cats, guinea pigs, gophers, domestic ferrets, regardless of ownership. The sale of chinchilla, rats, and mice, for pets, at any dog or cat not born and raised on retail only: Provided, That, Anyone the premises for research purposes re- wholesaling any animals, selling any quires a license; animals for research or exhibition, or (v) Any person who arranges for selling any wild, exotic, or nonpet ani- transportation or transports animals mals retail, must have a license; solely for the purpose of breeding, ex- (ii) Any person who sells or nego- hibiting in purebred shows, boarding tiates the sale or purchase of any ani- (not in association with commercial mal except wild or exotic animals, transportation), grooming, or medical dogs, or cats, and who derives no more treatment, and is not otherwise re- than $500 gross income from the sale of quired to obtain a license;

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(vi) Any person who buys, sells, The applicant may pay the fee by cer- transports, or negotiates the sale, pur- tified check, cashier’s check, personal chase, or transportation of any animals check, money order, or credit card. An used only for the purposes of food or applicant whose check is returned by a fiber (including fur); bank will be charged a fee of $20 for (vii) Any person who breeds and each returned check. If an applicant’s raises domestic pet animals for direct check is returned, subsequent fees retail sales to another person for the must be paid by certified check, cash- buyer’s own use and who buys no ani- ier’s check, or money order. mals for resale and who sells no ani- (e) The failure of any person to com- mals to a research facility, an exhibi- ply with any provision of the Act, or tor, a dealer, or a pet store (e.g., a any of the provisions of the regulations purebred dog or cat fancier) and is not or standards in this subchapter, shall otherwise required to obtain a license; constitute grounds for denial of a li- (viii) Any person who buys animals cense; or for its suspension or revoca- solely for his or her own use or enjoy- tion by the Secretary, as provided in ment and does not sell or exhibit ani- the Act. mals, or is not otherwise required to obtain a license; (Approved by the Office of Management and (b) No person shall have more than Budget under control number 0579–0254) one license. [54 FR 36147, Aug. 31, 1989, as amended at 63 (c) A license will be issued to any ap- FR 62926, Nov. 10, 1998; 69 FR 42099, July 14, plicant, except as provided in §§ 2.10 and 2004] 2.11, when: (1) The applicant has met the re- § 2.2 Acknowledgement of regulations quirements of this section and §§ 2.2 and standards. and 2.3; and (a) Application for initial license. (2) The applicant has paid the appli- APHIS will supply a copy of the application fee of $10 and the annual license cable regulations and standards to the fee indicated in § 2.6 to the appropriate applicant with each request for a li- Animal Care regional office for an ini- cense application. The applicant shall tial license, and, in the case of a li- acknowledge receipt of the regulations cense renewal, the annual license fee and standards and agree to comply has been received by the appropriate with them by signing the application Animal Care regional office on or be- form before a license will be issued. fore the expiration date of the license. (b) Application for license renewal. (d)(1) A licensee who wishes a re- APHIS will renew a license after the newal must submit to the appropriate applicant certifies by signing the appli- Animal Care regional office a com- cation form that, to the best of the ap- pleted application form and the annual plicant’s knowledge and belief, he or license fee indicated in § 2.6 by certified she is in compliance with the regula- check, cashier’s check, personal check, tions and standards and agrees to con- money order, or credit card. The appli- tinue to comply with the regulations cation form and the annual license fee and standards. APHIS will supply a must be received by the appropriate copy of the applicable regulations and Animal Care regional office on or be- standards to the applicant upon re- fore the expiration date of the license. quest. An applicant whose check is returned by the bank will be charged a fee of $20 (Approved by the Office of Management and Budget under control number 0579–0254) for each returned check. A returned check will be deemed nonpayment of [60 FR 13895, Mar. 15, 1995, as amended at 69 fee and will result in the denial of the FR 42100, July 14, 2004] license. If an applicant’s check is returned, subsequent fees must be paid § 2.3 Demonstration of compliance by certified check, cashier’s check, or with standards and regulations. money order. (a) Each applicant must demonstrate (2) A license fee indicated in § 2.6 that his or her premises and any ani- must also be paid if an applicant is ap- mals, facilities, vehicles, equipment, or plying for a changed class of license. other premises used or intended for use

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in the business comply with the regula- en, abuse (including verbally abuse), or tions and standards set forth in parts 2 harass any APHIS official in the course and 3 of this subchapter. Each appli- of carrying out his or her duties. cant for an initial license or license renewal must make his or her animals, § 2.5 Duration of license and termi- premises, facilities, vehicles, equip- nation of license. ment, other premises, and records (a) A license issued under this part available for inspection during busi- shall be valid and effective unless: ness hours and at other times mutually (1) The license has been revoked or agreeable to the applicant and APHIS, to ascertain the applicant’s compliance suspended pursuant to section 19 of the with the standards and regulations. Act. (b) Each applicant for an initial li- (2) The license is voluntarily termi- cense must be inspected by APHIS and nated upon request of the licensee, in demonstrate compliance with the regu- writing, to the AC Regional Director. lations and standards, as required in (3) The license has expired or been paragraph (a) of this section, before terminated under this part. APHIS will issue a license. If the first (4) The annual license fee has not inspection reveals that the applicant’s been paid to the appropriate Animal animals, premises, facilities, vehicles, Care regional office as required. There equipment, other premises, or records will not be a refund of the annual li- do not meet the requirements of this cense fee if a license is terminated subchapter, APHIS will advise the ap- prior to its expiration date. plicant of existing deficiencies and the (b) Any person who is licensed must corrective measures that must be completed to come into compliance with file an application for a license renewal the regulations and standards. An ap- and an annual report form (APHIS plicant who fails the first inspection Form 7003), as required by § 2.7 of this will have two additional chances to part, and pay the required annual li- demonstrate his or her compliance cense fee. The required annual license with the regulations and standards fee must be received in the appropriate through a second inspection by APHIS. Animal Care regional office on or be- The applicant must request the second fore the expiration date of the license inspection, and if applicable, the third or the license will expire and automati- inspection, within 90 days following the cally terminate. Failure to comply first inspection. If the applicant fails with the annual reporting require- inspection or fails to request reinspec- ments or pay the required annual li- tions within the 90-day period, he or cense fee on or before the expiration she will forfeit the application fee and date of the license will result in auto- cannot reapply for a license for a pe- matic termination of the license. riod of 6 months from the date of the (c) Any person who seeks the rein- failed third inspection or the expira- statement of a license that has been tion of the time to request a third in- automatically terminated must follow spection. Issuance of a license will be denied until the applicant dem- the procedure applicable to new appli- onstrates upon inspection that the ani- cants for a license set forth in § 2.1. mals, premises, facilities, vehicles, (d) Licenses are issued to specific equipment, other premises, and records persons for specific premises and do not are in compliance with all regulations transfer upon change of ownership, nor and standards in this subchapter. are they valid at a different location. (e) A license which is invalid under (Approved by the Office of Management and Budget under control number 0579–0254) this part shall be surrendered to the AC Regional Director. If the license [54 FR 36147, Aug. 31, 1989, as amended at 69 cannot be found, the licensee shall pro- FR 42100, July 14, 2004] vide a written statement so stating to § 2.4 Non-interference with APHIS offi- the AC Regional Director. cials. [54 FR 36147, Aug. 31, 1989, as amended at 60 A licensee or applicant for an initial FR 13895, Mar. 15, 1995; 63 FR 62926, Nov. 10, license shall not interfere with, threat- 1998; 69 FR 42100, July 14, 2004]

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§ 2.6 Annual license fees. see shall each pay a fee based on the net compensation received from the (a) For an initial license, the appli- leased animals calculated from Table 1 cant must submit a $10 application fee in addition to the initial license fee in paragraph (c) of this section. prescribed in this section. Licensees (3) The annual license renewal fee for applying for license renewal or changed a broker or operator of an auction sale class of license must submit only the shall be that of a class ‘‘B’’ dealer and license fee prescribed in this section. shall be based on the total gross The license fee for an initial license, li- amount, expressed in dollars, derived cense renewal, or changed class of li- from commissions or fees charged for cense is determined from table 1 or 2 in the sale of animals, or for negotiating paragraph (c) of this section. Para- the sale of animals, by brokers or by graph (b) of this section indicates the the operator of an auction sale, to re- method used to calculate the license search facilities, dealers, exhibitors, fee. All initial license and changed retail pet stores, and persons for use as class of license fees must be submitted pets, during the preceding business to the appropriate Animal Care re- year (calendar or fiscal). gional office, and, in the case of license (4) In the case of a new applicant for renewals, all fees must be received by a license as a dealer, broker or oper- the appropriate Animal Care regional ator of an auction sale who did not op- office on or before the expiration date erate during a preceding business year, of the license. the annual license fee will be based on (b)(1) Class ‘‘A’’ license. The annual the anticipated yearly dollar amount license renewal fee for a Class ‘‘A’’ of business, as provided in paragraphs dealer shall be based on 50 percent of (b)(1), (2), and (3) of this section, de- the total gross amount, expressed in dollars, derived from the sale of ani- rived from the sale of animals to re- mals to research facilities, dealers, ex- search facilities, dealers, exhibitors, hibitors, retail pet stores, and persons retail pet stores, and persons for use as for use as pets, directly or through an pets, directly or through an auction auction sale, by the dealer or applicant sale. during his or her preceding business (5) The amount of the annual fee to year (calendar or fiscal) in the case of be paid upon application for a class a person who operated during such a ‘‘C’’ license as an exhibitor under this year. If animals are leased, the lessor section shall be based on the number of shall pay a fee based on 50 percent of animals which the exhibitor owned, any compensation received from the held, or exhibited at the time the ap- leased animals and the lessee shall pay plication is signed and dated or during a fee based upon the net compensation the previous year, whichever is greater, received from the leased animals, as in- and will be the amount listed in Table dicated for dealers in Table 1 in para- 2 in paragraph (c) of this section. Ani- graph (c) of this section. mals which are leased shall be included (2) Class ‘‘B’’ license. The annual li- in the number of animals being held by cense renewal fee for a Class ‘‘B’’ deal- both the lessor and the lessee when cal- er shall be established by calculating culating the annual fee. An exhibitor the total amount received from the shall pay his or her annual license fee sale of animals to research facilities, on or before the expiration date of the dealers, exhibitors, retail pet stores, license and the fee shall be based on and persons for use as pets, directly or the number of animals which the ex- through an auction sale, during the hibitor is holding or has held during preceding business year (calendar or fiscal) less the amount paid for the ani- the year (both owned and leased). mals by the dealer or applicant. This (c) The license fee shall be computed net difference, exclusive of other costs, in accordance with the following ta- shall be the figure used to determine bles: the license fee of a Class ‘‘B’’ dealer. If animals are leased, the lessor and les-

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TABLE 1—DEALERS, BROKERS, AND OPERATORS § 2.7 Annual report by licensees. OF AN AUCTION SALE—CLASS ‘‘A’’ AND ‘‘B’’ (a) Each year, within 30 days prior to LICENSE the expiration date of his or her li- Annual or cense, a licensee shall file with the AC But not Initial changed Over over license class of Regional Director an application for li- fee license fee cense renewal and annual report upon a form which the AC Regional Director $0 ...... $500 $30 $40 500 ...... 2,000 60 70 will furnish to him or her upon request. 2,000 ...... 10,000 120 130 (b) A person licensed as a dealer shall 10,000 ...... 25,000 225 235 set forth in his or her license renewal 25,000 ...... 50,000 350 360 application and annual report the dol- 50,000 ...... 100,000 475 485 100,000 ...... 750 760 lar amount of business, from the sale of animals, upon which the license fee is based, directly or through an auction TABLE 2—EXHIBITORS—CLASS ‘‘C’’ LICENSE sale, to research facilities, dealers, ex- Annual or hibitors, retail pet stores, and persons Initial changed Number of animals license class of li- for use as pets, by the licensee during fee cense fee the preceding business year (calendar 1 to 5 ...... $30 $40 or fiscal), and any other information as 6 to 25 ...... 75 85 may be required thereon. 26 to 50 ...... 175 185 (c) A licensed dealer who operates as 51 to 500 ...... 225 235 a broker or an operator of an auction 501 and up ...... 300 310 sale shall set forth in his or her license (d) If a person meets the licensing re- renewal application and annual report quirements for more than one class of the total gross amount, expressed in license, he shall be required to obtain a dollars, derived from commissions or license and pay the fee for the type fees charged for the sale of animals by business which is predominant for his the licensee to research facilities, deal- operation, as determined by the Sec- ers, exhibitors, retail pet stores, and retary. persons for use as pets, during the pre- (e) In any situation in which a li- ceding business year (calendar or fis- censee shall have demonstrated in cal), and any other information as may writing to the satisfaction of the Sec- be required thereon. retary that he or she has good reason (d) A person licensed as an exhibitor to believe that the dollar amount of his shall set forth in his or her license re- or her business for the forthcoming newal application and annual report business year will be less than the pre- the number of animals owned, held, or vious business year, then his or her es- exhibited by him or her, including timated dollar amount of business those which are leased, during the pre- shall be used for computing the license vious year or at the time he signs and fee for the forthcoming business year: dates the report, whichever is greater. Provided, however, That if the dollar amount upon which the license fee is [54 FR 36147, Aug. 31, 1989, as amended at 63 based for that year does in fact exceed FR 62926, Nov. 10, 1998] the amount estimated, the difference § 2.8 Notification of change of name, in amount of the fee paid and that address, control, or ownership of which was due under paragraphs (b) business. and (c) of this section based upon the actual dollar business upon which the A licensee shall promptly notify the license fee is based, shall be payable in AC Regional Director by certified mail addition to the required annual license of any change in the name, address, fee for the next subsequent year, on the management, or substantial control or anniversary date of his or her license ownership of his business or operation, as prescribed in this section. or of any additional sites, within 10 days of any change. [54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998; 69 FR 42101, July 14, [54 FR 36147, Aug. 31, 1989, as amended at 63 2004] FR 62926, Nov. 10, 1998]

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§ 2.9 Officers, agents, and employees of (2) Is not in compliance with any of licensees whose licenses have been the regulations or standards in this suspended or revoked. subchapter; Any person who has been or is an of- (3) Has had a license revoked or ficer, agent, or employee of a licensee whose license is suspended, as set forth whose license has been suspended or rein § 2.10; voked and who was responsible for or (4) Has pled nolo contendere (no con- participated in the violation upon test) or has been found to have violated which the order of suspension or rev- any Federal, State, or local laws or ocation was based will not be licensed regulations pertaining to animal cru- within the period during which the elty within 1 year of application, or order of suspension or revocation is in after 1 year if the Administrator deter- effect. mines that the circumstances render the applicant unfit to be licensed; § 2.10 Licensees whose licenses have (5) Is or would be operating in viola- been suspended or revoked. tion or circumvention of any Federal, (a) Any person whose license has State, or local laws; or been suspended for any reason shall not (6) Has made any false or fraudulent be licensed in his or her own name or statements or provided any false or in any other manner within the period fraudulent records to the Department during which the order of suspension is or other government agencies, or has in effect. No partnership, firm, corpora- pled nolo contendere (no contest) or has tion, or other legal entity in which any been found to have violated any Fed- such person has a substantial interest, eral, State, or local laws or regulations financial or otherwise, will be licensed pertaining to the transportation, own- during that period. Any person whose ership, neglect, or welfare of animals, license has been suspended for any rea- or is otherwise unfit to be licensed and son may apply to the AC Regional Di- the Administrator determines that the rector, in writing, for reinstatement of issuance of a license would be contrary his or her license. No license will be re- to the purposes of the Act. newed during the period that it is suspended. Renewal of the license may be (b) An applicant whose license appli- initiated during the suspension in ac- cation has been denied may request a cordance with §§ 2.2(b) and 2.12. hearing in accordance with the applica- (b) Any person whose license has ble rules of practice for the purpose of been revoked shall not be licensed in showing why the application for license his or her own name or in any other should not be denied. The license de- manner; nor will any partnership, firm, nial shall remain in effect until the corporation, or other legal entity in final legal decision has been rendered. which any such person has a substan- Should the license denial be upheld, tial interest, financial or otherwise, be the applicant may again apply for a li- licensed. cense 1 year from the date of the final (c) Any person whose license has been order denying the application, unless suspended or revoked shall not buy, the order provides otherwise. sell, transport, exhibit, or deliver for (c) No partnership, firm, corporation, transportation, any animal during the or other legal entity in which a person period of suspension or revocation. whose license application has been denied has a substantial interest, finan- [54 FR 36147, Aug. 31, 1989, as amended at 63 cial or otherwise, will be licensed with- FR 62926, Nov. 10, 1998; 69 FR 42101, July 14, in 1 year of the license denial. 2004] (d) No license will be issued under § 2.11 Denial of initial license applica- circumstances that the Administrator tion. determines would circumvent any (a) A license will not be issued to any order suspending, revoking, termi- applicant who: nating, or denying a license under the (1) Has not complied with the re- Act. quirements of §§ 2.1, 2.2, 2.3, and 2.4 and [54 FR 36147, Aug. 31, 1989, as amended at 69 has not paid the fees indicated in § 2.6; FR 42101, July 14, 2004]

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§ 2.12 Termination of a license. APHIS, and by filing it with the AC Regional Director. A license may be terminated during the license renewal process or at any [54 FR 36147, Aug. 31, 1989, as amended at 63 other time for any reason that an ini- FR 62926, Nov. 10, 1998] tial license application may be denied pursuant to § 2.11 after a hearing in ac- § 2.27 Notification of change of operation. cordance with the applicable rules of practice. (a) A registrant shall notify the AC Regional Director by certified mail of [69 FR 42101, July 14, 2004] any change in the name, address, or ownership, or other change in oper- Subpart B—Registration ations affecting its status as an exhibitor, carrier, or intermediate handler, § 2.25 Requirements and procedures. within 10 days after making such (a) Each carrier and intermediate change. handler, and each exhibitor not re- (b)(1) A registrant which has not quired to be licensed under section 3 of used, handled, or transported animals the Act and the regulations of this sub- for a period of at least 2 years may be chapter, shall register with the Sec- placed in an inactive status by making retary by completing and filing a prop- a written request to the AC Regional erly executed form which will be fur- Director a registrant shall notify the nished, upon request, by the AC Re- AC Regional Director in writing at gional Director. The registration form least 10 days before using, handling, or shall be filed with the AC Regional Di- transporting animals again after being rector for the State in which the reg- in an inactive status. istrant has his or her principal place of (2) A registrant which goes out of business, and shall be updated every 3 business or which ceases to function as years by the completion and filing of a a carrier, intermediate handler, or ex- new registration form which will be hibitor, or which changes its method of provided by the AC Regional Director. operation so that it no longer uses, (b) A subsidiary of a business cor- handles, or transports animals, and poration, rather than the parent cor- which does not plan to use, handle, or poration, will be registered as an ex- transport animals again at any time in hibitor unless the subsidiary is under the future, may have its registration such direct control of the parent cor- canceled by making a written request poration that the Secretary determines to the AC Regional Director. The that it is necessary that the parent former registrant is responsible for re- corporation be registered to effectuate registering and demonstrating its com- the purposes of the Act. pliance with the Act and regulations (c) No registrant or person required should it start using, handling, or to be registered shall interfere with, transporting animals at any time after threaten, abuse (including verbally its registration is canceled. abuse), or harass any APHIS official [54 FR 36147, Aug. 31, 1989, as amended at 63 who is in the course of carrying out his FR 62926, Nov. 10, 1998] or her duties. [54 FR 36147, Aug. 31, 1989, as amended at 63 Subpart C—Research Facilities FR 62926, Nov. 10, 1998; 69 FR 42101, July 14, 2004] § 2.30 Registration. (a) Requirements and procedures. (1) § 2.26 Acknowledgment of regulations Each research facility other than a and standards. Federal research facility, shall register APHIS will supply a copy of the regu- with the Secretary by completing and lations and standards in this sub- filing a properly executed form which chapter with each registration form. will be furnished, upon request, by the The registrant shall acknowledge re- AC Regional Director. The registration ceipt of and shall agree to comply with form shall be filed with the AC Re- the regulations and standards by sign- gional Director for the State in which ing a form provided for this purpose by the research facility has its principal

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place of business, and shall be updated inactive). A research facility shall no- every 3 years by the completion and fil- tify the AC Regional Director in writing of a new registration form which ing at least 10 days before using, han- will be provided by the AC Regional Di- dling, or transporting animals again rector. Except as provided in paragraph after being in an inactive status. (a)(2) of this section, where a school or (3) A research facility which goes out department of a university or college of business or which ceases to function uses or intends to use live animals for as a research facility, or which changes research, tests, experiments, or teach- its method of operation so that it no ing, the university or college rather longer uses, handles, or transports ani- than the school or department will be mals, and which does not plan to use, considered the research facility and handle, or transport animals at any will be required to register with the time in the future, may have its reg- Secretary. An official who has the legal istration canceled by making a written authority to bind the parent organiza- request to the AC Regional Director. tion shall sign the registration form. The research facility is responsible for (2) In any situation in which a school reregistering and demonstrating its or department of a university or col- compliance with the Act and regula- lege demonstrates to the Secretary tions should it start using, handling, or that it is a separate legal entity and its transporting animals at any time after operations and administration are its registration is canceled. independent of those of the university (d) No research facility shall inter- or college, the school or department fere with, threaten, abuse (including will be registered rather than the uni- verbally abuse), or harass any APHIS versity or college. official who is in the course of carrying (3) A subsidiary of a business cor- out his or her duties. poration, rather than the parent cor- [54 FR 36147, Aug. 31, 1989, as amended at 63 poration, will be registered as a re- FR 62926, Nov. 10, 1998; 69 FR 42101, July 14, search facility unless the subsidiary is 2004] under such direct control of the parent corporation that the Secretary deter- § 2.31 Institutional Animal Care and mines that it is necessary that the par- Use Committee (IACUC). ent corporation be registered to effec- (a) The Chief Executive Officer of the tuate the purposes of the Act. research facility shall appoint an Insti- (b) Acknowledgment of regulations and tutional Animal Care and Use Com- standards. APHIS will supply a copy of mittee (IACUC), qualified through the the regulations and standards in this experience and expertise of its mem- subchapter with each registration bers to assess the research facility’s form. The research facility shall ac- animal program, facilities, and proce- knowledge receipt of and shall agree to dures. Except as specifically authorized comply with the regulations and stand- by law or these regulations, nothing in ards by signing a form provided for this this part shall be deemed to permit the purpose by APHIS, and by filing it with Committee or IACUC to prescribe the AC Regional Director. methods or set standards for the de- (c) Notification of change of operation. sign, performance, or conduct of actual (1) A research facility shall notify the research or experimentation by a re- AC Regional Director by certified mail search facility. of any change in the name, address, or (b) IACUC membership. (1) The mem- ownership, or other change in oper- bers of each Committee shall be ap- ations affecting its status as a research pointed by the Chief Executive Officer facility, within 10 days after making of the research facility; such change. (2) The Committee shall be composed (2) A research facility which has not of a Chairman and at least two addi- used, handled, or transported animals tional members; for a period of at least 2 years may be (3) Of the members of the Committee: placed in an inactive status by making (i) At least one shall be a Doctor of a written request to the AC Regional Veterinary Medicine, with training or Director. A research facility shall file experience in laboratory animal an annual report of its status (active or science and medicine, who has direct or

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delegated program responsibility for minority views. The reports shall be activities involving animals at the re- updated at least once every six months search facility; upon completion of the required semi- (ii) At least one shall not be affili- annual evaluations and shall be main- ated in any way with the facility other tained by the research facility and than as a member of the Committee, made available to APHIS and to offi- and shall not be a member of the im- cials of funding Federal agencies for in- mediate family of a person who is af- spection and copying upon request. The filiated with the facility. The Sec- reports must contain a description of retary intends that such person will the nature and extent of the research provide representation for general facility’s adherence to this subchapter, community interests in the proper care must identify specifically any depar- and treatment of animals; tures from the provisions of title 9, (4) If the Committee consists of more chapter I, subchapter A—Animal Wel- than three members, not more than fare, and must state the reasons for three members shall be from the same each departure. The reports must dis- administrative unit of the facility. tinguish significant deficiencies from (c) IACUC functions. With respect to minor deficiencies. A significant defi- activities involving animals, the ciency is one which, with reference to IACUC, as an agent of the research fa- Subchapter A, and, in the judgment of cility, shall: the IACUC and the Institutional Offi- (1) Review, at least once every six cial, is or may be a threat to the health months, the research facility’s pro- or safety of the animals. If program or gram for humane care and use of ani- facility deficiencies are noted, the re- mals, using title 9, chapter I, sub- ports must contain a reasonable and chapter A—Animal Welfare, as a basis specific plan and schedule with dates for evaluation; for correcting each deficiency. Any (2) Inspect, at least once every six failure to adhere to the plan and sched- months, all of the research facility’s ule that results in a significant defi- animal facilities, including animal ciency remaining uncorrected shall be study areas, using title 9, chapter I, reported in writing within 15 business subchapter A-Animal Welfare, as a days by the IACUC, through the Insti- basis for evaluation; Provided, however, tutional Official, to APHIS and any That animal areas containing free-liv- Federal agency funding that activity; ing wild animals in their natural habi- (4) Review, and, if warranted, inves- tat need not be included in such inspec- tigate concerns involving the care and tion; use of animals at the research facility (3) Prepare reports of its evaluations resulting from public complaints re- conducted as required by paragraphs (c)(1) and (2) of this section, and submit ceived and from reports of noncompli- the reports to the Institutional Official ance received from laboratory or re- of the research facility; Provided, how- search facility personnel or employees; ever, That the IACUC may determine (5) Make recommendations to the In- the best means of conducting evalua- stitutional Official regarding any as- tions of the research facility’s pro- pect of the research facility’s animal grams and facilities; and Provided, fur- program, facilities, or personnel train- ther, That no Committee member wish- ing; ing to participate in any evaluation (6) Review and approve, require modi- conducted under this subpart may be fications in (to secure approval), or excluded. The IACUC may use sub- withhold approval of those components committees composed of at least two of proposed activities related to the Committee members and may invite ad care and use of animals, as specified in hoc consultants to assist in conducting paragraph (d) of this section; the evaluations, however, the IACUC (7) Review and approve, require modi- remains responsible for the evaluations fications in (to secure approval), or and reports as required by the Act and withhold approval of proposed signifi- regulations. The reports shall be re- cant changes regarding the care and viewed and signed by a majority of the use of animals in ongoing activities; IACUC members and must include any and

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(8) Be authorized to suspend an activ- (vi) The animals’ living conditions ity involving animals in accordance will be appropriate for their species in with the specifications set forth in accordance with part 3 of this sub- paragraph (d)(6) of this section. chapter, and contribute to their health (d) IACUC review of activities involv- and comfort. The housing, feeding, and ing animals. (1) In order to approve nonmedical care of the animals will be proposed activities or proposed signifi- directed by the attending veterinarian cant changes in ongoing activities, the or other scientist trained and experi- IACUC shall conduct a review of those enced in the proper care, handling, and components of the activities related to use of the species being maintained or the care and use of animals and deter- studied; mine that the proposed activities are (vii) Medical care for animals will be in accordance with this subchapter un- available and provided as necessary by less acceptable justification for a de- a qualified veterinarian; parture is presented in writing; Pro- (viii) Personnel conducting proce- vided, however, That field studies as de- dures on the species being maintained fined in part 1 of this subchapter are or studied will be appropriately quali- exempt from this requirement. Fur- fied and trained in those procedures; ther, the IACUC shall determine that (ix) Activities that involve surgery the proposed activities or significant include appropriate provision for pre- changes in ongoing activities meet the operative and post-operative care of following requirements: the animals in accordance with estab- (i) Procedures involving animals will lished veterinary medical and nursing avoid or minimize discomfort, distress, practices. All survival surgery will be and pain to the animals; performed using aseptic procedures, in- (ii) The principal investigator has cluding surgical gloves, masks, sterile considered alternatives to procedures instruments, and aseptic techniques. that may cause more than momentary Major operative procedures on non-ro- or slight pain or distress to the ani- dents will be conducted only in facili- mals, and has provided a written nar- ties intended for that purpose which rative description of the methods and shall be operated and maintained under sources, e. g., the Animal Welfare Infor- aseptic conditions. Non-major opera- mation Center, used to determine that tive procedures and all surgery on ro- alternatives were not available; dents do not require a dedicated facil- (iii) The principal investigator has ity, but must be performed using asep- provided written assurance that the ac- tic procedures. Operative procedures tivities do not unnecessarily duplicate conducted at field sites need not be previous experiments; performed in dedicated facilities, but (iv) Procedures that may cause more must be performed using aseptic proce- than momentary or slight pain or dis- dures; tress to the animals will: (x) No animal will be used in more (A) Be performed with appropriate than one major operative procedure sedatives, analgesics or anesthetics, from which it is allowed to recover, un- unless withholding such agents is justi- less: fied for scientific reasons, in writing, (A) Justified for scientific reasons by by the principal investigator and will the principal investigator, in writing; continue for only the necessary period (B) Required as routine veterinary of time; procedure or to protect the health or (B) Involve, in their planning, con- well-being of the animal as determined sultation with the attending veteri- by the attending veterinarian; or narian or his or her designee; (C) In other special circumstances as (C) Not include the use of paralytics determined by the Administrator on an without anesthesia; individual basis. Written requests and (v) Animals that would otherwise ex- supporting data should be sent to the perience severe or chronic pain or dis- Animal and Plant Health Inspection tress that cannot be relieved will be Service, Animal Care, 4700 River Road, painlessly euthanized at the end of the Unit 84, Riverdale, Maryland 20737–1234; procedure or, if appropriate, during the (xi) Methods of euthanasia used must procedure; be in accordance with the definition of

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the term set forth in 9 CFR part 1, § 1.1 its decision, with documentation in of this subchapter, unless a deviation is Committee minutes, in light of the in- justified for scientific reasons, in writ- formation provided by the principal in- ing, by the investigator. vestigator; (2) Prior to IACUC review, each mem- (5) The IACUC shall conduct con- ber of the Committee shall be provided tinuing reviews of activities covered by with a list of proposed activities to be this subchapter at appropriate inter- reviewed. Written descriptions of all vals as determined by the IACUC, but proposed activities that involve the not less than annually; care and use of animals shall be avail- (6) The IACUC may suspend an activ- able to all IACUC members, and any ity that it previously approved if it de- member of the IACUC may obtain, termines that the activity is not being upon request, full Committee review of conducted in accordance with the de- those activities. If full Committee re- scription of that activity provided by view is not requested, at least one the principal investigator and approved member of the IACUC, designated by by the Committee. The IACUC may the chairman and qualified to conduct suspend an activity only after review the review, shall review those activi- of the matter at a convened meeting of ties, and shall have the authority to a quorum of the IACUC and with the approve, require modifications in (to suspension vote of a majority of the secure approval), or request full Com- quorum present; mittee review of any of those activi- (7) If the IACUC suspends an activity ties. If full Committee review is re- involving animals, the Institutional Of- quested for a proposed activity, ap- ficial, in consultation with the IACUC, proval of that activity may be granted shall review the reasons for suspension, only after review, at a convened meet- take appropriate corrective action, and ing of a quorum of the IACUC, and with report that action with a full expla- the approval vote of a majority of the nation to APHIS and any Federal agen- quorum present. No member may par- cy funding that activity; and ticipate in the IACUC review or ap- (8) Proposed activities and proposed proval of an activity in which that significant changes in ongoing activi- member has a conflicting interest (e.g., ties that have been approved by the is personally involved in the activity), IACUC may be subject to further ap- except to provide information re- propriate review and approval by offi- quested by the IACUC, nor may a mem- cials of the research facility. However, ber who has a conflicting interest con- those officials may not approve an ac- tribute to the constitution of a tivity involving the care and use of quorum; animals if it has not been approved by (3) The IACUC may invite consult- the IACUC. ants to assist in the review of complex (e) A proposal to conduct an activity issues arising out of its review of pro- involving animals, or to make a sig- posed activities. Consultants may not nificant change in an ongoing activity approve or withhold approval of an ac- involving animals, must contain the tivity, and may not vote with the following: IACUC unless they are also members of (1) Identification of the species and the IACUC; the approximate number of animals to (4) The IACUC shall notify principal be used; investigators and the research facility (2) A rationale for involving animals, in writing of its decision to approve or and for the appropriateness of the spe- withhold approval of those activities cies and numbers of animals to be used; related to the care and use of animals, (3) A complete description of the pro- or of modifications required to secure posed use of the animals; IACUC approval. If the IACUC decides (4) A description of procedures de- to withhold approval of an activity, it signed to assure that discomfort and shall include in its written notification pain to animals will be limited to that a statement of the reasons for its deci- which is unavoidable for the conduct of sion and give the principal investigator scientifically valuable research, includ- an opportunity to respond in person or ing provision for the use of analgesic, in writing. The IACUC may reconsider anesthetic, and tranquilizing drugs

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where indicated and appropriate to (5) Utilization of services (e.g., Na- minimize discomfort and pain to ani- tional Agricultural Library, National mals; and Library of Medicine) available to pro- (5) A description of any euthanasia vide information: method to be used. (i) On appropriate methods of animal care and use; [54 FR 36147, August 31, 1989, as amended by (ii) On alternatives to the use of live 59 FR 67611, Dec. 30, 1994; 63 FR 62926, Nov. 10, 1998] animals in research; (iii) That could prevent unintended § 2.32 Personnel qualifications. and unnecessary duplication of research involving animals; and (a) It shall be the responsibility of (iv) Regarding the intent and require- the research facility to ensure that all ments of the Act. scientists, research technicians, animal technicians, and other personnel § 2.33 Attending veterinarian and ade- involved in animal care, treatment, quate veterinary care. and use are qualified to perform their (a) Each research facility shall have duties. This responsibility shall be ful- an attending veterinarian who shall filled in part through the provision of provide adequate veterinary care to its training and instruction to those per- animals in compliance with this sec- sonnel. tion: (b) Training and instruction shall be (1) Each research facility shall em- made available, and the qualifications ploy an attending veterinarian under of personnel reviewed, with sufficient formal arrangements. In the case of a frequency to fulfill the research facili- part-time attending veterinarian or ty’s responsibilities under this section consultant arrangements, the formal and § 2.31. arrangements shall include a written (c) Training and instruction of per- program of veterinary care and regu- sonnel must include guidance in at larly scheduled visits to the research least the following areas: facility; (1) Humane methods of animal main- (2) Each research facility shall assure tenance and experimentation, includ- that the attending veterinarian has ap- ing: propriate authority to ensure the pro- (i) The basic needs of each species of vision of adequate veterinary care and animal; to oversee the adequacy of other as- (ii) Proper handling and care for the pects of animal care and use; and various species of animals used by the (3) The attending veterinarian shall facility; be a voting member of the IACUC; Pro- (iii) Proper pre-procedural and post- vided, however, That a research facility procedural care of animals; and with more than one Doctor of Veteri- (iv) Aseptic surgical methods and nary Medicine (DVM) may appoint to procedures; the IACUC another DVM with dele- (2) The concept, availability, and use gated program responsibility for ac- of research or testing methods that tivities involving animals at the re- limit the use of animals or minimize search facility. animal distress; (b) Each research facility shall estab- (3) Proper use of anesthetics, analge- lish and maintain programs of ade- sics, and tranquilizers for any species quate veterinary care that include: of animals used by the facility; (1) The availability of appropriate fa- (4) Methods whereby deficiencies in cilities, personnel, equipment, and animal care and treatment are re- services to comply with the provisions ported, including deficiencies in animal of this subchapter; care and treatment reported by any (2) The use of appropriate methods to employee of the facility. No facility prevent, control, diagnose, and treat employee, Committee member, or lab- diseases and injuries, and the avail- oratory personnel shall be discrimi- ability of emergency, weekend, and nated against or be subject to any re- holiday care; prisal for reporting violations of any (3) Daily observation of all animals regulation or standards under the Act; to assess their health and well-being;

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Provided, however, That daily observa- (2) The USDA license or registration tion of animals may be accomplished number of the person if he or she is li- by someone other than the attending censed or registered under the Act; veterinarian; and Provided, further, (3) The vehicle license number and That a mechanism of direct and fre- State, and the driver’s license number quent communication is required so (or photographic identification card for that timely and accurate information nondrivers issued by a State) and State on problems of animal health, behav- of the person, if he or she is not li- ior, and well-being is conveyed to the censed or registered under the Act; attending veterinarian; (4) The date of acquisition of each (4) Guidance to principal investiga- dog or cat; tors and other personnel involved in (5) The official USDA tag number or the care and use of animals regarding tattoo assigned to each dog or cat handling, immobilization, anesthesia, under § 2.38(g) of this subpart; analgesia, tranquilization, and euthanasia; and (6) A description of each dog or cat (5) Adequate pre-procedural and post- which shall include: procedural care in accordance with cur- (i) The species and breed or type of rent established veterinary medical animal; and nursing procedures. (ii) The sex; (iii) The date of birth or approximate § 2.34 [Reserved] age; and (iv) The color and any distinctive § 2.35 Recordkeeping requirements. markings; (a) The research facility shall main- (7) Any identification number or tain the following IACUC records: mark assigned to each dog or cat by (1) Minutes of IACUC meetings, in- the research facility; cluding records of attendance, activi- (8) If dogs or cats are acquired from ties of the Committee, and Committee any person not licensed or registered deliberations; under the Act and not a pound or shel- (2) Records of proposed activities inter, the research facility must obtain a volving animals and proposed signifi- certification that the animals were cant changes in activities involving born and raised on the person’s prem- animals, and whether IACUC approval ises and that the person has sold fewer was given or withheld; and than 25 dogs and/or cats that year. (3) Records of semiannual IACUC re- (c) In addition to the information reports and recommendations (including quired to be kept and maintained by minority views), prepared in accord- every research facility concerning each ance with the requirements of § 2.31(c)(3) of this subpart, and for- live dog or cat under paragraph (a) of warded to the Institutional Official. this section, every research facility (b) Every research facility shall transporting, selling, or otherwise dis- make, keep, and maintain records or posing of any live dog or cat to another forms which fully and correctly dis- person, shall make and maintain close the following information con- records or forms which fully and cor- cerning each live dog or cat purchased rectly disclose the following informa- or otherwise acquired, owned, held, or tion: otherwise in their possession or under (1) The name and address of the per- their control, transported, euthanized, son to whom a live dog or cat is trans- sold, or otherwise disposed of by the reported, sold, or otherwise disposed of; search facility. The records shall in- (2) The date of transportation, sale, clude any offspring born of any animal euthanasia, or other disposition of the while in the research facility’s posses- animal; and sion or under its control: (3) The method of transportation, in- (1) The name and address of the per- cluding the name of the initial carrier son from whom a dog or cat was pur- or intermediate handler, or if a pri- chased or otherwise acquired, whether vately owned vehicle is used to trans- or not the person is required to be li- port the dog or cat, the name of the censed or registered under the Act; owner of the privately owned vehicle.

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(d)(1) The USDA Interstate and Inter- confidential will be governed by appli- national Certificate of Health Exam- cable sections of the Freedom of Infor- ination for Small Animals (APHIS mation Act. Whenever the Adminis- Form 7001) and Record of Aquisition trator notifies a research facility in and Dogs and Cats on Hand (APHIS writing that specified records shall be Form 7005) are forms which may be retained pending completion of an in- used by research facilities to keep and vestigation or proceeding under the maintain the information required by Act, the research facility shall hold paragraph (b) of this section. those records until their disposition is (2) The USDA Interstate and Inter- authorized in writing by the Adminis- national Certificate of Health Exam- trator. ination for Small Animals (APHIS (Approved by the Office of Management and Form 7001) and Record of Disposition of Budget under control number 0579–0254) Dogs and Cats (APHIS Form 7006) are [54 FR 36147, Aug. 31, 1989, as amended at 58 forms which may be used by research FR 39129, July 22, 1993; 60 FR 13895, Mar. 15, facilities to keep and maintain the in- 1995; 69 FR 42101, July 14, 2004] formation required by paragraph (c) of this section. § 2.36 Annual report. (e) One copy of the record containing (a) The reporting facility shall be the information required by paragraphs that segment of the research facility, (b) and (c) of this section shall accom- or that department, agency, or instru- pany each shipment of any live dog or mentality of the United States, that cat sold or otherwise disposed of by a uses or intends to use live animals in research facility; Provided, however, research, tests, experiments, or for That, except as provided in § 2.133 of teaching. Each reporting facility shall this part, information that indicates submit an annual report to the AC Re- the source and date of acquisition of gional Director for the State where the any dog or cat need not appear on the facility is located on or before Decem- copy of the record accompanying the ber 1 of each calendar year. The report shipment. One copy of the record con- shall be signed and certified by the taining the information required by CEO or Institutional Official, and shall paragraphs (b) and (c) of this section cover the previous Federal fiscal year. shall be retained by the research facil- (b) The annual report shall: ity. (1) Assure that professionally accept- (f) All records and reports shall be able standards governing the care, maintained for at least three years. treatment, and use of animals, includ- Records that relate directly to pro- ing appropriate use of anesthetic, an- posed activities and proposed signifi- algesic, and tranquilizing drugs, prior cant changes in ongoing activities re- to, during, and following actual reviewed and approved by the IACUC search, teaching, testing, surgery, or shall be maintained for the duration of experimentation were followed by the the activity and for an additional three research facility; years after completion of the activity. (2) Assure that each principal investi- All records shall be available for in- gator has considered alternatives to spection and copying by authorized painful procedures; APHIS or funding Federal agency rep- (3) Assure that the facility is adher- resentatives at reasonable times. ing to the standards and regulations APHIS inspectors will maintain the under the Act, and that it has required confidentiality of the information and that exceptions to the standards and will not remove the materials from the regulations be specified and explained research facilities’ premises unless by the principal investigator and ap- there has been an alleged violation, proved by the IACUC. A summary of all they are needed to investigate a pos- such exceptions must be attached to sible violation, or for other enforce- the facility’s annual report. In addition ment purposes. Release of any such to identifying the IACUC-approved ex- materials, including reports, sum- ceptions, this summary must include a maries, and photographs that contain brief explanation of the exceptions, as trade secrets or commercial or finan- well as the species and number of ani- cial information that is privileged or mals affected;

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(4) State the location of all facilities sponsible for all corrective action to be where animals were housed or used in taken at the facility and for the grant- actual research, testing, teaching, or ing of all exceptions to inspection pro- experimentation, or held for these pur- tocol. poses; (5) State the common names and the § 2.38 Miscellaneous. numbers of animals upon which teach- (a) Information as to business: fur- ing, research, experiments, or tests nishing of same by research facilities. were conducted involving no pain, dis- Each research facility shall furnish to tress, or use of pain-relieving drugs. any APHIS official any information Routine procedures (e.g., injections, concerning the business of the research tattooing, blood sampling) should be facility which the APHIS official may reported with this group; request in connection with the enforce- (6) State the common names and the ment of the provisions of the Act, the numbers of animals upon which experi- regulations, and the standards in this ments, teaching, research, surgery, or subchapter. The information shall be tests were conducted involving accom- furnished within a reasonable time and panying pain or distress to the animals as may be specified in the request for and for which appropriate anesthetic, information. analgesic, or tranquilizing drugs were (b) Access and inspection of records and used; property. (1) Each research facility (7) State the common names and the shall, during business hours, allow numbers of animals upon which teach- APHIS officials: ing, experiments, research, surgery, or (i) To enter its place of business; tests were conducted involving accom- (ii) To examine records required to be panying pain or distress to the animals kept by the Act and the regulations in and for which the use of appropriate this part; anesthetic, analgesic, or tranquilizing (iii) To make copies of the records; drugs would have adversely affected (iv) To inspect the facilities, prop- the procedures, results, or interpreta- erty, and animals, as the APHIS offi- tion of the teaching, research, experi- cials consider necessary to enforce the ments, surgery, or tests. An expla- provisions of the Act, the regulations, nation of the procedures producing and the standards in this subchapter; pain or distress in these animals and and the reasons such drugs were not used (v) To document, by the taking of shall be attached to the annual report; photographs and other means, condi- (8) State the common names and the tions and areas of noncompliance. numbers of animals being bred, condi- (2) The use of a room, table or other tioned, or held for use in teaching, facilities necessary for the proper ex- testing, experiments, research, or sur- amination of the records and for in- gery but not yet used for such pur- spection of the property or animals poses. shall be extended to APHIS officials by [54 FR 36147, Aug. 31, 1989, as amended at 63 the research facility. FR 62926, Nov. 10, 1998] (c) Publication of names of research facilities subject to the provisions of this § 2.37 Federal research facilities. part. APHIS will publish lists of re- Each Federal research facility shall search facilities registered in accord- establish an Institutional Animal Care ance with the provisions of this sub- and Use Committee which shall have part in the FEDERAL REGISTER. The the same composition, duties, and re- lists may be obtained upon request sponsibilities required of nonfederal re- from the AC Regional Director. search facilities by § 2.31 with the fol- (d) Inspection for missing animals. lowing exceptions: Each research facility shall allow, upon (a) The Committee shall report defi- request and during business hours, po- ciencies to the head of the Federal lice or officers of other law enforce- agency conducting the research rather ment agencies with general law en- than to APHIS; and forcement authority (not those agen- (b) The head of the Federal agency cies whose duties are limited to en- conducting the research shall be re- forcement of local animal regulations)

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to enter its place of business to inspect be euthanized. The research facility animals and records for the purpose of from which the animals were con- seeking animals that are missing, fiscated shall bear all costs incurred in under the following conditions: performing the placement or eutha- (1) The police or other law officer nasia activities authorized by this sec- shall furnish to the research facility a tion. written description of the missing ani- (f) Handling. (1) Handling of all animal and the name and address of its mals shall be done as expeditiously and owner before making a search; carefully as possible in a manner that (2) The police or other law officer does not cause trauma, overheating, shall abide by all security measures re- excessive cooling, behavioral stress, quired by the research facility to pre- physical harm, or unnecessary discom- vent the spread of disease, including fort. the use of sterile clothing, footwear, (2)(i) Physical abuse shall not be used and masks where required, or to pre- to train, work, or otherwise handle ani- vent the escape of an animal. mals. (e) Confiscation and destruction of ani- (ii) Deprivation of food or water shall mals. (1) If an animal being held by a not be used to train, work, or otherwise research facility is not being used to handle animals; Provided, however: carry out research, testing, or experi- That the short-term withholding of mentation, and is found by an APHIS food or water from animals, when spec- official to be suffering as a result of the ified in an IACUC-approved activity failure of the research facility to com- that includes a description of moni- ply with any provision of the regula- toring procedures, is allowed by these tions or the standards set forth in this regulations. subchapter, the APHIS official shall (g) Identification of dogs and cats. (1) make a reasonable effort to notify the All live dogs or cats, including those research facility of the condition of the from any exempt source, delivered for animal(s) and request that the condi- transportation, transported, purchased tion be corrected and that adequate or otherwise acquired. sold, or disposed care be given to alleviate the animal’s of by a research facility, shall be iden- suffering or distress, or that the ani- tified at the time of such delivery for mal(s) be destroyed by euthanasia. In transportation, purchase, sale, dis- the event that the research facility re- posal, or acquisition in one of the fol- fuses to comply with this request, the lowing ways: APHIS official may confiscate the ani- (i) By the official tag or tattoo which mal(s) for care, treatment, or disposal was affixed to the animal at the time it as indicated in paragraph (e)(2) of this was acquired by the research facility, section, if, in the opinion of the Admin- as required by this section; or istrator, the circumstances indicate (ii) By a tag, tattoo, or collar, ap- the animal’s health is in danger. plied to the live dog or cat by the re- (2) In the event that the APHIS offi- search facility and which individually cial is unable to locate or notify the re- identifies the dog or cat by number. search facility as required in this sec- (2) All official tag or tattoo numbers tion, the APHIS official shall contact a shall be correctly listed in the records local police or other law officer to ac- of purchase, acquisition, disposal, or company him or her to the premises sale which shall be maintained in ac- and shall provide for adequate care cordance with § 2.35. when necessary to alleviate the ani- (3) Unweaned puppies or kittens need mal’s suffering. If, in the opinion of the not be individually identified while Administrator, the condition of the they are maintained as a litter with animal(s) cannot be corrected by this their dam in the same primary enclo- temporary care, the APHIS official sure, provided the dam has been indi- shall confiscate the animal(s). vidually identified. (3) Confiscated animals may be (4) The official tag shall be made of a placed, by sale or donation, with other durable alloy such as brass, bronze, or registrants or licensees that comply steel, or of a durable plastic. Alu- with the standards and regulations and minum of a sufficient thickness to as- can provide proper care, or they may sure the tag is durable and legible may

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also be used. The tag may be circular cial tag is euthanized, or dies from in shape and not less than 11⁄4 inches in other causes, the research facility shall diameter, or oblong and flat in shape remove and retain the tag for the re- and not less than 2 inches by 3⁄4 inch, quired period, as set forth in paragraph and riveted to an acceptable collar. (g)(11) of this section. (5) Each tag shall have the following (11) All official tags removed and re- information embossed or stamped on so tained by a research facility shall be that it is easily readable: held until called for by an APHIS offi- (i) The letters ‘‘USDA’’; cial or for a period of 1 year. (ii) Numbers identifying the State (12) When official tags are removed and dealer, exhibitor, or research facil- from animals for disposal, the tags ity (e.g., 39–AB); and must be disposed of so as to preclude (iii) Numbers identifying the animal their reuse for animal identification. (e.g., 82488). No animal identification number shall (6) Official tags shall be serially num- be used within any 5-year period fol- bered and shall be applied to dogs or lowing its previous use. cats in the manner set forth in this section in as close to consecutive nu- (h) Health certification. (1) No research merical order as possible. No tag num- facility, including a Federal research ber shall be used to identify more than facility, shall deliver to any inter- one animal or shall be reused within a mediate handler or carrier for trans- 5-year period. portation, in commerce, or shall trans- (7) Research facilities may obtain, at port in commerce any dog, cat, or their own expense, official tags from nonhuman primate unless the dog, cat, commercial tag manufacturers. 1 At the or nonhuman primate is accompanied time the research facility is registered, by a health certificate executed and the Department will assign identifica- issued by a licensed veterinarian. The tion letters and numbers to be used on health certificate shall state that: the official tags. (i) The licensed veterinarian in- (8) Each research facility shall be spected the dog, cat, or nonhuman pri- held accountable for all official tags mate on a specified date which shall acquired. In the event an official tag is not be more than 10 days prior to the lost from a dog or cat while in the pos- delivery of the dog, cat, or nonhuman session of a research facility, the facil- primate for transportation; and ity shall make a diligent effort to lo- (ii) When so inspected, the dog, cat, cate and reapply the tag to the proper or nonhuman primate appeared to the animal. If the lost tag is not located, licensed veterinarian to be free of any the research facility shall affix another infectious disease or physical abnor- official tag to the animal in the man- mality which would endanger the ani- ner prescribed in this section and mal(s) or other animals or endanger record the tag number on the official public health. records. (2) The Secretary may provide excep- (9) When a dog or cat wearing or tions to the health certification re- identified by an official tag arrives at a quirement on an individual basis for research facility, the facility may con- animals shipped to a research facility tinue to use that tag to identify the for purposes of research, testing, or ex- dog or cat or the tag may be replaced perimentation when the research facil- as indicated in paragraph (g)(1) of this ity requires animals not eligible for section. All tags removed by a research certification. Requests should be ad- facility shall be retained and disposed dressed to the Animal and Plant of as indicated in this section. Health Inspection Service, Animal (10) Where a dog or cat to which is af- Care, 4700 River Road, Unit 84, River- fixed or which is identified by an offi- dale, Maryland 20737–1234. (3) The U.S. Interstate and Inter- 1 A list of the commercial manufacturers national Certificate of Health Exam- who produce these tags and are known to the Department may be obtained from the AC ination for Small Animals (APHIS Regional Director. Any manufacturer who Form 7001) may be used for health cer- desires to be included in the list should notification by a licensed veterinarian as tify the Administrator. required by this section.

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(i) Holding of animals. If any research (4) Each research facility shall com- facility obtains prior approval of the ply with the regulations set forth in AC Regional Director, it may arrange § 2.133 of subpart I of this part. to have another person hold animals: [54 FR 36147, Aug. 31, 1989, as amended at 58 Provided, That: FR 39129, July 22, 1993; 59 FR 67612, Dec. 30, (1) The other person agrees, in writ- 1994; 60 FR 13895, Mar. 15, 1995; 63 FR 62926, ing, to comply with the regulations in Nov. 10, 1998; 69 FR 42101, July 14, 2004] this part and the standards in part 3 of EFFECTIVE DATE NOTE: At 77 FR 76823, Dec. this subchapter, and to allow inspec- 31, 2012, § 2.38 was amended by adding new tion of the premises by an APHIS offi- paragraphs (i)(4) and (l), effective Jan 30, 2013. For the convenience of the user, the cial during business hours; added text is set forth as follows: (2) The animals remain under the total control and responsibility of the § 2.38 Miscellaneous. research facility; and (3) The Institutional Official agrees, * * * * * in writing, that the other person or (i) * * * premises is a recognized animal site (4) The other person or premises must ei- under its research facility registration. ther be directly included in the research fa- APHIS Form 7009 shall be used for ap- cility’s contingency plan required under paragraph (l) of this section or must develop proval. its own contingency plan in accordance with (j) Holding period. Research facilities paragraph (l) of this section. that obtain dogs and cats from sources other than dealers, exhibitors, and ex- * * * * * empt persons shall hold the animals for (l) Contingency planning. (1) Research fa- 5 full days, not including the day of ac- cilities must develop, document, and follow quisition, after acquiring the animal, an appropriate plan to provide for the hu- excluding time in transit, before they mane handling, treatment, transportation, may be used by the facility. Research housing, and care of their animals in the facilities shall comply with the identi- event of an emergency or disaster (one which could reasonably be anticipated and expected fication of animals requirements set to be detrimental to the good health and forth in § 2.38(g) during this period. well-being of the animals in their posses- (k) Compliance with standards and pro- sion). Such contingency plans must: hibitions. (1) Each research facility (i) Identify situations the facility might shall comply in all respects with the experience that would trigger the need for the measures identified in a contingency regulations set forth in subpart C of plan to be put into action including, but not this part and the standards set forth in limited to, emergencies such as electrical part 3 of this subchapter for the hu- outages, faulty HVAC systems, fires, and mane handling, care, treatment, hous- animal escapes, as well as natural disasters ing, and transportation of animals; the facility is most likely to experience. (ii) Outline specific tasks required to be Provided, however, That exceptions to carried out in response to the identified the standards in part 3 and the provi- emergencies or disasters including, but not sions of subpart C of this part may be limited to, detailed animal evacuation in- made only when such exceptions are structions or shelter-in-place instructions specified and justified in the proposal and provisions for providing backup sources to conduct the activity and are ap- of food and water as well as sanitation, ventilation, bedding, veterinary care, etc.; proved by the IACUC. (iii) Identify a chain of command and who (2) No person shall obtain live dogs or (by name or by position title) will be respon- cats by use of false pretenses, misrepre- sible for fulfilling these tasks; and sentation, or deception. (iv) Address how response and recovery will be handled in terms of materials, re- (3) No person shall acquire, buy, sell, sources, and training needed. exhibit, use for research, transport, or (2) For current registrants, the contin- offer for transportation, any stolen gency plan must be in place by July 29, 2013. animal. For research facilities registered after this date, the contingency plan must be in place prior to conducting regulated activities. The plan must be reviewed by the research facility on at least an annual basis to ensure that

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it adequately addresses the criteria listed in care and to oversee the adequacy of paragraph (l)(1) of this section. Each reg- other aspects of animal care and use. istrant must maintain documentation of (b) Each dealer or exhibitor shall es- their annual reviews, including documenting any amendments or changes made to their tablish and maintain programs of ade- plan since the previous year’s review, such as quate veterinary care that include: changes made as a result of recently pre- (1) The availability of appropriate fa- dicted, but historically unforeseen, cir- cilities, personnel, equipment, and cumstances (e.g., weather extremes). Contin- services to comply with the provisions gency plans, as well as all annual review doc- of this subchapter; umentation and training records, must be made available to APHIS and any funding (2) The use of appropriate methods to Federal agency representatives upon request. prevent, control, diagnose, and treat Facilities maintaining or otherwise handling diseases and injuries, and the avail- marine mammals in captivity must also ability of emergency, weekend, and comply with the requirements of § 3.101(b) of holiday care; this subchapter. (3) Daily observation of all animals (3) The facility must provide and document to assess their health and well-being; participation in and successful completion of Provided, however, That daily observa- training for its personnel regarding their roles and responsibilities as outlined in the tion of animals may be accomplished plan. For current registrants, training of fa- by someone other than the attending cility personnel must be completed by Sep- veterinarian; and Provided, further, tember 27, 2013; for research facilities reg- That a mechanism of direct and fre- istered after July 29, 2013, training of facility quent communication is required so personnel must be completed within 60 days that timely and accurate information of the facility putting its contingency plan on problems of animal health, behav- in place. Employees hired 30 days or more before the contingency plan is put in place ior, and well-being is conveyed to the must also be trained by that date. For em- attending veterinarian; ployees hired less than 30 days before that (4) Adequate guidance to personnel date or after that date, training must be con- involved in the care and use of animals ducted within 30 days of their start date. regarding handling, immobilization, Any changes to the plan as a result of the anesthesia, analgesia, tranquilization, annual review must be communicated to em- and euthanasia; and ployees through training which must be conducted within 30 days of making the changes. (5) Adequate pre-procedural and post- procedural care in accordance with established veterinary medical and nurs- Subpart D—Attending Veterinarian ing procedures. and Adequate Veterinary Care

§ 2.40 Attending veterinarian and ade- Subpart E—Identification of quate veterinary care (dealers and Animals exhibitors). (a) Each dealer or exhibitor shall § 2.50 Time and method of identifica- have an attending veterinarian who tion. shall provide adequate veterinary care (a) A class ‘‘A’’ dealer (breeder) shall to its animals in compliance with this identify all live dogs and cats on the section. premises as follows: (1) Each dealer and exhibitor shall (1) All live dogs and cats held on the employ an attending veterinarian premises, purchased, or otherwise ac- under formal arrangements. In the case quired, sold or otherwise disposed of, or of a part-time attending veterinarian removed from the premises for delivery or consultant arrangements, the for- to a research facility or exhibitor or to mal arrangements shall include a writ- another dealer, or for sale, through an ten program of veterinary care and reg- auction sale or to any person for use as ularly scheduled visits to the premises a pet, shall be identified by an official of the dealer or exhibitor; and tag of the type described in § 2.51 af- (2) Each dealer and exhibitor shall as- fixed to the animal’s neck by means of sure that the attending veterinarian a collar made of material generally has appropriate authority to ensure considered acceptable to pet owners as the provision of adequate veterinary a means of identifying their pet dogs or

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cats 2, or shall be identified by a dis- maintained in accordance with §§ 2.75 tinctive and legible tattoo marking ac- and 2.77. Any new official tag or tattoo ceptable to and approved by the Ad- number shall be used on all records of ministrator. any subsequent sales by the dealer or (2) Live puppies or kittens, less than exhibitor, of any dog or cat. 16 weeks of age, shall be identified by: (3) Live puppies or kittens less than (i) An official tag as described in 16 weeks of age, shall be identified by: § 2.51; (i) An official tag as described in (ii) A distinctive and legible tattoo § 2.51; marking approved by the Adminis- (ii) A distinctive and legible tattoo trator; or marking approved by the Adminis- (iii) A plastic-type collar acceptable trator; or to the Administrator which has legibly (iii) A plastic-type collar acceptable placed thereon the information re- to the Administrator which has legibly quired for an official tag pursuant to placed thereon the information re- § 2.51. quired for an official tag pursuant to (b) A class ‘‘B’’ dealer shall identify § 2.51. all live dogs and cats under his or her (4) When any dealer has made a rea- control or on his or her premises as fol- sonable effort to affix an official tag to lows: a cat, as set forth in paragraphs (a) and (1) When live dogs or cats are held, (b) of this section, and has been unable purchased, or otherwise acquired, they to do so, or when the cat exhibits seri- shall be immediately identified: ous distress from the attachment of a (i) By affixing to the animal’s neck collar and tag, the dealer shall attach an official tag as set forth in § 2.51 by the collar and tag to the door of the means of a collar made of material primary enclosure containing the cat generally acceptable to pet owners as a and take measures adequate to main- means of identifying their pet dogs or tain the identity of the cat in relation 3 cats ; or to the tag. Each primary enclosure (ii) By a distinctive and legible tat- shall contain no more than one weaned too marking approved by the Adminis- cat without an affixed collar and offi- trator. cial tag, unless the cats are identified (2) If any live dog or cat is already by a distinctive and legible tattoo or identified by an official tag or tattoo plastic-type collar approved by the Ad- which has been applied by another ministrator. dealer or exhibitor, the dealer or ex- (c) A class ‘‘C’’ exhibitor shall iden- hibitor who purchases or otherwise ac- tify all live dogs and cats under his or quires the animal may continue identi- her control or on his or her premises, fying the dog or cat by the previous whether held, purchased, or otherwise identification number, or may replace acquired: the previous tag with his own official (1) As set forth in paragraph (b)(1) or tag or approved tattoo. In either case, the class B dealer or class C exhibitor (b)(3) of this section, or shall correctly list all old and new offi- (2) By identifying each dog or cat cial tag numbers or tattoos in his or with: her records of purchase which shall be (i) An official USDA sequentially numbered tag that is kept on the door of the animal’s cage or run; 2 In general, well fitted collars made of (ii) A record book containing each leather or plastic will be acceptable under this provision. The use of certain types of animal’s tag number, a written descrip- chains presently used by some dealers may tion of each animal, the data required also be deemed acceptable. APHIS will deter- by § 2.75(a), and a clear photograph of mine the acceptability of a material pro- each animal; and posed for usage as collars from the stand- (iii) A duplicate tag that accom- point of humane considerations on an indi- panies each dog or cat whenever it vidual basis in consultation with the dealer leaves the compound or premises. or exhibitor involved. The use of materials such as wire, elastic, or sharp metal that (d) Unweaned puppies or kittens need might cause discomfort or injury to the dogs not be individually identified as re- or cats is not acceptable. quired by paragraphs (a) and (b) of this 3 See footnote 2 in § 2.50(a)(1). section while they are maintained as a

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litter with their dam in the same pri- also be used. The tag shall be one of mary enclosure, provided the dam has the following shapes: been individually identified. (1) Circular in shape and not less (e)(1) All animals, except dogs and than 11⁄4 inches in diameter, or cats, delivered for transportation, (2) Oblong and flat in shape, not less transported, purchased, sold, or other- than 2 inches by 3⁄4 inch and riveted to wise acquired or disposed of by any an acceptable collar. dealer or exhibitor shall be identified (b) Each tag shall have the following by the dealer or exhibitor at the time information embossed or stamped on so of delivery for transportation, pur- that it is easily readable: chase, sale, acquisition or disposal, as (1) The letters ‘‘USDA’’; provided for in this paragraph and in (2) Numbers identifying the State records maintained as required in and dealer, exhibitor, or research facil- §§ 2.75 and 2.77. ity (e.g., 39–AB); and (2) When one or more animals, other (3) Numbers identifying the animal than dogs or cats, are confined in a pri- (e.g., 82488). mary enclosure, the animal(s) shall be (c) Official tags shall be serially identified by: numbered. No individual dealer or ex- (i) A label attached to the primary hibitor shall use any identification tag enclosure which shall bear a descrip- number more than once within a 5-year tion of the animals in the primary en- period. closure, including: § 2.52 How to obtain tags. (A) The number of animals; (B) The species of the animals; Dealers or exhibitors may obtain, at their own expense, official tags from (C) Any distinctive physical features commercial tag manufacturers. 4 At the of the animals; and time the dealer or exhibitor is issued a (D) Any identifying marks, tattoos, license or is registered, the Depart- or tags attached to the animals; ment will assign identification letters (ii) Marking the primary enclosure and numbers and inform them of the with a painted or stenciled number identification letters and numbers to which shall be recorded in the records be used on the official tags. of the dealer or exhibitor together with: [54 FR 36147, Aug. 31, 1989, as amended at 63 (A) A description of the animal(s); FR 62927, Nov. 10, 1998] (B) The species of the animal(s); and § 2.53 Use of tags. (C) Any distinctive physical features of the animal(s); or Official tags obtained by a dealer, ex- (iii) A tag or tattoo applied to each hibitor, or research facility, shall be animal in the primary enclosure by the applied to dogs or cats in the manner dealer or exhibitor which individually set forth in § 2.50 and in as close to con- identifies each animal by description secutive numerical order as possible. or number. No tag number shall be used to identify more than one animal. No number (3) When any animal, other than a shall be repeated within a 5-year pe- dog or cat, is not confined in a primary riod. enclosure, it shall be identified on a record, as required by § 2.75, which shall § 2.54 Lost tags. accompany the animal at the time it is delivered for transportation, trans- Each dealer or exhibitor shall be held ported, purchased, or sold, and shall be accountable for all official tags ac- kept and maintained by the dealer or quired. In the event an official tag is exhibitor as part of his or her records. lost from a dog or cat while in the possession of a dealer or exhibitor, the § 2.51 Form of official tag. 4 (a) The official tag shall be made of a A list of the commercial manufacturers who produce these tags and are known to the durable alloy such as brass, bronze, or Department may be obtained from the AC steel, or of a durable plastic. Alu- Regional Director. Any manufacturer who minum of a sufficient thickness to as- desires to be included in the list should no- sure the tag is durable and legible may tify the Administrator.

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dealer or exhibitor shall make a dili- chased or otherwise acquired whether gent effort to locate and reapply the or not the person is required to be li- tag to the proper animal. If the lost tag censed or registered under the Act; is not located, the dealer or exhibitor (ii) The USDA license or registration shall affix another official tag to the number of the person if he or she is li- animal in the manner prescribed in censed or registered under the Act; § 2.50, and record the tag number on the (iii) The vehicle license number and official records. State, and the driver’s license number § 2.55 Removal and disposal of tags. (or photographic identification card for nondrivers issued by a State) and State (a) Where a dog or cat to which is af- of the person, if he or she is not li- fixed or which is identified by an offi- censed or registered under the Act; cial tag is euthanized, or dies from (iv) The name and address of the per- other causes, the dealer or exhibitor son to whom a dog or cat was sold or shall remove and retain the tag for the required period, as set forth in para- given and that person’s license or reg- graph (b) of this section. istration number if he or she is li- (b) All official tags removed and re- censed or registered under the Act; tained by a dealer or exhibitor shall be (v) The date a dog or cat was ac- held until called for by an APHIS offi- quired or disposed of, including by eu- cial or for a period of 1 year. thanasia; (c) When official tags are removed (vi) The official USDA tag number or from animals for disposal, the tags tattoo assigned to a dog or cat under must be disposed of so as to preclude §§ 2.50 and 2.54; their reuse for animal identification. (vii) A description of each dog or cat No animal identification number shall which shall include: be used within any 5-year period fol- (A) The species and breed or type; lowing its previous use. (B) The sex; (C) The date of birth or approximate Subpart F—Stolen Animals age; and (D) The color and any distinctive § 2.60 Prohibition on the purchase, sale, use, or transportation of stolen markings; animals. (viii) The method of transportation No person shall buy, sell, exhibit, use including the name of the initial car- for research, transport, or offer for rier or intermediate handler or, if a transportation, any stolen animal. privately owned vehicle is used to transport a dog or cat, the name of the Subpart G—Records owner of the privately owned vehicle; (ix) The date and method of disposi- § 2.75 Records: Dealers and exhibitors. tion of a dog or cat, e.g., sale, death, (a)(1) Each dealer, other than opera- euthanasia, or donation. tors of auction sales and brokers to (2) Each dealer and exhibitor shall whom animals are consigned, and each use Record of Aquisition and Dogs and exhibitor shall make, keep, and main- Cats on Hand (APHIS Form 7005) and tain records or forms which fully and Record of Disposition of Dogs and Cats correctly disclose the following infor- (APHIS Form 7006) to make, keep, and mation concerning each dog or cat pur- maintain the information required by chased or otherwise acquired, owned, paragraph (a)(1) of this section: Pro- held, or otherwise in his or her posses- vided, that if a dealer or exhibitor who sion or under his or her control, or uses a computerized recordkeeping sys- which is transported, euthanized, sold, tem believes that APHIS Form 7005 and or otherwise disposed of by that dealer APHIS Form 7006 are unsuitable for or exhibitor. The records shall include him or her to make, keep, and main- any offspring born of any animal while tain the information required by para- in his or her possession or under his or graph (a)(1) of this section, the dealer her control. or exhibitor may request a variance (i) The name and address of the per- from the requirement to use APHIS son from whom a dog or cat was pur- Form 7005 and APHIS Form 7006.

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(i) The request for a variance must tion concerning animals other than consist of a written statement describ- dogs and cats, purchased or otherwise ing why APHIS Form 7005 and APHIS acquired, owned, held, leased, or other- Form 7006 are unsuitable for the dealer wise in his or her possession or under or exhibitor to make, keep, and main- his or her control, or which is trans- tain the information required by para- ported, sold, euthanized, or otherwise graph (a)(1) of this section, and a de- disposed of by that dealer or exhibitor. scription of the computerized record- The records shall include any offspring keeping system the person would use in born of any animal while in his or her lieu of APHIS Form 7005 and APHIS possession or under his or her control. Form 7006 to make, keep, and maintain (i) The name and address of the per- the information required by paragraph son from whom the animals were pur- (a)(1) of this section. APHIS will advise chased or otherwise acquired; the person as to the disposition of his (ii) The USDA license or registration or her request for a variance from the number of the person if he or she is li- requirement to use APHIS Form 7005 censed or registered under the Act; and APHIS Form 7006. (iii) The vehicle license number and (ii) A dealer or exhibitor whose re- State, and the driver’s license number quest for a variance has been denied (or photographic identification card for may request a hearing in accordance nondrivers issued by a State) and State with the applicable rules of practice for of the person, if he or she is not li- the purpose of showing why the request censed or registered under the Act; for a variance should not be denied. (iv) The name and address of the per- The denial of the variance shall remain son to whom an animal was sold or in effect until the final legal decision given; has been rendered. (v) The date of purchase, acquisition, (3) The USDA Interstate and Inter- sale, or disposal of the animal(s); national Certificate of Health Exam- (vi) The species of the animal(s); and ination for Small Animals (APHIS (vii) The number of animals in the Form 7001) may be used by dealers and shipment. exhibitors to make, keep, and maintain (2) Record of Animals on Hand (other the information required by § 2.79. than dogs and cats) (APHIS Form 7019) (4) One copy of the record containing and Record of Acquisition, Disposition, the information required by paragraph or Transport of Animals (other than (a)(1) of this section shall accompany dogs and cats) (APHIS Form 7020) are each shipment of any dog or cat pur- forms which may be used by dealers chased or otherwise acquired by a deal- and exhibitors to keep and maintain er or exhibitor. One copy of the record the information required by paragraph containing the information required by (b)(1) of this section concerning ani- paragraph (a)(1) of this section shall mals other than dogs and cats except accompany each shipment of any dog as provided in § 2.79. or cat sold or otherwise disposed of by (3) One copy of the record containing a dealer or exhibitor: Provided, however, the information required by paragraph that, except as provided in § 2.133(b) of (b)(1) of this section shall accompany this part for dealers, information that each shipment of any animal(s) other indicates the source and date of acqui- than a dog or cat purchased or other- sition of a dog or cat need not appear wise acquired by a dealer or exhibitor. on the copy of the record accom- One copy of the record containing the panying the shipment. One copy of the information required by paragraph record containing the information re- (b)(1) of this section shall accompany quired by paragraph (a)(1) of this sec- each shipment of any animal other tion shall be retained by the dealer or than a dog or cat sold or otherwise dis- exhibitor. posed of by a dealer or exhibitor; Pro- (b)(1) Every dealer other than opera- vided, however, That information which tors of auction sales and brokers to indicates the source and date of acqui- whom animals are consigned, and ex- sition of any animal other than a dog hibitor shall make, keep, and maintain or cat need not appear on the copy of records or forms which fully and cor- the record accompanying the shipment. rectly disclose the following informa- The dealer or exhibitor shall retain one

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copy of the record containing the infor- of any animal. One copy of the record mation required by paragraph (b)(1) of containing the information required by this section. paragraph (a) of this section shall be retained by the operator of such auc- [54 FR 36147, Aug. 31, 1989, as amended at 58 FR 39129, July 22, 1993; 58 FR 45041, Aug. 26, tion sale, or broker, for each animal 1993; 60 FR 13895, Mar. 15, 1995; 69 FR 42102, sold by the auction sale or broker. July 14, 2004] [54 FR 36147, Aug. 31, 1989, as amended at 69 FR 42102, July 14, 2004] § 2.76 Records: Operators of auction sales and brokers. § 2.77 Records: Carriers and inter- (a) Every operator of an auction sale mediate handlers. or broker shall make, keep, and main- (a) In connection with all live ani- tain records or forms which fully and mals accepted for shipment on a C.O.D. correctly disclose the following infor- basis or other arrangement or practice mation concerning each animal con- under which the cost of an animal or signed for auction or sold, whether or the transportation of an animal is to not a fee or commission is charged: be paid and collected upon delivery of (1) The name and address of the per- the animal to the consignee, the ac- son who owned or consigned the ani- cepting carrier or intermediate han- mal(s) for sale; dler, if any, shall keep and maintain a (2) The name and address of the copy of the consignor’s written guar- buyer or consignee who received the antee for the payment of transpor- animal; tation charged for any animal not (3) The USDA license or registration claimed as provided in § 2.80, including, number of the person(s) selling, con- where necessary, both the return trans- signing, buying, or receiving the ani- portation charges and an amount suffi- mals if he or she is licensed or reg- cient to reimburse the carrier for out- istered under the Act; of-pocket expenses incurred for the (4) The vehicle license number and care, feeding, and storage of the ani- State, and the driver’s license number mal. The carrier or intermediate han- (or photographic identification card for dler at destination shall also keep and nondrivers issued by a State) and State maintain a copy of the shipping docu- of the person, if he or she is not li- ment containing the time, date, and censed or registered under the Act; method of each attempted notification (5) The date of the consignment; and the final notification to the con- (6) The official USDA tag number or signee and the name of the person noti- tattoo assigned to the animal under fying the consignee, as provided in §§ 2.50 and 2.54; § 2.80. (7) A description of the animal which (b) In connection with all live dogs, shall include: cats, or nonhuman primates delivered (i) The species and breed or type of for transportation, in commerce, to animal; any carrier or intermediate handler, by (ii) The sex of the animal; and any dealer, research facility, exhibitor, (iii) The date of birth or approximate operator of an auction sale, broker, or age; and department, agency or instrumentality (iv) The color and any distinctive of the United States or of any state or markings; local government, the accepting car- (8) The auction sales number or rier or intermediate handler shall keep records number assigned to the animal. and maintain a copy of the health cer- (b) One copy of the record containing tification completed as required by the information required by paragraph § 2.79, tendered with each live dog, cat, (a) of this section shall be given to the or nonhuman primate. consignor of each animal, one copy of the record shall be given to the pur- § 2.78 Health certification and identi- chaser of each animal: Provided, how- fication. ever, That information which indicates (a) No dealer, exhibitor, operator of the source and date of consignment of an auction sale, broker, or department, any animal need not appear on the agency, or instrumentality of the copy of the record given the purchaser United States or of any State or local

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government shall deliver to any inter- tification by a licensed veterinarian as mediate handler or carrier for trans- required by this section. portation, in commerce, or shall trans- [54 FR 36147, August 31, 1989, as amended at port in commerce any dog, cat, or 59 FR 67612, Dec. 30, 1994; 60 FR 13896, Mar. 15, nonhuman primate unless the dog, cat, 1995; 63 FR 62927, Nov. 10, 1998; 69 FR 42102, or nonhuman primate is accompanied July 14, 2004] by a health certificate executed and § 2.79 C.O.D. shipments. issued by a licensed veterinarian. The health certificate shall state that: (a) No carrier or intermediate han- (1) The licensed veterinarian in- dler shall accept any animal for trans- spected the dog, cat, or nonhuman pri- portation, in commerce, upon any C.O.D. or other basis where any money mate on a specified date which shall is to be paid and collected upon deliv- not be more than 10 days prior to the ery of the animal to the consignee, un- delivery of the dog, cat, or nonhuman less the consignor guarantees in writ- primate for transportation; and ing the payment of all transportation, (2) when so inspected, the dog, cat, or including any return transportation, if nonhuman primate appeared to the li- the shipment is unclaimed or the con- censed veterinarian to be free of any signee cannot be notified in accordance infectious disease or physical abnor- with paragraphs (b) and (c) of this sec- mality which would endanger the ani- tion, including reimbursing the carrier mal(s) or other animals or endanger or intermediate handler for all out-of- public health. pocket expenses incurred for the care, (b) The Secretary may provide excep- feeding, and storage or housing of the tions to the health certification re- animal. quirement on an individual basis for (b) Any carrier or intermediate han- animals shipped to a research facility dler receiving an animal at a destina- for purposes of research, testing, or ex- tion on a C.O.D. or other basis any perimentation when the research facil- money is to be paid and collected upon ity requires animals not eligible for delivery of the animal to the consignee certification. Requests should be ad- shall attempt to notify the consignee at least once every 6 hours for a period dressed to the Animal and Plant of 24 hours after arrival of the animal Health Inspection Service, Animal at the animal holding area of the ter- Care, 4700 River Road, Unit 84, River- minal cargo facility. The carrier or in- dale, Maryland 20737–1234. termediate handler shall record the (c) No intermediate handler or car- time, date, and method of each at- rier to whom any live dog, cat, or tempted notification and the final no- nonhuman primate is delivered for tification to the consignee, and the transportation by any dealer, research name of the person notifying the con- facility, exhibitor, broker, operator of signee, on the shipping document and an auction sale, or department, agency, on the copy of the shipping document or instrumentality of the United accompanying the C.O.D. shipment. If States or any State or local govern- the consignee cannot be notified of the ment shall receive a live dog, cat, or C.O.D. shipment within 24 hours after nonhuman primate for transportation, its arrival, the carrier or intermediate in commerce, unless and until it is ac- handler shall return the animal to the companied by a health certificate consignor, or to whomever the con- issued by a licensed veterinarian in ac- signor has designated, on the next cordance with paragraph (a) of this sec- practical available transportation, in tion, or an exemption issued by the accordance with the written agreement Secretary in accordance with para- required in paragraph (a) of this sec- graph (b) of this section. tion and shall notify the consignor. Any carrier or intermediate handler (d) The U.S. Interstate and Inter- which has notified a consignee of the national Certificate of Health Exam- arrival of a C.O.D. or other shipment of ination for Small Animals (APHIS an animal, where any money is to be Form 7001) may be used for health cer- paid and collected upon delivery of the animal to the consignee, which is not

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claimed by the consignee within 48 their disposition is authorized by the hours from the time of notification, Administrator. shall return the animal to the consignor, or to whomever the consignor Subpart H—Compliance With has designated, on the next practical Standards and Holding Period available transportation, in accordance with the written agreement required in § 2.100 Compliance with standards. paragraph (a) of this section and shall notify the consignor. (a) Each dealer, exhibitor, operator of (c) It is the responsibility of any car- an auction sale, and intermediate han- rier or intermediate handler to hold, dler shall comply in all respects with feed, and care for any animal accepted the regulations set forth in part 2 and for transportation, in commerce, under the standards set forth in part 3 of this a C.O.D. or other arrangement where subchapter for the humane handling, any money is to be paid and collected care, treatment, housing, and transpor- upon delivery of the animal until the tation of animals. consignee accepts shipment at destina- (b) Each carrier shall comply in all tion or until returned to the consignor respects with the regulations in part 2 or his or her designee should the con- and the standards in part 3 of this sub- signee fail to accept delivery of the chapter setting forth the conditions animal or if the consignee could not be and requirements for the humane notified as prescribed in paragraph (b) transportation of animals in commerce of this section. and their handling, care, and treat- (d) Nothing in this section shall be ment in connection therewith. construed as prohibiting any carrier or intermediate handler from requiring § 2.101 Holding period. any guarantee in addition to that re- (a) Any live dog or cat acquired by a quired in paragraph (a) of this section dealer 5 or exhibitor shall be held by for the payment of the cost of any him or her, under his or her super- transportation or out-of-pocket or vision and control, for a period of not other incidental expenses incurred in less than 5 full days, not including the the transportation of any animal. day of acquisition, after acquiring the § 2.80 Records, disposition. animal, excluding time in transit: Pro- vided, however: (a) No dealer, exhibitor, broker, operator of an auction sale, carrier, or in- (1) That any live dog or cat acquired termediate handler shall, for a period by a dealer or exhibitor from any pri- of 1 year, destroy or dispose of, without vate or contract animal pound or shel- the consent in writing of the Adminis- ter shall be held by that dealer or ex- trator, any books, records, documents, hibitor under his or her supervision or other papers required to be kept and and control for a period of not less maintained under this part. than 10 full days, not including the day (b) Unless otherwise specified, the of acquisition, after acquiring the ani- records required to be kept and main- mal, excluding time in transit; tained under this part shall be held for (2) Live dogs or cats which have com- 1 year after an animal is euthanized or pleted a 5-day holding period with an- disposed of and for any period in excess other dealer or exhibitor, or a 10-day of one year as necessary to comply holding period with another dealer or with any applicable Federal, State, or exhibitor if obtained from a private or local law. Whenever the Administrator contract shelter or pound, may be sold notifies a dealer, exhibitor, broker, op- or otherwise disposed of by subsequent erator of an auction sale, carrier, or in- dealers or exhibitors after a minimum termediate handler in writing that holding period of 24 hours by each sub- specified records shall be retained sequent dealer or exhibitor excluding pending completion of an investigation time in transit; or proceeding under the Act, the dealer, exhibitor, broker, operator of an 5 An operator of an auction sale is not con- auction sale, carrier, or intermediate sidered to have acquired a dog or cat which handler shall hold those records until is sold through the auction sale.

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(3) Any dog or cat suffering from dis- the premises by an APHIS official dur- ease, emaciation, or injury may be de- ing business hours; and stroyed by euthanasia prior to the (2) The animals remain under the completion of the holding period re- total control and responsibility of the quired by this section; and research facility or intermediate han- (4) Any live dog or cat, 120 days of dler. age or less, that was obtained from the [54 FR 36147, Aug. 31, 1989, as amended at 60 person that bred and raised such dog or FR 13896, Mar. 15, 1995; 63 FR 62927, Nov. 10, cat, may be exempted from the 5-day 1998; 69 FR 42102, July 14, 2004] holding requirement and may be dis- EFFECTIVE DATE NOTE: At 77 FR 76823, Dec. posed of by dealers or exhibitors after a 31, 2012, § 2.102 was amended by adding new minimum holding period of 24 hours, paragraphs (a)(4) and (b)(3), effective Jan. 30, excluding time in transit. Each subse- 2013. For the convenience of the user, the quent dealer or exhibitor must also added text is set forth as follows: hold each such dog or cat for a 24-hour § 2.102 Holding facility. period excluding time in transit. (a) * * * (b) During the period in which any (4) The other person or premises must ei- dog or cat is being held as required by ther be directly included in the dealer’s or this section, the dog or cat shall be un- exhibitor’s contingency plan required under loaded from any means of conveyance § 2.134 or must develop its own contingency in which it was received, for food, plan in accordance with § 2.134. (b) * * * water, and rest, and shall be handled, (3) The other person or premises must ei- cared for, and treated in accordance ther be directly included in the intermediate with the standards set forth in part 3, handler’s contingency plan required under subpart A, of this subchapter and § 2.134 or must develop its own contingency § 2.131. plan in accordance with § 2.134. § 2.102 Holding facility. Subpart I—Miscellaneous (a) If any dealer or exhibitor obtains the prior approval of the AC Regional § 2.125 Information as to business; furnishing of same by dealers, exhibi- Director, he may arrange to have an- tors, operators of auction sales, in- other person hold animals for the re- termediate handlers, and carriers. quired period provided for in paragraph Each dealer, exhibitor, operator of an (a) of § 2.101: Provided, That: auction sale, intermediate handler, and (1) The other person agrees in writing carrier shall furnish to any APHIS offi- to comply with the regulations in part cial any information concerning the 2 and the standards in part 3 of this business of the dealer, exhibitor, oper- subchapter and to allow inspection of ator of an auction sale, intermediate his premises by an APHIS official dur- handler or carrier which the APHIS of- ing business hours; and ficial may request in connection with (2) The animals remain under the the enforcement of the provisions of total control and responsibility of the the Act, the regulations and the stand- dealer or exhibitor. ards in this subchapter. The informa- (3) Approval will not be given for a tion shall be furnished within a reason- dealer or exhibitor holding a license as able time and as may be specified in set forth in § 2.1 to have animals held the request for information. for purposes of this section by another licensed dealer or exhibitor. APHIS § 2.126 Access and inspection of Form 7009 shall be used for approval. records and property. (b) If any intermediate handler ob- (a) Each dealer, exhibitor, inter- tains prior approval of the AC Regional mediate handler, or carrier, shall, dur- Director, it may arrange to have an- ing business hours, allow APHIS offi- other person hold animals: Provided, cials: That: (1) To enter its place of business; (1) The other person agrees in writing (2) To examine records required to be to comply with the regulations in part kept by the Act and the regulations in 2 and the standards in part 3 of this this part; subchapter and to allow inspection of (3) To make copies of the records;

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(4) To inspect and photograph the fa- ness name and current Act license or reg- cilities, property and animals, as the istration number and, in the event that any APHIS officials consider necessary to animal is leased, borrowed, loaned, or under enforce the provisions of the Act, the some similar arrangement, the name of the person who owns such animal; regulations and the standards in this (ii) The name, identification number or subchapter; and identifying characteristics, species (common (5) To document, by the taking of or scientific name), sex and age of each ani- photographs and other means, condi- mal; and tions and areas of noncompliance. (iii) The names, dates, and locations (with (b) The use of a room, table, or other addresses) where the animals will travel, be facilities necessary for the proper ex- housed, and be exhibited, including all an- amination of the records and inspec- ticipated dates and locations (with address- tion of the property or animals must be es) for any stops and layovers that allow or extended to APHIS officials by the require removal of the animals from the transport enclosures. Unanticipated delays dealer, exhibitor, intermediate handler of such length shall be reported to the AC or carrier, and a responsible adult shall Regional Director the next APHIS business be made available to accompany day. APHIS Regional offices are available APHIS officials during the inspection each weekday, except on Federal holidays, process. from 8 a.m. to 5 p.m. (2) The itinerary shall be revised as nec- [54 FR 36147, Aug. 31, 1989, as amended at 69 essary, and the AC Regional Director shall FR 42102, July 14, 2004] be notified of any changes. If initial notifica- EFFECTIVE DATE NOTE: At 77 FR 76814, Dec. tion of a change due to an emergency is 31, 2012, § 2.126 was amended by revising the made by a means other than email or fac- section heading and adding a new paragraph simile, it shall be followed by written docu- (c) and OMB citation at the end of the sec- mentation at the earliest possible time. For tion, effective Jan. 30, 2013. For the conven- changes that occur after normal APHIS busi- ience of the user, the added and revised text ness hours, the change shall be conveyed to is set forth as follows: the AC Regional Director no later than the following APHIS business day. APHIS Re- § 2.126 Access and inspection of records and gional offices are available each weekday, property; submission of itineraries. except on Federal holidays, from 8 a.m. to 5 p.m. * * * * * (Approved by the Office of Management and (c) Any person who is subject to the Ani- Budget under control number 0579–0361) mal Welfare regulations and who intends to exhibit any animal at any location other § 2.127 Publication of names of per- than the person’s approved site (including, sons subject to the provisions of but not limited to, circuses, traveling edu- this part. cational exhibits, animal acts, and petting zoos), except for travel that does not extend APHIS will publish lists of persons li- overnight, shall submit a written itinerary censed or registered in accordance with to the AC Regional Director. The itinerary the provisions of this part in the FED- shall be received by the AC Regional Direc- ERAL REGISTER. The lists may be ob- tor no fewer than 2 days in advance of any tained upon request from the AC Re- travel and shall contain complete and accu- gional Director. rate information concerning the where- abouts of any animal intended for exhibition [54 FR 36147, Aug. 31, 1989, as amended at 63 at any location other than the person’s ap- FR 62927, Nov. 10, 1998] proved site. If the exhibitor accepts an en- gagement for which travel will begin with § 2.128 Inspection for missing animals. less than 48 hours’ notice, the exhibitor shall immediately contact the AC Regional Direc- Each dealer, exhibitor, intermediate tor in writing with the required information. handler and carrier shall allow, upon APHIS expects such situations to occur in- request and during business hours, po- frequently, and exhibitors who repeatedly lice or officers of other law enforce- provide less than 48 hours’ notice will, after ment agencies with general law en- notice by APHIS, be subject to increased forcement authority (not those agen- scrutiny under the Act. cies whose duties are limited to en- (1) The itinerary shall include the following: forcement of local animal regulations) (i) The name of the person who intends to to enter his or her place of business to exhibit the animal and transport the animal inspect animals and records for the for exhibition purposes, including any busi- purpose of seeking animals that are

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missing, under the following condi- (c) Confiscated animals may be: tions: (1) Placed, by sale or donation, with (a) The police or other law officer other licensees or registrants that shall furnish to the dealer, exhibitor, comply with the standards and regula- intermediate handler or carrier a writ- tions and can provide proper care; or ten description of the missing animal (2) Placed with persons or facilities and the name and address of its owner that can offer a level of care equal to before making a search. or exceeding the standards and regula- (b) The police or other law officer tions, as determined by APHIS, even if shall abide by all security measures re- the persons or facilities are not li- quired by the dealer, exhibitor, inter- censed by or registered with APHIS; or mediate handler or carrier to prevent (3) Euthanized. the spread of disease, including the use (d) The dealer, exhibitor, inter- of sterile clothing, footwear, and mediate handler, or carrier from whom masks where required, or to prevent the animals were confiscated must bear the escape of an animal. all costs incurred in performing the § 2.129 Confiscation and destruction of placement or euthanasia activities au- animals. thorized by this section. (a) If an animal being held by a deal- [54 FR 36147, Aug. 31, 1989, as amended at 66 er, exhibitor, intermediate handler, or FR 239, Jan. 3, 2001] by a carrier is found by an APHIS official to be suffering as a result of the § 2.130 Minimum age requirements. failure of the dealer, exhibitor, inter- No dog or cat shall be delivered by mediate handler, or carrier to comply any person to any carrier or inter- with any provision of the regulations mediate handler for transportation, in or the standards set forth in this sub- commerce, or shall be transported in chapter, the APHIS official shall make commerce by any person, except to a a reasonable effort to notify the dealer, registered research facility, unless exhibitor, intermediate handler, or car- such dog or cat is at least eight (8) rier of the condition of the animal(s) weeks of age and has been weaned. and request that the condition be corrected and that adequate care be given § 2.131 Handling of animals. to alleviate the animal’s suffering or distress, or that the animal(s) be de- (a) All licensees who maintain wild stroyed by euthanasia. In the event or exotic animals must demonstrate that the dealer, exhibitor, inter- adequate experience and knowledge of mediate handler, or carrier refuses to the species they maintain. comply with this request, the APHIS (b)(1) Handling of all animals shall be official may confiscate the animal(s) done as expeditiously and carefully as for care, treatment, or disposal as indi- possible in a manner that does not cated in paragraph (b) of this section, cause trauma, overheating, excessive if, in the opinion of the Administrator, cooling, behavioral stress, physical the circumstances indicate the ani- harm, or unnecessary discomfort. mal’s health is in danger. (2)(i) Physical abuse shall not be used (b) In the event that the APHIS offi- to train, work, or otherwise handle ani- cial is unable to locate or notify the mals. dealer, exhibitor, intermediate han- (ii) Deprivation of food or water shall dler, or carrier as required in this sec- not be used to train, work, or otherwise tion, the APHIS official shall contact a handle animals; Provided, however, local police or other law officer to ac- That the short-term withholding of company him to the premises and shall food or water from animals by exhibi- provide for adequate care when nec- tors is allowed by these regulations as essary to alleviate the animal’s suf- long as each of the animals affected re- fering. If in the opinion of the Adminis- ceives its full dietary and nutrition re- trator, the condition of the animal(s) quirements each day. cannot be corrected by this temporary (c)(1) During public exhibition, any care, the APHIS official shall con- animal must be handled so there is fiscate the animals. minimal risk of harm to the animal

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and to the public, with sufficient dis- (1) Other dealers who are licensed tance and/or barriers between the ani- under the Act and in accordance with mal and the general viewing public so the regulations in part 2; as to assure the safety of animals and (2) State, county, or city owned and the public. operated animal pounds or shelters; (2) Performing animals shall be al- and lowed a rest period between perform- (3) A legal entity organized and oper- ances at least equal to the time for one ated under the laws of the State in performance. which it is located as an animal pound (3) Young or immature animals shall or shelter, such as a humane shelter or not be exposed to rough or excessive contract pound. public handling or exhibited for periods (b) No person shall obtain live dogs, of time which would be detrimental to cats, or other animals by use of false their health or well-being. pretenses, misrepresentation, or deception. (4) Drugs, such as tranquilizers, shall (c) Any dealer, exhibitor, research fa- not be used to facilitate, allow, or pro- cility, carrier, or intermediate handler vide for public handling of the animals. who also operates a private or contract (d)(1) Animals shall be exhibited only animal pound or shelter shall comply for periods of time and under condi- with the following: tions consistent with their good health (1) The animal pound or shelter shall and well-being. be located on premises that are phys- (2) A responsible, knowledgeable, and ically separated from the licensed or readily identifiable employee or at- registered facility. The animal housing tendant must be present at all times facility of the pound or shelter shall during periods of public contact. not be adjacent to the licensed or reg- (3) During public exhibition, dan- istered facility. gerous animals such as lions, tigers, (2) Accurate and complete records wolves, bears, or elephants must be shall be separately maintained by the under the direct control and super- licensee or registrant and by the pound vision of a knowledgeable and experi- or shelter. The records shall be in ac- enced animal handler. cordance with §§ 2.75 and 2.76, unless (4) If public feeding of animals is al- the animals are lost or stray. If the lowed, the food must be provided by animals are lost or stray, the pound or the animal facility and shall be appro- shelter records shall provide: priate to the type of animal and its nu- (i) An accurate description of the ani- tritional needs and diet. mal; (e) When climatic conditions present (ii) How, where, from whom, and a threat to an animal’s health or well- when the dog or cat was obtained; being, appropriate measures must be (iii) How long the dog or cat was held taken to alleviate the impact of those by the pound or shelter before being conditions. An animal may never be transferred to the dealer; and subjected to any combination of tem- (iv) The date the dog or cat was perature, humidity, and time that is transferred to the dealer. detrimental to the animal’s health or (3) Any dealer who obtains or ac- well-being, taking into consideration quires a live dog or cat from a private such factors as the animal’s age, spe- or contract pound or shelter, including a pound or shelter he or she operates, cies, breed, overall health status, and shall hold the dog or cat for a period of acclimation. at least 10 full days, not including the [54 FR 36147, Aug. 31, 1989, as amended at 63 day of acquisition, excluding time in FR 10498, Mar. 4, 1998; 69 FR 42102, July 14, transit, after acquiring the animal, and 2004] otherwise in accordance with § 2.101. (d) No dealer or exhibitor shall know- § 2.132 Procurement of dogs, cats, and ingly obtain any dog, cat, or other ani- other animals; dealers. mal from any person who is required to (a) A class ‘‘B’’ dealer may obtain be licensed but who does not hold a live random source dogs and cats only current, valid, and unsuspended li- from: cense. No dealer or exhibitor shall

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knowingly obtain any dog or cat from (i) The species and breed or type (for any person who is not licensed, other mixed breeds, estimate the two domi- than a pound or shelter, without ob- nant breeds or types); taining a certification that the animals (ii) The sex; were born and raised on that person’s (iii) The date of birth or, if unknown, premises and, if the animals are for re- then the approximate age; search purposes, that the person has (iv) The color and any distinctive sold fewer than 25 dogs and/or cats that markings; and year, or, if the animals are for use as (v) The Official USDA-approved iden- pets, that the person does not maintain tification number of the animal. How- more than three breeding female dogs ever, if the certification is attached to and/or cats. a certificate provided by a prior dealer which contains the required descrip- (Approved by the Office of Management and Budget under control number 0579–0254) tion, then only the official identification numbers are required; [54 FR 36147, Aug. 31, 1989, as amended at 69 (4) The name and address of the per- FR 42102, July 14, 2004] son, pound, or shelter from which the dog or cat was acquired by the dealer, § 2.133 Certification for random source dogs and cats. and an assurance that the person, pound, or shelter was notified that the (a) Each of the entities listed in para- cat or dog might be used for research graphs (a)(1) through (a)(3) of this sec- or educational purposes; tion that acquire any live dog or cat (5) The date the dealer acquired the shall, before selling or providing the dog or cat from the person, pound, or live dog or cat to a dealer, hold and shelter referred to in paragraph (b)(4) care for the dog or cat for a period of of this section; and not less than 5 full days after acquiring (6) If the dealer acquired the dog or the animal, not including the date of cat from a pound or shelter, a signed acquisition and excluding time in tran- statement by the pound or shelter that sit. This holding period shall include at it met the requirements of paragraph least one Saturday. The provisions of (a) of this section. This statement this paragraph apply to: must at least describe the animals by (1) Each pound or shelter owned and their official USDA identification num- operated by a State, county, or city; bers. It may be incorporated within the (2) Each private pound or shelter es- certification if the dealer makes the tablished for the purpose of caring for certification at the time that the ani- animals, such as a humane society, or mals are acquired from the pound or other organization that is under con- shelter or it may be made separately tract with a State, county, or city, and attached to the certification later. that operates as a pound or shelter, and If made separately, it must include the that releases animals on a voluntary same information describing each ani- basis; and mal as is required in the certification. (3) Each research facility licensed by A photocopy of the statement will be USDA as a dealer. regarded as a duplicate original. (b) A dealer shall not sell, provide, or (c) The original certification required make available to any person a live under paragraph (b) of this section random source dog or cat unless the shall accompany the shipment of a live dealer provides the recipient of the dog dog or cat to be sold, provided, or oth- or cat with certification that contains erwise made available by the dealer. the following information: (d) A dealer who acquires a live dog (1) The name, address, USDA license or cat from another dealer must obtain number, and signature of the dealer; from that dealer the certification re- (2) The name, address, USDA license quired by paragraph (b) of this section or registration number, if such number and must attach that certification (in- exists, and signature of the recipient of cluding any previously attached cer- the dog or cat; tification) to the certification which he (3) A description of each dog or cat or she provides pursuant to paragraph being sold, provided, or made available (b) of this section (a photocopy of the that shall include: original certification will be deemed a

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duplicate original if the dealer does not but not limited to, detailed animal dispose of all of the dogs or cats in a evacuation instructions or shelter-in- single transaction). place instructions and provisions for (e) A dealer who completes, provides, providing backup sources of food and or receives a certification required water as well as sanitation, ventila- under paragraph (b) of this section tion, bedding, veterinary care, etc.; shall keep, maintain, and make avail- (3) Identify a chain of command and able for APHIS inspection a copy of the who (by name or by position title) will certification for at least 1 year fol- be responsible for fulfilling these tasks; lowing disposition. and (f) A research facility which acquires (4) Address how response and recov- any live random source dog or cat from ery will be handled in terms of mate- a dealer must obtain the certification rials, resources, and training needed. required under paragraph (b) of this (b) For current licensees and reg- section and shall keep, maintain, and istrants, the contingency plan must be make available for APHIS inspection in place by July 29, 2013. For new deal- the original for at least 3 years fol- ers, exhibitors, intermediate handlers, lowing disposition. and carriers licensed or registered after (g) In instances where a research fa- this date, the contingency plan must cility transfers ownership of a live ran- be in place prior to conducting regu- dom source dog or cat acquired from a lated activities. The plan must be re- dealer to another research facility, a viewed by the dealer, exhibitor, inter- copy of the certification required by mediate handler, or carrier on at least paragraph (b) of this section must ac- an annual basis to ensure that it ade- company the dog or cat transferred. quately addresses the criteria listed in The research facility to which the dog paragraph (a) of this section. Each li- or cat is transferred shall keep, main- censee and registrant must maintain tain, and make available for APHIS in- documentation of their annual reviews, spection the copy of the certification including documenting any amend- for at least 3 years following disposi- ments or changes made to their plan tion. since the previous year’s review, such [58 FR 39129, July 22, 1993] as changes made as a result of recently predicted, but historically unforeseen, § 2.134 Contingency planning. circumstances (e.g., weather extremes). (a) Dealers, exhibitors, intermediate Contingency plans, as well as all an- handlers, and carriers must develop, nual review documentation and train- document, and follow an appropriate ing records, must be made available to plan to provide for the humane han- APHIS upon request. Traveling entities dling, treatment, transportation, hous- must carry a copy of their contingency ing, and care of their animals in the plan with them at all times and make event of an emergency or disaster (one it available for APHIS inspection while which could reasonably be anticipated in travel status. Dealers, exhibitors, in- and expected to be detrimental to the termediate handlers, and carriers good health and well-being of the ani- maintaining or otherwise handling ma- mals in their possession). Such contin- rine mammals in captivity must also gency plans must: comply with the requirements of (1) Identify situations the licensee or § 3.101(b) of this subchapter. registrant might experience that would (c) Dealers, exhibitors, intermediate trigger the need for the measures iden- handlers, and carriers must provide tified in a contingency plan to be put and document participation in and suc- into action including, but not limited cessful completion of training for per- to, emergencies such as electrical out- sonnel regarding their roles and re- ages, faulty HVAC systems, fires, me- sponsibilities as outlined in the plan. chanical breakdowns, and animal es- For current licensees and registrants, capes, as well as natural disasters most training of dealer, exhibitor, inter- likely to be experienced; mediate handler, and carrier personnel (2) Outline specific tasks required to must be completed by September 27, be carried out in response to the identi- 2013. For new dealers, exhibitors, inter- fied emergencies or disasters including, mediate handlers, or carriers licensed

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or registered after July 29, 2013, train- 3.19 Handling. ing of personnel must be completed within 60 days of the dealer, exhibitor, Subpart B—Specifications for the Humane intermediate handler, or carrier put- Handling, Care, Treatment, and Trans- ting their contingency plan in place. portation of Guinea Pigs and Hamsters Employees hired 30 days or more before FACILITIES AND OPERATING STANDARDS their contingency plan is put in place 3.25 Facilities, general. must also be trained by that date. For 3.26 Facilities, indoor. employees hired less than 30 days be- 3.27 Facilities, outdoor. fore that date or after that date, train- 3.28 Primary enclosures. ing must be conducted within 30 days of their start date. Any changes to the ANIMAL HEALTH AND HUSBANDRY STANDARDS plan as a result of the annual review 3.29 Feeding. must be communicated to employees 3.30 Watering. through training which must be con- 3.31 Sanitation. ducted within 30 days of making the 3.32 Employees. changes. 3.33 Classification and separation. 3.34 [Reserved] [77 FR 76823, Dec. 31, 2012]

EFFECTIVE DATE NOTE: At 77 FR 76823, Dec. TRANSPORTATION STANDARDS 31, 2012, § 2.134 was added, effective Jan. 30, 3.35 Consignments to carriers and inter- 2013. mediate handlers. 3.36 Primary enclosures used to transport PART 3—STANDARDS live guinea pigs and hamsters. 3.37 Primary conveyances (motor vehicle, Subpart A—Specifications for the Humane rail, air, and marine). Handling, Care, Treatment, and Trans- 3.38 Food and water requirements. portation of Dogs and Cats 3.39 Care in transit. 3.40 Terminal facilities. FACILITIES AND OPERATING STANDARDS 3.41 Handling.

Sec. Subpart C—Specifications for the Humane 3.1 Housing facilities, general. Handling, Care, Treatment and Trans- 3.2 Indoor housing facilities. portation of Rabbits 3.3 Sheltered housing facilities. 3.4 Outdoor housing facilities. FACILITIES AND OPERATING STANDARDS 3.5 Mobile or traveling housing facilities. 3.50 Facilities, general. 3.6 Primary enclosures. 3.51 Facilities, indoor. ANIMAL HEALTH AND HUSBANDRY STANDARDS 3.52 Facilities, outdoor. 3.53 Primary enclosures. 3.7 Compatible grouping. 3.8 Exercise for dogs. ANIMAL HEALTH AND HUSBANDRY STANDARDS 3.9 Feeding. 3.54 Feeding. 3.10 Watering. 3.55 Watering. 3.11 Cleaning, sanitization, housekeeping, 3.56 Sanitation. and pest control. 3.57 Employees. 3.12 Employees. 3.58 Classification and separation. TRANSPORTATION STANDARDS 3.59 [Reserved]

3.13 Consignments to carriers and inter- TRANSPORTATION STANDARDS mediate handlers. 3.60 Consignments to carriers and inter- 3.14 Primary enclosures used to transport mediate handlers. live dogs and cats. 3.61 Primary enclosures used to transport 3.15 Primary conveyances (motor vehicle, live rabbits. rail, air, and marine). 3.62 Primary conveyances (motor vehicle, 3.16 Food and water requirements. rail, air, and marine). 3.17 Care in transit. 3.63 Food and water requirements. 3.18 Terminal facilities. 3.64 Care in transit. 3.65 Terminal facilities.

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3.66 Handling. 3.116 Care in transit. 3.117 Terminal facilities. Subpart D—Specifications for the Humane 3.118 Handling. Handling, Care, Treatment, and Trans- portation of Nonhuman Primates Subpart F—Specifications for the Humane Handling, Care, Treatment, and Trans- FACILITIES AND OPERATING STANDARDS portation of Warmblooded Animals 3.75 Housing facilities, general. Other Than Dogs, Cats, Rabbits, Ham- 3.76 Indoor housing facilities. sters, Guinea Pigs, Nonhuman Pri- 3.77 Sheltered housing facilities. mates, and Marine Mammals 3.78 Outdoor housing facilities. 3.79 Mobile or traveling housing facilities. FACILITIES AND OPERATING STANDARDS 3.80 Primary enclosures. 3.125 Facilities, general. 3.81 Environment enhancement to promote 3.126 Facilities, indoor. psychological well-being. 3.127 Facilities, outdoor. ANIMAL HEALTH AND HUSBANDRY STANDARDS 3.128 Space requirements.

3.82 Feeding. ANIMAL HEALTH AND HUSBANDRY STANDARDS 3.83 Watering. 3.129 Feeding. 3.84 Cleaning, sanitization, housekeeping, 3.130 Watering. and pest control. 3.131 Sanitation. 3.85 Employees. 3.132 Employees. TRANSPORTATION STANDARDS 3.133 Separation. 3.134–3.135 [Reserved] 3.86 Consignments to carriers and intermediate handlers. TRANSPORTATION STANDARDS 3.87 Primary enclosures used to transport 3.136 Consignments to carriers and inter- nonhuman primates. mediate handlers. 3.88 Primary conveyances (motor vehicle, 3.137 Primary enclosures used to transport rail, air, and marine). live animals. 3.89 Food and water requirements. 3.138 Primary conveyances (motor vehicle, 3.90 Care in transit. rail, air, and marine). 3.91 Terminal facilities. 3.139 Food and water requirements. 3.92 Handling. 3.140 Care in transit. 3.141 Terminal facilities. Subpart E—Specifications for the Humane 3.142 Handling. Handling, Care, Treatment, and Trans- portation of Marine Mammals AUTHORITY: 7 U.S.C. 2131–2159; 7 CFR 2.22, 2.80, and 371.7. FACILITIES AND OPERATING STANDARDS SOURCE: 32 FR 3273, Feb. 24, 1967, unless 3.100 Special considerations regarding com- otherwise noted. pliance and/or variance. 3.101 Facilities, general. 3.102 Facilities, indoor. Subpart A—Specifications for the 3.103 Facilities, outdoor. Humane Handling, Care, 3.104 Space requirements. Treatment, and Transportation 1 ANIMAL HEALTH AND HUSBANDRY STANDARDS of Dogs and Cats 3.105 Feeding. SOURCE: 56 FR 6486, Feb. 15, 1991, unless 3.106 Water quality. 3.107 Sanitation. otherwise noted. 3.108 Employees or attendants. 3.109 Separation. FACILITIES AND OPERATING STANDARDS 3.110 Veterinary care. 3.111 Swim-with-the-dolphin programs. § 3.1 Housing facilities, general. (a) Structure; construction. Housing TRANSPORTATION STANDARDS facilities for dogs and cats must be de- 3.112 Consignments to carriers and inter- signed and constructed so that they are mediate handlers. structurally sound. They must be kept 3.113 Primary enclosures used to transport in good repair, and they must protect marine mammals. 3.114 Primary conveyances (motor vehicle, the animals from injury, contain the rail, air, and marine). 3.115 Food and drinking water require- 1 These minimum standards apply only to ments. live dogs and cats, unless stated otherwise.

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animals securely, and restrict other sand, gravel, grass, or other similar animals from entering. material must be raked or spot-cleaned (b) Condition and site. Housing facili- with sufficient frequency to ensure all ties and areas used for storing animal animals the freedom to avoid contact food or bedding must be free of any ac- with excreta. Contaminated material cumulation of trash, waste material, must be replaced whenever this raking junk, weeds, and other discarded mate- and spot-cleaning is not sufficient to rials. Animal areas inside of housing prevent or eliminate odors, insects, facilities must be kept neat and free of pests, or vermin infestation. All other clutter, including equipment, fur- surfaces of housing facilities must be niture, and stored material, but may cleaned and sanitized when necessary contain materials actually used and to satisfy generally accepted hus- necessary for cleaning the area, and bandry standards and practices. Saniti- fixtures or equipment necessary for zation may be done using any of the proper husbandry practices and re- methods provided in § 3.11(b)(3) for pri- search needs. Housing facilities other mary enclosures. than those maintained by research facilities and Federal research facilities (d) Water and electric power. The hous- must be physically separated from any ing facility must have reliable electric other business. If a housing facility is power adequate for heating, cooling, located on the same premises as an- ventilation, and lighting, and for car- other business, it must be physically rying out other husbandry require- separated from the other business so ments in accordance with the regula- that animals the size of dogs, skunks, tions in this subpart. The housing fa- and raccoons are prevented from enter- cility must provide adequate running ing it. potable water for the dogs’ and cats’ (c) Surfaces—(1) General requirements. drinking needs, for cleaning, and for The surfaces of housing facilities—in- carrying out other husbandry require- cluding houses, dens, and other fur- ments. niture-type fixtures and objects within (e) Storage. Supplies of food and bed- the facility—must be constructed in a ding must be stored in a manner that manner and made of materials that protects the supplies from spoilage, allow them to be readily cleaned and contamination, and vermin infestation. sanitized, or removed or replaced when The supplies must be stored off the worn or soiled. Interior surfaces and floor and away from the walls, to allow any surfaces that come in contact with cleaning underneath and around the dogs or cats must: supplies. Foods requiring refrigeration (i) Be free of excessive rust that pre- must be stored accordingly, and all vents the required cleaning and saniti- food must be stored in a manner that zation, or that affects the structural prevents contamination and deteriora- strength of the surface; and tion of its nutritive value. All open (ii) Be free of jagged edges or sharp supplies of food and bedding must be points that might injure the animals. kept in leakproof containers with (2) Maintenance and replacement of tightly fitting lids to prevent contami- surfaces. All surfaces must be main- nation and spoilage. Only food and bed- tained on a regular basis. Surfaces of housing facilities—including houses, ding that is currently being used may dens, and other furniture-type fixtures be kept in the animal areas. Sub- and objects within the facility—that stances that are toxic to the dogs or cannot be readily cleaned and sani- cats but are required for normal hus- tized, must be replaced when worn or bandry practices must not be stored in soiled. food storage and preparation areas, but (3) Cleaning. Hard surfaces with may be stored in cabinets in the ani- which the dogs or cats come in contact mal areas. must be spot-cleaned daily and sani- (f) Drainage and waste disposal. Hous- tized in accordance with § 3.11(b) of this ing facility operators must provide for subpart to prevent accumulation of ex- regular and frequent collection, re- creta and reduce disease hazards. moval, and disposal of animal and food Floors made of dirt, absorbent bedding, wastes, bedding, debris, garbage, water,

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other fluids and wastes, and dead ani- solid resting boards, or other methods mals, in a manner that minimizes con- of conserving body heat must be pro- tamination and disease risks. Housing vided when temperatures are below 50 facilities must be equipped with dis- °F (10 °C). The ambient temperature posal facilities and drainage systems must not fall below 45 °F (7.2 °C) for that are constructed and operated so more than 4 consecutive hours when that animal waste and water are rap- dogs or cats are present, and must not idly eliminated and animals stay dry. rise above 85 °F (29.5 °C) for more than Disposal and drainage systems must 4 consecutive hours when dogs or cats minimize vermin and pest infestation, are present. The preceding require- insects, odors, and disease hazards. All ments are in addition to, not in place drains must be properly constructed, of, all other requirements pertaining to installed, and maintained. If closed climatic conditions in parts 2 and 3 of drainage systems are used, they must this chapter. be equipped with traps and prevent the backflow of gases and the backup of (b) Ventilation. Indoor housing facili- sewage onto the floor. If the facility ties for dogs and cats must be suffi- uses sump or settlement ponds, or ciently ventilated at all times when other similar systems for drainage and dogs or cats are present to provide for animal waste disposal, the system their health and well-being, and to must be located far enough away from minimize odors, drafts, ammonia lev- the animal area of the housing facility els, and moisture condensation. Ven- to prevent odors, diseases, pests, and tilation must be provided by windows, vermin infestation. Standing puddles of vents, fans, or air conditioning. Auxil- water in animal enclosures must be iary ventilation, such as fans, blowers, drained or mopped up so that the ani- or air conditioning must be provided mals stay dry. Trash containers in when the ambient temperature is 85 °F housing facilities and in food storage (29.5 °C) or higher. The relative humid- and food preparation areas must be ity must be maintained at a level that leakproof and must have tightly fitted ensures the health and well-being of lids on them at all times. Dead ani- the dogs or cats housed therein, in ac- mals, animal parts, and animal waste cordance with the directions of the at- must not be kept in food storage or tending veterinarian and generally ac- food preparation areas, food freezers, cepted professional and husbandry food refrigerators, or animal areas. practices. (g) Washrooms and sinks. Washing fa- (c) Lighting. Indoor housing facilities cilities such as washrooms, basins, for dogs and cats must be lighted well sinks, or showers must be provided for enough to permit routine inspection animal caretakers and must be readily and cleaning of the facility, and obser- accessible. vation of the dogs and cats. Animal § 3.2 Indoor housing facilities. areas must be provided a regular diurnal lighting cycle of either natural or (a) Heating, cooling, and temperature. artificial light. Lighting must be uni- Indoor housing facilities for dogs and formly diffused throughout animal fa- cats must be sufficiently heated and cilities and provide sufficient illumina- cooled when necessary to protect the dogs and cats from temperature or hu- tion to aid in maintaining good house- midity extremes and to provide for keeping practices, adequate cleaning, their health and well-being. When dogs adequate inspection of animals, and for or cats are present, the ambient tem- the well-being of the animals. Primary perature in the facility must not fall enclosures must be placed so as to pro- below 50 °F (10 °C) for dogs and cats not tect the dogs and cats from excessive acclimated to lower temperatures, for light. those breeds that cannot tolerate lower (d) Interior surfaces. The floors and temperatures without stress or discom- walls of indoor housing facilities, and fort (such as short-haired breeds), and any other surfaces in contact with the for sick, aged, young, or infirm dogs animals, must be impervious to mois- and cats, except as approved by the at- ture. The ceilings of indoor housing fa- tending veterinarian. Dry bedding, cilities must be impervious to moisture

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or be replaceable (e.g., a suspended uniformly diffused throughout animal ceiling with replaceable panels). facilities and provide sufficient illu- [56 FR 6486, Feb. 15, 1991, as amended at 63 mination to aid in maintaining good FR 10498, Mar. 4, 1998] housekeeping practices, adequate cleaning, adequate inspection of ani- § 3.3 Sheltered housing facilities. mals, and for the well-being of the ani- (a) Heating, cooling, and temperature. mals. Primary enclosures must be The sheltered part of sheltered housing placed so as to protect the dogs and facilities for dogs and cats must be suf- cats from excessive light. ficiently heated and cooled when nec- (d) Shelter from the elements. Dogs and essary to protect the dogs and cats cats must be provided with adequate from temperature or humidity ex- shelter from the elements at all times tremes and to provide for their health to protect their health and well-being. and well-being. The ambient tempera- The shelter structures must be large ture in the sheltered part of the facil- enough to allow each animal to sit, ity must not fall below 50 °F (10 °C) for stand, and lie in a normal manner and dogs and cats not acclimated to lower to turn about freely. temperatures, for those breeds that (e) Surfaces. (1) The following areas in cannot tolerate lower temperatures sheltered housing facilities must be without stress and discomfort (such as impervious to moisture: short-haired breeds), and for sick, aged, (i) Indoor floor areas in contact with young, or infirm dogs or cats, except as the animals; approved by the attending veteri- (ii) Outdoor floor areas in contact narian. Dry bedding, solid resting with the animals, when the floor areas boards, or other methods of conserving are not exposed to the direct sun, or body heat must be provided when tem- are made of a hard material such as peratures are below 50 °F (10 °C). The wire, wood, metal, or concrete; and ambient temperature must not fall below 45 °F (7.2 °C) for more than 4 con- (iii) All walls, boxes, houses, dens, secutive hours when dogs or cats are and other surfaces in contact with the present, and must not rise above 85 °F animals. (29.5 °C) for more than 4 consecutive (2) Outside floor areas in contact hours when dogs or cats are present. with the animals and exposed to the di- The preceding requirements are in ad- rect sun may consist of compacted dition to, not in place of, all other re- earth, absorbent bedding, sand, gravel, quirements pertaining to climatic con- or grass. ditions in parts 2 and 3 of this chapter. [56 FR 6486, Feb. 15, 1991, as amended at 63 (b) Ventilation. The enclosed or shel- FR 10498, Mar. 4, 1998] tered part of sheltered housing facilities for dogs and cats must be suffi- § 3.4 Outdoor housing facilities. ciently ventilated when dogs or cats (a) Restrictions. (1) The following cat- are present to provide for their health egories of dogs or cats must not be and well-being, and to minimize odors, drafts, ammonia levels, and moisture kept in outdoor facilities, unless that condensation. Ventilation must be pro- practice is specifically approved by the vided by windows, doors, vents, fans, or attending veterinarian: air conditioning. Auxiliary ventilation, (i) Dogs or cats that are not accli- such as fans, blowers, or air-condi- mated to the temperatures prevalent in tioning, must be provided when the the area or region where they are ambient temperature is 85 °F (29.5 °C) maintained; or higher. (ii) Breeds of dogs or cats that cannot (c) Lighting. Sheltered housing facili- tolerate the prevalent temperatures of ties for dogs and cats must be lighted the area without stress or discomfort well enough to permit routine inspec- (such as short-haired breeds in cold cli- tion and cleaning of the facility, and mates); and observation of the dogs and cats. Ani- (iii) Sick, infirm, aged or young dogs mal areas must be provided a regular or cats. diurnal lighting cycle of either natural (2) When their acclimation status is or artificial light. Lighting must be unknown, dogs and cats must not be

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kept in outdoor facilities when the am- provide for their health and well-being. bient temperature is less than 50 °F (10 The ambient temperature in the mo- °C). bile or traveling housing facility must (b) Shelter from the elements. Outdoor not fall below 50 °F (10 °C) for dogs and facilities for dogs or cats must include cats not acclimated to lower tempera- one or more shelter structures that are tures, for those breeds that cannot tol- accessible to each animal in each out- erate lower temperatures without door facility, and that are large enough stress or discomfort (such as short- to allow each animal in the shelter haired breeds), and for sick, aged, structure to sit, stand, and lie in a nor- young, or infirm dogs and cats. Dry mal manner, and to turn about freely. bedding, solid resting boards, or other In addition to the shelter structures, methods of conserving body heat must one or more separate outside areas of be provided when temperatures are shade must be provided, large enough ° ° to contain all the animals at one time below 50 F (10 C). The ambient tem- ° and protect them from the direct rays perature must not fall below 45 F (7.2 ° of the sun. Shelters in outdoor facili- C) for more than 4 consecutive hours ties for dogs or cats must contain a when dogs or cats are present, and roof, four sides, and a floor, and must: must not exceed 85 °F (29.5 °C) for more (1) Provide the dogs and cats with than 4 consecutive hours when dogs or adequate protection and shelter from cats are present. The preceding re- the cold and heat; quirements are in addition to, not in (2) Provide the dogs and cats with place of, all other requirements per- protection from the direct rays of the taining to climatic conditions in parts sun and the direct effect of wind, rain, 2 and 3 of this chapter. or snow; (b) Ventilation. Mobile or traveling (3) Be provided with a wind break and housing facilities for dogs and cats rain break at the entrance; and must be sufficiently ventilated at all (4) Contain clean, dry, bedding mate- times when dogs or cats are present to rial if the ambient temperature is provide for the health and well-being of ° ° below 50 F (10 C). Additional clean, the animals, and to minimize odors, dry bedding is required when the tem- drafts, ammonia levels, moisture con- ° ° perature is 35 F (1.7 C) or lower. densation, and exhaust fumes. Ventila- (c) Construction. Building surfaces in tion must be provided by means of win- contact with animals in outdoor hous- dows, doors, vents, fans, or air condi- ing facilities must be impervious to tioning. Auxiliary ventilation, such as moisture. Metal barrels, cars, refrigerators or freezers, and the like must fans, blowers, or air conditioning, must not be used as shelter structures. The be provided when the ambient tempera- floors of outdoor housing facilities may ture within the animal housing area is be of compacted earth, absorbent bed- 85 °F (29.5 °C) or higher. ding, sand, gravel, or grass, and must (c) Lighting. Mobile or traveling be replaced if there are any prevalent housing facilities for dogs and cats odors, diseases, insects, pests, or must be lighted well enough to permit vermin. All surfaces must be main- proper cleaning and inspection of the tained on a regular basis. Surfaces of facility, and observation of the dogs outdoor housing facilities—including and cats. Animal areas must be pro- houses, dens, etc.—that cannot be read- vided a regular diurnal lighting cycle ily cleaned and sanitized, must be re- of either natural or artificial light. placed when worn or soiled. Lighting must be uniformly diffused throughout animal facilities and pro- § 3.5 Mobile or traveling housing facili- vide sufficient illumination to aid in ties. maintaining good housekeeping prac- (a) Heating, cooling, and temperature. tices, adequate cleaning, adequate in- Mobile or traveling housing facilities spection of animals, and for the well- for dogs and cats must be sufficiently being of the animals. heated and cooled when necessary to protect the dogs and cats from tem- [32 FR 3273, Feb. 24, 1967, as amended at 63 perature or humidity extremes and to FR 10498, Mar. 4, 1998]

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§ 3.6 Primary enclosures. structed of metal strands, the strands 1 Primary enclosures for dogs and cats must either be greater than ⁄8 of an must meet the following minimum re- inch in diameter (9 gauge) or coated quirements: with a material such as plastic or fiber- (a) General requirements. (1) Primary glass. The suspended floor of any pri- enclosures must be designed and con- mary enclosure must be strong enough structed of suitable materials so that so that the floor does not sag or bend they are structurally sound. The pri- between the structural supports. mary enclosures must be kept in good (b) Additional requirements for cats— repair. (1)Space. Each cat, including weaned (2) Primary enclosures must be con- kittens, that is housed in any primary structed and maintained so that they: enclosure must be provided minimum (i) Have no sharp points or edges that vertical space and floor space as fol- could injure the dogs and cats; lows: (ii) Protect the dogs and cats from (i) Prior to February 15, 1994 each cat injury; housed in any primary enclosure shall (iii) Contain the dogs and cats se- be provided a minimum of 21⁄2 square curely; feet of floor space; (iv) Keep other animals from enter- (ii) On and after February 15, 1994: ing the enclosure; (A) Each primary enclosure housing (v) Enable the dogs and cats to re- cats must be at least 24 in. high (60.96 main dry and clean; cm); (vi) Provide shelter and protection (B) Cats up to and including 8.8 lbs (4 from extreme temperatures and weath- kg) must be provided with at least 3.0 er conditions that may be uncomfort- ft2 (0.28 m2); able or hazardous to all the dogs and (C) Cats over 8.8 lbs (4 kg) must be cats; provided with at least 4.0 ft2 (0.37 m2); (vii) Provide sufficient shade to shel- (iii) Each queen with nursing kittens ter all the dogs and cats housed in the must be provided with an additional primary enclosure at one time; amount of floor space, based on her (viii) Provide all the dogs and cats breed and behavioral characteristics, with easy and convenient access to and in accordance with generally ac- clean food and water; cepted husbandry practices. If the addi- (ix) Enable all surfaces in contact tional amount of floor space for each with the dogs and cats to be readily nursing kitten is equivalent to less cleaned and sanitized in accordance than 5 percent of the minimum require- with § 3.11(b) of this subpart, or be re- ment for the queen, such housing must placeable when worn or soiled; be approved by the attending veteri- (x) Have floors that are constructed narian in the case of a research facil- in a manner that protects the dogs’ and ity, and, in the case of dealers and ex- cats’ feet and legs from injury, and hibitors, such housing must be ap- that, if of mesh or slatted construc- proved by the Administrator; and tion, do not allow the dogs’ and cats’ (iv) The minimum floor space re- feet to pass through any openings in quired by this section is exclusive of the floor; any food or water pans. The litter pan (xi) Provide sufficient space to allow may be considered part of the floor each dog and cat to turn about freely, space if properly cleaned and sanitized. to stand, sit, and lie in a comfortable, (2) Compatibility. All cats housed in normal position, and to walk in a nor- the same primary enclosure must be mal manner; and compatible, as determined by observa- (xii) Primary enclosures constructed tion. Not more than 12 adult noncondi- on or after February 20, 1998 and floors tioned cats may be housed in the same replaced on or after that date, must primary enclosure. Queens in heat may comply with the requirements in this not be housed in the same primary en- paragraph (a)(2). On or after January closure with sexually mature males, 21, 2000, all primary enclosures must be except for breeding. Except when main- in compliance with the requirements in tained in breeding colonies, queens this paragraph (a)(2). If the suspended with litters may not be housed in the floor of a primary enclosure is con- same primary enclosure with other

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adult cats, and kittens under 4 months mined by the attending veterinarian. If of age may not be housed in the same the additional amount of floor space primary enclosure with adult cats, for each nursing puppy is less than 5 other than the dam or foster dam. Cats percent of the minimum requirement with a vicious or aggressive disposition for the bitch, such housing must be ap- must be housed separately. proved by the attending veterinarian in (3) Litter. In all primary enclosures, a the case of a research facility, and, in receptacle containing sufficient clean the case of dealers and exhibitors, such litter must be provided to contain ex- housing must be approved by the Ad- creta and body wastes. ministrator. (4) Resting surfaces. Each primary en- (iii) The interior height of a primary closure housing cats must contain a enclosure must be at least 6 inches resting surface or surfaces that, in the higher than the head of the tallest dog aggregate, are large enough to hold all in the enclosure when it is in a normal the occupants of the primary enclosure standing position: Provided That, prior at the same time comfortably. The to February 15, 1994, each dog must be resting surfaces must be elevated, im- able to stand in a comfortable normal pervious to moisture, and be able to be position. easily cleaned and sanitized, or easily (2) Compatibility. All dogs housed in replaced when soiled or worn. Low rest- the same primary enclosure must be ing surfaces that do not allow the compatible, as determined by observa- space under them to be comfortably oc- tion. Not more than 12 adult noncondi- cupied by the animal will be counted as tioned dogs may be housed in the same part of the floor space. primary enclosure. Bitches in heat may (5) Cats in mobile or traveling shows or not be housed in the same primary en- acts. Cats that are part of a mobile or closure with sexually mature males, traveling show or act may be kept, except for breeding. Except when main- while the show or act is traveling from tained in breeding colonies, bitches one temporary location to another, in with litters may not be housed in the transport containers that comply with same primary enclosure with other all requirements of § 3.14 of this subpart adult dogs, and puppies under 4 months other than the marking requirements of age may not be housed in the same in § 3.14(a)(6) of this subpart. When the primary enclosure with adult dogs, show or act is not traveling, the cats other than the dam or foster dam. Dogs must be placed in primary enclosures with a vicious or aggressive disposition that meet the minimum requirements must be housed separately. of this section. (3) Dogs in mobile or traveling shows or (c) Additional requirements for dogs— acts. Dogs that are part of a mobile or (1) Space. (i) Each dog housed in a pri- traveling show or act may be kept, mary enclosure (including weaned pup- while the show or act is traveling from pies) must be provided a minimum one temporary location to another, in amount of floor space, calculated as transport containers that comply with follows: Find the mathematical square all requirements of § 3.14 of this subpart of the sum of the length of the dog in other than the marking requirements inches (measured from the tip of its in § 3.14(a)(6) of this subpart. When the nose to the base of its tail) plus 6 show or act is not traveling, the dogs inches; then divide the product by 144. must be placed in primary enclosures The calculation is: (length of dog in that meet the minimum requirements inches + 6) × (length of dog in inches + of this section. 6) = required floor space in square (4) Prohibited means of primary enclo- inches. Required floor space in inches/ sure. Permanent tethering of dogs is 144 = required floor space in square prohibited for use as primary enclo- feet. sure. Temporary tethering of dogs is (ii) Each bitch with nursing puppies prohibited for use as primary enclosure must be provided with an additional unless approval is obtained from amount of floor space, based on her APHIS. breed and behavioral characteristics, (d) Innovative primary enclosures and in accordance with generally ac- not precisely meeting the floor area cepted husbandry practices as deter- and height requirements provided in

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paragraphs (b)(1) and (c)(1) of this sec- must be made available to APHIS upon tion, but that provide the dogs or cats request, and, in the case of research fa- with a sufficient volume of space and cilities, to officials of any pertinent the opportunity to express species-typ- funding Federal agency. The plan, at a ical behavior, may be used at research minimum, must comply with each of facilities when approved by the Com- the following: mittee, and by dealers and exhibitors (a) Dogs housed individually. Dogs when approved by the Administrator. over 12 weeks of age, except bitches (Approved by the Office of Management and with litters, housed, held, or main- Budget under control number 0579–0093) tained by any dealer, exhibitor, or research facility, including Federal re- [56 FR 6486, Feb. 15, 1991, as amended at 62 search facilities, must be provided the FR 43275, Aug. 13, 1997; 63 FR 3023, Jan. 21, 1998; 63 FR 37482, July 13, 1998] opportunity for exercise regularly if they are kept individually in cages, ANIMAL HEALTH AND HUSBANDRY pens, or runs that provide less than two STANDARDS times the required floor space for that dog, as indicated by § 3.6(c)(1) of this § 3.7 Compatible grouping. subpart. Dogs and cats that are housed in the (b) Dogs housed in groups. Dogs over same primary enclosure must be com- 12 weeks of age housed, held, or main- patible, with the following restrictions: tained in groups by any dealer, exhibi- (a) Females in heat (estrus) may not tor, or research facility, including Fed- be housed in the same primary enclo- eral research facilities, do not require sure with males, except for breeding additional opportunity for exercise reg- purposes; ularly if they are maintained in cages, (b) Any dog or cat exhibiting a vi- pens, or runs that provide in total at cious or overly aggressive disposition least 100 percent of the required space must be housed separately; for each dog if maintained separately. (c) Puppies or kittens 4 months of Such animals may be maintained in age or less may not be housed in the compatible groups, unless: same primary enclosure with adult (1) Housing in compatible groups is dogs or cats other than their dams or not in accordance with a research pro- foster dams, except when permanently posal and the proposal has been ap- maintained in breeding colonies; proved by the research facility Com- (d) Dogs or cats may not be housed in mittee; the same primary enclosure with any (2) In the opinion of the attending other species of animals, unless they veterinarian, such housing would ad- are compatible; and versely affect the health or well-being (e) Dogs and cats that have or are of the dog(s); or suspected of having a contagious dis- (3) Any dog exhibits aggressive or vi- ease must be isolated from healthy ani- cious behavior. mals in the colony, as directed by the (c) Methods and period of providing ex- attending veterinarian. When an entire ercise opportunity. (1) The frequency, group or room of dogs and cats is method, and duration of the oppor- known to have or believed to be ex- tunity for exercise shall be determined posed to an infectious agent, the group by the attending veterinarian and, at may be kept intact during the process research facilities, in consultation with of diagnosis, treatment, and control. and approval by the Committee. (2) Dealers, exhibitors, and research § 3.8 Exercise for dogs. facilities, in developing their plan, Dealers, exhibitors, and research fa- should consider providing positive cilities must develop, document, and physical contact with humans that en- follow an appropriate plan to provide courages exercise through play or dogs with the opportunity for exercise. other similar activities. If a dog is In addition, the plan must be approved housed, held, or maintained at a facil- by the attending veterinarian. The ity without sensory contact with an- plan must include written standard other dog, it must be provided with procedures to be followed in providing positive physical contact with humans the opportunity for exercise. The plan at least daily.

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(3) The opportunity for exercise may veterinary care. The food must be be provided in a number of ways, such uncontaminated, wholesome, palat- as: able, and of sufficient quantity and nu- (i) Group housing in cages, pens or tritive value to maintain the normal runs that provide at least 100 percent condition and weight of the animal. of the required space for each dog if The diet must be appropriate for the maintained separately under the min- individual animal’s age and condition. imum floor space requirements of (b) Food receptacles must be used for § 3.6(c)(1) of this subpart; dogs and cats, must be readily acces- (ii) Maintaining individually housed sible to all dogs and cats, and must be dogs in cages, pens, or runs that pro- located so as to minimize contamina- vide at least twice the minimum floor tion by excreta and pests, and be pro- space required by § 3.6(c)(1) of this sub- tected from rain and snow. Feeding part; pans must either be made of a durable (iii) Providing access to a run or open material that can be easily cleaned and area at the frequency and duration pre- sanitized or be disposable. If the food scribed by the attending veterinarian; receptacles are not disposable, they or must be kept clean and must be sani- (iv) Other similar activities. tized in accordance with § 3.11(b) of this (4) Forced exercise methods or de- subpart. Sanitization is achieved by vices such as swimming, treadmills, or using one of the methods described in carousel-type devices are unacceptable § 3.11(b)(3) of this subpart. If the food for meeting the exercise requirements receptacles are disposable, they must of this section. be discarded after one use. Self-feeders (d) Exemptions. (1) If, in the opinion of may be used for the feeding of dry food. the attending veterinarian, it is inap- If self-feeders are used, they must be propriate for certain dogs to exercise kept clean and must be sanitized in ac- because of their health, condition, or cordance with § 3.11(b) of this subpart. well-being, the dealer, exhibitor, or re- Measures must be taken to ensure that search facility may be exempted from there is no molding, deterioration, and meeting the requirements of this sec- caking of feed. tion for those dogs. Such exemption must be documented by the attending § 3.10 Watering. veterinarian and, unless the basis for If potable water is not continually exemption is a permanent condition, available to the dogs and cats, it must must be reviewed at least every 30 days be offered to the dogs and cats as often by the attending veterinarian. as necessary to ensure their health and (2) A research facility may be ex- well-being, but not less than twice empted from the requirements of this daily for at least 1 hour each time, un- section if the principal investigator de- less restricted by the attending veteri- termines for scientific reasons set forth narian. Water receptacles must be kept in the research proposal that it is inap- clean and sanitized in accordance with propriate for certain dogs to exercise. § 3.11(b) of this subpart, and before Such exemption must be documented being used to water a different dog or in the Committee-approved proposal cat or social grouping of dogs or cats. and must be reviewed at appropriate intervals as determined by the Com- § 3.11 Cleaning, sanitization, house- mittee, but not less than annually. keeping, and pest control. (3) Records of any exemptions must (a) Cleaning of primary enclosures. Ex- be maintained and made available to creta and food waste must be removed USDA officials or any pertinent fund- from primary enclosures daily, and ing Federal agency upon request. from under primary enclosures as often (Approved by the Office of Management and as necessary to prevent an excessive Budget under control number 0579–0093) accumulation of feces and food waste, to prevent soiling of the dogs or cats § 3.9 Feeding. contained in the primary enclosures, (a) Dogs and cats must be fed at least and to reduce disease hazards, insects, once each day, except as otherwise pests and odors. When steam or water might be required to provide adequate is used to clean the primary enclosure,

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whether by hosing, flushing, or other moving the contaminated material as methods, dogs and cats must be re- necessary to prevent odors, diseases, moved, unless the enclosure is large pests, insects, and vermin infestation. enough to ensure the animals would (c) Housekeeping for premises. Prem- not be harmed, wetted, or distressed in ises where housing facilities are lo- the process. Standing water must be cated, including buildings and sur- removed from the primary enclosure rounding grounds, must be kept clean and animals in other primary enclo- and in good repair to protect the ani- sures must be protected from being mals from injury, to facilitate the hus- contaminated with water and other bandry practices required in this sub- wastes during the cleaning. The pans part, and to reduce or eliminate breed- under primary enclosures with grill- ing and living areas for rodents and type floors and the ground areas under other pests and vermin. Premises must raised runs with mesh or slatted floors be kept free of accumulations of trash, must be cleaned as often as necessary junk, waste products, and discarded to prevent accumulation of feces and matter. Weeds, grasses, and bushes food waste and to reduce disease haz- must be controlled so as to facilitate ards pests, insects and odors. cleaning of the premises and pest con- (b) Sanitization of primary enclosures trol, and to protect the health and and food and water receptacles. (1) Used well-being of the animals. primary enclosures and food and water (d) Pest control. An effective program receptacles must be cleaned and sani- for the control of insects, external tized in accordance with this section parasites affecting dogs and cats, and before they can be used to house, feed, birds and mammals that are pests, or water another dog or cat, or social must be established and maintained so grouping of dogs or cats. as to promote the health and well- (2) Used primary enclosures and food being of the animals and reduce con- and water receptacles for dogs and cats tamination by pests in animal areas. must be sanitized at least once every 2 [56 FR 6486, Feb. 15, 1991, as amended at 63 weeks using one of the methods pre- FR 3023, Jan. 21, 1998] scribed in paragraph (b)(3) of this section, and more often if necessary to § 3.12 Employees. prevent an accumulation of dirt, de- Each person subject to the Animal bris, food waste, excreta, and other dis- Welfare regulations (9 CFR parts 1, 2, ease hazards. and 3) maintaining dogs and cats must (3) Hard surfaces of primary enclo- have enough employees to carry out sures and food and water receptacles the level of husbandry practices and must be sanitized using one of the fol- care required in this subpart. The em- lowing methods: ployees who provide for husbandry and (i) Live steam under pressure; care, or handle animals, must be super- (ii) Washing with hot water (at least vised by an individual who has the 180 °F (82.2 °C)) and soap or detergent, knowledge, background, and experience as with a mechanical cage washer; or in proper husbandry and care of dogs (iii) Washing all soiled surfaces with and cats to supervise others. The em- appropriate detergent solutions and ployer must be certain that the super- disinfectants, or by using a combina- visor and other employees can perform tion detergent/disinfectant product to these standards. that accomplishes the same purpose, with a thorough cleaning of the sur- TRANSPORTATION STANDARDS faces to remove organic material, so as to remove all organic material and § 3.13 Consignments to carriers and in- mineral buildup, and to provide saniti- termediate handlers. zation followed by a clean water rinse. (a) Carriers and intermediate han- (4) Pens, runs, and outdoor housing dlers must not accept a dog or cat for areas using material that cannot be transport in commerce more than 4 sanitized using the methods provided hours before the scheduled departure in paragraph (b)(3) of this section, such time of the primary conveyance on as gravel, sand, grass, earth, or absorb- which the animal is to be transported. ent bedding, must be sanitized by re- However, a carrier or intermediate

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handler may agree with anyone con- before delivery of the animal to the signing a dog or cat to extend this time carrier or intermediate handler for by up to 2 hours. transport in commerce, certifying that (b) Carriers and intermediate han- the animal is acclimated to tempera- dlers must not accept a dog or cat for tures lower than those required in transport in commerce unless they are §§ 3.18 and 3.19 of this subpart. Even if provided with the name, address, and the carrier or intermediate handler re- telephone number of the consignee. ceives this certification, the tempera- (c) Carriers and intermediate han- tures the dog or cat is exposed to while dlers must not accept a dog or cat for in a terminal facility must not be transport in commerce unless the con- lower than 45 °F (2.2 °C) for more than signor certifies in writing to the car- 4 consecutive hours when dogs or cats rier or intermediate handler that the are present, as set forth in § 3.18, nor dog or cat was offered food and water lower than 45 °F (2.2 °C) for more than during the 4 hours before delivery to 45 minutes, as set forth in § 3.19, when the carrier or intermediate handler. moving dogs or cats to or from ter- The certification must be securely at- minal facilities or primary convey- tached to the outside of the primary ances. A copy of the certification must enclosure in a manner that makes it accompany the dog or cat to its des- easily noticed and read. Instructions tination and must include the fol- for no food or water are not acceptable lowing information: unless directed by the attending veteri- (1) The consignor’s name and address; narian. Instructions must be in compli- (2) The tag number or tattoo assigned ance with § 3.16 of this subpart. The to each dog or cat under §§ 2.38 and 2.50 certification must include the fol- of this chapter; lowing information for each dog and (3) A statement by a veterinarian, cat: dated no more than 10 days before de- (1) The consignor’s name and address; livery, that to the best of his or her (2) The tag number or tattoo assigned knowledge, each of the dogs or cats to each dog or cat under §§ 2.38 and 2.50 of this chapter; contained in the primary enclosure is acclimated to air temperatures lower (3) The time and date the animal was ° ° last fed and watered and the specific than 50 F (10 C); but not lower than a instructions for the next feeding(s) and minimum temperature, specified on a watering(s) for a 24-hour period; and certificate, that the attending veteri- (4) The consignor’s signature and the narian has determined is based on gen- date and time the certification was erally accepted temperature standards signed. for the age, condition, and breed of the (d) Carriers and intermediate han- dog or cat; and dlers must not accept a dog or cat for (4) The signature of the veterinarian transport in commerce in a primary and the date the certification was enclosure unless the primary enclosure signed. meets the requirements of § 3.14 of this (f) When a primary enclosure con- subpart. A carrier or intermediate han- taining a dog or cat has arrived at the dler must not accept a dog or cat for animal holding area at a terminal fa- transport if the primary enclosure is cility after transport, the carrier or in- obviously defective or damaged and termediate handler must attempt to cannot reasonably be expected to safe- notify the consignee upon arrival and ly and comfortably contain the dog or at least once in every 6-hour period cat without causing suffering or injury. thereafter. The time, date, and method (e) Carriers and intermediate han- of all attempted notifications and the dlers must not accept a dog or cat for actual notification of the consignee, transport in commerce unless their and the name of the person who noti- animal holding area meets the min- fies or attempts to notify the consignee imum temperature requirements pro- must be written either on the carrier’s vided in §§ 3.18 and 3.19 of this subpart, or intermediate handler’s copy of the or unless the consignor provides them shipping document or on the copy that with a certificate signed by a veteri- accompanies the primary enclosure. If narian and dated no more than 10 days the consignee cannot be notified within

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24 hours after the dog or cat has ar- (4) The dog or cat can be easily and rived at the terminal facility, the car- quickly removed from the enclosure in rier or intermediate handler must re- an emergency; turn the animal to the consignor or to (5) Unless the enclosure is perma- whomever the consignor designates. If nently affixed to the conveyance, ade- the consignee is notified of the arrival quate devices such as handles or and does not accept delivery of the dog handholds are provided on its exterior, or cat within 48 hours after arrival of and enable the enclosure to be lifted the dog or cat, the carrier or inter- without tilting it, and ensure that any- mediate handler must return the ani- one handling the enclosure will not mal to the consignor or to whomever come into physical contact with the the consignor designates. The carrier animal contained inside; or intermediate handler must continue (6) Unless the enclosure is perma- to provide proper care, feeding, and nently affixed to the conveyance, it is housing to the dog or cat, and main- clearly marked on top and on one or tain the dog or cat in accordance with more sides with the words ‘‘Live Ani- generally accepted professional and mals,’’ in letters at least 1 inch (2.5 husbandry practices until the con- cm.) high, and with arrows or other signee accepts delivery of the dog or markings to indicate the correct up- cat or until it is returned to the con- right position of the primary enclo- signor or to whomever the consignor sure; designates. The carrier or intermediate (7) Any material, treatment, paint, handler must obligate the consignor to preservative, or other chemical used in reimburse the carrier or intermediate or on the enclosure is nontoxic to the handler for the cost of return transpor- animal and not harmful to the health tation and care. or well-being of the animal; (Approved by the Office of Management and (8) Proper ventilation is provided to Budget under control number 0579–0093) the animal in accordance with paragraph (c) of this section; and § 3.14 Primary enclosures used to (9) The primary enclosure has a solid, transport live dogs and cats. leak-proof bottom or a removable, Any person subject to the Animal leak-proof collection tray under a slat- Welfare regulations (9 CFR parts 1, 2, ted or mesh floor that prevents seepage and 3) must not transport or deliver for of waste products, such as excreta and transport in commerce a dog or cat un- body fluids, outside of the enclosure. If less the following requirements are a slatted or mesh floor is used in the met: enclosure, it must be designed and con- (a) Construction of primary enclosures. structed so that the animal cannot put The dog or cat must be contained in a any part of its body between the slats primary enclosure such as a compart- or through the holes in the mesh. Un- ment, transport cage, carton, or crate. less the dogs and cats are on raised Primary enclosures used to transport slatted floors or raised floors made of dogs and cats must be constructed so mesh, the primary enclosure must con- that: tain enough previously unused litter to (1) The primary enclosure is strong absorb and cover excreta. The litter enough to contain the dogs and cats se- must be of a suitably absorbent mate- curely and comfortably and to with- rial that is safe and nontoxic to the stand the normal rigors of transpor- dogs and cats. tation; (b) Cleaning of primary enclosures. A (2) The interior of the primary enclo- primary enclosure used to hold or sure has no sharp points or edges and transport dogs or cats in commerce no protrusions that could injure the must be cleaned and sanitized before animal contained in it; each use in accordance with the meth- (3) The dog or cat is at all times se- ods provided in § 3.11(b)(3) of this sub- curely contained within the enclosure part. If the dogs or cats are in transit and cannot put any part of its body for more than 24 hours, the enclosures outside the enclosure in a way that must be cleaned and any litter re- could result in injury to itself, to han- placed, or other methods, such as mov- dlers, or to persons or animals nearby; ing the animals to another enclosure,

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must be utilized to prevent the soiling (3) If a primary enclosure is perma- of the dogs or cats by body wastes. If it nently affixed to the primary convey- becomes necessary to remove the dog ance so that there is only a front ven- or cat from the enclosure in order to tilation opening for the enclosure, the clean, or to move the dog or cat to an- primary enclosure must be affixed to other enclosure, this procedure must be the primary conveyance in such a way completed in a way that safeguards the that the front ventilation opening can- dog or cat from injury and prevents es- not be blocked, and the front ventila- cape. tion opening must open directly to an (c) Ventilation. (1) Unless the primary unobstructed aisle or passageway in- enclosure is permanently affixed to the side the conveyance. The ventilation conveyance, there must be: opening must be at least 90 percent of (i) Ventilation openings located on the total area of the front wall of the two opposing walls of the primary en- enclosure, and must be covered with closure and the openings must be at bars, wire mesh, or smooth expanded least 16 percent of the surface area of metal having air spaces. each such wall, and the total combined (d) Compatibility. (1) Live dogs or cats surface area of the ventilation open- transported in the same primary enclo- ings must be at least 14 percent of the sure must be of the same species and be total combined surface area of all the maintained in compatible groups, ex- walls of the primary enclosure; or cept that dogs and cats that are pri- (ii) Ventilation openings on three vate pets, are of comparable size, and walls of the primary enclosure, and the are compatible, may be transported in openings on each of the two opposing the same primary enclosure. walls must be at least 8 percent of the (2) Puppies or kittens 4 months of age total surface area of the two walls, and or less may not be transported in the the ventilation openings on the third same primary enclosure with adult wall of the primary enclosure must be dogs or cats other than their dams. at least 50 percent of the total surface (3) Dogs or cats that are overly ag- area of that wall, and the total combined surface area of the ventilation gressive or exhibit a vicious disposition openings must be at least 14 percent of must be transported individually in a the total combined surface area of all primary enclosure. the walls of the primary enclosure; or (4) Any female dog or cat in heat (iii) Ventilation openings located on (estrus) may not be transported in the all four walls of the primary enclosure same primary enclosure with any male and the ventilation openings on each of dog or cat. the four walls must be at least 8 per- (e) Space and placement. (1) Primary cent of the total surface area of each enclosures used to transport live dogs such wall, and the total combined sur- and cats must be large enough to en- face area of the openings must be at sure that each animal contained in the least 14 percent of total combined sur- primary enclosure has enough space to face area of all the walls of the primary turn about normally while standing, to enclosure; and stand and sit erect, and to lie in a nat- (iv) At least one-third of the ventila- ural position. tion area must be located on the upper (2) Primary enclosures used to trans- half of the primary enclosure. port dogs and cats must be positioned (2) Unless the primary enclosure is in the primary conveyance so as to pro- permanently affixed to the conveyance, vide protection from the elements. projecting rims or similar devices must (f) Transportation by air. (1) No more be located on the exterior of each en- than one live dog or cat, 6 months of closure wall having a ventilation open- age or older, may be transported in the ing, in order to prevent obstruction of same primary enclosure when shipped the openings. The projecting rims or via air carrier. similar devices must be large enough (2) No more than one live puppy, 8 to provide a minimum air circulation weeks to 6 months of age, and weighing space of 0.75 in. (1.9 cm) between the over 20 lbs (9 kg), may be transported primary enclosure and anything the in a primary enclosure when shipped enclosure is placed against. via air carrier.

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(3) No more than two live puppies or § 3.15 Primary conveyances (motor ve- kittens, 8 weeks to 6 months of age, hicle, rail, air, and marine). that are of comparable size, and weigh- (a) The animal cargo space of pri- ing 20 lbs (9 kg) or less each, may be mary conveyances used to transport transported in the same primary enclo- dogs and cats must be designed, con- sure when shipped via air carrier. structed, and maintained in a manner (4) Weaned live puppies or kittens that at all times protects the health less than 8 weeks of age and of com- and well-being of the animals trans- parable size, or puppies or kittens that ported in them, ensures their safety are less than 8 weeks of age that are and comfort, and prevents the entry of littermates and are accompanied by engine exhaust from the primary con- their dam, may be transported in the veyance during transportation. same primary enclosure when shipped (b) The animal cargo space must have to research facilities, including Federal a supply of air that is sufficient for the research facilities. normal breathing of all the animals (g) Transportation by surface vehicle or being transported in it. privately owned aircraft. (1) No more (c) Each primary enclosure con- than four live dogs or cats, 8 weeks of taining dogs or cats must be positioned age or older, that are of comparable in the animal cargo space in a manner size, may be transported in the same that provides protection from the ele- primary enclosure when shipped by ments and that allows each dog or cat surface vehicle (including ground and enough air for normal breathing. water transportation) or privately (d) During air transportation, dogs owned aircraft, and only if all other re- and cats must be held in cargo areas quirements of this section are met. that are heated or cooled as necessary (2) Weaned live puppies or kittens to maintain an ambient temperature less than 8 weeks of age and of com- and humidity that ensures the health parable size, or puppies or kittens that and well-being of the dogs or cats. The are less than 8 weeks of age that are cargo areas must be pressurized when littermates and are accompanied by the primary conveyance used for air their dam, may be transported in the transportation is not on the ground, same primary enclosure when shipped unless flying under 8,000 ft. Dogs and to research facilities, including Federal cats must have adequate air for breath- research facilities, and only if all other ing at all times when being trans- requirements in this section are met. ported. (h) Accompanying documents and (e) During surface transportation, records. Shipping documents that must auxiliary ventilation, such as fans, accompany shipments of dogs and cats blowers or air conditioning, must be may be held by the operator of the pri- used in any animal cargo space con- mary conveyance, for surface transpor- taining live dogs or cats when the am- tation only, or must be securely at- bient temperature within the animal tached in a readily accessible manner ° ° to the outside of any primary enclosure cargo space reaches 85 F (29.5 C). Moreover, the ambient temperature that is part of the shipment, in a man- ° ° ner that allows them to be detached for may not exceed 85 F (29.5 C) for a period of more than 4 hours; nor fall examination and securely reattached, ° ° such as in a pocket or sleeve. Instruc- below 45 F (7.2 C) for a period of more tions for administration of drugs, than 4 hours. The preceding require- medication, and other special care ments are in addition to, not in place must be attached to each primary en- of, all other requirements pertaining to closure in a manner that makes them climatic conditions in parts 2 and 3 of easy to notice, to detach for examina- this chapter. (f) Primary enclosures must be position, and to reattach securely. Food tioned in the primary conveyance in a and water instructions must be at- manner that allows the dogs and cats tached in accordance with § 3.13(c). to be quickly and easily removed from (Approved by the Office of Management and the primary conveyance in an emer- Budget under control number 0579–0093) gency. [56 FR 6486, Feb. 15, 1991, as amended at 63 (g) The interior of the animal cargo FR 3023, Jan. 21, 1998] space must be kept clean.

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(h) Live dogs and cats may not be mary enclosure and placed so that the transported with any material, sub- receptacles can be filled from outside stance (e.g., dry ice) or device in a the enclosure without opening the manner that may reasonably be ex- door. Food and water containers must pected to harm the dogs and cats or be designed, constructed, and installed cause inhumane conditions. so that a dog or cat cannot leave the primary enclosure through the food or [56 FR 6486, Feb. 15, 1991, as amended at 63 FR 10498, 10499, Mar. 4, 1998] water opening. (Approved by the Office of Management and § 3.16 Food and water requirements. Budget under control number 0579–0093) (a) Each dog and cat that is 16 weeks of age or more must be offered food at § 3.17 Care in transit. least once every 24 hours. Puppies and (a) Surface transportation (ground and kittens less than 16 weeks of age must water). Any person subject to the Ani- be offered food at least once every 12 mal Welfare regulations transporting hours. Each dog and cat must be of- dogs or cats in commerce must ensure fered potable water at least once every that the operator of the conveyance, or 12 hours. These time periods apply to a person accompanying the operator, dealers, exhibitors, research facilities. observes the dogs or cats as often as including Federal research facilities, circumstances allow, but not less than who transport dogs and cats in their once every 4 hours, to make sure they own primary conveyance, starting from have sufficient air for normal breath- the time the dog or cat was last offered ing, that the ambient temperature is food and potable water before transpor- within the limits provided in § 3.15(e), tation was begun. These time periods and that all applicable standards of apply to carriers and intermediate han- this subpart are being complied with. dlers starting from the date and time The regulated person must ensure that stated on the certificate provided the operator or person accompanying under § 3.13(c) of this subpart. Each dog the operator determines whether any and cat must be offered food and pota- of the dogs or cats are in obvious phys- ble water within 4 hours before being ical distress and obtains any veteri- transported in commerce. Consignors nary care needed for the dogs or cats at who are subject to the Animal Welfare the closest available veterinary facil- regulations (9 CFR parts 1, 2, and 3) ity. must certify that each dog and cat was (b) Air transportation. During air offered food and potable water within transportation of dogs or cats, it is the the 4 hours preceding delivery of the responsibility of the carrier to observe dog or cat to a carrier or intermediate the dogs or cats as frequently as cir- handler for transportation in com- cumstances allow, but not less than merce, and must certify the date and once every 4 hours if the animal cargo time the food and potable water was of- area is accessible during flight. If the fered, in accordance with § 3.13(c) of animal cargo area is not accessible this subpart. during flight, the carrier must observe (b) Any dealer, research facility, in- the dogs or cats whenever they are cluding a Federal research facility, or loaded and unloaded and whenever the exhibitor offering any dog or cat to a animal cargo space is otherwise acces- carrier or intermediate handler for sible to make sure they have sufficient transportation in commerce must se- air for normal breathing, that the ani- curely attach to the outside of the pri- mal cargo area meets the heating and mary enclosure used for transporting cooling requirements of § 3.15(d), and the dog or cat, written instructions for that all other applicable standards of the in-transit food and water require- this subpart are being complied with. ments for a 24-hour period for the dogs The carrier must determine whether and cats contained in the enclosure. any of the dogs or cats are in obvious The instructions must be attached in a physical distress, and arrange for any manner that makes them easily no- needed veterinary care as soon as pos- ticed and read. sible. (c) Food and water receptacles must (c) If a dog or cat is obviously ill, in- be securely attached inside the pri- jured, or in physical distress, it must

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not be transported in commerce, except hours at any time dogs or cats are to receive veterinary care for the con- present. The ambient temperature dition. must be measured in the animal hold- (d) Except during the cleaning of pri- ing area by the carrier, intermediate mary enclosures, as required in § 3.14(b) handler, or a person transporting dogs of this subpart, during transportation or cats who is subject to the Animal in commerce a dog or cat must not be Welfare regulations (9 CFR parts 1, 2, removed from its primary enclosure, and 3), outside any primary enclosure unless it is placed in another primary containing a dog or cat at a point not enclosure or facility that meets the re- more than 3 feet (0.91 m) away from an quirements of § 3.6 or § 3.14 of this sub- outside wall of the primary enclosure, part. and approximately midway up the side (e) The transportation regulations of the enclosure. The preceding re- contained in this subpart must be com- quirements are in addition to, not in plied with until a consignee takes place of, all other requirements per- physical delivery of the dog or cat if taining to climatic conditions in parts the animal is consigned for transpor- 2 and 3 of this chapter. tation, or until the animal is returned (e) Shelter. Any person subject to the to the consignor. Animal Welfare regulations (9 CFR parts 1, 2, and 3) holding a live dog or § 3.18 Terminal facilities. cat in an animal holding area of a ter- (a) Placement. Any person subject to minal facility must provide the fol- the Animal Welfare regulations (9 CFR lowing: parts 1, 2, and 3) must not commingle (1) Shelter from sunlight and extreme shipments of dogs or cats with inani- heat. Shade must be provided that is mate cargo in animal holding areas of sufficient to protect the dog or cat terminal facilities. from the direct rays of the sun. (b) Cleaning, sanitization, and pest con- (2) Shelter from rain or snow. Suffi- trol. All animal holding areas of ter- cient protection must be provided to minal facilities must be cleaned and allow the dogs and cats to remain dry sanitized in a manner prescribed in during rain, snow, and other precipita- § 3.11(b)(3) of this subpart, as often as tion. necessary to prevent an accumulation (f) Duration. The length of time any of debris or excreta and to minimize person subject to the Animal Welfare vermin infestation and disease hazards. regulations (9 CFR parts 1, 2, and 3) can Terminal facilities must follow an ef- hold dogs and cats in animal holding fective program in all animal holding areas of terminal facilities upon ar- areas for the control of insects, rival is the same as that provided in ectoparasites, and birds and mammals § 3.13(f) of this subpart. that are pests to dogs and cats. [56 FR 6486, Feb. 15, 1991, as amended at 63 (c) Ventilation. Ventilation must be FR 10499, Mar. 4, 1998] provided in any animal holding area in a terminal facility containing dogs or § 3.19 Handling. cats, by means of windows, doors, (a) Any person subject to the Animal vents, or air conditioning. The air Welfare regulations (9 CFR parts 1, 2, must be circulated by fans, blowers, or and 3) who moves (including loading air conditioning so as to minimize and unloading) dogs or cats within, to, drafts, odors, and moisture condensa- or from the animal holding area of a tion. Auxiliary ventilation, such as ex- terminal facility or a primary convey- haust fans, vents, fans, blowers, or air ance must do so as quickly and effi- conditioning must be used in any ani- ciently as possible and must provide mal holding area containing dogs and the following during movement of the cats, when the ambient temperature is dog or cat: 85 °F (29.5 °C) or higher (1) Shelter from sunlight and extreme (d) Temperature. The ambient tem- heat. Sufficient shade must be provided perature in an animal holding area to protect the dog or cat from the di- containing dogs or cats must not fall rect rays of the sun. The dog or cat below 45 °F (7.2 °C) or rise above 85 °F must not be exposed to an ambient air (29.5 °C) for more than four consecutive temperature above 85 °F (29.5 °C) for a

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period of more than 45 minutes while (c) This section applies to movement being moved to or from a primary con- of a dog or cat from primary convey- veyance or a terminal facility. The ance to primary conveyance, within a temperature must be measured in the primary conveyance or terminal facil- manner provided in § 3.18(d) of this sub- ity, and to or from a terminal facility part. The preceding requirements are or a primary conveyance. in addition to, not in place of, all other requirements pertaining to climatic (Approved by the Office of Management and Budget under control number 0579–0093) conditions in parts 2 and 3 of this chapter. [56 FR 6486, Feb. 15, 1991, as amended at 63 (2) Shelter from rain and snow. Suffi- FR 10499, Mar. 4, 1998] cient protection must be provided to allow the dogs and cats to remain dry Subpart B—Specifications for the during rain, snow, and other precipita- Humane Handling, Care, tion. Treatment, and Transportation (3) Shelter from cold temperatures. of Guinea Pigs and Hamsters Transporting devices on which live dogs or cats are placed to move them FACILITIES AND OPERATING STANDARDS must be covered to protect the animals when the outdoor temperature falls § 3.25 Facilities, general. ° ° below 50 F (10 C). The dogs or cats (a) Structural strength. Indoor and must not be exposed to an ambient outdoor housing facilities for guinea ° ° temperature below 45 F (7.2 C) for a pigs or hamsters shall be structurally period of more than 45 minutes, unless sound and shall be maintained in good they are accompanied by a certificate repair, to protect the animals from in- of acclimation to lower temperatures jury, to contain the animals, and to re- as provided in § 3.13(e). The tempera- strict the entrance of other animals. ture must be measured in the manner (b) Water and electric power. Reliable provided in § 3.18(d) of this subpart. The and adequate electric power, if re- preceding requirements are in addition quired to comply with other provisions to, not in place of, all other require- of this subpart, and adequate potable ments pertaining to climatic condi- water shall be available. tions in parts 2 and 3 of this chapter. (c) Supplies of food and bed- (b) Any person handling a primary Storage. enclosure containing a dog or cat must ding shall be stored in facilities which use care and must avoid causing phys- adequately protect such supplies ical harm or distress to the dog or cat. against spoilage or deterioration and infestation or contamination by (1) A primary enclosure containing a vermin. Food supplies shall be stored live dog or cat must not be placed on in containers with tightly fitting lids unattended conveyor belts, or on ele- or covers or in the original containers vated conveyor belts, such as baggage as received from the commercial claim conveyor belts and inclined con- sources of supply. Refrigeration shall veyor ramps that lead to baggage claim be provided for supplies of perishable areas, at any time; except that a pri- food. mary enclosure may be placed on inclined conveyor ramps used to load and (d) Waste disposal. Provisions shall be unload aircraft if an attendant is made for the removal and disposal of present at each end of the conveyor animal and food wastes, bedding, dead belt. animals, and debris. Disposal facilities shall be so provided and operated as to (2) A primary enclosure containing a minimize vermin infestation, odors, dog or cat must not be tossed, dropped, and disease hazards. or needlessly tilted, and must not be stacked in a manner that may reason- (e) Washroom and sinks. Facilities, ably be expected to result in its falling. such as washrooms, basins, or sinks, It must be handled and positioned in shall be provided to maintain cleanli- the manner that written instructions ness among animal caretakers. and arrows on the outside of the pri- [32 FR 3273, Feb. 24, 1967, as amended at 44 mary enclosure indicate. FR 63492, Nov. 2, 1979]

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§ 3.26 Facilities, indoor. shelving and other accessories, shall be (a) Heating. Indoor housing facilities constructed of smooth material sub- for guinea pigs or hamsters shall be stantially impervious to liquids and sufficiently heated when necessary to moisture. protect the animals from the cold, and (2) Primary enclosures shall be con- to provide for their health and comfort. structed and maintained so that the The ambient temperature shall not be guinea pigs or hamsters contained allowed to fall below 60 °F. nor to ex- therein have convenient access to clean ceed 85 °F. food and water as required in this sub- (b) Ventilation. Indoor housing facili- part. ties for guinea pigs or hamsters shall (3) Primary enclosures having a solid be adequately ventilated to provide for floor shall be provided with clean bed- the health and comfort of the animals ding material. at all times. Such facilities shall be (4) Primary enclosures equipped with provided with fresh air either by means mesh or wire floors shall be so con- of windows, doors, vents, or air condi- structed as to allow feces to pass tioning, and shall be ventilated so as to through the spaces of the mesh or wire: minimize drafts, odors, and moisture Provided, however, That such floors condensation. The ambient tempera- shall be constructed so as to protect ture shall not be allowed to rise above the animals’ feet and legs from injury. 85 °F. (b) Space requirements for primary en- (c) Lighting. Indoor housing facilities closures acquired before August 15, 1990— for guinea pigs or hamsters shall have (1) Guinea pigs and hamsters. Primary ample light, by natural or artificial enclosures shall be constructed and means, or both, of good quality and maintained so as to provide sufficient well distributed. Such lighting shall space for each animal contained there- provide uniformly distributed illu- in to make normal postural adjust- mination of sufficient light intensity ments with adequate freedom of move- to permit routine inspection and clean- ment. ing during the entire working period. (2) Guinea pigs. In addition to the pro- Primary enclosures shall be so placed visions of paragraph (b)(1) of this sec- as to protect the guinea pigs or ham- tion, the following space requirements sters from excessive illumination. are applicable to primary enclosures (d) Interior surfaces. The interior for guinea pigs: building surfaces of indoor housing fa- (i) The interior height of any primary cilities shall be constructed and main- enclosure used to confine guinea pigs tained so that they are substantially shall be at least 61⁄2 inches. impervious to moisture and may be (ii) Each guinea pig housed in a pri- readily sanitized. mary enclosure shall be provided a minimum amount of floor space in ac- § 3.27 Facilities, outdoor. cordance with the following table: (a) Hamsters shall not be housed in Minimum outdoor facilities. space per (b) Guinea pigs shall not be housed in Weight or stage of maturity guinea pig (square outdoor facilities unless such facilities inches) are located in an appropriate climate Weaning to 350 grams ...... 60 and prior approval for such outdoor 350 grams or more ...... 90 housing is obtained from the Deputy Breeders ...... 180 Administrator. (3) Hamsters. In addition to the provi- § 3.28 Primary enclosures. sions of paragraph (b)(1) of this section, All primary enclosures for guinea the following space requirements are pigs and hamsters shall conform to the applicable to primary enclosures for following requirements: hamsters: (a) General. (1) Primary enclosures (i) The interior height of any primary shall be structurally sound and main- enclosure used to confine hamsters tained in good repair to protect the shall be at least 51⁄2 inches, except that guinea pigs and hamsters from injury. in the case of dwarf hamsters, such in- Such enclosures, including their racks, terior height shall be at least 5 inches.

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(ii) A nursing female hamster, to- shall be provided a minimum amount gether with her litter, shall be housed of floor space in any primary enclosure in a primary enclosure which contains as follows: no other hamsters and which provides Weight Minimum floor at least 121 square inches of floor space per ham- space: Provided, however, That in the ster g ozs case of dwarf hamsters such floor space in2 cm2 shall be at least 25 square inches. (iii) The minimum amount of floor <60 <2.1 10 64.52 60 to 80 2.1–2.8 13 83.88 space per individual hamster and the 80 to 100 2.8–3.5 16 103.23 maximum number of hamsters allowed >100 >3.5 19 122.59 in a single primary enclosure, except as provided for nursing females in para- (iv) A nursing female hamster, to- graph (b)(3)(ii) of this section, shall be gether with her litter, shall be housed in accordance with the following table: in a primary enclosure that contains no other hamsters and that provides at Minimum space per Maximum least 121 square inches of floor space: hamster (square population Provided, however, That in the case of Age inches) per enclosure nursing female dwarf hamsters such Dwarf Other floor space shall be at least 25 square Weaning to 5 wks ...... 5.0 10.0 20 inches. 5 to 10 wks ...... 7.5 12.5 16 (3) Innovative primary enclosures 10 wks. or more ...... 9 15.0 13 that do not precisely meet the space requirements of paragraph (c)(1) or (c) Space requirements for primary en- (c)(2) of this section, but that do pro- closures acquired on or after August 15, vide guinea pigs or hamsters with a 1990—(1) Guinea pigs. (i) Primary enclo- sufficient volume of space and the op- sures shall be constructed and main- portunity to express species-typical be- tained so as to provide sufficient space havior, may be used at research facili- for each guinea pig contained therein ties when approved by the Institutional to make normal postural adjustments Animal Care and Use Committee, and with adequte freedom of movement. by dealers and exhibitors when ap- (ii) The interior height of any pri- proved by the Administrator. mary enclosure used to confine guinea pigs shall be at least 7 inches (17.78 [32 FR 3273, Feb. 24, 1967, as amended at 55 cm). FR 28882, July 16, 1990] (iii) Each guinea pig shall be provided a minimum amount of floor ANIMAL HEALTH AND HUSBANDRY space in any primary enclosure as fol- STANDARDS lows: § 3.29 Feeding. Minimum (a) Guinea pigs and hamsters shall be Weight or stage of maturity floor space fed each day except as otherwise might in2 cm2 be required to provide adequate veterinary care. The food shall be free from Weaning to 350 grams ...... 60 387.12 >350 grams ...... 101 651.65 contamination, wholesome, palatable Nursing females with their litters ...... 101 651.65 and of sufficient quantity and nutritive value to meet the normal daily re- (2) Hamsters. (i) Primary enclosures quirements for the condition and size shall be constructed and maintained so of the guinea pig or hamster. as to provide sufficient space for each (b) Food comprising the basic diet hamster contained therein to make shall be at least equivalent in quality normal postural adjustments with ade- and content to pelleted rations pro- quate freedom of movement. duced commercially and commonly (ii) The interior height of any pri- available from feed suppliers. mary enclosure used to confine ham- (c) The basic diet of guinea pigs and sters shall be at least 6 inches (15.24 hamsters may be supplemented with cm). good quality fruits or vegetables con- (iii) Except as provided in paragraph sistent with their individual dietary re- (c)(2)(iv) of this section, each hamster quirements.

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(d) Food receptacles, if used, shall be able foods, or moisture condensation, accessible to all guinea pigs or ham- the guinea pigs or hamsters shall be sters in a primary enclosure and shall transferred to clean primary enclo- be located so as to minimize contami- sures. nation by excreta. All food receptacles (3) Prior to the introduction of guin- shall be kept clean and shall be sani- ea pigs or hamsters into empty pri- tized at least once every 2 weeks. If mary enclosures previously occupied, self-feeders are used for the feeding of such enclosures shall be sanitized in pelleted feed, measures must be taken the manner provided in paragraph to prevent molding, deterioration or (a)(4) of this section. caking of the feed. Hamsters may be (4) Primary enclosures for guinea fed pelleted feed on the floor of a pri- pigs or hamsters shall be sanitized by mary enclosure. washing them with hot water (180 °F.) (e) Fruit or vegetable food supple- and soap or detergent as in a mechan- ments may be placed upon the bedding ical cage washer, or by washing all within the primary enclosure: Provided, soiled surfaces with a detergent solu- however, That the uneaten portion of tion followed by a safe and effective such supplements and any bedding disinfectant, or by cleaning all soiled soiled as a result of such feeding prac- surfaces with live steam. tices shall be removed from the pri- (b) Housekeeping. Premises (buildings mary enclosure when such uneaten and grounds) shall be kept clean and in supplements accumulate or such bed- good repair in order to protect the ani- ding becomes soiled to a degree that mals from injury and to facilitate the might be harmful or uncomfortable to prescribed husbandry practices set animals therein. forth in this subpart. Premises shall remain free of accumulations of trash. § 3.30 Watering. (c) Pest control. An effective program Unless food supplements consumed for the control of insects, by guinea pigs or hamsters supply ectoparasites, and avian and mamma- them with their normal water require- lian pests shall be established and ments, potable water shall be provided maintained. daily except as might otherwise be required to provide adequate veterinary § 3.32 Employees. care. Open containers used for dis- A sufficient number of employees pensing water to guinea pigs or ham- shall be utilized to maintain the pre- sters shall be so placed in or attached scribed level of husbandry practices set to the primary enclosure as to mini- forth in this subpart. Such practices mize contamination from excreta. All shall be under the supervision of an watering receptacles shall be sanitized animal caretaker who has a back- when dirty: Provided, however, That ground in animal husbandry or care. such receptacles shall be sanitized at least once every 2 weeks. § 3.33 Classification and separation. Animals housed in the same primary § 3.31 Sanitation. enclosure shall be maintained in com- (a) Cleaning and sanitation of primary patible groups, with the following addi- enclosures. (1) Primary enclosures shall tional restrictions: be cleaned and sanitized often enough (a) Except where harem breeding is to prevent an accumulation of excreta practiced, preweanling guinea pigs or debris: Provided, however, That such shall not be housed in the same pri- enclosures shall be sanitized at least mary enclosure with adults other than once every 2 weeks in the manner pro- their parents. vided in paragraph (a)(4) of this sec- (b) Guinea pigs shall not be housed in tion. the same primary enclosure with ham- (2) In the event a primary enclosure sters, nor shall guinea pigs or hamsters becomes soiled or wet to a degree that be housed in the same primary enclo- might be harmful or uncomfortable to sure with any other species of animals. the animals therein due to leakage of (c) Guinea pigs or hamsters under the watering system, discharges from quarantine or treatment for a commu- dead or dying animals, spoiled perish- nicable disease shall be separated from

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other guinea pigs or hamsters and consignor, stating that the primary en- other susceptible species of animals in closure complies with § 3.36 of the such a manner as to minimize dissemi- standards, unless such primary enclo- nation of such disease. sure is obviously defective or damaged and it is apparent that it cannot rea- § 3.34 [Reserved] sonably be expected to contain the live guinea pig or hamster without causing TRANSPORTATION STANDARDS suffering or injury to such live guinea pig or hamster. A copy of such certifi- AUTHORITY: Sections 3.35 through 3.41 cate shall accompany the shipment to issued under secs. 3, 5, 6, 10, 11, 14, 16, 17, 21; 80 Stat. 353; 84 Stat. 1561, 1562, 1563, 1564; 90 destination. The certificate of compli- Stat. 418, 419, 420, 423; (7 U.S.C. 2133, 2135, ance shall include at least the fol- 2136, 2140, 2141, 2144, 2146, 2147, 2151); 37 FR lowing information: 28464, 28477, 38 FR 19141. (1) Name and address of the consignor; § 3.35 Consignments to carriers and in- (2) The number of guinea pigs or termediate handlers. hamsters in the primary enclosure(s); (a) Carriers and intermediate han- (3) A certifying statement (e.g., ‘‘I dlers shall not accept any live guinea hereby certify that the ll (number) pig or hamster presented by any dealer, primary enclosure(s) which are used to research facility, exhibitor, operator of transport the animal(s) in this ship- an auction sale, or other person, or any ment complies (comply) with USDA department, agency, or instrumen- standards for primary enclosures (9 tality of the United States or any CFR part 3).’’); and State or local government for ship- (4) The signature of the consignor, ment, in commerce, more than 4 hours and date. prior to the scheduled departure of the (c) Carriers or intermediate handlers primary conveyance on which it is to whose facilities fail to meet the min- be transported: Provided, however, That imum temperature allowed by the the carrier or intermediate handler and standards may accept for transpor- any dealer, research facility, exhibitor, tation or transport, in commerce, any operator of an auction sale, or other live hamster consigned by any depart- person, or any department, agency, or ment, agency, or instrumentality of instrumentality of the United States the United States or of any State or or any State or local government may local government, or by any person (in- mutually agree to extend the time of cluding any licensee or registrant acceptance to not more than 6 hours if under the Act, as well as any private specific prior scheduling of the animal individual) if the consignor furnishes shipment to destination has been to the carrier or intermediate handler made. a certificate executed by a veterinarian (b) Any carrier or intermediate han- accredited by this Department pursu- dler shall only accept for transpor- ant to part 160 of this title on a speci- tation or transport, in commerce any fied date which shall not be more than live guinea pig or hamster in a primary 10 days prior to delivery of such ham- enclosure which conforms to the re- ster for transportation in commerce, quirements set forth in § 3.36 of the stating that such live hamster is accli- standards: Provided, however, That any mated to air temperatures lower than carrier or intermediate handler may those prescribed in §§ 3.40 and 3.41. A accept for transportation or transport, copy of such certificate shall accom- in commerce, any live guinea pig or pany the shipment to destination. The hamster consigned by any department, certificate shall include the following agency, or instrumentality of the information: United States having laboratory ani- (1) Name and address of the con- mal facilities or exhibiting animals, or signor; any licensed or registered dealer, re- (2) The number of hamsters in the search facility, exhibitor, or operator shipment; of an auction sale, if such consignor (3) A certifying statement (e.g., ‘‘I furnishes to the carrier or intermediate hereby certify that the animal(s) in handler a certificate, signed by the this shipment is (are), to the best of

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my knowledge, acclimated to air tem- openings on each such wall shall be at peratures lower than 7.2 °C. (45 °F.).’’); least 16 percent of the total surface and area of each such wall, or there are (4) The signature of the USDA ac- ventilation openings located on all four credited veterinarian, assigned accredi- walls of the primary enclosure and the tation number, and date. ventilation openings on each such wall (d) Carriers and intermediate han- shall be at least 8 percent of the total dlers shall attempt to notify the con- surface area of each such wall: Pro- signee at least once in every 6 hour pe- vided, however, That at least one-third riod following the arrival of any live of the total minimum area required for guinea pig or hamster at the animal ventilation of the primary enclosure holding area of the terminal cargo fa- shall be located on the lower one-half cility. The time, date, and method of of the primary enclosure and at least each attempted notification and the one-third of the total minimum area final notification to the consignee and required for ventilation of the primary the name of the person notifying the enclosure shall be located on the upper consignee shall be recorded on the copy one-half of the primary enclosure; (6) of the shipping document retained by except as provided in paragraph (i) of the carrier or intermediate handler and this section, projecting rims or other on a copy of the shipping document ac- devices shall be on the exterior of the companying the animal shipment. outside walls with any ventilation [42 FR 31563, June 21, 1977, as amended at 43 openings to prevent obstruction of the FR 22163, May 16, 1978; 44 FR 63492, Nov. 2, ventilation openings and to provide a 1979] minimum air circulation space of 1.9 centimeters (.75 inches) between the § 3.36 Primary enclosures used to primary enclosure and any adjacent transport live guinea pigs and ham- cargo or conveyance wall; and (7) ex- sters. cept as provided in paragraph (i) of this No person subject to the Animal Wel- section, adequate handholds or other fare regulations shall offer for trans- devices for lifting shall be provided on portation, or transport, in commerce the exterior of the primary enclosure any live guinea pig or hamster in a pri- to enable the primary enclosure to be mary enclosure that does not conform lifted without tilting and to ensure to the following requirements: that the person handling the primary (a) Primary enclosures, such as com- enclosure will not be in contact with partments, transport cages, cartons, or the guinea pigs or hamsters. crates, used to transport live guinea (b) Live guinea pigs or hamsters pigs or hamsters shall be constructed tranported in the same primary enclo- in such a manner that (1) the struc- sure shall be of the same species and tural strength of the enclosure shall be maintained in compatible groups. sufficient to contain the live guinea (c) Primary enclosures used to trans- pigs or hamsters and to withstand the port live guinea pigs or hamsters shall normal rigors of transportation; (2) the be large enough to ensure that each interior of the enclosure shall be free animal contained therein has sufficient from any protrusions that could be in- space to turn about freely and to make jurious to the live guinea pigs or ham- normal postural adjustments. sters contained therein; (3) the inner (d) Not more than 15 live guinea pigs surfaces of corrugated fiberboard, card- shall be transported in the same pri- board, or plastic containers shall be mary enclosure. No more than 50 live covered or laminated with wire mesh hamsters shall be transported in the or screen where necessary to prevent same primary enclosure. escape of the animals; (4) the openings (e) In addition to the other provisions of such enclosures are easily accessible of this section, the following require- at all times for emergency removal of ments shall also apply to primary en- the live guinea pigs or hamsters; (5) ex- closures used to transport live guinea cept as provided in paragraph (i) of this pigs or hamsters: section, there are ventilation openings (1) Guinea pigs. (i) The interior height located on two opposite walls of the of primary enclosures used to tranport primary enclosure and the ventilation live guinea pigs weighing up to 500

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grams shall be at least 15.2 centimeters MINIMUM SPACE PER LIVE GUINEA PIG— (6 inches) and the interior height of Continued primary enclosures used to transport Square live guinea pigs weighing over 500 Weight (grams) centi- Square grams shall be at least 17.8 centimeters meters inches (7 inches). Over 600 ...... 354.8 55 (ii) Each live guinea pig transported in a primary enclosure shall be pro- (2) Hamsters. (i) The interior height of vided a minimum amount of floor primary enclosures used to transport space in accordance with the following live hamsters shall be at least 15.2 cen- table: timeters (6 inches) except that in the case of dwarf hamsters such interior MINIMUM SPACE PER LIVE GUINEA PIG height shall be at least 12.7 centimeters (5 inches). Square Square Weight (grams) centi- inches (ii) Each live hamster transported in meters a primary enclosure shall be provided a Up to 350 ...... 193.6 30 minimum amount of floor space in ac- 350 to 600 ...... 290.3 45 cordance with the following table:

MINIMUM SPACE PER LIVE HAMSTER

Dwarf Other Age Square Square centi- Square centi- Square meters inches meters inches

Weaning to 5 wks ...... 32.2 5.0 45.2 7 5 to 10 wks ...... 48.3 7.5 71.0 11 Over 10 wks ...... 58.1 9.0 96.8 15

(f) Primary enclosures used to trans- primary enclosure which is part of such port live guinea pigs or hamsters as shipment. provided in this section shall have solid (i) When a primary enclosure is per- bottoms to prevent leakage in ship- manently affixed within the animal ment and shall be cleaned and sanitized cargo space of the primary conveyance in a manner prescribed in § 3.31 of the so that the front opening is the only standards, if previously used. Such pri- source of ventilation for such primary mary enclosures shall contain clean enclosure, the front opening shall open litter of a suitable absorbent material, directly to the outside or to an unob- which is safe and nontoxic to the guin- structed aisle or passageway within the ea pigs or hamsters, in sufficient quan- primary conveyance. Such front ven- tity to absorb and cover excreta, unless tilation opening shall be at least 90 the guinea pigs or hamsters are on wire percent of the total surface area of the or other nonsolid floors. front wall of the primary enclosure and (g) Primary enclosures used to trans- covered with bars, wire mesh or port live guinea pigs or hamsters, ex- smooth expanded metal. cept where such primary enclosures are [42 FR 31563, June 21, 1977, as amended at 43 permanently affixed in the animal FR 21163, May 16, 1978; 55 FR 28882, July 16, cargo space of the primary conveyance, 1990] shall be clearly marked on top and on one or more sides with the words ‘‘Live § 3.37 Primary conveyances (motor ve- Animals’’ in letters not less than 2.5 hicle, rail, air, and marine). centimeters (1 inch) in height, and with (a) The animal cargo space of pri- arrows or other markings, to indicate mary conveyances used in transporting the correct upright position of the con- live guinea pigs and hamsters shall be tainer. designed and constructed to protect (h) Documents accompanying the the health, and ensure the safety and shipment shall be attached in an easily comfort of the live guinea pigs and accessible manner to the outside of a hamsters at all times.

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(b) The animal cargo space shall be § 3.38 Food and water requirements. constructed and maintained in a man- (a) If live guinea pigs or hamsters are ner to prevent the ingress of engine ex- to be transported for a period of more haust fumes and gases from the pri- than 6 hours, the animals shall have mary conveyance during transpor- access to food and water or a type of tation in commerce. food, which provides the requirements (c) No live guinea pig or hamster for food and water in quantity and shall be placed in an animal cargo quality sufficient to satisfy their food space that does not have a supply of air and water needs, during transit. sufficient for normal breathing for (b) Any dealer, research facility, ex- each live animal contained therein, hibitor or operator of an auction sale and the primary enclosures shall be po- offering any live guinea pig or hamster sitioned in the animal cargo space in to any carrier or intermediate handler such a manner that each live guinea for transportation, in commerce, shall pig or hamster has access to sufficient provide an adequate supply of food or air for normal breathing. type of food, which provides the re- (d) Primary enclosures shall be posi- quirements for food and water, within tioned in the primary conveyance in the primary enclosure to meet the re- such a manner that in an emergency quirements of this section. the live guinea pigs or hamsters can be (c) No carrier or intermediate han- removed from the primary conveyance dler shall accept for transportation, in as soon as possible. commerce, any live guinea pig or ham- (e) The interior of the animal cargo ster without an adequate supply of food space shall be kept clean. or type of food, which provides the re- (f) Live guinea pigs and hamsters quirements for food and water, within shall not be transported with any ma- the primary enclosure to meet the re- terial, substance (e.g., dry ice) or de- quirements of this section. vice which may reasonably be expected [42 FR 31563, June 21, 1977] to be injurious to the health and well- being of the guinea pigs and hamsters § 3.39 Care in transit. unless proper precaution is taken to (a) During surface transportation, it prevent such injury. shall be the responsibility of the driver (g) The animal cargo space of pri- or other employee to visually observe mary conveyances used to transport the live guinea pigs or hamsters as fre- guinea pigs or hamsters shall be me- quently as circumstances may dictate, chanically sound and provide fresh air but not less than once every 4 hours, to by means of windows, doors, vents, or assure that they are receiving suffi- air conditioning so as to minimize cient air for normal breathing, their drafts, odors, and moisture condensa- ambient temperatures are within the tion. Auxiliary ventilation, such as prescribed limits, all other applicable fans, blowers, or air conditioners, shall standards are being complied with and be used in any cargo space containing to determine whether any of the live live guinea pigs or hamsters when the guinea pigs or hamsters are in obvious ambient temperature in the animal physical distress and to provide any cargo space is 75 °F (23.9 °C) or higher. needed veterinary care as soon as pos- The ambient temperature within the sible. When transported by air, live animal cargo space shall not exceed 85 guinea pigs and hamsters shall be vis- °F (29.5 °C) or fall below 45 °F (7.2 °C), ually observed by the carrier as fre- except that the ambient temperature quently as circumstances may dictate, in the cargo space may be below 45 °F but not less than once every 4 hours, if the animal cargo space is accessible (7.2 °C) for hamsters if the hamsters are during flight. If the animal cargo space accompanied by a certificate of accli- is not accessible during flight, the car- mation to lower temperatures, as pro- rier shall visually observe the live vided in § 3.35(c) of this part. guinea pigs or hamsters whenever load- [42 FR 31563, June 21, 1977, as amended at 55 ed and unloaded and whenever the ani- FR 28882, July 16, 1990] mal cargo space is otherwise accessible

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to assure that they are receiving suffi- provisions of this paragraph, the air cient air for normal breathing, their temperature around any live guinea pig ambient temperatures are within the or hamster shall be measured and read prescribed limits, all other applicable outside the primary enclosure which standards are being complied with and contains such guinea pig or hamster at to determine whether any such live a distance not to exceed .91 meters (3 guinea pigs or hamsters are in obvious feet) from any one of the external walls physical distress. The carrier shall proof the primary enclosure and measured vide any needed veterinary care as on a level parallel to the bottom of soon as possible. No guinea pig or ham- such primary enclosure at a point ster in obvious physical distress shall which approximates half the distance be transported in commerce. between the top and bottom of such (b) During the course of transpor- primary enclosure. tation, in commerce, live guinea pigs or hamsters shall not be removed from [43 FR 56215, Dec. 1, 1978, as amended at 55 their primary enclosures unless placed FR 28883, July 16, 1990] in other primary enclosures or facilities conforming to the requirements § 3.41 Handling. provided in this subpart. (a) Any person who is subject to the Animal Welfare regulations and who [42 FR 31563, June 21, 1977] moves live guinea pigs or hamsters § 3.40 Terminal facilities. from an animal holding area of a terminal facility to a primary conveyance No person subject to the Animal Wel- or vice versa shall do so as quickly and fare regulations shall commingle ship- efficiently as possible. Any person sub- ments of live guinea pigs or hamsters ject to the Animal Welfare Act and with inanimate cargo. All animal hold- holding any live guinea pig or hamster ing areas of a terminal facility where in an animal holding area of a terminal shipments of live guinea pigs or ham- facility or transporting any live guinea sters are maintained shall be cleaned pig or hamster to or from a terminal and sanitized as prescribed in § 3.31 of facility shall provide the following: the standards often enough to prevent an accumulation of debris or excreta, (1) Shelter from sunlight. When sun- to minimize vermin infestation, and to light is likely to cause overheating or prevent a disease hazard. An effective discomfort, sufficient shade shall be program for the control of insects, provided to protect the live guinea pigs ectoparasites, and avian and mamma- and hamsters from the direct rays of lian pests shall be established and the sun and such live guinea pigs or maintained for all animal holding hamsters shall not be subjected to sur- areas. Any animal holding area con- rounding air temperatures which ex- taining live guinea pigs or hamsters ceed 29.5 °C. (85 °F.), and which shall be shall be provided with fresh air by measured and read in the manner pre- means of windows, doors, vents, or air scribed § 3.40 of this part, for a period of conditioning and may be ventilated or more than 45 minutes. air circulated by means of fans, blow- (2) Shelter from rain or snow. Live ers, or an air conditioning system so as guinea pigs and hamsters shall be pro- to minimize drafts, odors, and moisture vided protection to allow them to re- condensation. Auxiliary ventilation, main dry during rain or snow. such as exhaust fans and vents or fans (3) Shelter from cold weather. Trans- or blowers or air conditioning shall be porting devices shall be covered to pro- used for any animal holding area con- vide protection for live guinea pigs and taining live guinea pigs and hamsters hamsters when the outdoor air tem- when the air temperature within such perature falls below 10 °C. (50 °F.), and animal holding area is 23.9 °C. (75. °F.) such live guinea pigs and hamsters or higher. The air temperature around shall not be subjected to surrounding any live guinea pig or hamster in any air temperatures which fall below 7.2 animal holding area shall not be al- °C. (45 °F.), and which shall be meas- lowed to fall below 7.2 °C. (45 °F.) nor be ured and read in the manner prescribed allowed to exceed 29.5 °C. (85 °F.) at any in § 3.40 of this part, for a period of time. To ascertain compliance with the more than 45 minutes.

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(b) Care shall be exercised to avoid (b) Ventilation. Indoor housing facili- handling of the primary enclosure in ties for rabbits shall be adequately ven- such a manner that may cause physical tilated to provide for the health and or emotional trauma to the live guinea comfort of the animals at all times. pig or hamster contained therein. Such facilities shall be provided with (c) Primary enclosures used to trans- fresh air either by means of windows, port any live guinea pig or hamster doors, vents, or air conditioning and shall not be tossed, dropped, or need- shall be ventilated so as to minimize lessly tilted and shall not be stacked in drafts, odors, and moisture condensa- a manner which may reasonably be ex- tion. Auxiliary ventilation, such as expected to result in their falling. haust fans and vents or air condi- [43 FR 21163, May 16, 1978, as amended at 43 tioning, shall be provided when the am- FR 56216, Dec. 1, 1978; 55 FR 28883, July 16, bient temperature is 85 °F. or higher. 1990] (c) Lighting. Indoor housing facilities for rabbits shall have ample light, by Subpart C—Specifications for the natural or artificial means, or both, of Humane Handling, Care, good quality and well distributed. Such Treatment and Transportation lighting shall provide uniformly dis- of Rabbits tributed illumination of sufficient light intensity to permit routine in- FACILITIES AND OPERATING STANDARDS spection and cleaning during the entire § 3.50 Facilities, general. working period. Primary enclosures shall be so placed as to protect the rab- (a) Structural strength. Indoor and bits from excessive illumination. outdoor housing facilities for rabbits (d) The interior shall be structurally sound and shall be Interior surfaces. maintained in good repair, to protect building surfaces of indoor housing fa- the animals from injury, to contain the cilities shall be constructed and main- animals, and to restrict the entrance of tained so that they are substantially other animals. impervious to moisture and may be (b) Water and electric power. Reliable readily sanitized. and adequate electric power, if required to comply with other provisions § 3.52 Facilities, outdoor. of this subpart, and adequate potable (a) Shelter from sunlight. When sun- water shall be available. light is likely to cause overheating or (c) Storage. Supplies of food and bed- discomfort, sufficient shade shall be ding shall be stored in facilities which provided to allow all rabbits kept out- adequately protect such supplies doors to protect themselves from the against infestation or contamination direct rays of the sun. When the atmos- by vermin. Refrigeration shall be pro- pheric temperature exceeds 90 °F. arti- vided for supplies of perishable food. ficial cooling shall be provided by a (d) Waste disposal. Provision shall be sprinkler system or other means. made for the removal and disposal of (b) Shelter from rain or snow. Rabbits animal and food wastes, bedding, dead animals, and debris. Disposal facilities kept outdoors shall be provided with shall be so provided and operated as to access to shelter to allow them to re- minimize vermin infestation, odors, main dry during rain or snow. and disease hazards. (c) Shelter from cold weather. Shelter (e) Washroom and sinks. Facilities, shall be provided for all rabbits kept such as washrooms, basins, or sinks, outdoors when the atmospheric tem- shall be provided to maintain cleanli- perature falls below 40 °F. ness among animal caretakers. (d) Protection from predators. Outdoor [32 FR 3273, Feb. 24, 1967, as amended at 44 housing facilities for rabbits shall be FR 63492, Nov. 2, 1979] fenced or otherwise enclosed to minimize the entrance of predators. § 3.51 Facilities, indoor. (e) Drainage. A suitable method shall (a) Heating. Indoor housing facilities be provided to rapidly eliminate excess for rabbits need not be heated. water.

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§ 3.53 Primary enclosures. with adequate freedom of movement. All primary enclosures for rabbits Each rabbit housed in a primary enclo- shall conform to the following require- sure shall be provided a minimum ments: amount of floor space, exclusive of the space taken up by food and water re- (a) General. (1) Primary enclosures shall be structurally sound and main- ceptacles, in accordance with the fol- tained in good repair to protect the lowing table: rabbits from injury, to contain them, Minimum and to keep predators out. space per Category Individual weights rabbit (2) Primary enclosures shall be con- (pounds) (square structed and maintained so as to en- inches) able the rabbits to remain dry and Groups ...... 3 through 5 ...... 144 clean. 6 through 8 ...... 288 (3) Primary enclosures shall be con- 9 or more ...... 432 structed and maintained so that the Individual adults ...... 3 through 5 ...... 180 6 through 8 ...... 360 rabbits contained therein have conven- 9 through 11 ...... 540 ient access to clean food and water as 12 or more ...... 720 required in this subpart. Nursing females ...... 3 through 5 ...... 576 6 through 8 ...... 720 (4) The floors of the primary enclo- 9 through 11 ...... 864 sures shall be constructed so as to pro- 12 or more ...... 1080 tect the rabbits’ feet and legs from injury. Litter shall be provided in all pri- (c) Space requirements for primary en- mary enclosures having solid floors. closures acquired on or after August 15, (5) A suitable nest box containing 1990. (1) Primary enclosures shall be clean nesting material shall be pro- constructed and maintained so as to vided in each primary enclosure hous- provide sufficient space for the animal ing a female with a litter less than one to make normal postural adjustments month of age. with adequate freedom of movement. (b) Space requirements for primary en- (2) Each rabbit housed in a primary closures acquired before August 15, 1990. enclosure shall be provided a minimum Primary enclosures shall be con- amount of floor space, exclusive of the structed and maintained so as to pro- space taken up by food and water re- vide sufficient space for the animal to ceptacles, in accordance with the fol- make normal postural adjustments lowing table:

Individual weights Minimum floor space Minimum interior height

kg lbs m2 ft2 cm in

Individual rabbits (weaned) ...... <2 <4.4 0.14 1.5 35.56 14 2–4 4.4–8.8 0.28 3.0 35.56 14 4–5.4 8.8–11.9 0.37 4.0 35.56 14 >5.4 >11.9 0.46 5.0 35.56 14

Weight of nursing female Minimum floor space/fe- Minimum interior height male & litter kg lbs cm in m2 ft2

Females with litters ...... <2 <4.4 0.37 4.0 35.56 14 2–4 4.4–8.8 0.46 5.0 35.56 14 4–5.4 8.8–11.9 0.56 6.0 35.56 14 >5.4 >11.9 0.70 7.5 35.56 14

(3) Innovative primary enclosures facilities when approved by the Institu- that do not precisely meet the space tional Animal Care and Use Com- requirements of paragraph (c)(2) of this mittee, and by dealers and exhibitors section, but that do provide rabbits when approved by the Administrator. with a sufficient volume of space and [32 FR 3273, Feb. 24, 1967, as amended at 55 the opportunity to express species-typ- FR 28883, July 16, 1990] ical behavior, may be used at research

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ANIMAL HEALTH AND HUSBANDRY previously occupied, such enclosures STANDARDS shall be sanitized in the manner provided in paragraph (b)(3) of this sec- § 3.54 Feeding. tion. (a) Rabbits shall be fed at least once (3) Primary enclosures for rabbits each day except as otherwise might be shall be sanitized by washing them required to provide adequate veteri- with hot water (180 °F.) and soap or de- nary care. The food shall be free from tergent as in a mechanical cage wash- contamination, wholesome, palatable er, or by washing all soiled surfaces and of sufficient quantity and nutritive with a detergent solution followed by a value to meet the normal daily re- safe and effective disinfectant, or by quirements for the condition and size cleaning all soiled surfaces with live of the rabbit. steam or flame. (b) Food receptacles shall be acces- (c) Housekeeping. Premises (buildings sible to all rabbits in a primary enclo- and grounds) shall be kept clean and in sure and shall be located so as to mini- good repair in order to protect the ani- mize contamination by excreta. All mals from injury and to facilitate the food receptacles shall be kept clean prescribed husbandry practices set and sanitized at least once every 2 forth in this subpart. Premises shall re- weeks. If self feeders are used for the main free of accumulations of trash. feeding of dry feed, measures must be (d) Pest control. An effective program taken to prevent molding, deteriora- for the control of insects, tion or caking of the feed. ectoparasites, and avian and mammalian pests shall be established and § 3.55 Watering. maintained. Sufficient potable water shall be provided daily except as might otherwise § 3.57 Employees. be required to provide adequate veteri- A sufficient number of employees nary care. All watering receptacles shall be utilized to maintain the pre- shall be sanitized when dirty: Provided, scribed level of husbandry practices set however, That such receptacles shall be forth in this subpart. Such practices sanitized at least once every 2 weeks. shall be under the supervision of an animal caretaker who has a back- § 3.56 Sanitation. ground in animal husbandry or care. (a) Cleaning of primary enclosures. (1) Primary enclosures shall be kept rea- § 3.58 Classification and separation. sonably free of excreta, hair, cobwebs Animals housed in the same primary and other debris by periodic cleaning. enclosure shall be maintained in com- Measures shall be taken to prevent the patible groups, with the following addi- wetting of rabbits in such enclosures if tional restrictions: a washing process is used. (a) Rabbits shall not be housed in the (2) In primary enclosures equipped same primary enclosure with any other with solid floors, soiled litter shall be species of animals unless required for removed and replaced with clean litter scientific reasons. at least once each week. (3) If primary enclosures are equipped (b) Rabbits under quarantine or with wire or mesh floors, the troughs treatment for a communicable disease or pans under such enclosures shall be shall be separated from other rabbits cleaned at least once each week. If and other susceptible species of ani- worm bins are used under such enclo- mals in such a manner as to minimize sures they shall be maintained in a dissemination of such disease. sanitary condition. § 3.59 [Reserved] (b) Sanitization of primary enclosures. (1) Primary enclosures for rabbits shall TRANSPORTATION STANDARDS be sanitized at least once every 30 days in the manner provided in paragraph AUTHORITY: Sections 3.60 through 3.66 (b)(3) of this section. issued under secs. 3, 5, 6, 10, 11, 14, 16, 17, 21; (2) Prior to the introduction of rab- 80 Stat. 353; 84 Stat. 1561, 1562, 1563, 1564; 90 bits into empty primary enclosures Stat. 418, 420, 423 (7 U.S.C. 2133, 2135, 2136,

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2140, 2141, 2144, 2146, 2147, 2151); 37 FR 28464, certificate shall include at least the 28477, 38 FR 19141. following information: SOURCE: Sections 3.60 through 3.66 appear (1) Name and address of the con- at 42 FR 31565, June 21, 1977, unless otherwise signor; noted. (2) The number of rabbits in the primary enclosure(s); § 3.60 Consignments to carriers and in- (3) A certifying statement (e.g., ‘‘I termediate handlers. hereby certify that the ll (number) (a) Carriers and intermediate han- primary enclosure(s) which are used to dlers shall not accept any live rabbit transport the animal(s) in this ship- presented by any dealer, research facil- ment complies (comply) with USDA ity, exhibitor, operator of an auction standards for primary enclosures (9 sale, or other person, or any depart- CFR part 3).’’); and ment, agency, or instrumentality of (4) The signature of the consignor, the United States or any State or local and date. government for shipment, in com- (c) Carriers or intermediate handlers merce, more than 4 hours prior to the whose facilities fail to meet the min- scheduled departure of the primary imum temperature allowed by the conveyance on which it is to be trans- standards may accept for transpor- ported: Provided, however, That the car- tation or transport, in commerce, any rier or intermediate handler and any live rabbit consigned by any depart- dealer, research facility, exhibitor, op- ment, agency, or instrumentality of erator of an auction sale, or other per- the United States or of any State or son, or any department, agency, or in- local government, or by any person (instrumentality of the United States or cluding any licensee or registrant any State or local government may under the Act, as well as any private mutually agree to extend the time of individual) if the consignor furnishes acceptance to not more than 6 hours if to the carrier or intermediate handler specific prior scheduling of the animal a certificate executed by a veterinarian shipment to destination has been accredited by this Department pursu- made. ant to part 160 of this title on a speci- (b) Any carrier or intermediate han- fied date which shall not be more than dler shall only accept for transpor- 10 days prior to delivery of such rabbit tation or transport, in commerce, any for transportation in commerce, stat- live rabbit in a primary enclosure ing that such live rabbit is acclimated which conforms to the requirements to air temperatures lower than those set forth in § 3.61 of the standards: Pro- prescribed in §§ 3.65 and 3.66. A copy of vided, however, That any carrier or in- such certificate shall accompany the termediate handler may accept for shipment to destination. The certifi- transportation or transport, in com- cate shall include at least the fol- merce, any live rabbit consigned by lowing information: any department, agency, or instrumen- (1) Name and address of the con- tality of the United States having lab- signor; oratory animal facilities or exhibiting (2) The number of rabbits in the ship- animals or any licensed or registered ment; dealer, research facility, exhibitor, or (3) A certifying statement (e.g., ‘‘I operator of any auction sale, if such hereby certify that the animal(s) in consignor furnishes to the carrier or this shipment is (are), to the best of intermediate handler a certificate, my knowledge, acclimated to air tem- signed by the consignor, stating that peratures lower than 7.2 °C. (45 °F.).)’’; the primary enclosure complies with and § 3.61 of the standards, unless such pri- (4) The signature of the USDA ac- mary enclosure is obviously defective credited veterinarian, assigned accredi- or damaged and it is apparent that it tation number, and date. cannot reasonably be expected to con- (d) Carriers and intermediate han- tain the live rabbit without causing dlers shall attempt to notify the con- suffering or injury to such live rabbit. signee at least once in every 6 hour pe- A copy of such certificate shall accom- riod following the arrival of any live pany the shipment to destination. The rabbit at the animal holding area of

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the terminal cargo facility. The time, on the upper one-half of the primary date, and method of each attempted enclosure; notification and the final notification (5) Except as provided in paragraph to the consignee and the name of the (h) of this section, projecting rims or person notifying the consignee shall be other devices shall be on the exterior of recorded on the copy of the shipping the outside walls with any ventilation document retained by the carrier or in- openings to prevent obstruction of the termediate handler and on a copy of ventilation openings and to provide a the shipping document accompanying minimum air circulation space 1.9 cen- the animal shipment. timeters (.75 inch) between the primary enclosure and any adjacent cargo or [42 FR 31565, June 21, 1977, as amended at 43 conveyance wall; and FR 21164, May 16, 1978; 44 FR 63493, Nov. 2, 1979] (6) Except as provided in paragraph (h) of this section, adequate handholds § 3.61 Primary enclosures used to or other devices for lifting shall be pro- transport live rabbits. vided on the exterior of the primary enclosure to enable the primary enclo- No person subject to the Animal Wel- sure to be lifted without tilting and to fare regulations shall offer for trans- ensure that the person handling the portation or transport in commerce primary enclosure will not be in con- any live rabbit in a primary enclosure tact with the rabbit. that does not conform to the following (b) Live rabbits transported in the requirements: same primary enclosure shall be main- (a) Primary enclosures, such as com- tained in compatible groups and shall partments, transport cages, cartons, or not be transported in the same primary crates, used to transport live rabbits enclosure with other specie of animals. shall be constructed in such a manner (c) Primary enclosures used to trans- that: port live rabbits shall be large enough (1) The stuctural strength of the en- to ensure that each rabbit contained closure shall be sufficient to contain therein has sufficient space to turn the live rabbits and to withstand the about freely and to make normal pos- normal rigors of transportation; tural adjustments. (2) The interior of the enclosure shall (d) Not more than 15 live rabbits be free from any protrusions that could shall be transported in the same pri- be injurious to the live rabbits con- mary enclosure. tained therein; (e) Primary enclosures used to trans- (3) The openings of such enclosures port live rabbits as provided in this are easily accessible at all times for section shall have solid bottoms to pre- emergency removal of the live rabbits; vent leakage in shipment and shall be (4) Except as provided in paragraph cleaned and sanitized in a manner pre- (h) of this section, there are ventila- scribed in § 3.56 of the standards, if pre- tion openings located on two opposite viously used. Such primary enclosures walls of the primary enclosure and the shall contain clean litter of a suitable ventilation openings on each such wall absorbent material which is safe and shall be at least 16 percent of the total nontoxic to the rabbits, in sufficient surface area of each such wall, or there quantity to absorb and cover excreta, are ventilation openings located on all unless the rabbits are on wire or other four walls of the primary enclosure and nonsolid floors. the ventilation openings on each such (f) Primary enclosures used to trans- wall shall be at least 8 percent of the port live rabbits, except where such total surface area of each such wall: primary enclosures are permanently af- Provided, however, That at least one- fixed in the animal cargo space of the third of the total minimum area re- primary conveyance, shall be clearly quired for ventilation of the primary marked on top and on one or more enclosure shall be located on the lower sides with the works ‘‘Live Animal’’ in one-half of the primary enclosure and letters not less than 2.5 centimeters (1 at least one-third of the total min- inch) in height, and with arrows or imum area required for ventilation of other markings, to indicate the correct the primary enclosure shall be located upright position of the container.

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(g) Documents accompanying the unless proper precaution is taken to shipment shall be attached in an easily prevent such injury. accessible manner to the outside of a (g) The animal cargo space of pri- primary enclosure which is part of such mary conveyances used to transport shipment. rabbits shall be mechanically sound (h) When a primary enclosure is per- and provide fresh air by means of win- manently affixed within the animal dows, doors, vents, or air conditioning cargo space of the primary conveyance so as to minimize drafts, odors, and so that the front opening is the only moisture condensation. Auxiliary ven- source of ventilation for such primary tilation, such as fans, blowers, or air enclosure, the front opening shall open conditioners, shall be used in any cargo directly to the outside or to an unob- space containing live rabbits when the structed aisle or passageway within the ambient temperature in the animal primary conveyance. Such front ven- cargo space is 75 °F (23.9 °C) or higher. tilation opening shall be at least 90 The ambient temperature within the percent of the total surface area of the animal cargo space shall not exceed 85 front wall of the primary enclosure and °F (29.5 °C) or fall below 45 °F (7.2 °C), covered with bars, wire mesh or except that the ambient temperature smooth expanded metal. in the cargo space may be below 45 °F ° [42 FR 31565, June 21, 1977, as amended at 43 (7.2 C) if the rabbits are accompanied FR 21164, May 16, 1978; 55 FR 28883, July 16, by a certificate of acclimation to lower 1990] temperatures, as provided in § 3.60(c) of this part. § 3.62 Primary conveyances (motor vehicle, rail, air, and marine). [42 FR 31565, June 21, 1977, as amended at 55 FR 28883, July 16, 1990] (a) The animal cargo space of primary conveyances used in transporting § 3.63 Food and water requirements. live rabbits shall be designed and con- (a) If live rabbits are to be trans- structed to protect the health, and en- ported for a period of more than 6 sure the safety and comfort of the rab- hours, they shall have access to food bits contained therein at all times. (b) The animal cargo space shall be and water or a type of food, which pro- constructed and maintained in a man- vides the requirements for food and ner to prevent the ingress of engine ex- water in quantity and quality suffi- haust fumes and gases from the pri- cient to satisfy their food and water mary conveyance during transpor- needs, during transit. tation in commerce. (b) Any dealer, research facility, ex- (c) No live rabbit shall be placed in hibitor or operator of an auction sale an animal cargo space that does not offering any live rabbit to any carrier have a supply of air sufficient for nor- or intermediate handler for transpor- mal breathing for each live animal con- tation, in commerce, shall provide an tained therein, and the primary enclo- adequate supply of food or type of food, sures shall be positioned in the animal which provides the requirements for cargo space in such a manner that each food and water, within the primary en- rabbit has access to sufficient air for closure to meet the requirements of normal breathing. this section. (d) Primary enclosures shall be posi- (c) No carrier or intermediate han- tioned in the primary conveyance in dler shall accept for transportation, in such a manner that in an emergency commerce, any live rabbit without an the live rabbits can be removed from adequate supply of food or type of food, the primary conveyance as soon as pos- which provides the requirements for sible. food and water, within the primary en- (e) The interior of the animal cargo closure to meet the requirements of space shall be kept clean. this section. (f) Live rabbits shall not be transported with any material, substance § 3.64 Care in transit. (e.g., dry ice) or device which may rea- (a) During surface transportation, it sonably be expected to be injurious to shall be the responsibility of the driver the health and well-being of the rabbits or other employee to visually observe

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the live rabbits as frequently as cir- with fresh air by means of windows, cumstances may dictate, but not less doors, vents, or air conditioning and than once every 4 hours, to assure that may be ventilated or air circulated by they are receiving sufficient air for means of fans, blowers, or an air condi- normal breathing, their ambient tem- tioning system so as to minimize peratures are within the prescribed drafts, odors, and moisture condensa- limits, all other applicable standards tion. Auxiliary ventilation, such as ex- are being complied with and to deter- haust fans and vents or fans or blowers mine whether any of the live rabbits or air conditioning shall be used for are in obvious physical disress and to any animal holding area containing provide any needed veterinary care as live rabbits when the air temperature soon as possible. When transported by within such animal holding area is 23.9 air, live rabbits shall be visually ob- °C. (75 °F.) or higher. The air tempera- served by the carrier as frequently as ture around any live rabbit in any ani- circumstances may dictate, but not mal holding area shall not be allowed less than once every 4 hours, if the to fall below 7.2 °C. (45 °F.) nor be al- cargo space is accessible during flight. lowed to exceed 29.5 °C. (85 °F.) at any If the animal cargo space is not acces- time. To ascertain compliance with the sible during flight, the carrier shall provisions of this paragraph, the air visually observe the live rabbits when- temperature around any live rabbit ever loaded and unloaded and whenever shall be measured and read outside the the animal cargo space is otherwise ac- primary enclosure which contains such cessible to assure that they are receiv- rabbit at a distance not to exceed .91 ing sufficient air for normal breathing, meters (3 feet) from any one of the ex- their ambient temperatures are within ternal walls of the primary enclosure the prescribed limits, all other applica- and on a level parallel to the bottom of ble standards are being complied with such primary enclosure at a point and to determine whether any such live which approximates half the distance rabbits are in obvious physical distress. between the top and bottom of such The carrier shall provide any needed primary enclosure. veterinary care as soon as possible. No [43 FR 56216, Dec. 1, 1978, as amended at 55 rabbit in obvious physical distress FR 28883, July 16, 1990]] shall be transported in commerce. (b) During the course of transpor- § 3.66 Handling. tation, in commerce, live rabbits shall (a) Any person who is subject to the not be removed from their primary en- Animal Welfare regulations and who closures unless placed in other primary moves live rabbits from an animal enclosures or facilities conforming to holding area of a terminal facility to a the requirements provided in this sub- primary conveyance or vice versa shall part. do so as quickly and efficiently as possible. Any person subject to the Animal § 3.65 Terminal facilities. Welfare regulations and holding any No person subject to the Animal Wel- live rabbit in an animal holding area of fare regulations shall commingle ship- a terminal facility or transporting any ments of live rabbits with inanimate live rabbit to or from a terminal facil- cargo. All animal holding areas of a ity shall provide the following: terminal facility where shipments of (1) Shelter from sunlight. When sun- rabbits are maintained shall be cleaned light is likely to cause overheating or and sanitized as prescribed in § 3.56 of discomfort, sufficient shade shall be the standards often enough to prevent provided to protect the live rabbits an accumulation of debris or excreta, from the direct rays of the sun and to minimize vermin infestation, and to such live rabbits shall not be subjected prevent a disease hazard. An effective to surrounding air temperatures which program for the control of insects, exceed 29.5 °C. (85 °F.), and which shall ectoparasites, and avian and mamma- be measured and read in the manner lian pests shall be established and prescribed in § 3.65 of this part, for a pe- maintained for all animal holding riod of more than 45 minutes. areas. Any animal holding area con- (2) Shelter from rain or snow. Live rab- taining live rabbits shall be provided bits shall be provided protection to

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allow them to remain dry during rain be designed and constructed so that or snow. they are structurally sound for the spe- (3) Shelter from cold weather. Trans- cies of nonhuman primates housed in porting devices shall be covered to pro- them. They must be kept in good re- vide protection for live rabbits when pair, and they must protect the ani- the outdoor air temperature falls below mals from injury, contain the animals 10 °C. (50 °F.), and such live rabbits securely, and restrict other animals shall not be subjected to surrounding from entering. air temperatures which fall below 7.2 (b) Condition and site. Housing facili- °C. (45 °F.), and which shall be meas- ties and areas used for storing animal ured and read in the manner prescribed food or bedding must be free of any ac- in § 3.65 of this part, for a period of cumulation of trash, waste material, more than 45 minutes unless such rab- junk, weeds, and other discarded mate- bits are accompanied by a certificate of rials. Animal areas inside of housing acclimation to lower temperatures as facilities must be kept neat and free of prescribed in § 3.60(c). clutter, including equipment, fur- (b) Care shall be exercised to avoid niture, or stored material, but may handling of the primary enclosure in contain materials actually used and such a manner that may cause physical necessary for cleaning the area, and or emotional trauma to the live rabbit fixtures and equipment necessary for contained therein. proper husbandry practices and re- (c) Primary enclosures used to trans- search needs. Housing facilities other port any live rabbit shall not be tossed, than those maintained by research fa- dropped, or needlessly tilted and shall cilities and Federal research facilities not be stacked in a manner which may must be physically separated from any reasonably be expected to result in other businesses. If a housing facility their falling. is located on the same premises as any other businesses, it must be physically [43 FR 21164, May 16, 1978, as amended at 43 FR 56216, Dec. 1, 1978; 55 FR 28883, July 16, separated from the other businesses so 1990] that animals the size of dogs, skunks, and raccoons, are prevented from en- Subpart D—Specifications for the tering it. (c) Surfaces—(1) General requirements. Humane Handling, Care, The surfaces of housing facilities—in- Treatment, and Transportation cluding perches, shelves, swings, boxes, of Nonhuman Primates 2 houses, dens, and other furniture-type fixtures or objects within the facility— SOURCE: 56 FR 6495, Feb. 15, 1991, unless must be constructed in a manner and otherwise noted. made of materials that allow them to be readily cleaned and sanitized, or re- FACILITIES AND OPERATING STANDARDS moved or replaced when worn or soiled. Furniture-type fixtures or objects must § 3.75 Housing facilities, general. be sturdily constructed and must be (a) Structure: construction. Housing strong enough to provide for the safe facilities for nonhuman primates must activity and welfare of nonhuman primates. Floors may be made of dirt, ab- 2 Nonhuman primates include a great diver- sorbent bedding, sand, gravel, grass, or sity of forms, ranging from the marmoset other similar material that can be weighing only a few ounces, to the adult go- readily cleaned, or can be removed or rilla weighing hundreds of pounds, and include more than 240 species. They come from replaced whenever cleaning does not Asia, Africa, and Central and South Amer- ica, and they live in different habitats in na- these minimum specifications must be ap- ture. Some have been transported to the plied in accordance with the customary and United States from their natural habitats generally accepted professional and hus- and some have been raised in captivity in the bandry practices considered appropriate for United States. Their nutritional and activity each species, and necessary to promote their requirements differ, as do their social and psychological well-being. environmental requirements. As a result, the These minimum standards apply only to conditions appropriate for one species do not live nonhuman primates, unless stated oth- necessarily apply to another. Accordingly, erwise.

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eliminate odors, diseases, pests, in- cleaning and for carrying out other sects, or vermin. Any surfaces that husbandry requirements. come in contact with nonhuman pri- (e) Storage. Supplies of food and bed- mates must: ding must be stored in a manner that (i) Be free of excessive rust that pre- protects the supplies from spoilage, vents the required cleaning and saniti- contamination, and vermin infestation. zation, or that affects the structural The supplies must be stored off the strength of the surface; and floor and away from the walls, to allow (ii) Be free of jagged edges or sharp cleaning underneath and around the points that might injure the animals. supplies. Food requiring refrigeration (2) Maintenance and replacement of must be stored accordingly, and all surfaces. All surfaces must be main- food must be stored in a manner that tained on a regular basis. Surfaces of prevents contamination and deteriora- housing facilities—including houses, tion of its nutritive value. Only the dens, and other furniture-type fixtures food and bedding currently being used and objects within the facility—that may be kept in animal areas, and when cannot be readily cleaned and sani- not in actual use, open food and bed- tized, must be replaced when worn or ding supplies must be kept in leakproof soiled. containers with tightly fitting lids to (3) Cleaning. Hard surfaces with prevent spoilage and contamination. which nonhuman primates come in Substances that are toxic to the contact must be spot-cleaned daily and nonhuman primates but that are re- sanitized in accordance with § 3.84 of quired for normal husbandry practices this subpart to prevent accumulation must not be stored in food storage and of excreta or disease hazards. If the preparation areas, but may be stored in species scent mark, the surfaces must cabinets in the animal areas. be sanitized or replaced at regular in- (f) Drainage and waste disposal. Hous- tervals as determined by the attending ing facility operators must provide for veterinarian in accordance with gen- regular and frequent collection, re- erally accepted professional and hus- moval, and disposal of animal and food bandry practices. Floors made of dirt, wastes, bedding, dead animals, debris, absorbent bedding, sand, gravel, grass, garbage, water, and any other fluids or other similar material, and planted and wastes, in a manner that mini- enclosures must be raked or spot- mizes contamination and disease risk. cleaned with sufficient frequency to Housing facilities must be equipped ensure all animals the freedom to with disposal facilities and drainage avoid contact with excreta. Contami- systems that are constructed and oper- nated material must be removed or re- ated so that animal wastes and water placed whenever raking and spot clean- are rapidly eliminated and the animals ing does not eliminate odors, diseases, stay dry. Disposal and drainage sys- insects, pests, or vermin infestation. tems must minimize vermin and pest All other surfaces of housing facilities infestation, insects, odors, and disease must be cleaned and sanitized when hazards. All drains must be properly necessary to satisfy generally accepted constructed, installed, and maintained. husbandry standards and practices. If closed drainage systems are used, Sanitization may be done by any of the they must be equipped with traps and methods provided in § 3.84(b)(3) of this prevent the backflow of gases and the subpart for primary enclosures. backup of sewage onto the floor. If the (d) Water and electric power. The hous- facility uses sump ponds, settlement ing facility must have reliable electric ponds, or other similar systems for power adequate for heating, cooling, drainage and animal waste disposal, ventilation, and lighting, and for car- the system must be located far enough rying out other husbandry require- away from the animal area of the hous- ments in accordance with the regula- ing facility to prevent odors, diseases, tions in this subpart. The housing fa- insects, pests, and vermin infestation. cility must provide running potable If drip or constant flow watering de- water for the nonhuman primates’ vices are used to provide water to the drinking needs. It must be adequate for animals, excess water must be rapidly

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drained out of the animal areas by gut- generally accepted professional and ters or pipes so that the animals stay husbandry practices. dry. Standing puddles of water in ani- (c) Lighting. Indoor housing facilities mal areas must be mopped up or must be lighted well enough to permit drained so that the animals remain routine inspection and cleaning of the dry. Trash containers in housing facili- facility, and observation of the ties and in food storage and food prepa- nonhuman primates. Animal areas ration areas must be leakproof and must be provided a regular diurnal must have tightly fitted lids on them lighting cycle of either natural or arti- at all times. Dead animals, animal ficial light. Lighting must be uni- parts, and animal waste must not be formly diffused throughout animal fa- kept in food storage or food prepara- cilities and provide sufficient illumination areas, food freezers, food refrig- tion to aid in maintaining good house- erators, and animal areas. keeping practices, adequate cleaning, (g) Washrooms and sinks. Washing fa- adequate inspection of animals, and for cilities, such as washrooms, basins, the well-being of the animals. Primary sinks, or showers must be provided for enclosures must be placed in the hous- animal caretakers and must be readily ing facility so as to protect the accessible. nonhuman primates from excessive light. § 3.76 Indoor housing facilities. § 3.77 Sheltered housing facilities. (a) Heating, cooling, and temperature. (a) Heating, cooling, and temperature. Indoor housing facilities must be suffi- The sheltered part of sheltered housing ciently heated and cooled when nec- facilities must be sufficiently heated essary to protect nonhuman primates and cooled when necessary to protect from temperature extremes and to pro- the nonhuman primates from tempera- vide for their health and well-being. ture extremes, and to provide for their The ambient temperature in the facil- health and well-being. The ambient ° ° ity must not fall below 45 F (7.2 C) for temperature in the sheltered part of more than 4 consecutive hours when the facility must not fall below 45 °F nonhuman primates are present, and (7.2 °C) for more than 4 consecutive ° ° must not rise above 85 F (29.5 C) for hours when nonhuman primates are more than 4 consecutive hours when present, and must not rise above 85 °F nonhuman primates are present. The (29.5 °C) for more than 4 consecutive ambient temperature must be main- hours when nonhuman primates are tained at a level that ensures the present, unless temperatures above 85 health and well-being of the species °F (29.5 °C) are approved by the attend- housed, as directed by the attending ing veterinarian, in accordance with veterinarian, in accordance with gen- generally accepted husbandry prac- erally accepted professional and hus- tices. The ambient temperature must bandry practices. be maintained at a level that ensures (b) Ventilation. Indoor housing facili- the health and well-being of the species ties must be sufficiently ventilated at housed, as directed by the attending all times when nonhuman primates are veterinarian, in accordance with gen- present to provide for their health and erally accepted professional and hus- well-being and to minimize odors, bandry practices. drafts, ammonia levels, and moisture (b) Ventilation. The sheltered part of condensation. Ventilation must be pro- sheltered animal facilities must be suf- vided by windows, doors, vents, fans, or ficiently ventilated at all times to pro- air conditioning. Auxiliary ventilation, vide for the health and well-being of such as fans, blowers, or air condi- nonhuman primates and to minimize tioning, must be provided when the odors, drafts, ammonia levels, and ambient temperature is 85 °F (29.5 °C) moisture condensation. Ventilation or higher. The relative humidity main- must be provided by windows, doors, tained must be at a level that ensures vents, fans, or air conditioning. Auxil- the health and well-being of the ani- iary ventilation, such as fans, blowers, mals housed, as directed by the attend- or air conditioning, must be provided ing veterinarian, in accordance with when the ambient temperature is 85 °F

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(29.5 °C) or higher. The relative humid- ficient distance from the outside wall ity maintained must be at a level that or fence of the primary enclosure to ensures the health and well-being of prevent physical contact between ani- the species housed, as directed by the mals inside the enclosure and outside attending veterinarian, in accordance the perimeter fence. Such fences less with generally accepted professional than 3 feet in distance from the pri- and husbandry practices. mary enclosure must be approved by (c) Lighting. The sheltered part of the Administrator. A perimeter fence sheltered housing facilities must be is not required if: lighted well enough to permit routine (1) The outside walls of the primary inspection and cleaning of the facility, enclosure are made of a sturdy, durable and observation of the nonhuman pri- material such as concrete, wood, plas- mates. Animal areas must be provided tic, metal, or glass, and are high a regular diurnal lighting cycle of ei- enough and constructed in a manner ther natural or artificial light. Light- that restricts contact with or entry by ing must be uniformly diffused humans and animals that are outside throughout animal facilities and pro- the sheltered housing facility; or vide sufficient illumination to aid in (2) The housing facility is surrounded maintaining good housekeeping prac- by a natural barrier that restricts the tices, adequate cleaning, adequate in- nonhuman primates to the housing fa- spection of animals, and for the well- cility and protects them from contact being of the animals. Primary enclo- with unauthorized humans and animals sures must be placed in the housing fa- that are outside the sheltered housing cility so as to protect the nonhuman facility, and the Administrator gives primates from excessive light. written permission (d) Shelter from the elements. Sheltered (g) Public barriers. Fixed public exhib- housing facilities for nonhuman pri- its housing nonhuman primates, such mates must provide adequate shelter as zoos, must have a barrier between from the elements at all times. They the primary enclosure and the public must provide protection from the sun, at any time the public is present, that rain, snow, wind, and cold, and from restricts physical contact between the any weather conditions that may public and the nonhuman primates. occur. Nonhuman primates used in trained (e) Capacity: multiple shelters. Both animal acts or in uncaged public exhib- the sheltered part of sheltered housing its must be under the direct control facilities and any other necessary shel- and supervision of an experienced han- ter from the elements must be suffi- dler or trainer at all times when the ciently large to provide protection public is present. Trained nonhuman comfortably to each nonhuman pri- primates may be permitted physical mate housed in the facility. If aggres- contact with the public, as allowed sive or dominant animals are housed in under § 2.131, but only if they are under the facility with other animals, there the direct control and supervision of an must be multiple shelters or other experienced handler or trainer at all means to ensure that each nonhuman times during the contact. primate has access to shelter. (f) Perimeter fence. On and after Feb- (Approved by the Office of Management and ruary 15, 1994, the outdoor area of a Budget under control number 0579–0093) sheltered housing facility must be enclosed by a fence that is of sufficient § 3.78 0utdoor housing facilities. height to keep unwanted species out. (a) Acclimation. Only nonhuman pri- Fences less than 6 feet high must be mates that are acclimated, as deter- approved by the Administrator. The mined by the attending veterinarian, fence must be constructed so that it to the prevailing temperature and hu- protects nonhuman primates by re- midity at the outdoor housing facility stricting unauthorized humans, and during the time of year they are at the animals the size of dogs, skunks, and facility, and that can tolerate the raccoons from going through it or range of temperatures and climatic under it and having contact with the conditions known to occur at the facil- nonhuman primates. It must be of suf- ity at that time of year without stress

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or discomfort, may be kept in outdoor cility and protects them from contact facilities. with unauthorized humans and animals (b) Shelter from the elements. Outdoor that are outside the housing facility, housing facilities for nonhuman pri- and the Administrator gives written mates must provide adequate shelter permission. from the elements at all times. It must (e) Public barriers. Fixed public exhib- provide protection from the sun, rain, its housing nonhuman primates, such snow, wind, and cold, and from any as zoos, must have a barrier between weather conditions that may occur. the primary enclosure and the public The shelter must safely provide heat to at any time the public is present, in the nonhuman primates to prevent the order to restrict physical contact be- ambient temperature from falling tween the public and the nonhuman below 45 °F (7.2 °C), except as directed primates. Nonhuman primates used in by the attending veterinarian and in trained animal acts or in uncaged pub- accordance with generally accepted lic exhibits must be under the direct professional and husbandry practices. control and supervision of an experi- (c) Capacity: multiple shelters. The enced handler or trainer at all times shelter must be sufficiently large to when the public is present. Trained comfortably provide protection for nonhuman primates may be allowed each nonhuman primate housed in the physical contact with the public, but facility. If aggressive or dominant ani- only if they are under the direct con- mals are housed in the facility with trol and supervision of an experienced other animals there must be multiple handler or trainer at all times during shelters, or other means to ensure pro- the contact. tection for each nonhuman primate (Approved by the Office of Management and housed in the facility. Budget under control number 0579–0093) (d) Perimeter fence. On and after Feb- ruary 15, 1994, an outdoor housing facil- § 3.79 Mobile or traveling housing fa- ity must be enclosed by a fence that is cilities. of sufficient height to keep unwanted (a) Heating, cooling, and temperature. species out. Fences less than 6 feet Mobile or traveling housing facilities high must be approved by the Adminis- must be sufficiently heated and cooled trator. The fence must be constructed when necessary to protect nonhuman so that it protects nonhuman primates primates from temperature extremes by restricting unauthorized humans, and to provide for their health and and animals the size of dogs, skunks, well-being. The ambient temperature and raccoons from going through it or in the traveling housing facility must under it and having contact with the not fall below 45 °F (7.2 °C) for more nonhuman primates. It must be of suf- than 4 consecutive hours when ficient distance from the outside wall nonhuman primates are present, and or fence of the primary enclosure to must not rise above 85 °F (29.5 °C) for prevent physical contact between ani- more than 4 consecutive hours when mals inside the enclosure and outside nonhuman primates are present. The the perimeter fence. Such fences less ambient temperature must be main- than 3 feet in distance from the pri- tained at a level that ensures the mary enclosure must be approved by health and well-being of the species the Administrator. A perimeter fence housed, as directed by the attending is not required if: veterinarian, and in accordance with (1) The outside walls of the primary generally accepted professional and enclosure are made of a sturdy, durable husbandry practices. material such as concrete, wood, plas- (b) Ventilation. Traveling housing fa- tic, metal, or glass, and are high cilities must be sufficiently ventilated enough and constructed in a manner at all times when nonhuman primates that restricts contact with or entry by are present to provide for the health humans and animals that are outside and well-being of nonhuman primates the housing facility; or and to minimize odors, drafts, ammo- (2) The housing facility is surrounded nia levels, moisture condensation, and by a natural barrier that restricts the exhaust fumes. Ventilation must be nonhuman primates to the housing fa- provided by means of windows, doors,

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vents, fans, or air conditioning. Auxil- (ii) Protect the nonhuman primates iary ventilation, such as fans, blowers, from injury; or air conditioning, must be provided (iii) Contain the nonhuman primates when the ambient temperature in the securely and prevent accidental open- traveling housing facility is 85 °F (29.5 ing of the enclosure, including opening °C) or higher. by the animal; (c) Lighting. Mobile or traveling (iv) Keep other unwanted animals housing facilities must be lighted well from entering the enclosure or having enough to permit routine inspection physical contact with the nonhuman and cleaning of the facility, and obser- primates; vation of the nonhuman primates. Ani- (v) Enable the nonhuman primates to mal areas must be provided a regular remain dry and clean; diurnal lighting cycle of either natural (vi) Provide shelter and protection or artificial light. Lighting must be from extreme temperatures and weath- uniformly diffused throughout animal er conditions that may be uncomfort- facilities and provide sufficient illu- able or hazardous to the species of mination to aid in maintaining good nonhuman primate contained; housekeeping practices, adequate (vii) Provide sufficient shade to shel- cleaning, adequate inspection of ani- ter all the nonhuman primates housed mals, and for the well-being of the ani- in the primary enclosure at one time; mals. Primary enclosures must be (viii) Provide the nonhuman pri- placed in the housing facility so as to mates with easy and convenient access protect the nonhuman primates from to clean food and water; excessive light. (ix) Enable all surfaces in contact (d) Public barriers. There must be a with nonhuman primates to be readily barrier between a mobile or traveling cleaned and sanitized in accordance housing facility and the public at any with § 3.84(b)(3) of this subpart, or re- time the public is present, in order to placed when worn or soiled; restrict physical contact between the (x) Have floors that are constructed nonhuman primates and the public. in a manner that protects the Nonhuman primates used in traveling nonhuman primates from injuring exhibits, trained animal acts, or in un- themselves; and caged public exhibits must be under (xi) Provide sufficient space for the the direct control and supervision of an nonhuman primates to make normal experienced handler or trainer at all postural adjustments with freedom of times when the public is present. movement. Trained nonhuman primates may be al- (b) Minimum space requirements. Pri- lowed physical contact with the public, mary enclosures must meet the min- but only if they are under the direct imum space requirements provided in control and supervision of an experi- this subpart. These minimum space re- enced handler or trainer at all times quirements must be met even if perch- during the contact. es, ledges, swings, or other suspended fixtures are placed in the enclosure. § 3.80 Primary enclosures. Low perches and ledges that do not allow the space underneath them to be Primary enclosures for nonhuman comfortably occupied by the animal primates must meet the following min- will be counted as part of the floor imum requirements: space. (a) General requirements. (1) Primary (1) Prior to February 15, 1994: enclosures must be designed and con- (i) Primary enclosures must be constructed of suitable materials so that structed and maintained so as to pro- they are structurally sound for the spe- vide sufficient space to allow each cies of nonhuman primates contained nonhuman primate to make normal in them. They must be kept in good re- postural adjustments with adequate pair. freedom of movement; and (2) Primary enclosures must be con- (ii) Each nonhuman primate housed structed and maintained so that they: in a primary enclosure must be pro- (i) Have no sharp points or edges that vided with a minimum floor space could injure the nonhuman primates; equal to an area at least three times

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the area occupied by the primate when other nonhuman primates, will be de- standing on four feet. termined by the typical weight of ani- (2) On and after February 15, 1994: mals of its species, except for (i) The minimum space that must be brachiating species and great apes 3 and provided to each nonhuman primate, will be calculated by using the fol- whether housed individually or with lowing table: 4

Weight Floor area/animal Height Group lbs. (kg.) ft.2 (m 2) in. (cm.)

1 ...... under 2.2 ...... (under 1) ...... 1.6 (0.15) 20 (50.8) 2 ...... 2.2–6.6 ...... (1–3) ...... 3.0 (0.28) 30 (76.2) 3 ...... 6.6–22.0 ...... (3–10) ...... 4.3 (0.40) 30 (76.2) 4 ...... 22.0–33.0 ...... (10–15) ...... 6.0 (0.56) 32 (81.28) 5 ...... 33.0–55.0 ...... (15–25) ...... 8.0 (0.74) 36 (91.44) 6 ...... over 55.0 ...... (over 25) ...... 25.1 (2.33) 84 (213.36)

(ii) Dealers. exhibitors, and research sure, the minimum space requirement facilities, including Federal research for the enclosure is the sum of the min- facilities, must provide great apes imum floor area space required for weighing over 110 lbs. (50 kg) an addi- each individual nonhuman primate in tional volume of space in excess of that the table in paragraph (b)(2)(i) of this required for Group 6 animals as set section, and the minimum height re- forth in paragraph (b)(2)(i) of this sec- quirement for the largest nonhuman tion, to allow for normal postural ad- primate housed in the enclosure. Pro- justments. vided however, that mothers with in- (iii) In the case of research facilities, fants less than 6 months of age may be any exemption from these standards maintained together in primary enclo- must be required by a research pro- sures that meet the floor area space posal or in the judgment of the attend- and height requirements of the mother. ing veterinarian and must be approved (c) Innovative primary enclosures not by the Committee. In the case of deal- precisely meeting the floor area and ers and exhibitors, any exemption from height requirements provided in para- these standards must be required in the graphs (b)(1) and (b)(2) of this section, judgment of the attending veterinarian but that do provide nonhuman pri- and approved by the Administrator. mates with a sufficient volume of space (iv) When more than one nonhuman and the opportunity to express species- primate is housed in a primary enclo-

3 The different species of nonhuman pri- and require the minimum space require- mates are divided into six weight groups for ments of lighter weight species, unless the determining minimum space requirements, animal is obviously unable to make normal except that all brachiating species of any postural adjustments and movements within weight are grouped together since they re- the primary enclosure. quire additional space to engage in species- 4 Examples of the kinds of nonhuman pri- typical behavior. The grouping provided is mates typically included in each age group based upon the typical weight for various are: species and not on changes associated with Group 1—marmosets, tamarins, and infants obesity, aging, or pregnancy. These condi- (less than 6 months of age) of various spe- tions will not be considered in determining a cies. nonhuman primate’s weight group unless the Group 2—capuchins, squirrel monkeys and animal is obviously unable to make normal similar size species, and juveniles (6 months postural adjustments and movements within to 3 years of age) of various species. the primary enclosure. Different species of Group 3—macaques and African species. prosimians vary in weight and should be Group 4—male macaques and large African grouped with their appropriate weight group. species. They have not been included in the weight Group 5—baboons and nonbrachiating spe- table since different species typically fall cies larger than 33.0 lbs. (15 kg.). into different weight groups. Infants and ju- Group 6—great apes over 55.0 lbs. (25 kg.), veniles of certain species are substantially except as provided in paragraph (b)(2)(ii) of lower in weight than adults of those species this section, and brachiating species.

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typical behavior, may be used at re- shelter by individual animals. and are search facilities when approved by the not known to be hazardous to the Committee, and by dealers and exhibi- health and well-being of each other. tors when approved by the Adminis- Compatibility of nonhuman primates trator. must be determined in accordance with (Approved by the Office of Management and generally accepted professional prac- Budget under control number 0579–0093) tices and actual observations, as directed by the attending veterinarian, § 3.81 Environment enhancement to to ensure that the nonhuman primates promote psychological well-being. are in fact compatible. Individually Dealers, exhibitors, and research fa- housed nonhuman primates must be cilities must develop, document, and able to see and hear nonhuman pri- follow an appropriate plan for environ- mates of their own or compatible spe- ment enhancement adequate to pro- cies unless the attending veterinarian mote the psychological well-being of determines that it would endanger nonhuman primates. The plan must be their health, safety, or well-being. in accordance with the currently ac- (b) Environmental enrichment. The cepted professional standards as cited physical environment in the primary in appropriate professional journals or enclosures must be enriched by pro- reference guides, and as directed by the viding means of expressing noninju- attending veterinarian. This plan must rious species-typical activities. Species be made available to APHIS upon re- differences should be considered when quest, and, in the case of research fa- determining the type or methods of en- cilities, to officials of any pertinent richment. Examples of environmental funding agency. The plan, at a min- enrichments include providing perches, imum, must address each of the fol- swings, mirrors, and other increased lowing: cage complexities; providing objects to (a) Social grouping. The environment manipulate; varied food items; using enhancement plan must include spe- foraging or task-oriented feeding meth- cific provisions to address the social ods; and providing interaction with the needs of nonhuman primates of species care giver or other familiar and knowl- known to exist in social groups in na- edgeable person consistent with per- ture. Such specific provisions must be sonnel safety precautions. in accordance with currently accepted (c) Special considerations. Certain professional standards, as cited in ap- nonhuman primates must be provided propriate professional journals or ref- special attention regarding enhance- erence guides, and as directed by the ment of their environment, based on attending veterinarian. The plan may the needs of the individual species and provide for the following exceptions: in accordance with the instructions of (1) If a nonhuman primate exhibits the attending veterinarian. Nonhuman vicious or overly aggressive behavior, primates requiring special attention or is debilitated as a result of age or are the following: other conditions (e.g., arthritis), it should be housed separately; (1) Infants and young juveniles; (2) Nonhuman primates that have or (2) Those that show signs of being in are suspected of having a contagious psychological distress through behav- disease must be isolated from healthy ior or appearance; animals in the colony as directed by (3) Those used in research for which the attending veterinarian. When an the Committee-approved protocol re- entire group or room of nonhuman pri- quires restricted activity; mates is known to have or believed to (4) Individually housed nonhuman be exposed to an infectious agent, the primates that are unable to see and group may be kept intact during the hear nonhuman primates of their own process of diagnosis, treatment, and or compatible species; and control. (5) Great apes weighing over 110 lbs. (3) Nonhuman primates may not be (50 kg). Dealers, exhibitors, and re- housed with other species of primates search facilities must include in the or animals unless they are compatible, environment enhancement plan special do not prevent access to food, water, or provisions for great apes weighing over

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110 lbs. (50 kg), including additional op- ANIMAL HEALTH AND HUSBANDRY portunities to express species-typical STANDARDS behavior. (d) Restraint devices. Nonhuman pri- § 3.82 Feeding. mates must not be maintained in re- (a) The diet for nonhuman primates straint devices unless required for must be appropriate for the species, health reasons as determined by the at- size, age, and condition of the animal, tending veterinarian or by a research and for the conditions in which the proposal approved by the Committee at nonhuman primate is maintained, ac- research facilities. Maintenance under cording to generally accepted professional and husbandry practices and nu- such restraint must be for the shortest tritional standards. The food must be period possible. In instances where clean, wholesome, and palatable to the long-term (more than 12 hours) re- animals. It must be of sufficient quan- straint is required, the nonhuman pri- tity and have sufficient nutritive value mate must be provided the opportunity to maintain a healthful condition and daily for unrestrained activity for at weight range of the animal and to meet least one continuous hour during the its normal daily nutritional require- period of restraint, unless continuous ments. restraint is required by the research (b) Nonhuman primates must be fed proposal approved by the Committee at at least once each day except as other- research facilities. wise might be required to provide ade- (e) Exemptions. (1) The attending vet- quate veterinary care. Infant and juve- erinarian may exempt an individual nile nonhuman primates must be fed as nonhuman primate from participation often as necessary in accordance with in the environment enhancement plan generally accepted professional and because of its health or condition, or in husbandry practices and nutritional consideration of its well-being. The standards, based upon the animals’ age basis of the exemption must be re- and condition. corded by the attending veterinarian (c) Food and food receptacles, if used, for each exempted nonhuman primate. must be readily accessible to all the nonhuman primates being fed. If mem- Unless the basis for the exemption is a bers of dominant nonhuman primate or permanent condition, the exemption other species are fed together with must be reviewed at least every 30 days other nonhuman primates, multiple by the attending veterinarian. feeding sites must be provided. The (2) For a research facility, the Com- animals must be observed to determine mittee may exempt an individual that all receive a sufficient quantity of nonhuman primate from participation food. in some or all of the otherwise required (d) Food and food receptacles, if used, environment enhancement plans for must be located so as to minimize any scientific reasons set forth in the re- risk of contamination by excreta and search proposal. The basis of the ex- pests. Food receptacles must be kept emption shall be documented in the ap- clean and must be sanitized in accord- proved proposal and must be reviewed ance with the procedures listed in at appropriate intervals as determined § 3.84(b)(3) of this subpart at least once by the Committee, but not less than every 2 weeks. Used food receptacles annually. must be sanitized before they can be (3) Records of any exemptions must used to provide food to a different be maintained by the dealer, exhibitor, nonhuman primate or social grouping or research facility and must be made of nonhuman primates. Measures must available to USDA officials or officials be taken to ensure there is no molding, deterioration, contamination, or cak- of any pertinent funding Federal agen- ing or wetting of food placed in self- cy upon request. feeders. (Approved by the Office of Management and Budget under control number 0579–0093) § 3.83 Watering. Potable water must be provided in sufficient quantity to every nonhuman

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primate housed at the facility. If pota- tized in accordance with this section ble water is not continually available before it can be used to house another to the nonhuman primates, it must be nonhuman primate or group of offered to them as often as necessary nonhuman primates. to ensure their health and well-being, (2) Indoor primary enclosures must but no less than twice daily for at least be sanitized at least once every 2 weeks l hour each time, unless otherwise re- and as often as necessary to prevent an quired by the attending veterinarian, excessive accumulation of dirt, debris, or as required by the research proposal waste, food waste, excreta, or disease approved by the Committee at research hazard, using one of the methods pre- facilities. Water receptacles must be scribed in paragraph (b)(3) of this sec- kept clean and sanitized in accordance tion. However, if the species of with methods provided in § 3.84(b)(3) of nonhuman primates housed in the pri- this subpart at least once every 2 mary enclosure engages in scent mark- weeks or as often as necessary to keep ing, the primary enclosure must be them clean and free from contamina- sanitized at regular intervals deter- tion. Used water receptacles must be mined in accordance with generally ac- sanitized before they can be used to cepted professional and husbandry provide water to a different nonhuman practices. primate or social grouping of (3) Hard surfaces of primary enclo- nonhuman primates. sures and food and water receptacles (Approved by the Office of Management and must be sanitized using one of the fol- Budget under control number 0579–0093) lowing methods: (i) Live steam under pressure; § 3.84 Cleaning, sanitization, house- (ii) Washing with hot water (at least keeping, and pest control. 180 °F (82.2 °C)) and soap or detergent, (a) Cleaning of primary enclosures. Ex- such as in a mechanical cage washer; creta and food waste must be removed (iii) Washing all soiled surfaces with from inside each indoor primary enclo- appropriate detergent solutions or dis- sure daily and from underneath them infectants, or by using a combination as often as necessary to prevent an ex- detergent/disinfectant product that ac- cessive accumulation of feces and food complishes the same purpose, with a waste, to prevent the nonhuman pri- thorough cleaning of the surfaces to re- mates from becoming soiled, and to remove organic material, so as to remove duce disease hazards, insects, pests, all organic material and mineral build- and odors. Dirt floors, floors with ab- up, and to provide sanitization followed sorbent bedding, and planted areas in by a clean water rinse. primary enclosures must be spot- (4) Primary enclosures containing cleaned with sufficient frequency to material that cannot be sanitized using ensure all animals the freedom to the methods provided in paragraph avoid contact with excreta, or as often (b)(3) of this section, such as sand, as necessary to reduce disease hazards, gravel, dirt, absorbent bedding, grass, insects, pests, and odors. When steam or planted areas, must be sanitized by or water is used to clean the primary removing the contaminated material enclosure, whether by hosing, flushing, as necessary to prevent odors, diseases, or other methods, nonhuman primates pests, insects, and vermin infestation. must be removed, unless the enclosure (c) Housekeeping for premises. Prem- is large enough to ensure the animals ises where housing facilities are lo- will not be harmed, wetted, or dis- cated, including buildings and sur- tressed in the process. Perches, bars, rounding grounds, must be kept clean and shelves must be kept clean and re- and in good repair in order to protect placed when worn. If the species of the the nonhuman primates from injury, to nonhuman primates housed in the pri- facilitate the husbandry practices re- mary enclosure engages in scent mark- quired in this subpart, and to reduce or ing, hard surfaces in the primary enclo- eliminate breeding and living areas for sure must be spot-cleaned daily. rodents, pests, and vermin. Premises (b) Sanitization of primary enclosures must be kept free of accumulations of and food and water receptacles. (1) A trash, junk, waste, and discarded mat- used primary enclosure must be sani- ter. Weeds, grass, and bushes must be

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controlled so as to facilitate cleaning mediate handler. The certification of the premises and pest control. must be securely attached to the out- (d) Pest control. An effective program side of the primary enclosure in a man- for control of insects, external ner that makes it easily noticed and parasites affecting nonhuman pri- read. Instructions for no food or water mates, and birds and mammals that are not acceptable unless directed by are pests, must be established and the attending veterinarian. Instruc- maintained so as to promote the health tions must be in compliance with § 3.89 and well-being of the animals and re- of this subpart. The certification must duce contamination by pests in animal include the following information for areas. each nonhuman primate: (1) The consignor’s name and address; § 3.85 Employees. (2) The species of nonhuman primate; Every person subject to the Animal (3) The time and date the animal was Welfare regulations (9 CFR parts 1, 2, last fed and watered and the specific and 3) maintaining nonhuman primates instructions for the next feeding(s) and must have enough employees to carry watering(s) for a 24-hour period; and out the level of husbandry practices and care required in this subpart. The (4) The consignor’s signature and the employees who provide husbandry date and time the certification was practices and care, or handle signed. nonhuman primates, must be trained (d) Carriers and intermediate han- and supervised by an individual who dlers must not accept a nonhuman pri- has the knowledge, background, and mate for transport in commerce unless experience in proper husbandry and the primary enclosure meets the re- care of nonhuman primates to super- quirements of § 3.87 of this subpart. A vise others. The employer must be cer- carrier or intermediate handler must tain that the supervisor can perform to not accept a nonhuman primate for these standards. transport if the primary enclosure is obviously defective or damaged and TRANSPORTATION STANDARDS cannot reasonably be expected to safely and comfortably contain the § 3.86 Consignments to carriers and intermediate handlers. nonhuman primate without suffering or injury. (a) Carriers and intermediate han- (e) Carriers and intermediate handlers must not accept a nonhuman pri- dlers must not accept a nonhuman primate for transport in commerce more mate for transport in commerce unless than 4 hours before the scheduled departure time of the primary convey- their animal holding area facilities ance on which the animal is to be meet the minimum temperature re- transported. However, a carrier or in- quirements provided in §§ 3.91 and 3.92 termediate handler may agree with of this subpart, or unless the consignor anyone consigning a nonhuman pri- provides them with a certificate signed mate to extend this time by up to 2 by a veterinarian and dated no more hours. than 10 days before delivery of the ani- (b) Carriers and intermediate han- mal to the carrier or intermediate handlers must not accept a nonhuman pri- dler for transport in commerce, certi- mate for transport in commerce unless fying that the animal is acclimated to they are provided with the name, ad- temperatures lower than those that are dress, telephone number, and telex required in §§ 3.91 and 3.92 of this sub- number, if applicable, of the consignee. part. Even if the carrier or inter- (c) Carriers and intermediate han- mediate handler receives this certifi- dlers must not accept a nonhuman pri- cation, the temperatures the mate for transport in commerce unless nonhuman primate is exposed to while the consignor certifies in writing to in the carrier’s or intermediate han- the carrier or intermediate handler dler’s custody must not be lower than that the nonhuman primate was of- the minimum temperature specified by fered food and water during the 4 hours the veterinarian in accordance with before delivery to the carrier or inter- paragraph (e)(4) of this section, and

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must be reasonably within the gen- signor or to whomever the consignor erally and professionally accepted tem- designates. The carrier or intermediate perature range for the nonhuman pri- handler must continue to provide prop- mate, as determined by the veteri- er care, feeding, and housing to the narian, considering its age, condition, nonhuman primate, and maintain the and species. A copy of the certification nonhuman primate in accordance with must accompany the nonhuman pri- generally accepted professional and mate to its destination and must in- husbandry practices until the con- clude the following information for signee accepts delivery of the each primary enclosure: nonhuman primate or until it is re- (1) The consignor’s name and address; turned to the consignor or to whom- (2) The number of nonhuman pri- ever the consignor designates. The car- mates contained in the primary enclo- rier or intermediate handler must obli- sure; gate the consignor to reimburse the (3) The species of nonhuman primate carrier or intermediate handler for the contained in the primary enclosure; cost of return transportation and care. (4) A statement by a veterinarian (Approved by the Office of Management and that to the best of his or her knowl- Budget under control number 0579–0093) edge, each of the nonhuman primates contained in the primary enclosure is § 3.87 Primary enclosures used to acclimated to air temperatures lower transport nonhuman primates. than 50 °F (10 °C), but not lower than a Any person subject to the Animal minimum temperature specified on the Welfare regulations (9 CFR parts 1, 2, certificate based on the generally and and 3) must not transport or deliver for professionally accepted temperature transport in commerce a nonhuman range for the nonhuman primate, con- primate unless it is contained in a pri- sidering its age, condition, and species; mary enclosure, such as a compart- and ment, transport cage, carton, or crate, (5) The veterinarian’s signature and and the following requirements are the date the certification was signed. met: (f) When a primary enclosure con- (a) Construction of primary enclosures. taining a nonhuman primate has ar- Primary enclosures used to transport rived at the animal holding area of a nonhuman primates may be connected terminal facility after transport, the or attached to each other and must be carrier or intermediate handler must constructed so that: attempt to notify the consignee upon (1) The primary enclosure is strong arrival and at least once in every 6- enough to contain the nonhuman pri- hour period after arrival. The time, mate securely and comfortably and to date, and method of all attempted noti- withstand the normal rigors of trans- fications and the actual notification of portation; the consignee, and the name of the per- (2) The interior of the enclosure has son who notifies or attempts to notify no sharp points or edges and no protru- the consignee must be written either sions that could injure the animal con- on the carrier’s or intermediate han- tained in it; dler’s copy of the shipping document or (3) The nonhuman primate is at all on the copy that accompanies the pri- times securely contained within the mary enclosure. If the consignee can- enclosure and cannot put any part of not be notified within 24 hours after its body outside the enclosure in a way the nonhuman primate has arrived at that could result in injury to the ani- the terminal facility, the carrier or in- mal, or to persons or animals nearby; termediate handler must return the (4) The nonhuman primate can be animal to the consignor or to whom- easily and quickly removed from the ever the consignor designates. If the enclosure in an emergency; consignee is notified of the arrival and (5) The doors or other closures that does not take physical delivery of the provide access into the enclosure are nonhuman primate within 48 hours secured with animal-proof devices that after arrival of the nonhuman primate, prevent accidental opening of the en- the carrier or intermediate handler closure, including opening by the must return the animal to the con- nonhuman primate;

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(6) Unless the enclosure is perma- must be at least 8 percent of the total nently affixed to the conveyance, ade- surface area of each such wall and be quate devices such as handles or located above the midline of the enclo- handholds are provided on its exterior, sure. and enable the enclosure to be lifted (2) Unless the primary enclosure is without tilting it, and ensure that any- permanently affixed to the conveyance, one handling the enclosure will not projecting rims or similar devices must come into physical contact with the be located on the exterior of each en- animal contained inside; closure wall having a ventilation open- (7) Any material, treatment, paint, ing, in order to prevent obstruction of preservative, or other chemical used in the openings. The projecting rims or or on the enclosure is nontoxic to the similar devices must be large enough animal and not harmful to the health to provide a minimum air circulation or well-being of the animal; space of 0.75 inches (1.9 centimeters) (8) Proper ventilation is provided to between the primary enclosure and the nonhuman primate in accordance anything the enclosure is placed with paragraph (c) of this section; against. (9) Ventilation openings are covered (3) If a primary enclosure is perma- with bars, wire mesh, or smooth ex- nently affixed to the primary convey- panded metal having air spaces; and ance so that there is only a front ven- (10) The primary enclosure has a tilation opening for the enclosure, the solid, leak-proof bottom, or a remov- primary enclosure must be affixed to able, leak-proof collection tray under a the primary conveyance in such a way slatted or wire mesh floor that pre- that the front ventilation opening can- vents seepage of waste products, such not be blocked, and the front ventila- as excreta and body fluids, outside of tion opening must open directly to an the enclosure. If a slatted or wire mesh unobstructed aisle or passageway in- floor is used in the enclosure, it must side of the conveyance. The ventilation be designed and constructed so that the opening must be at least 90 percent of animal cannot put any part of its body the total area of the front wall of the between the slats or through the holes enclosure, and must be covered with in the mesh. It must contain enough bars, wire mesh, or smooth expanded previously unused litter to absorb and metal having air spaces. cover excreta. The litter must be of a (d) Compatibility. (1) Only one live suitably absorbent material that is nonhuman primate may be transported safe and nontoxic to the nonhuman pri- in a primary enclosure, except as fol- mate and is appropriate for the species lows: transported in the primary enclosure. (i) A mother and her nursing infant (b) Cleaning of primary enclosures. A may be transported together; primary enclosure used to hold or (ii) An established male-female pair transport nonhuman primates in com- or family group may be transported to- merce must be cleaned and sanitized gether, except that a female in estrus before each use in accordance with the must not be transported with a male methods provided in § 3.84(b)(3) of this nonhuman primate; subpart. (iii) A compatible pair of juveniles of (c) Ventilation. (1) If the primary en- the same species that have not reached closure is movable, ventilation open- puberty may be transported together. ings must be constructed in one of the (2) Nonhuman primates of different following ways: species must not be transported in ad- (i) If ventilation openings are located jacent or connecting primary enclo- on two opposite walls of the primary sures. enclosure, the openings on each wall (e) Space requirements. Primary enclo- must be at least 16 percent of the total sures used to transport nonhuman pri- surface area of each such wall and be mates must be large enough so that located above the midline of the enclo- each animal contained in the primary sure; or enclosure has enough space to turn (ii) If ventilation openings are lo- around freely in a normal manner and cated on all four walls of the primary to sit in an upright, hands down posi- enclosure, the openings on every wall tion without its head touching the top

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of the enclosure. However, certain larg- (b) The animal cargo space must have er species may be restricted in their a supply of air that is sufficient for the movements, in accordance with profes- normal breathing of all the animals sionally accepted standards of care, being transported in it. when greater freedom of movement (c) Each primary enclosure con- would be dangerous to the animal, its taining nonhuman primates must be handler, or to other persons. positioned in the animal cargo space in (f) Marking and labeling. Primary en- a manner that provides protection closures, other than those that are per- from the elements and that allows each manently affixed to a conveyance, nonhuman primate enough air for nor- must be clearly marked in English on mal breathing. the top and on one or more sides with (d) During air transportation, the the words ‘‘Wild Animals,’’ or ‘‘Live ambient temperature inside a primary Animals,’’ in letters at least 1 inch (2.5 conveyance used to transport cm.) high, and with arrows or other nonhuman primates must be main- markings to indicate the correct up- tained at a level that ensures the right position of the primary enclo- health and well-being of the species sure. Permanently affixed primary en- housed, in accordance with generally closures must be clearly marked in accepted professional and husbandry English with the words ‘‘Wild Ani- practices, at all times a nonhuman pri- mals’’ or ‘‘Live Animals,’’ in the same mate is present. manner. (e) During surface transportation, (g) Accompanying documents and the ambient temperature inside a pri- records. Shipping documents that must mary conveyance used to transport accompany shipments of nonhuman nonhuman primates must be main- primates may be held by the operator tained between 45 °F (7.2 °C) and 85 °F of the primary conveyance, for surface (30 °C) at all times a nonhuman pri- transportation only, or must be se- mate is present. curely attached in a readily accessible (f) A primary enclosure containing a manner to the outside of any primary nonhuman primate must be placed far enclosure that is part of the shipment, enough away from animals that are in a manner that allows them to be de- predators or natural enemies of tached for examination and securely nonhuman primates, whether the other reattached, such as in a pocket or animals are in primary enclosures or sleeve. Instructions for administration not, so that the nonhuman primate of drugs, medication, and other special cannot touch or see the other animals. care must be attached to each primary (g) Primary enclosures must be posi- enclosure in a manner that makes tioned in the primary conveyance in a them easy to notice, to detach for ex- manner that allows the nonhuman pri- amination, and to reattach securely. mates to be quickly and easily re- Food and water instructions must be moved from the primary conveyance in attached in accordance with § 3.86(c) of an emergency. this subpart. (h) The interior of the animal cargo (Approved by the Office of Management and space must be kept clean Budget under control number 0579–0093) (i) Nonhuman primates must not be transported with any material, sub- § 3.88 Primary conveyances (motor ve- stance (e.g., dry ice), or device in a hicle, rail, air, and marine). manner that may reasonably be ex- (a) The animal cargo space of pri- pected to harm the nonhuman primates mary conveyances used to transport or cause inhumane conditions. nonhuman primates must be designed, constructed, and maintained in a man- § 3.89 Food and water requirements. ner that at all times protects the (a) Each nonhuman primate that is 1 health and well-being of the animals year of age or more must be offered transported in it, ensures their safety food 5 at least once every 24 hours. and comfort, and prevents the entry of engine exhaust from the primary con- 5 Proper food for purposes of this section is veyance during transportation. described in § 3.82 of this subpart, with the

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Each nonhuman primate that is less leave the primary enclosure through than 1 year of age must be offered food the food or water opening. at least once every 12 hours. Each (Approved by the Office of Management and nonhuman primate must be offered po- Budget under control number 0579–0093) table water at least once every 12 hours. These time periods apply to § 3.90 Care in transit. dealers, exhibitors, and research facilities, including Federal research facili- (a) Surface transportation (ground and ties, who transport nonhuman pri- water). Any person subject to the Ani- mates in their own primary convey- mal Welfare regulations (9 CFR parts 1, ances, starting from the time the 2, and 3) transporting nonhuman pri- nonhuman primate was last offered mates in commerce must ensure that food and potable water before transpor- the operator of the conveyance or a tation was begun. These time periods person accompanying the operator of apply to carriers and intermediate han- the conveyance observes the nonhuman dlers starting from the date and time primates as often as circumstances stated on the certification provided allow, but not less than once every 4 under § 3.86(c) of this subpart. Each hours, to make sure that they have suf- nonhuman primate must be offered ficient air for normal breathing, that food and potable water within 4 hours the ambient temperature is within the before being transported in commerce. limits provided in § 3.88(d) of this sub- Consignors who are subject to the Ani- part, and that all other applicable mal Welfare regulations (9 CFR parts 1, standards of this subpart are being 2, and 3) must certify that each complied with. The regulated person nonhuman primate was offered food transporting the nonhuman primates and potable water within the 4 hours must ensure that the operator or the preceding delivery of the nonhuman person accompanying the operator de- primate to a carrier or intermediate termines whether any of the nonhuman handler for transportation in com- primates are in obvious physical dis- merce, and must certify the date and tress, and obtains any veterinary care time the food and potable water was of- needed for the nonhuman primates at fered, in accordance with § 3.86(c) of the closest available veterinary facil- this subpart. ity. (b) Any dealer, exhibitor, or research (b) Air transportation. During air facility, including a Federal research transportation of nonhuman primates, facility, offering a nonhuman primate it is the responsibility of the carrier to to a carrier or intermediate handler for observe the nonhuman primates as fre- transportation in commerce must se- quently as circumstances allow, but curely attach to the outside of the pri- not less than once every 4 hours if the mary enclosure used for transporting animal cargo area is accessible during the nonhuman primate, written in- flight. If the animal cargo area is not structions for a 24-hour period for the accessible during flight, the carrier in-transit food and water requirements must observe the nonhuman primates of the nonhuman primate(s) contained whenever they are loaded and unloaded in the enclosure. The instructions must and whenever the animal cargo space is be attached in a manner that makes otherwise accessible to make sure that them easily noticed and read. the nonhuman primates have sufficient (c) Food and water receptacles must air for normal breathing, that the am- be securely attached inside the pri- bient temperature is within the limits mary enclosure and placed so that the provided in § 3.88(d) of this subpart, and receptacles can be filled from outside that all other applicable standards of of the enclosure without opening the this subpart are being complied with. door. Food and water receptacles must The carrier must determine whether be designed, constructed, and installed any of the nonhuman primates is in ob- so that a nonhuman primate cannot vious physical distress, and arrange for any needed veterinary care for the necessities and circumstances of the mode of nonhuman primates as soon as pos- travel taken into account. sible.

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(c) If a nonhuman primate is obvi- The air must be circulated by fans, ously ill, injured, or in physical dis- blowers, or air conditioning so as to tress, it must not be transported in minimize drafts, odors, and moisture commerce, except to receive veterinary condensation. Auxiliary ventilation, care for the condition. such as exhaust fans, vents, fans, blow- (d) During transportation in com- ers, or air conditioning, must be used merce, a nonhuman primate must not in any animal holding area containing be removed from its primary enclosure nonhuman primates when the ambient unless it is placed in another primary temperature is 85 °F (29.5 °C) or higher. enclosure or a facility that meets the (d) Temperature. The ambient tem- requirements of § 3.80 or § 3.87 of this perature in an animal holding area subpart. Only persons who are experi- containing nonhuman primates must enced and authorized by the shipper, or not fall below 45 °F (7.2 °C) or rise authorized by the consignor or the con- above 85 °F (29.5 °C) for more than four signee upon delivery, if the animal is consecutive hours at any time consigned for transportation, may re- nonhuman primates are present. The move nonhuman primates from their ambient temperature must be meas- primary enclosure during transpor- ured in the animal holding area by the tation in commerce, unless required for carrier, intermediate handler, or a per- the health or well-being of the animal. son transporting nonhuman primates (e) The transportation regulations who is subject to the Animal Welfare contained in this subpart must be com- regulations (9 CFR parts 1, 2, and 3), plied with until a consignee takes outside any primary enclosure con- physical delivery of the animal if the taining a nonhuman primate at a point animal is consigned for transportation, not more than 3 feet (0.91 m.) away or until the animal is returned to the from an outside wall of the primary en- consignor. closure, on a level that is even with the enclosure and approximately midway § 3.91 Terminal facilities. up the side of the enclosure. (a) Placement. Any persons subject to (e) Shelter. Any person subject to the the Animal Welfare regulations (9 CFR Animal Welfare regulations (9 CFR parts l, 2, and 3) must not commingle parts l, 2, and 3) holding a nonhuman shipments of nonhuman primates with primate in an animal holding area of a inanimate cargo or with other animals terminal facility must provide the fol- in animal holding areas of terminal fa- lowing: cilities. Nonhuman primates must not (1) Shelter from sunlight and extreme be placed near any other animals, in- heat. Shade must be provided that is cluding other species of nonhuman pri- sufficient to protect the nonhuman primates, and must not be able to touch mate from the direct rays of the sun. or see any other animals, including (2) Shelter from rain or snow. Suffi- other species of nonhuman primates. cient protection must be provided to (b) Cleaning, sanitization, and pest con- allow nonhuman primates to remain trol. All animal holding areas of ter- dry during rain, snow, and other pre- minal facilities must be cleaned and cipitation. sanitized in a manner prescribed in (f) Duration. The length of time any § 3.84(b)(3) of this subpart, as often as person subject to the Animal Welfare necessary to prevent an accumulation regulations (9 CFR parts 1, 2, and 3) can of debris or excreta and to minimize hold a nonhuman primate in an animal vermin infestation and disease hazards. holding area of a terminal facility Terminal facilities must follow an ef- upon arrival is the same as that pro- fective program in all animal holding vided in § 3.86(f) of this subpart. areas for the control of insects, ectoparasites, and birds and mammals § 3.92 Handling. that are pests of nonhuman primates. (a) Any person subject to the Animal (c) Ventilation. Ventilation must be Welfare regulations (9 CFR parts 1, 2, provided in any animal holding area in and 3) who moves (including loading a terminal facility containing and unloading) nonhuman primates nonhuman primates by means of win- within, to, or from the animal holding dows, doors, vents, or air conditioning. area of a terminal facility or a primary

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conveyance must do so as quickly and tioned in the manner that written in- efficiently as possible, and must pro- structions and arrows on the outside of vide the following during movement of the primary enclosure indicate. the nonhuman primate: (c) This section applies to movement (1) Shelter from sunlight and extreme of a nonhuman primate from primary heat. Sufficient shade must be provided conveyance to primary conveyance, to protect the nonhuman primate from within a primary conveyance or ter- the direct rays of the sun. A nonhuman minal facility, and to or from a ter- primate must not be exposed to an am- minal facility or a primary convey- bient temperature above 85 °F (29.5 °C) ance. for a period of more than 45 minutes (Approved by the Office of Management and while being moved to or from a pri- Budget under control number 0579–0093) mary conveyance or a terminal facility, The ambient temperature must be Subpart E—Specifications for the measured in the manner provided in § 3.91(d) of this subpart. Humane Handling, Care, (2) Shelter from rain or snow. Suffi- Treatment, and Transportation cient protection must be provided to of Marine Mammals allow nonhuman primates to remain dry during rain, snow, and other pre- SOURCE: 44 FR 36874, June 22, 1979, unless cipitation. otherwise noted. (3) Shelter from cold temperatures. FACILITIES AND OPERATING STANDARDS Transporting devices on which nonhuman primates are placed to move § 3.100 Special considerations regard- them must be covered to protect the ing compliance and/or variance. animals when the outdoor temperature (a) All persons subject to the Animal falls below 45 °F (7.2 °C). A nonhuman Welfare Act who maintain or otherwise primate must not be exposed to an am- handle marine mammals in captivity bient air temperature below 45 °F (7.2 ° must comply with the provisions of C) for a period of more than 45 min- this subpart, except that they may utes, unless it is accompanied by a cer- apply for and be granted a variance, 6 tificate of acclimation to lower tem- by the Deputy Administrator, from one peratures as provided in § 3.86(e) of this or more specified provisions of § 3.104. subpart. The ambient temperature The provisions of this subpart shall not must be measured in the manner pro- apply, however, in emergency cir- vided in § 3.91(d) of this subpart. cumstances where compliance with one (b) Any person handling a primary or more requirements would not serve enclosure containing a nonhuman pri- the best interest of the marine mam- mate must use care and must avoid mals concerned. causing physical harm or distress to (b) An application for a variance the nonhuman primate. must be made to the Deputy Adminis- (1) A primary enclosure containing a trator in writing. The request must in- nonhuman primate must not be placed clude: on unattended conveyor belts or on ele- (1) The species and number of ani- vated conveyor belts, such as baggage mals involved, claim conveyor belts and inclined con- (2) A statement from the attending veyor ramps that lead to baggage claim veterinarian concerning the age and areas, at any time; except that a pri- health status of the animals involved, mary enclosure may be placed on in- and concerning whether the granting of clined conveyor ramps used to load and a variance would be detrimental to the unload aircraft if an attendant is marine mammals involved, present at each end of the conveyor (3) Each provision of the regulations belt. that is not met, (2) A primary enclosure containing a nonhuman primate must not be tossed, 6 Written permission from the Deputy Ad- dropped, or needlessly tilted, and must ministrator to operate as a licensee or reg- not be stacked in a manner that may istrant under the Act without being in full reasonably be expected to result in its compliance with one or more specified provi- falling. It must be handled and posi- sions of § 3.104.

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(4) The time period requested for a (f) Any facility housing marine mam- variance, mals that does not meet all of the (5) The specific reasons why a vari- space requirements as of July 30, 1984, ance is requested, and must meet all of the requirements by (6) The estimated cost of coming into September 28, 1984, or may operate compliance, if construction is involved. without meeting such requirements (c) After receipt of an application for until action is taken on an application a variance, the Deputy Administrator for a variance if the application is sub- may require the submission in writing mitted to the Deputy Administrator on of a report by two experts rec- or before September 28, 1984. ommended by the American Associa- (g) A research facility may be grant- tion of Zoological Parks and Aquar- ed a variance from specified require- iums and approved by the Deputy Ad- ments of this subpart when such vari- ministrator concerning potential ad- ance is necessary for research purposes verse impacts on the animals involved and is fully explained in the experi- or on other matters relating to the ef- mental design. Any time limitation fects of the requested variance on the stated in this section shall not be ap- health and well-being of such marine plicable in such case. mammals. Such a report will be re- [49 FR 26681, June 28, 1984; 63 FR 2, Jan. 2, quired only in those cases when the 1998] Deputy Administrator determines that such expertise is necessary to deter- § 3.101 Facilities, general. mine whether the granting of a vari- (a) Construction requirements. (1) In- ance would cause a situation detri- door and outdoor housing facilities for mental to the health and well-being of marine mammals must be structurally the marine mammals involved. The sound and must be maintained in good cost of such report is to be paid by the repair to protect the animals from in- applicant. jury, to contain the animals within the (d) Variances granted for facilities facility, and to restrict the entrance of because of ill or infirm marine mam- unwanted animals. Lagoon and similar mals that cannot be moved without natural seawater facilities must main- placing their well-being in jeopardy, or tain effective barrier fences extending for facilities within 0.3048 meters (1 above the high tide water level, or foot) of compliance with any space re- other appropriate measures, on all quirement may be granted for up to the sides of the enclosure not contained by life of the marine mammals involved. dry land to fulfill the requirements of Otherwise, variances shall be granted this section. for a period not exceeding July 30, 1986, (2) All marine mammals must be pro- Provided, however, That under cir- vided with protection from abuse and cumstances deemed justified by the harassment by the viewing public by Deputy Administrator, a maximum ex- the use of a sufficient number of uni- tension of 1 year may be granted to at- formed or readily identifiable employ- tain full compliance. A written request ees or attendants to supervise the for the extension must be received by viewing public, or by physical barriers, the Deputy Administrator by May 30, such as fences, walls, glass partitions, 1986. Consideration for extension by the or distance, or any combination of Deputy Administrator will be limited these. to unforeseen or unusual situations (3) All surfaces in a primary enclo- such as when necessary public funds sure must be constructed of durable, cannot be allocated in an appropriate nontoxic materials that facilitate time frame for a facility to attain full cleaning, and disinfection as appro- compliance by July 30, 1986. priate, sufficient to maintain water (e) The Deputy Administrator shall quality parameters as designated in deny any application for a variance if § 3.106. All surfaces must be maintained he determines that it is not justified in good repair as part of a regular, on- under the circumstances or that allow- going maintenance program. All facili- ing it will be detrimental to the health ties must implement a written protocol and well-being of the marine mammals on cleaning so that surfaces do not involved. constitute a health hazard to animals.

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(4) Facilities that utilize natural Refrigerators and freezers (or chilled water areas, such as tidal basins, bays, and/or iced coolers for under 12 hours) or estuaries (subject to natural tide- must be used for perishable food. No water action), for housing marine substances that are known to be or mammals are exempt from the drain- may be toxic or harmful to marine age requirements of paragraph (c)(1) of mammals may be stored or maintained this section. in the marine mammal food storage or (b) Water and power supply. Reliable preparation areas, except that cleaning and adequate sources of water and elec- agents may be kept in secured cabinets tric power must be provided by the fa- designed and located to prevent food cility housing marine mammals. Writ- contamination. Food, supplements, and ten contingency plans must be sub- medications may not be used beyond mitted to and approved by the Deputy commonly accepted shelf life or date Administrator regarding emergency sources of water and electric power in listed on the label. the event of failure of the primary (e) Waste disposal. Provision must be sources, when such failure could rea- made for the removal and disposal of sonably be expected to be detrimental animal and food wastes, dead animals, to the good health and well-being of trash, and debris. Disposal facilities the marine mammals housed in the fa- must be provided and operated in a cility. Contingency plans must include, manner that will minimize odors and but not be limited to, specific animal the risk of vermin infestation and dis- evacuation plans in the event of a disease hazards. All waste disposal proce- aster and should describe back-up sys- dures must comply with all applicable tems and/or arrangements for relo- Federal, State, and local laws per- cating marine mammals requiring arti- taining to pollution control, protection ficially cooled or heated water. If the of the environment, and public health. emergency contingency plan includes (f) Employee washroom facilities. Wash- release of marine mammals, the plan room facilities containing basins, must include provision for recall train- sinks, and, as appropriate, showers, ing and retrieval of such animals. must be provided and conveniently lo- (c) Drainage. (1) Adequate drainage cated to maintain cleanliness among must be provided for all primary enclo- employees, attendants, and volunteers. sure pools and must be located so that These facilities must be cleaned and all of the water contained in such pools sanitized daily. may be effectively eliminated when necessary for cleaning the pool or for (g) Enclosure or pool environmental en- other purposes. Drainage effluent from hancements. Any nonfood objects pro- primary enclosure pools must be dis- vided for the entertainment or stimula- posed of in a manner that complies tion of marine mammals must be of with all applicable Federal, State, and sufficient size and strength to not be local pollution control laws. ingestible, readily breakable, or likely (2) Drainage must be provided for pri- to cause injury to marine mammals, mary enclosures and areas imme- and be able to be cleaned, sanitized, diately surrounding pools. All drain and/or replaced effectively. covers and strainers must be securely fastened in order to minimize the po- [66 FR 251, Jan. 3, 2001] tential risk of animal entrapment. EFFECTIVE DATE NOTE: At 77 FR 76824, Dec. Drains must be located so as to rapidly 31, 2012, § 3.101 was amended by adding a new eliminate excess water (except in sentence at the end of paragraph (b), effec- pools). Drainage effluent must be dis- tive Jan. 30, 2013. For the convenience of the posed of in a manner that complies user, the added text is set forth as follows: with all applicable Federal, State, and § 3.101 Facilities, general. local pollution control laws. (d) Storage. Supplies of food must be stored in facilities that adequately pro- * * * * * tect such supplies from deterioration, (b) * * * Facilities handling marine mam- spoilage (harmful microbial growth), mals must also comply with the require- and vermin or other contamination. ments of § 2.134 of this subchapter.

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§ 3.102 Facilities, indoor. may encounter during the period they (a) Ambient temperature. The air and are so housed do not adversely affect water temperatures in indoor facilities their health and comfort. A marine shall be sufficiently regulated by heat- mammal shall not be introduced to an ing or cooling to protect the marine outdoor housing facility until it is ac- mammals from extremes of tempera- climated to the air and water temperature, to provide for their good health ture ranges which it will encounter and well-being and to prevent discom- therein. The following requirements fort, in accordance with the currently shall be applicable to all outdoor pools. accepted practices as cited in appro- (1) The water surface of pools in out- priate professional journals or ref- door primary enclosures housing polar erence guides, depending upon the spe- bears and ice or cold water dwelling cies housed therein. Rapid changes in species of pinnipeds shall be kept suffi- air and water temperatures shall be ciently free of solid ice to allow for avoided. entry and exit of the animals. (b) Ventilation. Indoor housing facili- (2) The water surface of pools in out- ties shall be ventilated by natural or door primary enclosures housing artificial means to provide a flow of cetaceans and sea otters shall be kept fresh air for the marine mammals and free of ice. to minimize the accumulation of chlo- (3) No sirenian or warm water dwell- rine fumes, other gases, and objection- ing species of pinnipeds or cetaceans able odors. A vertical air space aver- shall be housed in outdoor pools where aging at least 1.83 meters (6 feet) shall water temperature cannot be main- be maintained in all primary enclo- tained within the temperature range to sures housing marine mammals, in- meet their needs. cluding pools of water. (b) Shelter. Natural or artificial shel- (c) Lighting. Indoor housing facilities ter which is appropriate for the species for marine mammals shall have ample concerned, when the local climatic lighting, by natural or artificial conditions are taken into consider- means, or both, of a quality, distribu- ation, shall be provided for all marine tion, and duration which is appropriate mammals kept outdoors to afford them for the species involved. Sufficient protection from the weather or from lighting must be available to provide direct sunlight. uniformly distributed illumination (c) Perimeter fence. On and after May which is adequate to permit routine in- 17, 2000, all outdoor housing facilities spections, observations, and cleaning of (i.e., facilities not entirely indoors) all parts of the primary enclosure in- must be enclosed by a perimeter fence cluding any den areas. The lighting that is of sufficient height to keep ani- shall be designed so as to prevent over- mals and unauthorized persons out. exposure of the marine mammals con- Fences less than 8 feet high for polar tained therein to excessive illumina- bears or less than 6 feet high for other tion. 7 marine mammals must be approved in writing by the Administrator. The [44 FR 36874, June 22, 1979; 63 FR 2, Jan. 2, fence must be constructed so that it 1998] protects marine mammals by restrict- § 3.103 Facilities, outdoor. ing animals and unauthorized persons from going through it or under it and (a) Environmental temperatures. Ma- having contact with the marine mam- rine mammals shall not be housed in mals, and so that it can function as a outdoor facilities unless the air and secondary containment system for the water temperature ranges which they animals in the facility when appropriate. The fence must be of sufficient 7 Lighting intensity and duration must be distance from the outside of the pri- consistent with the general well-being and mary enclosure to prevent physical comfort of the animal involved. When pos- contact between animals inside the en- sible, it should approximate the lighting conditions encountered by the animal in its closure and animals or persons outside natural environment. At no time shall the the perimeter fence. Such fences less lighting be such that it will cause the animal than 3 feet in distance from the pri- discomfort or trauma. mary enclosure must be approved in

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writing by the Administrator. For nat- poses. If maintenance in such enclo- ural seawater facilities, such as la- sures for nonmedical training, breed- goons, the perimeter fence must pre- ing, or holding is to last longer than 2 vent access by animals and unauthor- weeks, such extension must be justified ized persons to the natural seawater fa- in writing by the attending veteri- cility from the abutting land, and must narian on a weekly basis. If mainte- encompass the land portion of the fa- nance in such enclosures for transfer is cility from one end of the natural sea- to last longer than 1 week, such exten- water facility shoreline as defined by sion must be justified in writing by the low tide to the other end of the natural attending veterinarian on a weekly seawater facility shoreline defined by basis. Any enclosure that does not low tide. A perimeter fence is not re- meet the minimum space requirement quired: for primary enclosures (including, but (1) Where the outside walls of the pri- not limited to, medical pools or enclo- mary enclosure are made of sturdy, du- sures, holding pools or enclosures, and rable material, which may include cer- gated side pools smaller than the min- tain types of concrete, wood, plastic, imum space requirements) may not be metal, or glass, and are high enough used for permanent housing purposes. and constructed in a manner that re- Rotating animals between enclosures stricts entry by animals and unauthor- that meet the minimum space require- ized persons and the Administrator ments and enclosures that do not is not gives written approval; or an acceptable means of complying with (2) Where the outdoor housing facil- the minimum space requirements for ity is protected by an effective natural primary enclosures. barrier that restricts the marine mam- (b) Cetaceans. Primary enclosures mals to the facility and restricts entry housing cetaceans shall contain a pool by animals and unauthorized persons of water and may consist entirely of a and the Administrator gives written pool of water. In determining the min- approval; or imum space required in a pool holding (3) Where appropriate alternative se- cetaceans, four factors must be satis- curity measures are employed and the fied. These are MHD, depth, volume, Administrator gives written approval; and surface area. For the purposes of or this subpart, cetaceans are divided into (4) For traveling facilities where ap- Group I cetaceans and Group II propriate alternative security meas- cetaceans as shown in Table III in this ures are employed. section. [44 FR 36874, June 22, 1979, as amended at 64 (1)(i) The required minimum horizontal FR 56147, Oct. 18, 1999] dimension (MHD) of a pool for Group I cetaceans shall be 7.32 meters (24.0 feet) § 3.104 Space requirements. or two times the average adult length (a) General. Marine mammals must be of the longest species of Group I ceta- housed in primary enclosures that cean housed therein (as measured in a comply with the minimum space re- parallel or horizontal line, from the tip quirements prescribed by this part. of its upper jaw, or from the most ante- These enclosures must be constructed rior portion of the head in bulbous and maintained so that the animals headed animals, to the notch in the contained within are provided suffi- tail fluke 8 ), whichever is greater; ex- cient space, both horizontally and cept that such MHD measurement may vertically, to be able to make normal be reduced from the greater number by postural and social adjustments with adequate freedom of movement, in or 8 The body length of a Monodon monoceros out of the water. (An exception to (narwhale) is measured from the tip of the these requirements is provided in upper incisor tooth to the notch in the tail § 3.110(b) for isolation or separation for fluke. If the upper incisor is absent or does medical treatment and/or medical not extend beyond the front of the head, then it is measured like other cetaceans, from the training.) Enclosures smaller than re- tip of the upper jaw to the notch in the tail quired by the standards may be tempo- fluke. Immature males should be anticipated rarily used for nonmedical training, to develop the ‘‘tusk’’ (usually left incisor breeding, holding, and transfer pur- tooth) beginning at sexual maturity.

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up to 20 percent if the amount of the to 20 percent if the amount of the re- reduction is added to the MHD at the duction is added to the MHD at the 90- 90-degree angle and if the minimum degree angle and if the minimum vol- volume and surface area requirements ume and surface area requirements are are met based on an MHD of 7.32 me- met based on an MHD of 7.32 meters ters (24.0 feet) or two times the average (24.0 feet) or four times the average adult length of the longest species of adult length of the longest species of Group I cetacean housed therein, Group II cetacean housed therein, whichever is greater. whichever is greater. (ii) The MHD of a pool for Group II (iii) In a pool housing a mixture of cetaceans shall be 7.32 meters (24.0 feet) Group I and Group II cetaceans, the or four times the average adult length MHD shall be the largest required for of the longest species of cetacean to be any cetacean housed therein. housed therein (as measured in a par- (iv) Once the required MHD has been allel or horizontal line from the tip of satisfied, the pool size may be required its upper jaw, or from the most ante- to be adjusted to increase the surface rior portion of the head in bulbous area and volume when cetaceans are headed animals, to the notch in the added. Examples of MHD and volume tail fluke), whichever is greater; except requirements for Group I cetaceans are that such MHD measurement may be shown in Table I, and for Group II reduced from the greater number by up cetaceans in Table II.

TABLE I—GROUP I CETACEANS 1

Representative average adult Minimum horizontal dimen- Minimum required depth Volume of water required for lengths sion (MHD) each additional cetacean in excess of two Meters Feet Meters Feet Meters Feet Cubic meters feet

1.68 5 .5 7 .32 24 1 .83 6 8 .11 284 .95 2.29 7 .5 7 .32 24 1 .83 6 15 .07 529.87 2.74 9 .0 7 .32 24 1 .83 6 21 .57 763.02 3.05 10 .0 7 .32 24 1.83 6 26 .73 942.00 3.51 11 .5 7 .32 24 1.83 6 35 .40 1,245.79 3.66 12 .0 7 .32 24 1.83 6 38 .49 1,356.48 4.27 14 .0 8 .53 28 2.13 7 60 .97 2,154.04 5.49 18 .0 10 .97 36 2 .74 9 129.65 4,578 .12 5.64 18 .5 11 .28 37 2 .82 9 .25 140.83 4,970 .33 5.79 19 .0 11 .58 38 2 .90 9 .50 152.64 5,384 .32 6.71 22 .0 13 .41 44 3 .36 11 237.50 8,358 .68 6.86 22 .5 13 .72 45 3 .43 11 .25 253.42 8,941 .64 7.32 24 .0 14 .63 48 3 .66 12 307.89 10,851 .84 8.53 28 .0 17 .07 56 4 .27 14 487.78 17,232 .32

1 All calculations are rounded off to the nearest hundredth. In converting the length of cetaceans from feet to meters, 1 foot equals .3048 meter. Due to rounding of meter figures as to the length of the cetacean, the correlation of meters to feet in subsequent calculations of MHD and additional volume of water required per cetacean, over two, may vary slightly from a strict feet to meters ratio. Cubic meters is based on: 1 cubic foot=0.0283 cubic meter.

TABLE II—GROUP II CETACEANS 1

Representative average adult Minimum horizontal dimen- Minimum required depth Volume of water required for length sion (MHD) each additional cetacean in excess of four Meters Feet Meters Feet Meters Feet Cubic me- Cubic feet ters 1

1.52 5 .0 7 .32 24 1 .83 6 13 .28 471.00 1.68 5 .5 7 .32 24 1 .83 6 16 .22 569.91 1.83 6 .0 7 .32 24 1 .83 6 19 .24 678.24 2.13 7 .0 8 .53 28 1 .83 6 26 .07 923.16 2.29 7 .5 9 .14 30 1 .83 6 30 .13 1,059 .75 2.44 8 .0 9 .75 32 1 .83 6 34 .21 1,205 .76 2.59 8 .5 10 .36 34 1.83 6 38 .55 1,361.19 2.74 9 .0 10 .97 36 1.83 6 43 .14 1,526.04

1 Converting cubic feet to cubic meters is based on: 1 cubic foot=0.0283 of a cubic meter.

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TABLE III—AVERAGE ADULT LENGTHS OF MARINE MAMMALS MAINTAINED IN CAPTIVITY 1

Average adult length Species Common name In meters In feet

Group I Cetaceans: Balaenoptera acutorostrata ...... Minke whale ...... 8 .50 27 .9 Cephalorhynchus commersonii ...... Commerson’s dolphin ...... 1 .52 5 .0 Delphinapterus leucas ...... Beluga whale ...... 4 .27 14 .0 Monodon monoceros ...... Narwhale ...... 3 .96 13 .0 Globicephala melaena ...... Long-finned pilot whale ...... 5 .79 19 .0 Globicephala macrorhynchus ...... Short-finned pilot whale ...... 5 .49 18.0 Grampus griseus ...... Risso’s dolphin ...... 3.66 12 .0 Orcinus orca ...... Killer whale ...... 7.32 24 .0 Pseudorca carassidens ...... False killer whale ...... 4 .35 14.3 Tursiops truncatus (Atlantic) ...... Bottlenose dolphin ...... 2 .74 9 .0 Tursiops truncatus (Pacific) ...... Bottlenose dolphin ...... 3 .05 10.0 Inia geoffrensis ...... Amazon porpoise ...... 2 .44 8 .0 Phocoena phocoena ...... Harbor porpoise ...... 1 .68 5 .5 Pontoporia blainvillei ...... Franciscana ...... 1 .52 5 .0 Sotalia fluviatilis ...... Tucuxi ...... 1 .68 5 .5 Platanista, all species ...... River dolphin ...... 2.44 8 .0 Group II Cetaceans: Delphinus delphis ...... Common dolphin ...... 2.59 8 .5 Feresa attenuata ...... Pygmy killer whale ...... 2 .44 8 .0 Kogia breviceps ...... Pygmy sperm whale ...... 3 .96 13 .0 Kogia simus ...... Dwarf sperm whale ...... 2 .90 9 .5 Lagenorhynchus acutus ...... Atlantic white-sided dolphin ...... 2 .90 9 .5 Lagenorhynchus cruciger ...... Hourglass dolphin ...... 1.70 5 .6 Lagenorhynchus obliquidens ...... Pacific white-sided dolphin ...... 2 .29 7.5 Lagenorhynchus albirostris ...... White-beaked dolphin ...... 2.74 9 .0 Lagenorhynchus obscurus ...... Duskey dolphin ...... 2 .13 7.0 Lissodelphis borealis ...... Northern right whale dolphin ...... 2 .74 9 .0 Neophocaena phocaenoides ...... Finless porpoise ...... 1.83 6 .0 Peponocephala electra ...... Melon-headed whale ...... 2.74 9 .0 Phocoenoides dalli ...... Dall’s porpoise ...... 2.00 6 .5 Stenella longirostris ...... Spinner dolphin ...... 2 .13 7 .0 Stenella coeruleoalba ...... Striped dolphin ...... 2 .29 7 .5 Stenella attenuata ...... Spotted dolphin ...... 2.29 7 .5 Stenella plagiodon ...... Spotted dolphin ...... 2 .29 7 .5 Steno bredanensis ...... Rough-toothed dolphin ...... 2 .44 8 .0 1 This table contains the species of marine mammals known by the Department to be presently in captivity or that are likely to become captive in the future. Anyone who is subject to the Animal Welfare Act having species of marine mammals in captivity which are not included in this table should consult the Deputy Administrator with regard to the average adult length of such animals.

Average adult length Species Common name In meters In feet Male Female Male Female

Group I Pinnipeds: Arctocephalus gazella** ...... Antarctic Fur Seal ...... 1.80 1 .20 5 .9 3 .9 Arctocephalus tropicalis** ...... Amsterdam Island Fur Seal ...... 1 .80 1 .45 5 .9 4 .75 Arctocephalus australis** ...... South American Fur Seal ...... 1 .88 1 .42 6 .2 4 .7 Arctocephalus pusillis** ...... Cape Fur Seal ...... 2 .73 1 .83 8 .96 6.0 Callorhinus ursinus** ...... Northern Fur Seal ...... 2.20 1 .45 7 .2 4 .75 Eumetopias jubatus** ...... Steller’s Sea Lion ...... 2 .86 2.40 9 .4 7 .9 Hydrurga leptonyx ...... Leopard Seal ...... 2 .90 3 .30 9 .5 10.8 Mirounga angustirostris** ...... Northern Elephant Seal ...... 3 .96 2.49 13 .0 8 .2 Mirounga leonina** ...... Southern Elephant Seal ...... 4.67 2 .50 15 .3 8 .2 Odobenus rosmarus** ...... Walrus ...... 3 .15 2 .60 10.3 8 .5 Otaria flavescens** ...... South American Sea Lion ...... 2 .40 2 .00 7 .9 6 .6 Phoca caspica ...... Caspian Seal ...... 1.45 1 .40 4 .75 4 .6 Phoca fasciata ...... Ribbon Seal ...... 1 .75 1 .68 5 .7 5 .5 Phoca larga ...... Harbor Seal ...... 1 .70 1.50 5 .6 4 .9 Phoca vitulina ...... Habor Seal ...... 1.70 1 .50 5 .6 4 .9 Zalophus californianus ...... California Sea Lion ...... 2 .24 1 .75 7 .3 5 .7 Halichoerus grypus** ...... Grar Seal ...... 2 .30 1 .95 7.5 6.4 Phoca sibirica ...... Baikal Seal ...... 1 .70 1 .85 5 .6 6 .1 Phoca groenlandica ...... Harp Seal ...... 1 .85 1.85 6 .1 6 .1 Leptonychotes weddelli** ...... Weddell Seal ...... 2 .90 3 .15 9 .5 10 .3 Lobodon carcinophagus** ...... Crabeater Seal ...... 2 .21 2 .21 7 .3 7 .3

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Average adult length Species Common name In meters In feet Male Female Male Female

Ommatophoca rossi** ...... Ross Seal ...... 1 .99 2 .13 6 .5 7 .0 Group II Pinnipeds: Erignathus barbatus ...... Bearded Seal ...... 2 .33 2 .33 7.6 7.6 Phoca hispida ...... Ringed Seal ...... 1 .35 1 .30 4.4 4.3 Cystophora cristata ...... Hooded Seal ...... 2 .60 2 .00 8.5 6.6

NOTE. **Any Group I animals maintained together will be considered as Group II when the animals maintained together include two or more sexually mature males from species marked with a double asterisk (**) regardless of whether the sexually mature males from the same species.

Average adult length Species Common name In meters In feet

Sirenia: Dugong dugong ...... Dugong ...... 3 .35 11.0 Trichechus manatus ...... West Indian Manatee ...... 3 .51 11 .5 Trichechus inunguis ...... Amazon Manatee ...... 2 .44 8 .0 Mustelidae: Enhydra lutris ...... Sea Otter ...... 1 .25 4 .1

(2) The minimum depth requirement for as well as the surface area may have to primary enclosure pools for all be adjusted to allow for additional cetaceans shall be one-half the average space necessary for such cetaceans. See adult length of the longest species to Tables I, II, and IV for volumes and be housed therein, regardless of Group surface area requirements. The addi- I or Group II classification, or 1.83 me- tional volume needed shall be based on ters (6.0 feet), whichever is greater, and the number and kind of cetaceans can be expressed as d=L/2 or 6 feet, housed therein and shall be determined whichever is greater. Those parts of in the following manner. the primary enclosure pool which do (i) The minimum volume of water re- not meet the minimum depth require- quired for up to two Group I cetaceans ment cannot be included when calcu- is based upon the following formula: lating space requirements for 2 cetaceans. ⎛ ⎞ = MHD ×× (3) Pool volume. A pool of water hous- Volume ⎝ ⎠ 314. depth ing cetaceans which satisfies the MHD 2 and which meets the minimum depth When there are more than two Group I requirement, will have sufficient vol- cetaceans housed in a primary enclo- ume and surface area to hold up to two sure pool, the additional volume of Group I cetaceans or up to four Group water required for each additional II cetaceans. If additional cetaceans Group I cetacean in excess of two is are to be added to the pool, the volume based on the following formula:

⎛ Average Adult Length⎞ 2 Volume= ××314. depth ⎝ 2 ⎠

See Table I for required volumes. ⎛ ⎞ 2 (ii) The minimum volume of water = MHD ×× required for up to four Group II Volume ⎝ ⎠ 314. depth cetaceans is based upon the following 2 formula:

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When there are more than four Group 2 II cetaceans housed in a primary enclo- ⎛ ⎞ = MHD ×× sure pool, the additional volume of Volume ⎝ ⎠ 314. depth water required for each additional 2 Group II cetacean in excess of four is Then the volume necessary for the based on the following formula: cetaceans to be housed in the pool must be calculated (by obtaining the Volume = (Average Adult Length)2 × × sum of the volumes required for each 3.14 depth animal). If this volume is greater than See Table II for required volumes. that obtained by using the MHD and (iii) When a mixture of both Group I depth figures, then the additional volume required may be added by enlarg- and Group II cetaceans are housed to- ing the pool in its lateral dimensions gether, the MHD must be satisfied as or by increasing its depth, or both. The stated in § 3.104(b)(1), and the minimum minimum surface area requirements depth must be satisfied as stated in discussed next must also be satisfied. § 3.104(b)(2). Based on these figures, the (4)(i) The minimum surface area re- resulting volume must then be cal- quirements for each cetacean housed in culated a pool, regardless of Group I or Group II classification, are calculated as follows:

⎛ average adult body length⎞ 2 Surface Area = ××314.., 15 or: SA = (L/2)2 ×× 314 .. 15 ⎝ 2 ⎠

In a pool containing more than two Group II cetaceans. Pool surfaces Group I cetaceans or more than four where the depth does not meet the Group II cetaceans, 9 the additional minimum requirements cannot be used surface area which may be required in determining the required surface when animals are added must be cal- area. culated for each such animal. (iii) Surface area requirements are (ii) When a mixture of Group I and given in Table IV. Group II cetaceans are to be housed in a pool, the required MHD, depth, and TABLE IV—MINIMUM SURFACE AREA REQUIRED volume must be met. Then the required FOR EACH CETACEAN surface area must be determined for Average adult length of each Surface area required for each animal in the pool. The sum of cetacean each cetacean these surface areas must then be com- Meters Feet Sq. meters 1 Sq. feet pared to the surface area which is obtained by a computation based on the 1.68 5.5 3.31 33.62 10 2.13 7.0 5.36 57.70 required MHD of the pool. The larger 2.29 7.5 6.15 66.23 of the two figures represents the sur- 2.59 8.5 7.90 85.07 face area which is required for a pool 2.74 9.0 8.86 95.38 housing a mixture of Group I and 3.05 10.0 10.94 117.75 3.51 11.5 14.47 155.72 3.66 12.0 15.75 169.56 9 A pool containing up to two Group I 4.27 14.0 21.44 230.79 cetaceans or up to four Group II cetaceans 5.49 18.0 35.44 381.51 which meets the required MHD and depth 5.64 18.5 37.43 403.00 5.79 19.0 39.49 425.08 will have the necessary surface area and vol- 6.71 22.0 52.94 569.91 ume required for the animals contained 6.86 22.5 55.38 596.11 therein. 7.32 24.0 63.01 678.24 10 Since the MHD represents the diameter 8.53 28.0 85.76 923.16 of a circle, the surface area based on the 1 Square meter=square feet/9×0.8361. MHD is calculated by use of the following formula: (c) Sirenians. Primary enclosures SA = π × (MHD / 2)2. housing sirenians shall contain a pool

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of water and may consist entirely of a activity area shall be computed using pool of water. the following methods: (1) The required MHD of a primary (i) Group I pinnipeds. Square the aver- enclosure pool for sirenians shall be age adult length of each pinniped to be two times the average adult length of contained in the primary enclosure. the longest species of sirenian to be Add the figures obtained for each of the housed therein. Calculations shall be pinnipeds in the primary enclosure to based on the average adult length of determine the dry resting or social ac- such sirenians as measured in a hori- tivity area required for such pinnipeds. zontal line from the tip of the muzzle If only a single Group I pinniped is to the notch in the tail fluke of maintained in the primary enclosure, dugongs and from the tip of the muzzle the minimum dry resting or social ac- to the most distal point in the rounded tivity area shall be twice the square of tail of the manatee. the average adult length of that single (2) The minimum depth requirements Group I pinniped. Examples: for primary enclosure pools for all sire- (average adult length)2 of 1st Group I nians shall be one-half the average pinniped+(average adult length)2 of adult length of the longest species to 2nd Group I pinniped=Total DRA be housed therein, or 1.52 meters (5.0 for two pinnipeds feet), whichever is greater. Those parts × of the primary enclosure pool which do DRA for one pinniped=2 (average 2 not meet the minimum depth require- adult length of Group I pinniped) ments cannot be included when calcu- (ii) Group II pinnipeds. List all lating space requirements for sire- pinnipeds contained in a primary en- nians. closure by average adult length in de- (3) A pool which satisfies the required scending order from the longest species MHD and depth shall be adequate for of pinniped to the shortest species of one or two sirenians. Volume and sur- pinniped. Square the average adult face area requirements for additional length of each pinniped. Multiply the animals shall be calculated using the average adult length squared of the same formula as for Group I cetaceans, longest pinniped by 1.5, the second except that the figure for depth re- longest by 1.4, the third longest by 1.3, quirement for sirenians shall be one- the fourth longest by 1.2, and the fifth half the average adult length or 1.52 longest by 1.1, as indicated in the fol- meters (5.0 feet), whichever is greater. lowing example. Square the average (d) Pinnipeds. (1) Primary enclosures adult length of the sixth pinniped and housing pinnipeds shall contain a pool each additional pinniped. Add the fig- of water and a dry resting or social ac- ures obtained for all the pinnipeds in tivity area that must be close enough the primary enclosure to determine the to the surface of the water to allow required minimum dry resting or social easy access for entering or leaving the activity area required for such pool. For the purposes of this subpart, pinnipeds. If only a single Group II pinnipeds have been divided into Group pinniped is maintained in the primary I pinnipeds and Group II pinnipeds as enclosure, the minimum dry resting or shown in Table III in this section. In social activity area must be computed certain instances some Group I for a minimum of two pinnipeds. pinnipeds shall be considered as Group Examples: DRA for 1 Group II Pinniped II pinnipeds. (See Table III). = [(Average adult length)2 × 1.5] + (2) The minimum size of the dry rest- [(Average adult length)2 × 1.4] ing or social activity area of the primary enclosure for pinnipeds (exclusive 1st pinniped (avg. adult length)2×1.5=social and DRA re- of the pool of water) shall be based on quired 2nd pinniped (avg. adult length)2×1.4=social and DRA re- the average adult length of each quired pinniped contained therein, as meas- 3rd pinniped (avg. adult length)1×1.3=social and DRA re- ured in a horizontal or extended posi- quired 2× tion in a straight line from the tip of 4th pinniped (avg. adult length) 1.2=social and DRA required its nose to the tip of its tail. The min- 5th pinniped (avg. adult length)2×1.1=social and DRA re- imum size of the dry resting or social quired

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Each pinniped over 5 (avg. adult length)2=social and DRA (e) Polar bears. Primary enclosures required housing polar bears shall consist of a Total minimum social activity and dry resting area required pool of water, a dry resting and social for all pinnipeds housed in a primary enclosure. activity area, and a den. A minimum of 37.16 square meters (400 square feet) of If all the pinnipeds in the primary en- dry resting and social activity area closure are of the same species, the shall be provided for up to two polar same descending order of calculation bears, with an additional 3.72 square shall apply. Example: Hooded seal—av- meters (40 square feet) of dry resting erage adult length of male=8.5 feet and and social activity area for each addi- female=6.6 feet. In a primary enclosure tional polar bear. The dry resting and containing 2 males and 2 females, the social activity area shall be provided social or DRA required would be the with enough shade to accommodate all sum of [(8.5)2×1.5] + [(8.5)2×1.4] of the polar bears housed in such pri- +[(6.6)2×1.3] + [(6.6)2×1.2]. mary enclosure at the same time. The If two or more sexually mature males pool of water shall have an MHD of not are maintained together in a primary less than 2.44 meters (8.0 feet) and a enclosure, the dry resting or social ac- surface area of at least 8.93 square me- tivity area shall be divided into two or ters (96.0 square feet) with a minimum more separate areas with sufficient vis- depth of 1.52 meters (5.0 feet) with the ual barriers (such as fences, rocks, or exception of any entry and exit area. foliage) to provide relief from aggres- This size pool shall be adequate for two sive animals. polar bears. For each additional bear, (iii) Mixture of Group I and Group II the surface area of the pool must be in- pinnipeds. In a primary enclosure where creased by 3.72 square meters (40 square a mixture of Group I and Group II feet). In measuring this additional sur- pinnipeds is to be housed, the dry rest- face area, parts of the pool which do ing or social activity area shall be cal- not meet minimum depth cannot be culated as for Group II pinnipeds. The considered. The den shall be at least dry resting or social activity area shall 1.83 meters (6 feet) in width and depth be divided into two or more separate and not less than 1.52 meters (5 feet) in areas with sufficient visual barriers height. It will be so positioned that the (such as fences, rocks, or foliage) to viewing public shall not be visible from provide relief from aggressive animals. the interior of the den. A separate den (3)(i) The minimum surface area of a shall be provided for each adult female pool of water for pinnipeds shall be at of breeding age which is permanently least equal to the dry resting or social housed in the same primary enclosure activity area required. with an adult male of breeding age. Fe- (ii) The MHD of the pool shall be at male polar bears in traveling acts or least one and one-half (1.5) times the shows must be provided a den when average adult length of the largest spe- pregnancy has been determined. cies of pinniped to be housed in the en- (f) Sea otters. (1) Primary enclosures closure; except that such MHD meas- for sea otters shall consist of a pool of urement may be reduced by up to 20 water and a dry resting area. The MHD percent if the amount of the reduction of the pool of water for sea otters shall is added to the MHD at the 90-degree be at least three times the average angle. adult length of the sea otter contained (iii) The pool of water shall be at therein (measured in a horizontal line least 0.91 meters (3.0 feet) deep or one- from the tip of its nose to the tip of its half the average adult length of the tail) and the pool shall be not less than longest species of pinniped contained .91 meters (3.0 feet) deep. When more therein, whichever is greater. Parts of than two sea otters are housed in the the pool that do not meet the min- same primary enclosure, additional dry imum depth requirement cannot be resting area as well as pool volume is used in the calculation of the dry rest- required to accommodate the addi- ing and social activity area, or as part tional sea otters. (See Table V). of the MHD or required surface area of (2) The minimum volume of water re- the pool. quired for a primary enclosure pool for 105

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sea otters shall be based on the sea ot- be based on the sea otter’s average ter’s average adult length. The min- adult length. The minimum dry resting imum volume of water required in the area for one or two sea otters shall be pool shall be computed using the fol- computed using the following method: lowing method: Multiply the square of Square the average adult length of the the sea otter’s average adult length by sea otter and multiply the total by 3.14 and then multiply the total by 0.91 3.14. When the enclosure is to contain meters (3.0 feet). This volume is satis- more than two sea otters, the dry rest- factory for one or two otters. To cal- ing area for each additional animal culate the additional volume of water shall be computed by multiplying one- for each additional sea otter above two in a primary enclosure, multiply one- half of the sea otter’s average adult half of the square of the sea otter’s av- length by 3.14. Using 1.25 meters or 4.1 erage adult length by 3.14, then mul- feet (the average adult length of a sea tiply by 0.91 meters (3.0 feet). (See otter), the calculations for additional Table V). space will result in the following fig- (3) The minimum dry resting area re- ures: quired for one or two sea otters shall

TABLE V—ADDITIONAL SPACE REQUIRED FOR EACH SEA OTTER WHEN MORE THAN TWO IN A PRIMARY ENCLOSURE

Average adult length of sea otter Resting area Pool Volume Meters Feet Square meters Square Feet Cubic meters Cubic feet

1.25 4.1 1.96 6.44 2.23 79.17

[44 FR 36874, June 22, 1979, as amended at 45 FR 63261, Sept. 24, 1980; 49 FR 26682, 26685, June 28, 1984; 49 FR 27922, July 9, 1984; 63 FR 2, Jan. 2, 1998; 63 FR 47148, Sept. 4, 1998; 66 FR 252, Jan. 3, 2001]

ANIMAL HEALTH AND HUSBANDRY essary knowledge to assure that each STANDARDS marine mammal receives an adequate quantity of food to maintain it in good § 3.105 Feeding. health. Such employee or attendant is (a) The food for marine mammals required to have the ability to recog- must be wholesome, palatable, and free nize deviations from a normal state of from contamination and must be of good health in each marine mammal so sufficient quantity and nutritive value that the food intake can be adjusted to maintain marine mammals in a accordingly. Inappetence exceeding 24 state of good health. The diet must be hours must be reported immediately to prepared with consideration for factors the attending veterinarian. Public such as age, species, condition, and size feeding may be permitted only in the of the marine mammal being fed. Ma- presence and under the supervision of a rine mammals must be offered food at sufficient number of knowledgeable, least once a day, except as directed by uniformed employees or attendants. the attending veterinarian. Such employees or attendants must as- (b) Food receptacles, if used, must be sure that the marine mammals are re- located so as to be accessible to all ma- ceiving the proper amount and type of rine mammals in the same primary en- food. Only food supplied by the facility closure and must be placed so as to where the marine mammals are kept minimize contamination of the food may be fed to the marine mammals by they contain. Such food receptacles the public. Marine mammal feeding must be cleaned and sanitized after records noting the estimated indi- each use. vidual daily consumption must be (c) Food, when given to each marine maintained at the facility for a period mammal individually, must be given of 1 year and must be made available by an employee or attendant respon- for APHIS inspection. For marine sible to management who has the nec- mammals that are individually fed and

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not subject to public feeding, the feed- chemical additives (e.g. chlorine and ing records should reflect an accurate copper) that are added to the water to account of food intake; for animals fed, maintain water quality standards. Fa- in part, by the public, and for large, cilities using natural seawater shall be group-fed colonies of marine mammals exempt from pH and chemical testing where individual rations are not prac- unless chemicals are added to maintain tical or feasible to maintain, the daily water quality. However, they are re- food consumption should be estimated quired to test for coliforms. Records as precisely as possible. must be kept documenting the time (d) Food preparation and handling when all such samples were taken and must be conducted so as to assure the the results of the sampling. Records of wholesomeness and nutritive value of all such test results shall be main- the food. Frozen fish or other frozen tained by management for a 1-year pe- food must be stored in freezers that are riod and must be made available for in- maintained at a maximum tempera- spection purposes on request. ¥ ° ° ture of 18 C (0 F). The length of (c) Salinity. Primary enclosure pools time food is stored and the method of of water shall be salinized for marine storage, the thawing of frozen food, and cetaceans as well as for those other the maintenance of thawed food must marine mammals which require be conducted in a manner that will salinized water for their good health minimize contamination and that will and well-being. The salinity of the assure that the food retains nutritive value and wholesome quality until the water in such pools shall be maintained time of feeding. When food is thawed in within a range of 15–36 parts per thou- standing or running water, cold water sand. must be used. All foods must be fed to (d) Filtration and water flow. Water the marine mammals within 24 hours quality must be maintained by filtra- following the removal of such foods tion, chemical treatment, or other from the freezers for thawing, or if the means so as to comply with the water food has been thawed under refrigera- quality standards specified in this section, it must be fed to the marine tion. mammals within 24 hours of thawing. § 3.107 Sanitation. [66 FR 252, Jan. 3, 2001] (a) Primary enclosures. (1) Animal and § 3.106 Water quality. food waste in areas other than the pool (a) General. The primary enclosure of water must be removed from the pri- shall not contain water which would be mary enclosures at least daily, and detrimental to the health of the ma- more often when necessary, in order to rine mammal contained therein. provide a clean environment and mini- (b) Bacterial standards. (1) The coli- mize health and disease hazards. form bacteria count of the primary en- (2) Particulate animal and food closure pool shall not exceed 1,000 MPN waste, trash, or debris that enters the (most probable number) per 100 ml. of primary enclosure pools of water must water. Should a coliform bacterial be removed at least daily, or as often count exceed 1,000 MPN, two subse- as necessary, to maintain the required quent samples may be taken at 48-hour water quality and to minimize health intervals and averaged with the first and disease hazards to the marine sample. If such average count does not mammals. fall below 1,000 MPN, then the water in (3) The wall and bottom surfaces of the pool shall be deemed unsatisfac- the primary enclosure pools of water tory, and the condition must be cor- must be cleaned as often as necessary rected immediately. to maintain proper water quality. Nat- (2) When the water is chemically ural organisms (such as algae, treated, the chemicals shall be added coelenterates, or molluscs, for exam- so as not to cause harm or discomfort ple) that do not degrade water quality to the marine mammals. as defined in § 3.106, prevent proper (3) Water samples shall be taken and maintenance, or pose a health or dis- tested at least weekly for coliform ease hazard to the animals are not con- count and at least daily for pH and any sidered contaminants.

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(b) Food preparation. Equipment and for such employees. This training utensils used in food preparation must course will include, but is not limited be cleaned and sanitized after each use. to, species appropriate husbandry tech- Kitchens and other food handling areas niques, animal handling techniques, where animal food is prepared must be and information on proper reporting cleaned at least once daily and sani- protocols, such as recordkeeping and tized at least once every week. Sani- notification of veterinary staff for tizing must be accomplished by wash- medical concerns. ing with hot water (8 °C, 180 °F, or (c) Any training of marine mammals higher) and soap or detergent in a me- must be done by or under the direct su- chanical dishwasher, or by washing all pervision of experienced trainers. soiled surfaces with a detergent solu- (d) Trainers and handlers must meet tion followed by a safe and effective professionally recognized standards for disinfectant, or by cleaning all soiled experience and training. surfaces with live steam. Substances such as cleansing and sanitizing [66 FR 253, Jan. 3, 2001] agents, pesticides, and other poten- § 3.109 Separation. tially toxic agents must be stored in properly labeled containers in secured Marine mammals, whenever known cabinets designed and located to pre- to be primarily social in the wild, must vent contamination of food storage be housed in their primary enclosure preparation surfaces. with at least one compatible animal of (c) Housekeeping. Buildings and the same or biologically related spe- grounds, as well as exhibit areas, must cies, except when the attending veteri- be kept clean and in good repair. narian, in consultation with the hus- Fences must be maintained in good re- bandry/training staff, determines that pair. Primary enclosures housing ma- such housing is not in the best interest rine mammals must not have any loose of the marine mammal’s health or objects or sharp projections and/or well-being. However, marine mammals edges which may cause injury or trau- that are not compatible must not be ma to the marine mammals contained housed in the same enclosure. Marine therein. mammals must not be housed near (d) Pest control. A safe and effective other animals that cause them unrea- program for the control of insects, sonable stress or discomfort or inter- ectoparasites, and avian and mamma- fere with their good health. Animals lian pests must be established and housed separately must have a written maintained. Insecticides or other such plan, approved by the attending veteri- chemical agents must not be applied in narian, developed in consultation with primary enclosures housing marine the husbandry/training staff, that in- mammals except when deemed essen- cludes the justification for the length tial by an attending veterinarian. of time the animal will be kept separated or isolated, information on the [66 FR 253, Jan. 3, 2001] type and frequency of enrichment and § 3.108 Employees or attendants. interaction, if appropriate, and provisions for periodic review of the plan by (a) A sufficient number of adequately the attending veterinarian. Marine trained employees or attendants, re- mammals that are separated for non- sponsible to management and working medical purposes must be held in fa- in concert with the attending veteri- cilities that meet minimum space re- narian, must be utilized to maintain quirements as outlined in § 3.104. the prescribed level of husbandry practices set forth in this subpart. Such [66 FR 253, Jan. 3, 2001] practices must be conducted under the supervision of a marine mammal care- § 3.110 Veterinary care. taker who has demonstrable experience (a) Newly acquired marine mammals in marine mammal husbandry and must be isolated from resident marine care. mammals. Animals with a known med- (b) The facility will provide and doc- ical history must be isolated unless or ument participation in and successful until the newly acquired animals can completion of a facility training course be reasonably determined to be in good

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health by the attending veterinarian. into this holding facility prior to such Animals without a known medical his- cleaning and/or sanitizing procedures. tory must be isolated until it is deter- Any marine mammal exposed to a con- mined that the newly acquired animals tagious animal must be evaluated by are determined to be in good health by the attending veterinarian and mon- the attending veterinarian. Any com- itored and/or isolated for an appro- municable disease condition in a newly priate period of time as determined by acquired marine mammal must be rem- the attending veterinarian. edied before it is placed with resident (d) Individual animal medical records marine mammals, unless, in the judg- must be kept and made available for ment of the attending veterinarian, the APHIS inspection. These medical potential benefits of a resident animal records must include at least the fol- as a companion to the newly acquired lowing information: animal outweigh the risks to the resi- (1) Animal identification/name, a dent animal. physical description, including any (b) Holding facilities must be in place identifying markings, scars, etc., age, and available to meet the needs for iso- and sex; and lation, separation, medical treatment, (2) Physical examination informa- and medical training of marine mam- tion, including but not limited to mals. Marine mammals that are iso- length, weight, physical examination lated or separated for nonmedical pur- results by body system, identification poses must be held in facilities that of all medical and physical problems meet minimum space requirements as with proposed plan of action, all diag- outlined in § 3.104. Holding facilities nostic test results, and documentation used only for medical treatment and of treatment. medical training need not meet the (e) A copy of the individual animal minimum space requirements as out- medical record must accompany any lined in § 3.104. Holding of a marine marine mammal upon its transfer to mammal in a medical treatment or another facility, including contract or medical training enclosure that does satellite facilities. not meet minimum space requirements (f) All marine mammals must be vis- for periods longer than 2 weeks must be ually examined by the attending vet- noted in the animal’s medical record erinarian at least semiannually and and the attending veterinarian must must be physically examined under the provide a justification in the animal’s supervision of and when determined to medical record. If holding in such en- be necessary by the attending veteri- closures for medical treatment and/or narian. All cetaceans and sirenians medical training is to last longer than must be physically examined by the at- 2 weeks, such extension must be justi- tending veterinarian at least annually, fied in writing by the attending veteri- unless APHIS grants an exception from narian on a weekly basis. In natural la- this requirement based on consider- goon or coastal enclosures where isola- ations related to the health and safety tion cannot be accomplished, since of the cetacean or sirenian. These ex- water circulation cannot be controlled aminations must include, but are not or isolated, separation of newly ac- limited to, a hands-on physical exam- quired marine mammals must be ac- ination, hematology and blood chem- complished using separate enclosures istry, and other diagnostic tests as de- situated within the facility to prevent termined by the attending veteri- direct contact and to minimize the risk narian. of potential airborne and water cross- (g)(1) A complete necropsy, including contamination between newly acquired histopathology samples, micro- and resident animals. biological cultures, and other testing (c) Any holding facility used for med- as appropriate, must be conducted by ical purposes that has contained a ma- or under the supervision of the attend- rine mammal with an infectious or ing veterinarian on all marine mam- contagious disease must be cleaned mals that die in captivity. A prelimi- and/or sanitized in a manner prescribed nary necropsy report must be prepared by the attending veterinarian. No by the veterinarian listing all healthy animals may be introduced pathologic lesions observed. The final

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necropsy report must include all gross (a) Space requirements. The primary and histopathological findings, the re- enclosure for SWTD cetaceans shall sults of all laboratory tests performed, contain an interactive area, a buffer and a pathological diagnosis. area, and a sanctuary area. None of (2) Necropsy records will be main- these areas shall be made uninviting to tained at the marine mammal’s home the animals. Movement of cetaceans facility and at the facility at which it into the buffer or sanctuary area shall died, if different, for a period of 3 years not be restricted in any way. Notwith- and must be presented to APHIS in- standing the space requirements set spectors when requested. forth in § 3.104, each of the three areas required for SWTD programs shall [66 FR 253, Jan. 3, 2001] meet the following space requirements: (1) The horizontal dimension for each § 3.111 Swim-with-the-dolphin pro- area must be at least three times the grams. average adult body length of the spe- Swim-with-the-dolphin programs cies of cetacean used in the program; shall comply with the requirements in (2) The minimum surface area re- this section, as well as with all other quired for each area is calculated as applicable requirements of the regula- follows: tions pertaining to marine mammals. (i) Up to two cetaceans:

⎛ 3 × average adult body length (L)⎞ 2 Surface Area ( SA).= × 314 ⎝ 2 ⎠

(ii) Three cetaceans: and humans at all times while within the interactive area. If water clarity ⎛ × ⎞ 2 does not allow these observations, the = 3 L ×× SA ⎝ ⎠ 314. 2 interactive sessions shall be canceled 2 until the required clarity is provided. (iii) Additional SA for each animal in (c) Employees and attendants. Each excess of three: SWTD program shall have, at the minimum, the following personnel, with ⎛ 2 × L⎞ 2 the following minimum backgrounds SA = × 314. (each position shall be held by a sepa- ⎝ 2 ⎠ rate individual, with a sufficient num- (3) The average depth for sea pens, la- ber of attendants to comply with goons, and similar natural enclosures § 3.111(e)(4)): at low tide shall be at least 9 feet. The (1) Licensee or manager—at least one average depth for any manmade enclo- full-time staff member with at least 6 sure or other structure not subject to years experience in a professional or tidal action shall be at least 9 feet. A managerial position dealing with cap- portion of each area may be excluded tive cetaceans; when calculating the average depth, (2) Head trainer/behaviorist—at least but the excluded portion may not be one full-time staff member with at used in calculating whether the inter- least 6 years experience in training active, buffer, and sanctuary area meet cetaceans for SWTD behaviors in the the requirements of paragraphs (a)(1), past 10 years, or an equivalent amount (a)(2), and (a)(4) of this section. of experience involving in-water train- (4) The minimum volume required for ing of cetaceans, who serves as the each animal is calculated as follows: head trainer for the SWTD program; × (3) Trainer/supervising attendant—at Volume = SA 9 least one full-time staff member with (b) Water clarity. Sufficient water at least 3 years training and/or han- clarity shall be maintained so that at- dling experience involving human/ceta- tendants are able to observe cetaceans cean interaction programs;

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(4) Attendant—an adequate number session, to include the telephone and of staff members who are adequately FAX numbers for APHIS, Animal Care, trained in the care, behavior, and for reporting injuries or complaints. training of the program animals. At- Members of the public shall agree, in tendants shall be designated by the writing, to abide by the rules and in- trainer, in consultation with the head structions before being allowed to par- trainer/behaviorist and licensee/man- ticipate in the session. Any participant ager, to conduct and monitor inter- who fails to follow the rules or instruc- active sessions in accordance with tions shall be removed from the session § 3.111(e); and by the facility. (5) Attending veterinarian—at least (6) All interactive sessions shall have one staff or consultant veterinarian at least two attendants or other au- who has at least the equivalent of 2 years full-time experience (4,160 or thorized SWTD personnel (i.e., head more hours) with cetacean medicine trainer/behaviorist or trainer/super- within the past 10 years, and who is li- vising attendant). At least one attend- censed to practice veterinary medicine. ant shall be positioned out of the (d) Program animals. Only cetaceans water. One or more attendants or other that meet the requirements of authorized SWTD personnel may be po- § 3.111(e)(2) and (3) may be used in sitioned in the water. If a facility has SWTD programs. more than two incidents during inter- (e) Handling. (1) Interaction time (i.e., active sessions within a year’s time designated interactive swim sessions) span that have been dangerous or for each cetacean shall not exceed 2 harmful to either a cetacean or a hours per day. Each program cetacean human, APHIS, in consultation with shall have at least one period in each 24 the head trainer/behaviorist, will deter- hours of at least 10 continuous hours mine if changes in attendant positions without public interaction. are needed. (2) All cetaceans used in an inter- (7) All SWTD programs shall limit active session shall be adequately interaction between cetaceans and hu- trained and conditioned in human mans so that the interaction does not interaction so that they respond in the harm the cetaceans, does not remove session to the attendants with appro- the element of choice from the priate behavior for safe interaction. cetaceans by actions such as, but not The head trainer/behaviorist, trainer/ limited to, recalling the animal from supervising attendant, or attendant shall, at all times, control the nature the sanctuary area, and does not elicit and extent of the cetacean interaction unsatisfactory, undesirable, or unsafe with the public during a session, using behaviors from the cetaceans. All the trained responses of the program SWTD programs shall prohibit grasp- animal. ing or holding of the cetacean’s body, (3) All cetaceans used in interactive unless under the direct and explicit in- sessions shall be in good health, includ- struction of an attendant eliciting a ing, but not limited to, not being infec- specific cetacean behavior, and shall tious. Cetaceans undergoing veterinary prevent the chasing or other harass- treatment may be used in interactive ment of the cetaceans. sessions only with the approval of the (8) In cases where cetaceans used in attending veterinarian. an interactive session exhibit unsatis- (4) The ratio of human participants factory, undesirable, or unsafe behav- to cetaceans shall not exceed 3:1. The iors, including, but not limited to, ratio of human participants to attend- charging, biting, mouthing, or sexual ants or other authorized SWTD per- contact with humans, such cetaceans sonnel (i.e., head trainer/behaviorist or shall either be removed from the inter- trainer/supervising attendant) shall active area or the session shall be ter- not exceed 3:1. minated. Written criteria shall be de- (5) Prior to participating in an SWTD veloped by each SWTD program, and interactive session, members of the shall be submitted to and approved by public shall be provided with oral and written rules and instructions for the

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APHIS 11 regarding conditions and pro- (vi) The resume of the licensee and/or cedures for maintaining compliance manager, the head trainer/behaviorist, with paragraph (e)(4) of this section; the trainer/supervising attendant, any for the termination of a session when other attendants, and the attending removal of a cetacean is not possible; veterinarian; and regarding criteria and protocols for (vii) The current behavior patterns handling program animal(s) exhibiting and health of each cetacean, to be as- unsatisfactory, undesirable, or unsafe sessed and submitted by the attending behaviors, including retraining time veterinarian; and techniques, and removal from the (viii) For facilities that employ a program and/or facility, if appropriate. part-time attending veterinarian or The head trainer/behaviorist shall de- consultant arrangements, a written termine when operations will be termi- program of veterinary care (APHIS nated, and when they may resume. In the absence of the head trainer/ form 7002), including protocols and behaviorist, the determination to ter- schedules of professional visits; and minate a session shall be made by the (ix) A detailed description of the trainer/supervising attendant. Only the monitoring program to be used to de- head trainer/behaviorist may deter- tect and identify changes in the behav- mine when a session may be resumed. ior and health of the cetaceans. (f) Recordkeeping. (1) Each facility (2) All SWTD programs shall comply shall provide APHIS 12 with a descrip- in all respects with the regulations and tion of its program at least 30 days standards set forth in parts 2 and 3 of prior to initiation of the program, or in this subchapter. the case of any program in place before (3) Individual animal veterinary September 4, 1998, not later than Octo- records, including all examinations, ber 5, 1998. The description shall in- laboratory reports, treatments, and ne- clude at least the following: cropsy reports shall be kept at the (i) Identification of each cetacean in SWTD site for at least 3 years and shall the program, by means of name and/or be made available to an APHIS official number, sex, age, and any other means upon request during inspection. the Administrator determines to be (4) The following records shall be necessary to adequately identify the kept at the SWTD site for at least 3 cetacean; years and shall be made available to an (ii) A description of the educational APHIS official upon request during in- content and agenda of planned inter- spection: active sessions, and the anticipated av- (i) Individual cetacean feeding erage and maximum frequency and du- records; and ration of encounters per cetacean per day; (ii) Individual cetacean behavioral (iii) The content and method of pre- records. encounter orientation, rules, and in- (5) The following reports shall be structions, including restrictions on kept at the SWTD site for at least 3 types of physical contact with the years and shall be made available to an cetaceans; APHIS official upon request during in- (iv) A description of the SWTD facil- spection: ity, including the primary enclosure (i) Statistical summaries of the num- and other SWTD animal housing or ber of minutes per day that each ani- holding enclosures at the facility; mal participated in an interactive ses- (v) A description of the training, in- sion; cluding actual or expected number of (ii) A statistical summary of the hours each cetacean has undergone or number of human participants per will undergo prior to participation in month in the SWTD program; and the program; (6) A description of any changes made in the SWTD program, which shall be 11 Send to Administrator, c/o Animal and submitted to APHIS 13 on a semi-an- Plant Health Inspection Service, Animal nual basis. Care, 4700 River Road Unit 84, Riverdale, Maryland 20737–1234. 12 See footnote 11 in § 3.111(e)(8). 13 See footnote 11 in § 3.111(e)(8).

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(7) All incidents resulting in injury of each cetacean (i.e., whether in an ac- to either cetaceans or humans partici- tive breeding program, pregnant, or pating in an interactive session, which nursing). shall be reported to APHIS within 24 (5) The attending veterinarian shall hours of the incident. 14 Within 7 days examine water quality records and proof any such incident, a written report vide a written assessment, to remain at shall be submitted to the Adminis- the SWTD site for at least 3 years, of trator. 15 The report shall provide a de- the overall water quality during the tailed description of the incident and preceding month. Such records shall be shall establish a plan of action for the made available to an APHIS official prevention of further occurrences. upon request during inspection. (g) Veterinary care. (1) The attending (6) In the event that a cetacean dies, veterinarian shall conduct on-site eval- complete necropsy results, including uations of each cetacean at least once all appropriate histopathology, shall be a month. The evaluation shall include recorded in the cetacean’s individual a visual inspection of the animal; ex- file and shall be made available to amination of the behavioral, feeding, APHIS officials during facility inspec- and medical records of the animal; and tions, or as requested by APHIS. The a discussion of each animal with an necropsy shall be performed within 48 animal care staff member familiar with hours of the cetacean’s death, by a vet- the animal. erinarian experienced in marine mam- (2) The attending veterinarian shall mal necropsies. If the necropsy is not observe an interactive swim session at to be performed within 3 hours of the the SWTD site at least once each discovery of the cetacean’s death, the month. cetacean shall be refrigerated until ne- (3) The attending veterinarian shall cropsy. Written results of the necropsy conduct a complete physical examina- shall be available in the cetacean’s in- tion of each cetacean at least once dividual file within 7 days after death every 6 months. The examination shall for gross pathology and within 45 days include a profile of the cetacean, in- after death for histopathology. cluding the cetacean’s identification (Approved by the Office of Management and (name and/or number, sex, and age), Budget under control numbers 0579–0036 and weight, 16 length, axillary girth, appe- 0579–0115) tite, and behavior. The attending vet- [63 FR 47148, Sept. 4, 1998] erinarian shall also conduct a general EFFECTIVE DATE NOTE: At 64 FR 15920, Apr. examination to evaluate body condi- 2, 1999, § 3.111 was suspended, effective Apr. 2, tion, skin, eyes, mouth, blow hole and 1999. cardio-respiratory system, genitalia, and feces (gastrointestinal status). The TRANSPORTATION STANDARDS examination shall also include a complete blood count and serum chemistry § 3.112 Consignments to carriers and analysis. Fecal and blow hole smears intermediate handlers. shall be obtained for cytology and (a) Carriers and intermediate han- parasite evaluation. dlers shall not accept any marine (4) The attending veterinarian, dur- mammal that is presented by any dealing the monthly site visit, shall record er, research facility, exhibitor, oper- the nutritional and reproductive status ator of an auction sale, or other person, or any department, agency, or in- 14 Telephone numbers for APHIS, Animal strumentality of the United States or Care, regional offices can be found in local any State or local government for ship- telephone books. ment, in commerce, more than 4 hours 15 See footnote 11 in § 3.111(e)(8). prior to the scheduled departure of the 16 Weight may be measured either by scale primary conveyance on which it is to or calculated using the following formulae: be transported, and that is not accom- ¥ Females: Natural log of body mass = 8.44 panied by a health certificate signed by + 1.34(natural log of girth) + 1.28(natural log of standard length). the attending veterinarian stating that Males: Natural log of body mass= ¥10.3 + the animal was examined within the 1.62(natural log of girth) + 1.38(natural log of prior 10 days and found to be in accept- standard length). able health for transport: Provided,

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however, That the carrier or inter- perature within the range of 7.2 °C (45 mediate handler and any dealer, re- °F) to 23.9 °C (75 °F) allowed by § 3.117 of search facility, exhibitor, operator of this subpart may accept for transpor- an auction sale, or other person, or any tation or transport, in commerce, any department, agency, or instrumen- marine mammal consigned by any de- tality of the United States or any partment, agency, or instrumentality State or local government may mutu- of the United States or of any State or ally agree to extend the time of accept- local government, or by any person (in- ance to not more than 6 hours if spe- cluding any licensee or registrant cific prior scheduling of the animal under the Act, as well as any private shipment to destination has been individual) if the consignor furnishes made. to the carrier or intermediate handler (b) Any carrier or intermediate han- a certificate executed by the attending dler shall only accept for transpor- veterinarian on a specified date that is tation or transport, in commerce, any not more than 10 days prior to delivery marine mammal in a primary trans- of the animal for transportation in port enclosure that conforms to the re- commerce, stating that the marine quirements in § 3.113 of this subpart: mammal is acclimated to a specific air Provided, however, That any carrier or temperature range lower or higher intermediate handler may accept for than those prescribed in §§ 3.117 and transportation or transport, in com- 3.118. A copy of the certificate must ac- merce, any marine mammal consigned company the shipment to destination. by any department, agency, or instru- The certificate must include at least mentality of the United States having the following information: laboratory animal facilities or exhib- (1) Name and address of the con- iting animals or any licensed or reg- signor; istered dealer, research facility, exhibi- (2) The number, age, and sex of ani- tor, or operator of an auction sale if mals in the shipment; the consignor furnishes to the carrier (3) A certifying statement (e.g., ‘‘I or intermediate handler a certificate, hereby certify that the animal(s) in signed by the consignor, stating that this shipment is (are), to the best of the primary transport enclosure com- my knowledge, acclimated to an air plies with § 3.113 of this subpart, unless temperature range of llll’’); and such primary transport enclosure is ob- (4) The signature of the attending viously defective or damaged and it is veterinarian and the date. apparent that it cannot reasonably be (d) Carriers and intermediate han- expected to contain the marine mam- dlers must attempt to notify the con- mal without causing suffering or injury signee (receiving party) at least once to the marine mammal. A copy of any in every 6-hour period following the ar- such certificate must accompany the rival of any marine mammals at the shipment to destination. The certifi- animal holding area of the terminal cate must include at least the fol- cargo facility. The time, date, and lowing information: method of each attempted notification (1) Name and address of the con- and the final notification to the consignor; signee and the name of the person noti- (2) The number, age, and sex of ani- fying the consignee must be recorded mals in the primary transport enclo- on the copy of the shipping document sure(s); retained by the carrier or intermediate (3) A certifying statement (e.g., ‘‘I handler and on a copy of the shipping hereby certify that the—(number) pri- document accompanying the animal mary transport enclosure(s) that are shipment. used to transport the animal(s) in this [66 FR 254, Jan. 3, 2001] shipment complies (comply) with USDA standards for primary transport § 3.113 Primary enclosures used to enclosures (9 CFR part 3).’’); and transport marine mammals. (4) The signature of the consignor, No dealer, research facility, exhibi- and date. tor, or operator of an auction sale shall (c) Carriers or intermediate handlers offer for transportation or transport, in whose facilities fail to maintain a tem- commerce, any marine mammal in a

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primary enclosure that does not con- (b) Straps, slings, harnesses, or other form to the following requirements: devices used for body support or re- (a) Primary enclosures that are used straint, when transporting marine to transport marine mammals other mammals such as cetaceans and sire- than cetaceans and sirenians must: nians must: (1) Be constructed from materials of (1) Be designed so as not to prevent sufficient structural strength to con- access to the marine mammals by attain the marine mammals; tendants for the purpose of admin- (2) Be constructed from material that istering in-transit care; is durable, nontoxic, and cannot be (2) Be equipped with special padding chewed and/or swallowed; to prevent trauma or injury at critical (3) Be able to withstand the normal weight pressure points on the body of rigors of transportation; the marine mammals; and (4) Have interiors that are free from (3) Be capable of keeping the animals any protrusions or hazardous openings from thrashing about and causing in- that could be injurious to the marine jury to themselves or their attendants, mammals contained within; and yet be adequately designed so as (5) Be constructed so that no parts of not to cause injury to the animals. the contained marine mammals are ex- (c) Primary enclosures used to trans- posed to the outside of the enclosures port marine mammals must be large in any way that may cause injury to enough to assure that: the animals or to persons who are nearby or who handle the enclosures; (1) In the case of pinnipeds, polar (6) Have openings that provide access bears, and sea otters, each animal has into the enclosures and are secured sufficient space to turn about freely in with locking devices of a type that can- a stance whereby all four feet or flip- not be accidentally opened; pers are on the floor and the animal (7) Have such openings located in a can sit in an upright position and lie in manner that makes them easily acces- a natural position; sible at all times for emergency re- (2) In the case of cetaceans and sire- moval and potential treatment of any nians, each animal has sufficient space live marine mammal contained within; for support of its body in slings, har- (8) Have air inlets at heights that nesses, or other supporting devices, if will provide cross ventilation at all used (as prescribed in paragraph (b) of levels (particularly when the marine this section), without causing injury to mammals are in a prone position), are such cetaceans or sirenians due to con- located on all four sides of the enclo- tact with the primary transport enclosures, and cover not less than 20 per- sure: Provided, however, That animals cent of the total surface area of each may be restricted in their movements side of the enclosures; according to professionally accepted (9) Have projecting rims or other de- standards when such freedom of move- vices placed on any ends and sides of ment would constitute a danger to the the enclosures that have ventilation animals, their handlers, or other per- openings so that there is a minimum sons. air circulation space of 7.6 centimeters (d) Marine mammals transported in (3.0 inches) between the enclosures and the same primary enclosure must be of any adjacent cargo or conveyance wall; the same species and maintained in (10) Be constructed so as to provide compatible groups. Marine mammals sufficient air circulation space to that have not reached puberty may not maintain the temperature limits set be transported in the same primary en- forth in this subpart; and closure with adult marine mammals (11) Be equipped with adequate other than their dams. Socially de- handholds or other devices on the exte- pendent animals (e.g., sibling, dam, and rior of the enclosures to enable them to other members of a family group) must be lifted without unnecessary tilting be allowed visual and olfactory contact and to ensure that the persons han- whenever reasonable. Female marine dling the enclosures will not come in mammals may not be transported in contact with any marine mammal con- the same primary enclosure with any tained inside. mature male marine mammals.

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(e) Primary enclosures used to trans- ture for the species involved and to port marine mammals as provided in provide for the safety and comfort of this section must have solid bottoms to the marine mammal, or other appro- prevent leakage in shipment and must priate safeguards (such as, but not lim- be cleaned and sanitized in a manner ited to, cooling the animal with cold prescribed in § 3.107 of this subpart, if water, adding ice to water-filled enclo- previously used. Within the primary sures, and use of fans) must be em- enclosures used to transport marine ployed to maintain the animal at an mammals, the animals will be main- appropriate temperature. tained on sturdy, rigid, solid floors (b) The animal cargo space must be with adequate drainage. constructed and maintained in a man- (f) Primary enclosures used to trans- ner that will prevent the ingress of en- port marine mammals, except where gine exhaust fumes and gases in excess such primary enclosures are perma- of that ordinarily contained in the pas- nently affixed in the animal cargo senger compartments. space of the primary conveyance, must (c) Marine mammals must only be be clearly marked on top (when placed in animal cargo spaces that present) and on at least one side, or on have a supply of air sufficient for each all sides whenever possible, with the live animal contained within. Primary words ‘‘Live Animal’’ or ‘‘Wild Ani- transport enclosures must be posi- mal’’ in letters not less than 2.5 centi- tioned in the animal cargo spaces of meters (1 inch) in height, and with ar- primary conveyances in such a manner rows or other markings to indicate the that each marine mammal contained correct upright position of the con- within will have access to sufficient tainer. air. (g) Documents accompanying the (d) Primary transport enclosures shipment must be attached in an easily must be positioned in primary convey- accessible manner to the outside of a ances in such a manner that, in an primary enclosure that is part of such emergency, the live marine mammals shipment or be in the possession of the can be removed from the conveyances shipping attendant. as soon as possible. (h) When a primary transport enclo- (e) The interiors of animal cargo sure is permanently affixed within the spaces in primary conveyances must be animal cargo space of the primary con- kept clean. veyance so that the front opening is (f) Live marine mammals must not the only source of ventilation for such knowingly be transported with any ma- primary enclosure, the front opening terial, substance, or device that may be must open directly to the outside or to injurious to the health and well-being an unobstructed aisle or passageway of the marine mammals unless proper within the primary conveyance. Such precaution is taken to prevent such in- front ventilation opening must be at jury. least 90 percent of the total surface (g) Adequate lighting must be avail- area of the front wall of the primary able for marine mammal attendants to enclosure and covered with bars, wire properly inspect the animals at any mesh, or smooth expanded metal. time. If such lighting is not provided by the carrier, provisions must be [66 FR 255, Jan. 3, 2001] made by the shipper to supply such § 3.114 Primary conveyances (motor lighting. vehicle, rail, air and marine). [66 FR 255, Jan. 3, 2001] (a) The animal cargo space of primary conveyances used in transporting § 3.115 Food and drinking water re- live marine mammals must be con- quirements. structed in a manner that will protect (a) Those marine mammals that re- the health and assure the safety and quire drinking water must be offered comfort of the marine mammals con- potable water within 4 hours of being tained within at all times. All primary placed in the primary transport enclo- conveyances used must be sufficiently sure for transport in commerce. Marine temperature-controlled to provide an mammals must be provided water as appropriate environmental tempera- often as necessary and appropriate for

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the species involved to prevent dehy- (c) Carriers must inform the crew as dration, which would jeopardize the to the presence of the marine mam- good health and well-being of the animals on board the craft, inform the in- mals. dividual accompanying the marine (b) Marine mammals being trans- mammals of any unexpected delays as ported in commerce must be offered soon as they become known, and ac- food as often as necessary and appro- commodate, except as precluded by priate for the species involved or as de- safety considerations, requests by the termined by the attending veteri- shipper or his agent to provide access narian. to the animals or take other necessary actions for the welfare of the animals if [66 FR 256, Jan. 3, 2001] a delay occurs. § 3.116 Care in transit. (d) A sufficient number of employees or attendants of the shipper or receiver (a) A licensed veterinarian, em- of cetaceans or sirenians being trans- ployee, and/or attendant of the shipper ported, in commerce, must provide for or receiver of any marine mammal such cetaceans and sirenians during pe- being transported, in commerce, riods of transport by: knowledgeable and experienced in the (1) Keeping the skin moist or pre- area of marine mammal care and trans- venting the drying of the skin by such port, must accompany all marine methods as intermittent spraying of mammals during periods of transpor- water or application of a nontoxic tation to provide for their good health emollient; and well-being, to observe such marine (2) Assuring that the pectoral flippers mammals to determine whether they are allowed freedom of movement at need veterinary care, and to obtain any all times; needed veterinary care as soon as pos- (3) Making adjustments in the posi- sible. Any transport of greater than 2 tion of the marine mammals when nec- hours duration requires a transport essary to prevent necrosis of the skin plan approved by the attending veteri- at weight pressure points; narian that will include the specifica- (4) Keeping the animal cooled and/or tion of the necessity of the presence of warmed sufficiently to prevent over- a veterinarian during the transport. If heating, hypothermia, or temperature the attending veterinarian does not ac- related stress; and company the animal, communication (5) Calming the marine mammals to with the veterinarian must be main- avoid struggling, thrashing, and other tained in accordance with § § 2.33(b)(3) unnecessary activity that may cause and 2.40(b)(3) of this chapter. overheating or physical trauma. (b) The following marine mammals (e) A sufficient number of employees may be transported in commerce only or attendants of the shipper or receiver when the transport of such marine of pinnipeds or polar bears being trans- mammals has been determined to be ported, in commerce, must provide for appropriate by the attending veteri- such pinnipeds and polar bears during narian: periods of transport by: (1) A pregnant animal in the last half (1) Keeping the animal cooled and/or of pregnancy; warmed sufficiently to prevent over- (2) A dependent unweaned young ani- heating, hypothermia, or temperature mal; related stress; and (3) A nursing mother with young; or (2) Calming the marine mammals to (4) An animal with a medical condi- avoid struggling, thrashing, and other tion requiring veterinary care, that unnecessary activity that may cause would be compromised by transport. overheating or physical trauma. The attending veterinarian must note (f) Sea otters must be transported in on the accompanying health certificate primary enclosures that contain false the existence of any of the above condi- floors through which water and waste tions. The attending veterinarian must freely pass to keep the interior of the also determine whether a veterinarian transport unit free from waste mate- should accompany such marine mam- rials. Moisture must be provided by mals during transport. water sprayers or ice during transport.

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(g) Marine mammals may be removed closure not to exceed 0.91 meters (3 from their primary transport enclo- feet). sures only by the attendants or other [66 FR 256, Jan. 3, 2001] persons capable of handling such mammals safely. § 3.118 Handling. [66 FR 256, Jan. 3, 2001] (a) Carriers and intermediate handlers moving marine mammals from § 3.117 Terminal facilities. the animal holding area of the ter- Carriers and intermediate handlers minal facility to the primary convey- must not commingle marine mammal ance or from the primary conveyance shipments with inanimate cargo. All to the animal holding area of the ter- animal holding areas of a terminal fa- minal facility must provide the fol- cility of any carrier or intermediate lowing: handler where marine mammal ship- (1) Movement of animals as expedi- ments are maintained must be cleaned tiously as possible. and sanitized in a manner prescribed in (2) Shelter from overheating and direct § 3.107 of this subpart to minimize sunlight. When sunlight is likely to health and disease hazards. An effec- cause overheating, sunburn, or discom- tive program for the control of insects, fort, sufficient shade must be provided ectoparasites, and avian and mamma- to protect the marine mammals. Ma- lian pests must be established and rine mammals must not be subjected to maintained for all animal holding surrounding air temperatures that ex- areas. Any animal holding area con- ceed 23.9 °C (75 °F) unless accompanied taining marine mammals must be ven- by an acclimation certificate in ac- tilated with fresh air or air circulated cordance with § 3.112 of this subpart. by means of fans, blowers, or an air The temperature must be measured conditioning system so as to minimize and read within or immediately adja- drafts, odors, and moisture condensa- cent to the primary transport enclo- tion. Auxiliary ventilation, such as ex- sure. haust fans and vents or fans or blowers (3) Shelter from cold weather. Marine or air conditioning must be used for mammals must be provided with spe- any animal holding area containing cies appropriate protection against marine mammals when the air tem- cold weather, and such marine mam- perature within such animal holding mals must not be subjected to sur- area is 23.9 °C (75 °F) or higher. The air rounding air temperatures that fall temperature around any marine mam- below 7.2 °C (45 °F) unless accompanied mal in any animal holding area must by an acclimation certificate in ac- not be allowed to fall below 7.2 °C (45 cordance with § 3.112 of this subpart. °F). The air temperature around any The temperature must be measured polar bear must not be allowed to ex- and read within or immediately adja- ceed 29.5 °C (85 °F) at any time and no cent to the primary transport enclo- polar bear may be subjected to sur- sure. rounding air temperatures that exceed (b) Care must be exercised to avoid 23.9 °C (75 °F) for more than 4 hours at handling of the primary transport en- any time. The ambient temperature closure in a manner that may cause must be measured in the animal hold- physical harm or distress to the marine ing area upon arrival of the shipment mammal contained within. by the attendant, carrier, or inter- (c) Enclosures used to transport any mediate handler. The ambient tem- marine mammal must not be tossed, perature must be measured halfway up dropped, or needlessly tilted and must the outside of the primary transport not be stacked unless properly secured. enclosure at a distance from the external wall of the primary transport en- [66 FR 257, Jan. 3, 2001]

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Subpart F—Specifications for the § 3.126 Facilities, indoor. Humane Handling, Care, (a) Ambient temperatures. Tempera- Treatment, and Transportation ture in indoor housing facilities shall of Warmblooded Animals be sufficiently regulated by heating or Other Than Dogs, Cats, Rab- cooling to protect the animals from the bits, Hamsters, Guinea Pigs, extremes of temperature, to provide for Nonhuman Primates, and Ma- their health and to prevent their discomfort. The ambient temperature rine Mammals shall not be allowed to fall below nor rise above temperatures compatible SOURCE: 36 FR 24925, Dec. 24, 1971, unless with the health and comfort of the ani- otherwise noted. Redesignated at 44 FR 36874, mal. July 22, 1979. (b) Ventilation. Indoor housing facili- FACILITIES AND OPERATING STANDARDS ties shall be adequately ventilated by natural or mechanical means to pro- § 3.125 Facilities, general. vide for the health and to prevent dis- (a) Structural strength. The facility comfort of the animals at all times. must be constructed of such material Such facilities shall be provided with and of such strength as appropriate for fresh air either by means of windows, the animals involved. The indoor and doors, vents, fans, or air-conditioning outdoor housing facilities shall be and shall be ventilated so as to mini- structurally sound and shall be main- mize drafts, odors, and moisture contained in good repair to protect the densation. animals from injury and to contain the (c) Lighting. Indoor housing facilities animals. shall have ample lighting, by natural (b) Water and power. Reliable and ade- or artificial means, or both, of good quate electric power, if required to quality, distribution, and duration as comply with other provisions of this appropriate for the species involved. subpart, and adequate potable water Such lighting shall be uniformly dis- shall be available on the premises. tributed and of sufficient intensity to (c) Storage. Supplies of food and bed- permit routine inspection and cleaning. ding shall be stored in facilities which Lighting of primary enclosures shall be adequately protect such supplies designed to protect the animals from against deterioration, molding, or con- excessive illumination. tamination by vermin. Refrigeration (d) Drainage. A suitable sanitary shall be provided for supplies of perish- method shall be provided to eliminate able food. rapidly, excess water from indoor hous- (d) Waste disposal. Provision shall be ing facilities. If drains are used, they made for the removal and disposal of shall be properly constructed and kept animal and food wastes, bedding, dead in good repair to avoid foul odors and animals, trash and debris. Disposal fa- installed so as to prevent any backup cilities shall be so provided and oper- of sewage. The method of drainage ated as to minimize vermin infesta- shall comply with applicable Federal, tion, odors, and disease hazards. The State, and local laws and regulations disposal facilities and any disposal of relating to pollution control or the animal and food wastes, bedding, dead protection of the environment. animals, trash, and debris shall comply with applicable Federal, State, and § 3.127 Facilities, outdoor. local laws and regulations relating to (a) Shelter from sunlight. When sun- pollution control or the protection of light is likely to cause overheating or the environment. discomfort of the animals, sufficient (e) Washroom and sinks. Facilities, shade by natural or artificial means such as washrooms, basins, showers, or shall be provided to allow all animals sinks, shall be provided to maintain kept outdoors to protect themselves cleanliness among animal caretakers. from direct sunlight. [36 FR 24925, Dec. 24, 1971. Redesignated at 44 (b) Shelter from inclement weather. FR 36874, June 22, 1979, and amended at 44 FR Natural or artificial shelter appro- 63492, Nov. 2, 1979] priate to the local climatic conditions

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for the species concerned shall be pro- mals and unauthorized persons and the vided for all animals kept outdoors to Administrator gives written approval; afford them protection and to prevent or discomfort to such animals. Individual (3) Where appropriate alternative se- animals shall be acclimated before curity measures are employed and the they are exposed to the extremes of the Administrator gives written approval; individual climate. or (c) Drainage. A suitable method shall (4) For traveling facilities where ap- be provided to rapidly eliminate excess propriate alternative security meas- water. The method of drainage shall ures are employed; or comply with applicable Federal, State, (5) Where the outdoor housing facil- and local laws and regulations relating ity houses only farm animals, such as, to pollution control or the protection but not limited to, cows, sheep, goats, of the environment. pigs, horses (for regulated purposes), or (d) Perimeter fence. On or after May donkeys, and the facility has in place 17, 2000, all outdoor housing facilities effective and customary containment (i.e., facilities not entirely indoors) and security measures. must be enclosed by a perimeter fence [36 FR 24925, Dec. 24, 1971. Redesignated at 44 that is of sufficient height to keep ani- FR 36874, July 22, 1979, as amended at 64 FR mals and unauthorized persons out. 56147, Oct. 18, 1999; 65 FR 70770, Nov. 28, 2000] Fences less than 8 feet high for poten- tially dangerous animals, such as, but § 3.128 Space requirements. not limited to, large felines (e.g., lions, Enclosures shall be constructed and tigers, leopards, cougars, etc.), bears, maintained so as to provide sufficient wolves, rhinoceros, and elephants, or space to allow each animal to make less than 6 feet high for other animals normal postural and social adjust- must be approved in writing by the Ad- ments with adequate freedom of move- ministrator. The fence must be con- ment. Inadequate space may be indi- structed so that it protects the animals cated by evidence of malnutrition, poor in the facility by restricting animals condition, debility, stress, or abnormal and unauthorized persons from going behavior patterns. through it or under it and having contact with the animals in the facility, ANIMAL HEALTH AND HUSBANDRY and so that it can function as a sec- STANDARDS ondary containment system for the animals in the facility. It must be of § 3.129 Feeding. sufficient distance from the outside of (a) The food shall be wholesome, pal- the primary enclosure to prevent phys- atable, and free from contamination ical contact between animals inside and of sufficient quantity and nutritive the enclosure and animals or persons value to maintain all animals in good outside the perimeter fence. Such health. The diet shall be prepared with fences less than 3 feet in distance from consideration for the age, species, con- the primary enclosure must be ap- dition, size, and type of the animal. proved in writing by the Adminis- Animals shall be fed at least once a day trator. A perimeter fence is not re- except as dictated by hibernation, vet- quired: erinary treatment, normal fasts, or (1) Where the outside walls of the pri- other professionally accepted prac- mary enclosure are made of sturdy, du- tices. rable material, which may include cer- (b) Food, and food receptacles, if tain types of concrete, wood, plastic, used, shall be sufficient in quantity metal, or glass, and are high enough and located so as to be accessible to all and constructed in a manner that re- animals in the enclosure and shall be stricts entry by animals and unauthor- placed so as to minimize contamina- ized persons and the Administrator tion. Food receptacles shall be kept gives written approval; or clean and sanitary at all times. If self- (2) Where the outdoor housing facil- feeders are used, adequate measures ity is protected by an effective natural shall be taken to prevent molding, con- barrier that restricts the animals to tamination, and deterioration or cak- the facility and restricts entry by ani- ing of food.

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§ 3.130 Watering. in this subpart. Such practices shall be If potable water is not accessible to under a supervisor who has a back- the animals at all times, it must be ground in animal care. provided as often as necessary for the § 3.133 Separation. health and comfort of the animal. Fre- quency of watering shall consider age, Animals housed in the same primary species, condition, size, and type of the enclosure must be compatible. Animals animal. All water receptacles shall be shall not be housed near animals that kept clean and sanitary. interfere with their health or cause them discomfort. § 3.131 Sanitation. §§ 3.134–3.135 [Reserved] (a) Cleaning of enclosures. Excreta shall be removed from primary enclo- TRANSPORTATION STANDARDS sures as often as necessary to prevent contamination of the animals con- SOURCE: Sections 3.136 through 3.142 appear tained therein and to minimize disease at 42 FR 31569, June 21, 1977, unless otherwise hazards and to reduce odors. When en- noted. Redesignated at 44 FR 36874, July 22, closures are cleaned by hosing or flush- 1979. ing, adequate measures shall be taken to protect the animals confined in such § 3.136 Consignments to carriers and intermediate handlers. enclosures from being directly sprayed with the stream of water or wetted in- (a) Carriers and intermediate han- voluntarily. dlers shall not accept any live animals (b) Sanitation of enclosures. Subse- presented by any dealer, research facil- quent to the presence of an animal ity, exhibitor, operator of an auction with an infectious or transmissible dis- sale, or other person, or any depart- ease, cages, rooms, and hard-surfaced ment, agency, or instrumentality of pens or runs shall be sanitized either the United States or any State or local by washing them with hot water (180 F. government for shipment, in com- at source) and soap or detergent, as in merce, more than 4 hours prior to the a mechanical washer, or by washing all scheduled departure of the primary soiled surfaces with a detergent solu- conveyance on which it is to be trans- tion followed by a safe and effective ported: Provided, however, That the car- disinfectant, or by cleaning all soiled rier or intermediate handler and any surfaces with saturated live steam dealer, research facility, exhibitor, op- under pressure. Pens or runs using erator of an auction sale, or other per- gravel, sand, or dirt, shall be sanitized son, or any department, agency, or in- when necessary as directed by the at- strumentality of the United States or tending veterinarian. any State or local government may (c) Housekeeping. Premises (buildings mutually agree to extend the time of and grounds) shall be kept clean and in acceptance to not more than 6 hours if good repair in order to protect the ani- specific prior scheduling of the animal mals from injury and to facilitate the shipment to destination has been prescribed husbandry practices set made. forth in this subpart. Accumulations of (b) Any carrier or intermediate han- trash shall be placed in designated dler shall only accept for transpor- areas and cleared as necessary to pro- tation or transport, in commerce, any tect the health of the animals. live animal in a primary enclosure (d) Pest control. A safe and effective which conforms to the requirements program for the control of insects, set forth in § 3.137 of the standards: Pro- ectoparasites, and avian and mamma- vided, however, That any carrier or in- lian pests shall be established and termediate handler may accept for maintained. transportation or transport, in commerce, any live animal consigned by § 3.132 Employees. any department, agency, or instrumen- A sufficient number of adequately tality of the United States having lab- trained employees shall be utilized to oratory animal facilities or exhibiting maintain the professionally acceptable animals or any licensed or registered level of husbandry practices set forth dealer, research facility, exhibitor, or

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operator of an auction sale if the con- (3) A certifying statement (e.g., ‘‘I signor furnishes to the carrier or inter- hereby certify that the animal(s) in mediate handler a certificate, signed this shipment is (are), to the best of by the consignor, stating that the pri- my knowledge, acclimated to air tem- mary enclosure complies with § 3.137 of peratures lower than 7.2 °C. (45 °F.)’’); the standards, unless such primary en- and closure is obviously defective or dam- (4) The signature of the USDA ac- aged and it is apparent that it cannot credited veterinarian, assigned reasonably be expected to contain the accrediation number, and date. live animal without causing suffering (d) Carriers and intermediate han- or injury to such live animal. A copy of dlers shall attempt to notify the con- such certificate shall accompany the signee at least once in every 6 hour pe- shipment to destination. The certifi- riod following the arrival of any live cate shall include at least the fol- animals at the animal holding area of lowing information: the terminal cargo facility. The time, (1) Name and address of the con- date, and method of each attempted signor; notification and the final notification (2) The number of animals in the pri- to the consignee and the name of the mary enclosure(s); person notifying the consignee shall be recorded on the copy of the shipping (3) A certifying statement (e.g., ‘‘I document retained by the carrier or in- hereby certify that the ll (number) termediate handler and on a copy of primary enclosure(s) which are used to the shipping document accompanying transport the animal(s) in this ship- the animal shipment. ment complies (comply) with USDA standards for primary enclosures (9 [42 FR 31569, June 21, 1977, as amended at 43 CFR part 3).’’); and FR 21166, May 16, 1978. Redesignated at 44 FR (4) The signature of the consignor, 36874, July 22, 1979, and amended at 44 FR 63493, Nov. 2, 1979] and date. (c) Carriers or intermediate handlers § 3.137 Primary enclosures used to whose facilities fail to meet the min- transport live animals. imum temperature allowed by the No dealer, research facility, exhibi- standards may accept for transpor- tor, or operator of an auction sale shall tation or transport, in commerce, any offer for transportation or transport, in live animal consigned by any depart- commerce, any live animal in a pri- ment, agency, or instrumentality of mary enclosure which does not con- the United States or of any State or form to the following requirements: local government, or by any person (in- (a) Primary enclosures, such as com- cluding any licensee or registrant partments, transport cages, cartons, or under the Act, as well as any private crates, used to transport live animals individual) if the consignor furnishes shall be constructed in such a manner to the carrier or intermediate handler that (1) the structural strength of the a certificate executed by a veterinarian enclosure shall be sufficient to contain accredited by this Department pursu- the live animals and to withstand the ant to part 160 of this title on a speci- normal rigors of transportation; (2) the fied date which shall not be more than interior of the enclosure shall be free 10 days prior to delivery of such animal from any protrusions that could be infor transportation in commerce, stat- jurious to the live animals contained ing that such live animal is acclimated therein; (3) the opernings of such enclo- to air temperatures lower than those sures are easily accessible at all times prescribed in §§ 3.141 and 3.142. A copy for emergency removal of the live ani- of such certificate shall accompany the mals; (4) except as provided in para- shipment to destination. The certifi- graph (g) of this section, there are ven- cate shall include at least the fol- tilation openings located on two oppo- lowing information: site walls of the primary enclosure and (1) Name and address of the con- the ventilation openings on each such signor; wall shall be at least 16 percent of the (2) The number of animals in the total surface area of each such wall, or shipment; there are ventilation openings located

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on all four walls of the primary enclo- (d) Primary enclosures used to trans- sure and the ventilation openings on port live animals as provided in this each such wall shall be at least 8 per- section shall have solid bottoms to pre- cent of the total surface area of each vent leakage in shipment and still be such wall: Provided, however, That at cleaned and sanitized in a manner pre- least one-third of the total minimum scribed in § 3.131 of the standards, if area required for ventilation of the pri- previously used. Such primary enclo- mary enclosure shall be located on the sures shall contain clean litter of a lower one-half of the primary enclosure suitable absorbant material, which is and at least one-third of the total min- safe and nontoxic to the live animals imum area required for ventilation of contained therein, in sufficient quan- the primary enclosure shall be located tity to absorb and cover excreta, unless on the upper one-half of the primary the animals are on wire or other enclosure; (5) except as provided in nonsolid floors. paragraph (g) of this section, pro- (e) Primary enclosures used to trans- jecting rims or other devices shall be port live animals, except where such on the exterior of the outside walls primary enclosures are permanently af- with any ventilation openings to pre- fixed in the animal cargo space of the vent obstruction of the ventilation primary conveyance, shall be clearly openings and to provide a minimum air marked on top and on one or more circulation space of 1.9 centimeters (.75 sides with the words ‘‘Live Animal’’ or inch) between the primary enclosure ‘‘Wild Animal’’, whichever is appro- and any adjacent cargo or conveyance priate, in letters not less than 2.5 cen- wall; and (6) except as provided in para- timeters (1 inch) in height, and with graph (g) of this section, adequate arrows or other markings to indicate handholds or other devices for lifting the correct upright position of the con- shall be provided on the exterior of the tainer. primary enclosure to enable the pri- (f) Documents accompanying the mary enclosure to be lifted without shipment shall be attached in an easily tilting and to ensure that the person accessible manner to the outside of a handling the primary enclosure will primary enclosure which is part of such not be in contact with the animal. shipment. (b) Live animals transported in the (g) When a primary enclosure is per- same primary enclosure shall be of the manently affixed within the animal same species and maintained in com- cargo space of the primary conveyance patible groups. Live animals that have so that the front opening is the only not reached puberty shall not be trans- source of ventilation for such primary ported in the same primary enclosure enclosure, the front opening shall open with adult animals other than their directly to the outside or to an unob- dams. Socially dependent animals (e.g., structed aisle or passageway within the sibling, dam, and other members of a primary conveyance. Such front ven- family group) must be allowed visual tilation opening shall be at least 90 and olfactory contact. Any female ani- percent of the total surface area of the mal in season (estrus) shall not be front wall of the primary enclosure and transported in the same primary enclo- covered with bars, wire mesh or sure with any male animal. smooth expanded metal. (c) Primary enclosures used to trans- [42 FR 31569, June 21, 1977, as amended at 43 port live animals shall be large enough FR 21166, May 16, 1978. Redesignated at 44 FR to ensure that each animal contained 36874, July 22, 1979] therein has sufficient space to turn about freely and to make normal pos- § 3.138 Primary conveyances (motor tural adjustments: Provided, however, vehicle, rail, air, and marine). That certain species may be restricted (a) The animal cargo space of pri- in their movements according to pro- mary conveyances used in transporting fessionally acceptable standards when live animals shall be designed and con- such freedom of movement would constructed to protect the health, and en- stitute a danger to the animals, their sure the safety and comfort of the live handlers, or other persons. animals contained therein at all times.

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(b) The animal cargo space shall be accepted practice, require feeding more constructed and maintained in a man- frequently shall be so fed. ner to prevent the ingress of engine ex- (c) A sufficient quantity of food and haust fumes and gases from the pri- water shall accompany the live animal mary conveyance during transpor- to provide food and water for such ani- tation in commerce. mals for a period of at least 24 hours, (c) No live animal shall be placed in except as directed by hibernation, vet- an animal cargo space that does not erinary treatment, normal fasts, and have a supply of air sufficient for nor- other professionally accepted prac- mal breathing for each live animal con- tices. tained therein, and the primary enclo- (d) Any dealer, research facility, ex- sures shall be positioned in the animal hibitor or operator of an auction sale cargo space in such a manner that each offering any live animal to any carrier live animal has access to sufficient air or intermediate handler for transpor- for normal breathing. tation in commerce shall affix to the (d) Primary enclosures shall be posi- outside of the primary enclosure used tioned in the primary conveyance in for transporting such live animal, writ- such a manner that in an emergency ten instructions concerning the food the live animals can be removed from and water requirements of such animal the primary conveyance as soon as pos- while being so transported. sible. (e) No carrier or intermediate handler shall accept any live animals for (e) The interior of the animal cargo transportation in commerce unless space shall be kept clean. written instructions concerning the (f) Live animals shall not be trans- food and water requirements of such ported with any material, substance animal while being so transported is af- (e.g., dry ice) or device which may rea- fixed to the outside of its primary en- sonably be expected to be injurious to closure. the health and well-being of the animals unless proper precaution is taken § 3.140 Care in transit. to prevent such injury. (a) During surface transportation, it shall be the responsibility of the driver § 3.139 Food and water requirements. or other employee to visually observe (a) All live animals shall be offered the live animals as frequently as cir- potable water within 4 hours prior to cumstances may dictate, but not less being transported in commerce. Deal- than once every 4 hours, to assure that ers, exhibitors, research facilities and they are receiving sufficient air for operators of auction sales shall provide normal breathing, their ambient tem- potable water to all live animals trans- peratures are within the prescribed ported in their own primary convey- limits, all other applicable standards ance at least every 12 hours after such are being complied with and to deter- transportation is initiated, and car- mine whether any of the live animals riers and intermediate handlers shall are in obvious physical distress and to provide potable water to all live ani- provide any needed veterinary care as mals at least every 12 hours after ac- soon as possible. When transported by ceptance for transportation in com- air, live animals shall be visually ob- merce: Provided, however, That except served by the carrier as frequently as as directed by hibernation, veterinary circumstances may dictate, but not treatment or other professionally ac- less than once every 4 hours, if the ani- cepted practices, those live animals mal cargo space is accessible during which, by common accepted practices, flight. If the animal cargo space is not require watering more frequently shall accessible during flight, the carrier be so watered. shall visually observe the live animals (b) Each live animal shall be fed at whenever loaded and unloaded and least once in each 24 hour period, ex- whenever the animal cargo space is cept as directed by hibernation, veteri- otherwise accessible to assure that nary treatment, normal fasts, or other they are receiving sufficient air for professionally accepted practices. normal breathing, their ambient tem- Those live animals which, by common peratures are within the prescribed

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limits, all other applicable standards lowed to exceed 29.5 °C. (85 °F.) at any are being complied with and to deter- time: Provided, however, That no live mine whether any such live animals animal shall be subjected to sur- are in obvious physical distress. The rounding air temperatures which ex- carrier shall provide any needed veteri- ceed 23.9 °C. (75 °F.) for more than 4 nary care as soon as possible. No ani- hours at any time. To ascertain com- mal in obvious physical distress shall pliance with the provisions of this be transported in commerce. paragraph, the air temperature around (b) Wild or otherwise dangerous ani- any live animal shall be measured and mals shall not be taken from their pri- read outside the primary enclosure mary enclosure except under extreme which contains such animal at a dis- emergency conditions: Provided, how- tance not to exceed .91 meters (3 feet) ever, That a temporary primary enclo- from any one of the external walls of sure may be used, if available, and such the primary enclosure and on a level temporary primary enclosure is struc- parallel to the bottom of such primary turally strong enough to prevent the enclosure at a point which approxi- escape of the animal. During the course mates half the distance between the of transportation, in commerce, live top and bottom of such primary enclo- animals shall not be removed from sure. their primary enclosures unless placed [43 FR 56217, Dec. 1, 1978. Redesignated at 44 in other primary enclosures or facili- FR 36874, July 22, 1979] ties conforming to the requirements provided in this subpart. § 3.142 Handling. (a) Carriers and intermediate han- § 3.141 Terminal facilities. dlers shall move live animals from the Carriers and intermediate handlers animal holding area of the terminal fa- shall not commingle live animal ship- cility to the primary conveyance and ments with inanimate cargo. All ani- from the primary conveyance to the mal holding areas of a terminal facility animal holding area of the terminal fa- of any carrier or intermediate handler cility as expeditiously as possible. Car- wherein live animal shipments are riers and intermediate handlers hold- maintained shall be cleaned and sani- ing any live animal in an animal hold- tized in a manner prescribed in § 3.141 ing area of a terminal facility or in of the standards often enough to pre- transporting any live animal from the vent an accumulation of debris or ex- animal holding area of the terminal fa- creta, to minimize vermin infestation cility to the primary conveyance and and to prevent a disease hazard. An ef- from the primary conveyance to the fective program for the control of in- animal holding area of the terminal fa- sects, ectoparasites, and avian and cility, including loading and unloading mammalian pests shall be established procedures, shall provide the following: and maintained for all animal holding (1) Shelter from sunlight. When sun- areas. Any animal holding area con- light is likely to cause overheating or taining live animals shall be provided discomfort, sufficient shade shall be with fresh air by means of windows, provided to protect the live animals doors vents, or air conditioning and from the direct rays of the sun and may be ventilated or air circulated by such live animals shall not be sub- means of fans, blowers, or an air condi- jected to surrounding air temperatures tioning system so as to minimize which exceed 29.5 °C. (85 °F), and which drafts, odors, and moisture condensa- shall be measured and read in the man- tion. Auxiliary ventilation, such as ex- ner prescribed in § 3.141 of this part, for haust fans and vents or fans or blowers a period of more than 45 minutes. or air conditioning shall be used for (2) Shelter from rain or snow. Live ani- any animal holding area containing mals shall be provided protection to live animals when the air temperature allow them to remain dry during rain within such animal holding area is 23.9 or snow. °C. (75.°F.) or higher. The air tempera- (3) Shelter from cold weather. Trans- ture around any live animal in any ani- porting devices shall be covered to pro- mal holding area shall not be allowed vide protection for live animals when to fall below 7.2 °C. (45 °F.) nor be al- the outdoor air temperature falls below

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10 °C. (50 °F) and such live animals Subpart B—Supplemental Rules of shall not be subjected to surrounding Practice air temperatures which fall below 7.2 °C. (45 °F.), and which shall be meas- § 4.10 Summary action. ured and read in the manner prescribed in § 3.141 of this part, for a period of (a) In any situation where the Ad- more than 45 minutes unless such ani- ministrator has reason to believe that mals are accompanied by a certificate any person licensed under the Act has of acclimation to lower temperatures violated or is violating any provision of as prescribed in § 3.136(c). the Act, or the regulations or stand- (b) Care shall be exercised to avoid ards issued thereunder, and he deems it handling of the primary enclosure in warranted under the circumstances, such a manner that may cause physical the Administrator may suspend such or emotional trauma to the live animal person’s license temporarily, for a pe- contained therein. riod not to exceed 21 days, effective, ex- (c) Primary enclosures used to trans- cept as provided in § 4.10(b), upon writ- port any live animal shall not be ten notification given to such person of tossed, dropped, or needlessly tilted the suspension of his license pursuant and shall not be stacked in a manner to § 1.147(b) of the Uniform Rules of which may reasonably be expected to Practice (7 CFR 1.147(b)). result in their falling. (b) In any case of actual or threat- ened physical harm to animals in vio- [43 FR 21167, May 16, 1978, as amended at 43 FR 56217, Dec. 1, 1978. Redesignated at 44 FR lation of the Act, or the regulations or 36874, July 22, 1979] standards issued thereunder, by a person licensed under the Act, the Admin- PART 4—RULES OF PRACTICE GOV- istrator may suspend such person’s li- ERNING PROCEEDINGS UNDER cense temporarily, for a period not to exceed 21 days, effective upon oral or THE ANIMAL WELFARE ACT written notification, whichever is ear- lier. In the event of oral notification, a Subpart A—General written confirmation thereof shall be Sec. given to such person pursuant to 4.1 Scope and applicability of rules of prac- § 1.147(b) of the Uniform Rules of Prac- tice. tice (7 CFR 1.147(b)) as promptly as circumstances permit. Subpart B—Supplemental Rules of Practice (c) The temporary suspension of a li- 4.10 Summary action. cense shall be in addition to any sanc- 4.11 Stipulations. tion which may be imposed against AUTHORITY: 7 U.S.C. 2149 and 2151; 7 CFR said person by the Secretary pursuant 2.22, 2.80, and 371.7. to the Act after notice and opportunity for hearing. SOURCE: 42 FR 10959, Feb. 25, 1977, unless otherwise noted. § 4.11 Stipulations. Subpart A—General (a) At any time prior to the issuance of a complaint seeking a civil penalty § 4.1 Scope and applicability of rules under the Act, the Administrator, in of practice. his discretion, may enter into a stipu- The Uniform Rules of Practice for lation with any person in which: the Department of Agriculture promul- (1) The Administrator gives notice of gated in subpart H of part 1, subtitle A, an apparent violation of the Act, or the title 7, Code of Federal Regulations, regulations or standards issued there- are the Rules of Practice applicable to under, by such person and affords such adjudicatory, administrative pro- person an opportunity for a hearing re- ceedings under section 19 of the Animal garding the matter as provided by the Welfare Act (7 U.S.C. 2149). In addition, Act; the Supplemental Rules of Practice set (2) Such person expressly waives forth in subpart B of this part shall be hearing and agrees to pay a specified applicable to such proceedings. penalty within a designated time; and

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(3) The Administrator agrees to ac- of 1976 (Pub. L. 94–360), 15 U.S.C. 1821 et cept the specified penalty in settle- seq., and any legislation amendatory ment of the particular matter involved thereof. if it is paid within the designated time. Action device means any boot, collar, (b) If the specified penalty is not paid chain, roller, or other device which en- within the time designated in such a circles or is placed upon the lower ex- stipulation, the amount of the stipu- tremity of the leg of a horse in such a lated penalty shall not be relevant in manner that it can either rotate any respect to the penalty which may around the leg, or slide up and down be assessed after issuance of a com- the leg so as to cause friction, or which plaint. can strike the hoof, coronet band or fetlock joint. PART 11—HORSE PROTECTION Administrator means the Adminis- REGULATIONS trator, Animal and Plant Health In- spection Service, or any person author- Sec. ized to act for the Administrator. 11.1 Definitions. Animal and Plant Health Inspection 11.2 Prohibitions concerning exhibitors. Service (APHIS) means the Animal and 11.3 Scar rule. Plant Health Inspection Service of the 11.4 Inspection and detention of horses. United States Department of Agri- 11.5 Access to premises and records. culture. 11.6 Inspection space and facility require- APHIS representative means any em- ments. 11.7 Certification and licensing of des- ployee of APHIS, or any officer or em- ignated qualified persons (DQP’s). ployee of any State agency who is au- 11.20 Responsibilities and liabilities of man- thorized by the Administrator to per- agement. form inspections or any other func- 11.21 Inspection procedures for designated tions authorized by the Act, including qualified persons (DQPs). the inspection of the records of any 11.22 Records required and disposition horse show, horse exhibition, horse sale thereof. 11.23 Inspection of records. or horse auction. 11.24 Reporting by management. APHIS Show Veterinarian means the 11.25 Minimum penalties to be assessed and APHIS Doctor of Veterinary Medicine enforced by HIOs that license DQPs. responsible for the immediate super- 11.40 Prohibitions and requirements con- vision and conduct of the Department’s cerning persons involved in transpor- activities under the Act at any horse tation of certain horses. show, horse exhibition, horse sale or 11.41 Reporting required of horse industry horse auction. organizations or associations. Department means the United States AUTHORITY: 15 U.S.C. 1823–1825 and 1828; 7 Department of Agriculture. CFR 2.22, 2.80, and 371.7. Designated Qualified Person or DQP SOURCE: 44 FR 25179, Apr. 27, 1979, unless means a person meeting the require- otherwise noted. ments specified in § 11.7 of this part who has been licensed as a DQP by a § 11.1 Definitions. horse industry organization or associa- For the purpose of this part, unless tion having a DQP program certified by the context otherwise requires, the fol- the Department and who may be ap- lowing terms shall have the meanings pointed and delegated authority by the assigned to them in this section. The management of any horse show, horse singular form shall also impart the plu- exhibition, horse sale or horse auction ral and the masculine form shall also under section 4 of the Act to detect or impart the feminine. Words of art un- diagnose horses which are sore or to defined in the following paragraphs otherwise inspect horses and any shall have the meaning attributed to records pertaining to such horses for them by trade usage or general usage the purposes of enforcing the Act. as reflected by definition in a standard Exhibitor means (1) any person who dictionary, such as ‘‘Webster’s.’’ enters any horse, any person who al- Act means the Horse Protection Act lows his horse to be entered, or any of 1970 (Pub. L. 91–540) as amended by person who directs or allows any horse the Horse Protection Act Amendments in his custody or under his direction,

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control or supervision to be entered in ing, rubbing, palpating and observation any horse show or horse exhibition; (2) of vital signs, and the use of any diag- any person who shows or exhibits any nostic device or instrument, and may horse, any person who allows his horse require the removal of any shoe, pad, to be shown or exhibited, or any person action device, or any other equipment, who directs or allows any horse in his substance or paraphernalia from the custody or under his direction, control, horse when deemed necessary by the or supervision to be shown or exhibited person conducting such inspection. in any horse show or horse exhibition; Lubricant means mineral oil, glyc- (3) any person who enters or presents erine or petrolatum, or mixtures exclu- any horse for sale or auction, any per- sively thereof, that is applied to the son who allows his horse to be entered limbs of a horse solely for protective or presented for sale or auction, or any and lubricating purposes while the person who allows any horse in his cus- horse is being shown or exhibited at a tody or under his direction, control, or horse show, horse exhibition, horse sale supervision to be entered or presented or horse auction. for sale or auction in any horse sale or Management means any person or per- horse auction; or (4) any person who sons who organize, exercise control sells or auctions any horse, any person over, or administer or are responsible who allows his horse to be sold or auc- for organizing, directing, or admin- tioned, or any person who directs or al- istering any horse show, horse exhi- lows any horse in his custody or under bition, horse sale or horse auction and his direction, control, or supervision to specifically includes, but is not limited be sold or auctioned. to, the sponsoring organization and Horse means any member of the spe- show manager. cies Equus caballus. Person means any individual, cor- Horse exhibition means a public dis- poration, company, association, firm, play of any horses, singly or in groups, partnership, society, organization, but not in competition, except events joint stock company, or other legal en- where speed is the prime factor, rodeo tity. events, parades, or trail rides. Regional Director means the APHIS Horse industry organization or associa- veterinarian who is assigned by the Ad- tion means an organized group of peo- ministrator to supervise and perform ple, having a formal structure, who are official duties of APHIS under the Act 1 engaged in the promotion of horses in a specified State or States. means the Secretary of Ag- through the showing, exhibiting, sale, Secretary riculture or anyone who has heretofore auction, registry, or any activity or may hereafter be delegated author- which contributes to the advancement ity to act in his stead. of the horse. Show manager means the person who Horse sale or horse auction means any has been delegated primary authority event, public or private, at which by a sponsoring organization for man- horses are sold or auctioned, regardless aging a horse show, horse exhibition, of whether or not said horses are exhib- horse sale or horse auction. ited prior to or during the sale or auc- Sore when used to describe a horse tion. means: Horse show means a public display of (1) An irritating or blistering agent any horses, in competition, except has been applied, internally or exter- events where speed is the prime factor, nally by a person to any limb of a rodeo events, parades, or trail rides. horse, Inspection means the examination of (2) Any burn, cut, or laceration has any horse and any records pertaining been inflicted by a person on any limb to any horse by use of whatever means of a horse, are deemed appropriate and necessary for the purpose of determining compli- 1 ance with the Act and regulations. Information as to the name and address of the Regional Director for the State or States Such inspection may include, but is concerned can be obtained by writing to the not limited to, visual examination of a Animal and Plant Health Inspection Service, horse and records, actual physical ex- Animal Care, 4700 River Road Unit 84, River- amination of a horse including touch- dale, MD 20737–1234.

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(3) Any tack, nail, screw, or chemical with individual rollers of uniform size, agent has been injected by a person weight and configuration, provided into or used by a person on any limb of each such device may not weigh more a horse, or than 6 ounces, including the weight of (4) Any other substance or device has the fastener. been used by a person on any limb of a (2) Chains weighing more than 6 horse or a person has engaged in a ounces each, including the weight of practice involving a horse, and, as a re- the fastener. sult of such application, infliction, in- (3) Chains with links that are not of jection, use, or practice, such horse uniform size, weight and configuration; suffers, or can reasonably be expected and, chains that have twisted links or to suffer, physical pain or distress, in- double links. flammation, or lameness when walk- (4) Chains that have drop links on ing, trotting, or otherwise moving, ex- any horse that is being ridden, worked cept that such term does not include on a lead, or otherwise worked out or such an application, infliction, injec- moved about. tion, use, or practice in connection (5) More than one action device on with the therapeutic treatment of a any one limb of a horse. horse by or under the supervision of a (6) Chains or lignum vitae, stainless person licensed to practice veterinary steel, or aluminum rollers which are medicine in the State in which such not smooth and free of protrusions, treatment was given. projections, rust, corrosion, or rough Sponsoring organization means any or sharp edges. person under whose immediate aus- (7)(i) Boots, collars, or any other de- pices and responsibility a horse show, vices, with protrusions or swellings, or horse exhibition, horse sale, or horse rigid, rough, or sharp edges, seams or auction is conducted. any other abrasive or abusive surface State means any of the several that may contact a horse’s leg; and States, the District of Columbia, the (ii) Boots, collars, or any other de- Commonwealth of Puerto Rico, the vices that weigh more than 6 ounces, Virgin Islands, Guam, American except for soft rubber or soft leather Samoa, or the Trust Territory of the bell boots and quarter boots that are Pacific Islands. used as protective devices. [44 FR 1561, Jan. 5, 1979, as amended at 53 FR (8) Pads or other devices on yearling 14782, Apr. 26, 1988; 53 FR 28372, July 28, 1988; horses (horses up to 2 years old) that 56 FR 13749, Apr. 4, 1991; 59 FR 67612, Dec. 30, elevate or change the angle of such 1994; 63 FR 62927, Nov. 10, 1998] horses’ hooves in excess of 1 inch at the heel. § 11.2 Prohibitions concerning exhibi- (9) Any weight on yearling horses, ex- tors. cept a keg or similar conventional (a) General prohibitions. Notwith- horseshoe, and any horseshoe on year- standing the provisions of paragraph ling horses that weighs more than 16 (b) of this section, no chain, boot, roll- ounces. er, collar, action device, nor any other (10) Artificial extension of the toe device, method, practice, or substance length, whether accomplsihed with shall be used with respect to any horse pads, acrylics or any other material or at any horse show, horse exhibition, or combinations thereof, that exceeds 50 horse sale or auction if such use causes percent of the natural hoof length, as or can reasonably be expected to cause measured from the coronet band, at the such horse to be sore. center of the front pastern along the (b) Specific prohibitions. The use of front of the hoof wall, to the distal por- any of the following devices, equip- tion of the hoof wall at the tip of the ment, or practices on any horse at any toe. The artificial extension shall be horse show, horse exhibition, or horse measured from the distal portion of the sale or auction is prohibited: hoof wall at the tip of the toe at a 90 (1) All beads, bangles, rollers, and degree angle to the proximal (foot/ similar devices, with the exception of hoof) surface of the shoe. rollers made of lignum vitae (hard- (11) Toe length that does not exceed wood), aluminum, or stainless steel, the height of the heel by 1 inch or

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more. The length of the toe shall be (18) Shoeing a horse, or trimming a measured from the coronet band, at the horse’s hoof in a manner that will center of the front pastern along the cause such horse to suffer, or can rea- front of the hoof wall to the ground. sonably be expected to cause such The heel shall be measured from the horse to suffer pain or distress, inflam- coronet band, at the most lateral por- mation, or lameness when walking, tion of the rear pastern, at a 90 degree trotting, or otherwise moving. angle to the ground, not including nor- (19) Lead or other weights attached mal caulks at the rear of a horseshoe to the outside of the hoof wall, the out- that do not exceed 3⁄4 inch in length. side surface of the horseshoe, or any That portion of caulk at the rear of a portion of the pad except the bottom horseshoe in excess of 3⁄4 of an inch surface within the horseshoe. Pads may shall be added to the height of the heel not be hollowed out for the purpose of in determining the heel/toe ratio. inserting or affixing weights, and (12) Pads that are not made of leath- weights may not extend below the er, plastic, or a similar pliant material. bearing surface of the shoe. Hollow (13) Any object or material inserted shoes or artificial extensions filled between the pad and the hoof other with mercury or similar substances are than acceptable hoof packing, which prohibited. includes pine tar, oakum, live rubber, (c) Substances. All substances are pro- sponge rubber, silicone, commercial hibited on the extremities above the hoof packing or other substances used hoof of any Tennessee Walking Horse to maintain adequate frog pressure or or racking horse while being shown, ex- sole consistency. hibited, or offered for sale at any horse (14) Single or double rocker-bars on show, horse exhibition, or horse sale or the bottom surface of horseshoes which auction, except lubricants such as glyc- extend more than 11⁄2 inches back from erine, petrolatum, and mineral oil, or the point of the toe, or which would mixtures thereof: Provided, That: cause, or could reasonably be expected (1) The horse show, horse exhibition, to cause, an unsteadiness of stance in or horse sale or auction management the horse with resulting muscle and agrees to furnish all such lubricants tendon strain due to the horse’s weight and to maintain control over them and balance being focused upon a small when used at the horse show, horse ex- fulcrum point. 2 hibition, or horse sale or auction. (15) Metal hoof bands, such as used to (2) Any such lubricants shall be ap- anchor or strengthen pads and shoes, plied only after the horse has been in- placed less than 1⁄2 inch below the coro- spected by management or by a DQP net band. and shall only be applied under the su- (16) Metal hoof bands that can be eas- pervision of the horse show, horse exhi- ily and quickly loosened or tightened bition, or horse sale, or auction man- by hand, by means such as, but not agement. limited to, a wing-nut or similar fas- (3) Horse show, horse exhibition, or tener. horse sale or auction management (17) Any action device or any other makes such lubricants available to De- device that strikes the coronet band of partment personnel for inspection and the foot of a horse except for soft rub- sampling as they deem necessary. ber or soft leather bell boots that are (d) Competition restrictions—2 Year-Old used as protective devices. Horses. Horse show or horse exhibition workouts or performances of 2-year-old 2 This prohibition is not intended to dis- Tennessee Walking Horses and racking allow corrective devices, such as Memphis horses and working exhibitions of 2- bars which consist of a metal bar(s) crossing year-old Tennessee Walking Horses and from the ground surface of one side of the racking horses (horses eligible to be horseshoe to the ground surface of the other shown or exhibited in 2-year-old class- side of the horseshoe, and the purpose of es) at horse sales or horse auctions which is to correct a lameness or pathological condition of the foot: Provided, That that exceed a total of 10 minutes con- such metal bar(s) do not act as a single ful- tinuous workout or performance with- crum point so as to affect the balance of the out a minimum 5-minute rest period horse. between the first such 10-minute period

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and the second such 10-minute period, other bilateral evidence of abuse indic- and, more than two such 10-minute pe- ative of soring including, but not lim- riods per performance, class, or work- ited to, excessive loss of hair. out are prohibited. (b) The posterior surfaces of the pas- (e) Information requirements—horse re- terns (flexor surface), including the lated. Failing to provide information or sulcus or ‘‘pocket’’ may show bilateral providing any false or misleading infor- areas of uniformly thickened epithelial mation required by the Act or regula- tissue if such areas are free of prolifer- tions or requested by Department rep- ating granuloma tissue, irritation, resentatives, by any person that owns, moisture, edema, or other evidence of trains, shows, exhibits, or sells or has inflammation. custody of, or direction or control over [44 FR 25179, Apr. 27, 1979, as amended at 53 any horse shown, exhibited, sold, or FR 14782, Apr. 26, 1988, 53 FR 28373, July 28, auctioned or entered for the purpose of 1988] being shown, exhibited, sold, or auctioned at any horse show, horse exhi- § 11.4 Inspection and detention of bition, or horse sale or auction is pro- horses. hibited. Such information shall in- For the purpose of effective enforce- clude, but is not limited to: Informa- ment of the Act: tion concerning the registered name, (a) Each horse owner, exhibitor, markings, sex, age, and legal ownership trainer, or other person having custody of the horse; the name and address of of, or responsibility for, any horse at the horse’s training and/or stabling fa- any horse show, horse exhibition, or cilities; the name and address of the horse sale or auction, shall allow any owner, trainer, rider, any other exhibi- APHIS representative to reasonably in- tor, or other legal entity bearing respect such horse at all reasonable sponsibility for the horse; the class in times and places the APHIS represent- which the horse is entered or shown; ative may designate. Such inspections the exhibitor identification number; may be required of any horse which is and, any other information reasonably stabled, loaded on a trailer, being pre- related to the identification, owner- pared for show, exhibition, or sale or ship, control, direction, or supervision auction, being exercised or otherwise of any such horse. on the grounds of, or present at, any [44 FR 25179, Apr. 27, 1979, as amended at 53 horse show, horse exhibition, or horse FR 14782, Apr. 26, 1988, 53 FR 15641, May 2, sale or auction, whether or not such 1988, 53 FR 28372, July 28, 1988, 53 FR 41562, horse has or has not been shown, exhib- Oct. 24, 1988, 53 FR 45854, Nov. 14, 1988; 54 FR ited, or sold or auctioned, or has or has 7178, Feb. 17, 1989] not been entered for the purpose of § 11.3 Scar rule. being shown or exhibited or offered for sale or auction at any such horse show, The scar rule applies to all horses horse exhibition, or horse sale or auc- born on or after October 1, 1975. Horses tion. APHIS representatives will not subject to this rule that do not meet generally or routinely delay or inter- the following scar rule criteria shall be rupt actual individual classes or per- considered to be ‘‘sore’’ and are subject formances at horse shows, horse exhibi- to all prohibitions of section 5 of the tions, or horse sales or auctions for the Act. The scar rule criteria are as fol- purpose of examining horses, but they lows: may do so in extraordinary situations, (a) The anterior and anterior-lateral such as but not limited to, lack of surfaces of the fore pasterns (extensor proper facilities for inspection, refusal surface) must be free of bilateral of management to cooperate with De- granulomas, 5 other bilateral patholog- partment inspection efforts, reason to ical evidence of inflammation, and, believe that failure to immediately perform inspection may result in the 3,4 [Reserved] loss, removal, or masking of any evi- 5 Granuloma is defined as any one of a rather large group of fairly distinctive focal dence of a violation of the Act or the lesions that are formed as a result of inflam- regulations, or a request by manage- matory reactions caused by biological, ment that such inspections be per- chemical, or physical agents. formed by an APHIS representative.

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(b) When any APHIS representative etc., for such detained horse: Provided, notifies the owner, exhibitor, trainer, That: or other person having custody of or (1) Such feeding, watering, and other responsibility for a horse at any horse normal custodial and maintenance care show, horse exhibition, or horse sale or of the detained horse is rendered under auction that APHIS desires to inspect the direct supervision of an APHIS rep- such horse, it shall not be moved from resentative. the horse show, horse exhibition, or (2) Any non-emergency veterinary horse sale or auction until such inspec- care of the detained horse requiring the tion has been completed and the horse use, application, or injection of any has been released by an APHIS rep- drugs or other medication for thera- resentative. peutic or other purposes is rendered by (c) For the purpose of examination, a Doctor of Veterinary Medicine in the testing, or taking of evidence, APHIS presence of an APHIS representative representatives may detain for a period not to exceed 24 hours any horse, at and, the identity and dosage of the any horse show, horse exhibition, or drug or other medication used, applied, horse sale or auction, which is sore or or injected and its purpose is furnished which an APHIS veterinarian has prob- in writing to the APHIS representative able cause to believe is sore. Such de- prior to such use, application, or injec- tained horse may be marked for identi- tion by the Doctor of Veterinary Medi- fication and any such identifying cine attending the horse. The use, ap- markings shall not be removed by any plication, or injection of such drug or person other than an APHIS represent- other medication must be approved by ative. the APHIS Show Veterinarian or his (d) Detained horses shall be kept appointed representative. under the supervision of an APHIS rep- (f) It shall be the policy of APHIS to resentative or secured under an official inform the owner, trainer, exhibitor, or USDA seal or seals in a horse stall, other person having immediate custody horse trailer, or other facility to which of or responsibility for any horse alleg- access shall be limited. It shall be the edly found to be in violation of the Act policy of APHIS to have at least one or the regulations of such alleged vio- representative present in the imme- lation or violations before the horse is diate detention area when a horse is released by an APHIS representative. being held in detention. The official (g) The owner, trainer, exhibitor, or USDA seal or seals may not be broken other person having immediate custody or removed by any person other than of or responsibility for any horse or an APHIS representative, unless: horses that an APHIS representative (1) The life or well-being of the de- determines shall be detained for exam- tained horse is immediately endan- ination, testing, or taking of evidence gered by fire, flood, windstorm, or pursuant to paragraph (e) of this sec- other dire circumstances that are beyond human control. tion shall be informed after such deter- (2) The detained horse is in need of mination is made and shall allow said such immediate veterinary attention horse to be immediately put under the that its life may be in peril before an supervisory custody of APHIS or se- APHIS representative can be located. cured under official USDA seal as pro- (3) The horse has been detained for a vided in paragraph (d) of this section maximum 24-hour detention period, until the completion of such examina- and an APHIS representative is not tion, testing, or gathering of evidence, available to release the horse. or until the 24-hour detention period (e) The owner, exhibitor, trainer, or expires. other person having custody of or re- (h) The owner, trainer, exhibitor, or sponsibility for any horse detained by other person having custody of or re- APHIS for further examination, test- sponsibility for any horse allegedly ing, or the taking of evidence shall be found to be in violation of the Act or allowed to feed, water, and provide regulations, and who has been notified other normal custodial and mainte- of such alleged violation by an APHIS nance care, such as walking, grooming, representative as stated in paragraph

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(f) of this section, may request reexam- (b) Exhibitors. (1) Each horse owner, ination and testing of said horse within exhibitor, or other person having cus- a 24-hour period: Provided, That: tody of or responsibility for any horse (1) Such request is made to the at any horse show, horse exhibition, or APHIS Show Veterinarian immediately horse sale or auction shall, without fee, after the horse has been examined by charge, assessment, or other compensa- APHIS representatives and before such tion, admit any APHIS representative horse has been removed from the or Designated Qualified Person ap- APHIS inspection facilities; and pointed by management, to all areas of (2) The APHIS Show Veterinarian de- barns, compounds, horse vans, horse termines that sufficient cause for reex- trailers, stables, stalls, paddocks, or amination and testing exists; and other show, exhibition, or sale or auc- (3) The horse is maintained under tion grounds or related areas at any APHIS supervisory custody as pre- horse show, horse exhibition, or horse scribed in paragraph (d) of this section sale or auction, for the purpose of in- until such reexamination and testing specting any such horse at any and all has been completed. reasonable times. (i) The owner, exhibitor, trainer, or (2) Each owner, trainer, exhibitor, or other person having custody of, or re- other person having custody of or responsibility for any horse being in- sponsibility for, any horse at any horse spected shall render such assistance as show, horse exhibition, or horse sale or the APHIS representative may request auction shall promptly present his for purposes of such inspection. horse for inspection upon notification, (ii) [Reserved] orally or in writing, by any APHIS rep- [44 FR 25179, Apr. 27, 1979, as amended at 56 resentative or Designated Qualified FR 13750, Apr. 4, 1991] Person appointed by management, that said horse has been selected for exam- § 11.5 Access to premises and records. ination for the purpose of determining Requirements regarding access to whether such horse is in compliance premises for inspection of horses and with the Act and regulations. records are as follows: [44 FR 25179, Apr. 27, 1979, as amended at 56 (a) Management. (1) The management FR 13750, Apr. 4, 1991] of any horse show, horse exhibition, or horse sale or auction shall, without fee, § 11.6 Inspection space and facility re- charge, assessment, or other compensa- quirements. tion, provide APHIS representatives The management of every horse with unlimited access to the grand- show, horse exhibition, or horse sale or stands, sale ring, barns, stables, auction, containing Tennessee Walking grounds, offices, and all other areas of Horses or racking horses, shall provide, any horse show, horse exhibition, or without fee, sufficient space and facili- horse sale or auction, including any ad- ties for APHIS representatives to carry jacent areas under their direction, con- out their duties under the Act and reg- trol, or supervision for the purpose of ulations at every horse show, horse ex- inspecting any horses, or any records hibition, or horse sale or auction, con- required to be kept by regulation or taining Tennessee Walking Horses or otherwise maintained. racking horses, whether or not man- (2) The management of any horse agement has received prior notification show, horse exhibition, or horse sale or or otherwise knows that such show auction shall, without fee, charge, as- may be inspected by APHIS. The man- sessment, or other compensation, pro- agement of every horse show, horse ex- vide APHIS representatives with an hibition, horse sale or auction which adequate, safe, and accessible area for does not contain Tennessee Walking the visual inspection and observation Horses or racking horses shall provide, of horses while such horses are com- without fee, such sufficient space and petitively or otherwise performing at facilities when requested to do so by any horse show or horse exhibition, or APHIS representatives. With respect to while such horses are being sold or auc- such space and facilities, it shall be the tioned or offered for sale or auction at responsibility of management to pro- any horse sale or horse auction. vide at least the following:

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(a) Sufficient space in a convenient and soring practices (such as Doctors location to the horse show, horse exhi- of Veterinary Medicine with a small bition, or horse sale or auction arena, animal practice who own, train, judge, acceptable to the APHIS Show Veteri- or show horses, or Doctors of Veteri- narian, in which horses may be phys- nary Medicine who teach equine re- ically, thermographically, or otherwise lated subjects in an accredited college inspected. or school of veterinary medicine). Ac- (b) Protection from the elements of credited Doctors of Veterinary Medi- nature, such as rain, snow, sleet, hail, cine who meet these criteria may be li- windstorm, etc., if required by the censed as DQP’s by a horse industry or- APHIS Show Veterinarian. ganization or association whose DQP (c) A means to control crowds or on- program has been certified by the De- lookers in order that APHIS personnel partment under this part without un- may carry out their duties without in- dergoing the formal training require- terference and with a reasonable meas- ments set forth in this section. ure of safety, if requested by the (2) Farriers, horse trainers, and other APHIS Show Veterinarian. knowledgeable horsemen whose past (d) An accessible, reliable, and con- experience and training would qualify venient 110-volt electrical power them for positions as horse industry source, if electrical service is available organization or association stewards or at the show, exhibition, or sale or auc- judges (or their equivalent) and who tion site and is requested by the APHIS have been formally trained and li- Show Veterinarian. censed as DQP’s by a horse industry or- (e) An appropriate area adjacent to ganization or association whose DQP the inspection area for designated program has been certified by the De- horses to wait for inspection, and an partment in accordance with this sec- area to be used for detention of horses. tion. [44 FR 25181, Apr. 27, 1979, as amended at 56 (b) Certification requirements for DQP FR 13750, Apr. 4, 1991] programs. The Department will not license DQP’s on an individual basis. Li- § 11.7 Certification and licensing of designated qualified persons censing of DQP’s will be accomplished (DQP’s). only through DQP programs certified by the Department and initiated and (a) Basic qualifications of DQP appli- maintained by horse industry organiza- cants. DQP’s holding a valid, current tions or associations. Any horse indus- DQP license issued in accordance with try organization or association desir- this part may be appointed by the management of any horse show, horse exhi- ing Department certification to train bition, horse sale, or horse auction, as and license DQP’s under the Act shall 6 qualified persons in accordance with submit to the Administrator a formal section 4(c) of the Act, to inspect request in writing for certification of horses to detect or diagnose soring and its DQP program and a detailed outline to otherwise inspect horses, or any of such program for Department ap- records pertaining to any horse for the proval. Such outline shall include the purpose of enforcing the Act. Individ- organizational structure of such orga- uals who may be licensed as DQP’s nization or association and the names under this part shall be: of the officers or persons charged with (1) Doctors of Veterinary Medicine the management of the organization or who are accredited in any State by the association. The outline shall also con- United States Department of Agri- tain at least the following: culture under part 161 of chapter I, (1) The criteria to be used in select- title 9 of the Code of Federal Regula- ing DQP candidates and the minimum tions, and who are: qualifications and knowledge regarding (i) Members of the American Associa- horses each candidate must have in tion of Equine Practitioners, or order to be admitted to the program. (ii) Large animal practitioners with substantial equine experience, or 6 Animal and Plant Health Inspection Serv- (iii) Knowledgeable in the area of ice, Animal Care, 4700 River Road, Unit 84, equine lameness as related to soring Riverdale, Maryland 20737–1234.

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(2) A copy of the formal training pro- 10 days prior to each such clinic or gram, classroom and practical, re- seminar. quired to be completed by each DQP (v) One hour of classroom instruction candidate before being licensed by such regarding the DQP standards of con- horse industry organization or associa- duct promulgated by the licensing or- tion, including the minimum number ganization or association pursuant to of hours, classroom and practical, and paragraph (d)(7) of this section. the subject matter of the training pro- (vi) One hour of classroom instruc- gram. Such training program must tion on recordkeeping and reporting re- meet the following minimum standards quirements and procedures. in order to be certified by the Depart- (3) A sample of a written examina- ment under the Act. tion which must be passed by DQP can- (i) Two hours of classroom instruc- didates for successful completion of the tion on the anatomy and physiology of program along with sample answers the limbs of a horse. The instructor and the scoring thereof, and proposed teaching the course must be specified, passing and failing standards. and a resume of said instructor’s back- (4) The criteria to be used to deter- ground, experience, and qualifications mine the qualifications and perform- to teach such course shall be provided ance abilities of DQP candidates selected for the training program and the to the Administrator. 6 criteria used to indicate successful (ii) Two hours of classroom instruc- completion of the training program, in tion on the Horse Protection Act and addition to the written examination re- regulations and their interpretation. quired in paragraph (b)(3) of this sec- Instructors for this course must be fur- tion. nished or recommended by the Depart- (5) The criteria and schedule for a ment. Requests for instructors to be continuing education program and the furnished or recommended must be criteria and methods of monitoring and 6 made to the Administrator in writing appraising performance for continued at least 30 days prior to such course. licensing of DQP’s by such organiza- (iii) Four hours of classroom instruction or association. A continuing edu- tion on the history of soring, the phys- cation program for DQP’s shall consist ical examination procedures necessary of not less than 4 hours of instruction to detect soring, the detection and di- per year. agnosis of soring, and related subjects. (6) Procedures for monitoring horses The instructor teaching the course in the unloading, preparation, warmup, must be specified and a summary of and barn areas, or other such areas. said instructor’s background, experi- Such monitoring may include any ence, and qualifications to teach such horse that is stabled, loaded on a trail- course must be provided to the Admin- er, being prepared for show, exhibition, istrator. 6 sale, or auction, or exercised, or that is (iv) Four hours of practical instruc- otherwise on the grounds of, or present tion in clinics and seminars utilizing at, any horse show, horse exhibition, or live horses with actual application of horse sale or auction. the knowledge gained in the classroom (7) The methods to be used to insure subjects covered in paragraphs (b)(2)(i), uniform interpretation and enforce- (ii), and (iii) of this section. Methods ment of the Horse Protection Act and and procedures required to perform a regulations by DQP’s and uniform pro- thorough and uniform examination of a cedures for inspecting horses for com- horse shall be included. The names of pliance with the Act and regulations; the instructors and a resume of their (8) Standards of conduct for DQP’s background, academic and practical promulgated by the organization or as- experience, and qualifications to sociation in accordance with paragraph present such instruction shall be pro- (d)(7) of this section; and vided to the Administrator. 6 Notifica- (9) A formal request for Department tion of the actual date, time, duration, certification of the DQP program. subject matter, and geographic loca- The horse industry organizations or as- tion of such clinics or seminars must sociations that have formally re- be sent to the Administrator 6 at least quested Department certification of

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their DQP training, enforcement, and years following the first such violation, maintenance program will receive a and for a period of at least 5 years fol- formal notice of certification from the lowing the second such violation and Department, or the reasons, in writing, any subsequent violation; why certification of such program can- (5) Not license any person as a DQP not be approved. A current list of cer- until such person has attended and tified DQP programs and licensed worked two recognized or affiliated DQP’s will be published in the FEDERAL horse shows, horse exhibitions, horse REGISTER at least once each year, and sales, or horse auctions as an appren- as may be further required for the pur- tice DQP and has demonstrated the pose of deleting programs and names of ability, qualifications, knowledge and DQP’s that are no longer certified or li- integrity required to satisfactorily exe- censed, and of adding the names of pro- cute the duties and responsibilities of a grams and DQP’s that have been cer- DQP; tified or licensed subsequent to the (6) Not license any person as a DQP if publication of the previous list. such person has been disqualified by (c) Licensing of DQP’s. Each horse in- the Secretary from making detection, dustry organization or association re- diagnosis, or inspection for the purpose ceiving Department certification for of enforcing the Act, or if such person’s the training and licensing of DQP’s DQP license is canceled by another under the Act shall: horse industry organization or associa- (1) Issue each DQP licensed by such tion. horse industry organization or association a numbered identification card (d) Requirements to be met by DQP’s bearing the name and personal signa- and Licensing Organizations or Associa- ture of the DQP, a picture of the DQP, tions. (1) Any licensed DQP appointed and the name and address, including by the management of any horse show, the street address or post office box horse exhibition, horse sale or auction and zip code, of the licensing organiza- to inspect horses for the purpose of de- tion or association; tecting and determining or diagnosing (2) Submit a list to the Adminis- horses which are sore and to otherwise trator 6 of names and addresses includ- inspect horses for the purpose of en- ing street address or post office box forcing the Act and regulations, shall and zip code, of all DQP’s that have keep and maintain the following infor- successfully completed the certified mation and records concerning any DQP program and have been licensed horse which said DQP recommends be under the Act and regulations by such disqualified or excused for any reason horse industry organization or associa- at such horse show, horse exhibition, tion; horse sale or auction, from being (3) Notify the Department of any ad- shown, exhibited, sold or auctioned, in ditions or deletions of names of li- a uniform format required by the horse censed DQP’s from the licensed DQP industry organization or association list submitted to the Department or of that has licensed said DQP: any change in the address of any li- (i) The name and address, including censed DQP or any warnings and li- street address or post office box and zip cense revocations issued to any DQP li- code, of the show and the show man- censed by such horse industry organi- ager. zation or association within 10 days of (ii) The name and address, including such change; street address or post office box and zip (4) Not license any person as a DQP if code, of the horse owner. such person has been convicted of any (iii) The name and address, including violation of the Act or regulations oc- street address or post office box and zip curring after July 13, 1976, or paid any code, of the horse trainer. fine or civil penalty in settlement of (iv) The name and address, including any proceeding regarding a violation of street address or post office box and zip the Act or regulations occurring after code, of the horse exhibitor. July 13, 1976, for a period of at least 2 (v) The exhibitors number and class number, or the sale or auction tag 6 See footnote 6 to this section. number of said horse.

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(vi) The date and time of the inspec- DQP recommended be disqualified or tion. excused for any reason. The informa- (vii) A detailed description of all of tion concerning the identity of such the DQP’s findings and the nature of horses shall include: the alleged violation, or other reason (A) The registered name of each for disqualifying or excusing the horse, horse. including said DQP’s statement regard- (B) The name and address of the ing the evidence or facts upon which owner, trainer, exhibitor, or other per- the decision to disqualify or excuse son having custody of or responsibility said horse was based. for the care of each such horse dis- (viii) The name, age, sex, color, and qualified or excused. markings of the horse; and (4) Each horse industry organization (ix) The name or names of the show or association having a Department manager or other management rep- certified DQP program shall provide, resentative notified by the DQP that by certified mail if personal service is such horse should be excused or dis- not possible, to the trainer and owner qualified and whether or not such man- of each horse allegedly found in viola- ager or management representative ex- tion of the Act or its regulations or cused or disqualified such horse. otherwise disqualified or excused for Copies of the above records shall be any reason, the following information; submitted by the involved DQP to the (i) The name and date of the show, horse industry organization or associa- exhibition, sale, or auction. tion that has licensed said DQP within (ii) The name of the horse and the 72 hours after the horse show, horse ex- reason why said horse was excused, dis- hibition, horse sale, or horse auction is qualified, or alleged to be in violation over. (2) The DQP shall inform the custo- of the Act or its regulations. dian of each horse allegedly found in (5) Each horse industry organization violation of the Act or its regulations, or association having a Department or disqualified or excused for any other certified DQP program shall provide reason, of such action and the specific each of its licensed DQP’s with a cur- reasons for such action. rent list of all persons that have been (3) Each horse industry organization disqualified by order of the Secretary or association having a Department from showing or exhibiting any horse, certified DQP program shall submit a or judging or managing any horse report to the Department containing show, horse exhibition, horse sale, or the following information, from horse auction. The Department will records required in paragraph (d)(1) of make such list available, on a current this section and other available basis, to organizations and associations sources, to the Department on a maintaining a certified DQP program. monthly basis: (6) Each horse industry organization (i) The identity of all horse shows, or association having a Department horse exhibitions, horse sales, or horse certified DQP program shall develop auctions that have retained the serv- and provide a continuing education ices of DQP’s licensed by said organiza- program for licensed DQP’s which pro- tion or association during the month vides not less than 4 hours of instruc- covered by the report. Information con- tion per year to each licensed DQP. cerning the identity of such horse (7) Each horse industry organization shows, horse exhibitions, horse sales, or association having a Department or horse auctions shall include: certified DQP program shall promul- (A) The name and location of the gate standards of conduct for its show, exhibition, sale, or auction. DQP’s, and shall provide administra- (B) The name and address of the man- tive procedures within the organization ager. or association for initiating, maintain- (C) The date or dates of the show, ex- ing, and enforcing such standards. The hibition, sale, or auction. procedures shall include the causes for (ii) The identity of all horses at each and methods to be utilized for can- horse show, horse exhibition, horse celing the license of any DQP who fails sale, or horse auction that the licensed to properly and adequately carry out

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his duties. Minimum standards of con- settlement of any proceeding regarding duct for DQP’s shall include the fol- a violation of the Act or regulations lowing; occurring after July 13, 1976. (i) A DQP shall not exhibit any horse (f) Cancellation of DQP license. (1) at any horse show or horse exhibition, Each horse industry organization or as- or sell, auction, or pruchase any horse sociation having a DQP program cer- sold at a horse sale or horse auction at tified by the Department shall issue a which he or she has been appointed to written warning to any DQP whom it inspect horses; has licensed who violates the rules, (ii) A DQP shall not inspect horses at regulations, by-laws, or standards of any horse show, horse exhibition, horse conduct promulgated by such horse in- sale or horse auction in which a horse dustry organization or association pur- or horses owned by a member of the suant to this section, who fails to fol- DQP’s immediate family or the DQP’s low the procedures set forth in § 11.21 of employer are competing or are being this part, or who otherwise carries out offered for sale; his duties and responsibilities in a less (iii) A DQP shall follow the uniform than satisfactory manner, and shall inspection procedures of his certified cancel the license of any DQP after a organization or association when in- second violation. Upon cancellation of specting horses; and his DQP license, the DQP may, within (iv) The DQP shall immediately in- 30 days thereafter, request a hearing form management of each case regard- before a review committee of not less ing any horse which, in his opinion, is than three persons appointed by the li- in violation of the Act or regulations. censing horse industry organization or (e) Prohibition of appointment of cer- association. If the review committee tain persons to perform duties under the sustains the cancellation of the license, Act. The management of any horse the DQP may appeal the decision of show, horse exhibition, horse sale, or such committee to the Administrator horse auction shall not appoint any within 30 days from the date of such person to detect and diagnose horses decision, and the Administrator shall which are sore or to otherwise inspect make a final determination in the mat- horses for the purpose of enforcing the ter. If the Administrator finds, after Act, if that person: providing the DQP whose license has (1) Does not hold a valid, current been canceled with a notice and an op- DQP license issued by a horse industry portunity for a hearing, 7 that there is organization or association having a sufficient cause for the committee’s de- DQP program certified by the Depart- termination regarding license cancella- ment. tion, he shall issue a decision sus- (2) Has had his DQP license canceled taining such determination. If he does by the licensing organization or asso- not find that there was sufficient cause ciation. to cancel the license, the licensing or- (3) Is disqualified by the Secretary from performing diagnosis, detection, ganization or association shall rein- and inspection under the Act, after no- state the license. tice and opportunity for a hearing, 7 (2) Each horse industry organization when the Secretary finds that such per- or association having a Department son is unfit to perform such diagnosis, certified DQP program shall cancel the detection, or inspection because he has license of any DQP licensed under its failed to perform his duties in accord- program who has been convicted of any ance with the Act or regulations, or be- violation of the Act or regulations or cause he has been convicted of a viola- of any DQP who has paid a fine or civil tion of any provision of the Act or reg- penalty in settlement of any alleged ulations occurring after July 13, 1976, violation of the Act or regulations if or has paid any fine or civil penalty in such alleged violation occurred after July 13, 1976. (g) Revocation of DQP program certifi- 7 Hearing would be in accordance with the Uniform Rules of Practice for the Depart- cation of horse industry organizations or ment of Agriculture in subpart H of part 1, associations. Any horse industry organi- subtitle A, title 7, Code of Federal Regula- zation or association having a Depart- tions (7 CFR 1.130 et seq.) ment certified DQP program that has

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not received Department approval of bition, horse sale, or horse auction. the inspection procedures provided for Horses entered for sale or auction at a in paragraph (b)(6) of this section, or horse sale or horse auction must be that otherwise fails to comply with the identified as sore or otherwise in viola- requirements contained in this part, tion of the Act or regulations prior to may have such certification of its DQP the sale or auction and prohibited from program revoked, unless, upon written entering the sale or auction ring. Sore notification from the Department of horses or horses otherwise in violation such failure to comply with the re- of the Act or regulations that have quirements in this section, such orga- been entered in a horse show or horse nization or association takes imme- exhibition for the purpose of show or diate action to rectify such failure and exhibition must be identified and ex- takes appropriate steps to prevent a re- cused prior to the show or exhibition. currence of such noncompliance within Any horses found to be sore or other- the time period specified in the Depart- wise in violation of the Act or regula- ment notification, or otherwise ade- tions during actual participation in the quately explains such failure to comply show or exhibition, must be removed to the satisfaction of the Department. from further participation prior to the Any horse industry organization or as- tyeing of the class or the completion of sociation whose DQP program certifi- the exhibition. All horses tyed first in cation has been revoked may appeal each Tennessee Walking Horse or such revocation to the Administrator 6 racking horse class or event at any in writing within 30 days after the date horse show or horse exhibition shall be of such revocation and, if requested, inspected after being shown or exhib- shall be afforded an opportunity for a ited to determine if such horses are hearing. 7 All DQP licenses issued by a sore or otherwise in violation of the horse industry organization or associa- Act or regulations. tion whose DQP program certification (b)(1) The management of any horse has been revoked shall expire 30 days show, horse exhibition, horse sale or after the date of such revocation, or 15 auction which designates and appoints days after the date the revocation be- a Designated Qualified Person (or per- comes final after appeal, unless they sons) to inspect horses shall accord are transferred to a horse industry or- said DQP access to all records and ganization or association having a pro- areas of the grounds of such show, ex- gram currently certified by the Depart- hibition, sale, or auction and the same ment. right to inspect horses and records as (Approved by the Office of Management and is accorded to any APHIS representa- Budget under control number 0579–0056) tive. Further, management shall not [44 FR 1563, Jan. 5, 1979, as amended at 44 FR take any action which would interfere 25182, Apr. 27, 1979; 48 FR 57471, Dec. 30, 1983; with or influence said DQP in carrying 55 FR 41993, Oct. 17, 1990; 56 FR 13750, Apr. 4, out his duties or making decisions con- 1991; 59 FR 67612, Dec. 30, 1994; 63 FR 62927, cerning whether or not any horse is Nov. 10, 1998; 77 FR 33618, June 7, 2012] sore or otherwise in violation of the Act or regulations. In the event man- § 11.20 Responsibilities and liabilities agement is dissatisfied with the per- of management. formance of a particular DQP, includ- (a) The management of any horse ing disagreement with decisions con- show, horse exhibition, or horse sale or cerning violations, management shall auction which does not appoint and re- not dismiss or otherwise interfere with tain a DQP shall be responsible for said DQP during the DQP’s appointed identifying all horses that are sore or tour of duty. 8 However, management otherwise in violation of the Act or should immediately notify, in writing, regulations, and shall disqualify or dis- the Department 6 and the organization allow any horses which are sore or oth- or association that licensed the DQP, erwise in violation of the Act or regu- as to why the performance of said DQP lations from participating or competing in any horse show, horse exhi- 8 The duration of the show, exhibition, or sale or auction. 6,7 See previous footnotes 6 and 7. 6 See footnote 6 to § 11.7.

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was inadequate or otherwise unsatis- volving said horse has begun or before factory. Management which designates said horse is offered for sale or auction. and appoints a DQP shall immediately (c) The management of any horse disqualify or disallow from being show, exhibition, sale, or auction that shown, exhibited, sold, or auctioned designates and appoints a DQP to in- any horse identified by the DQP to be spect horses shall appoint and des- sore or otherwise in violation of the ignate at least two DQP’s when more Act or regulations or any horse other- than 150 horses are entered. wise known by management to be sore or in violation of the Act or regula- (Approved by the Office of Management and tions. Should management fail to dis- Budget under control number 0579–0056) qualify or disallow from being shown, [44 FR 25182, Apr. 27, 1979, as amended at 48 exhibited, sold or auctioned any such FR 57471, Dec. 30, 1983; 55 FR 41993, Oct. 17, horse, said management shall assume 1990; 56 FR 13750, Apr. 4, 1991; 57 FR 62175, full responsibility for and liabilities Dec. 30, 1992] arising from the showing, exhibition, sale, or auction of said horses. § 11.21 Inspection procedures for des- (2) The DQP shall physically inspect: ignated qualified persons (DQPs). (i) All Tennessee Walking Horses and (a)(1) During the preshow inspection, racking horses entered for sale or auc- the DQP shall direct the custodian of tion, (ii) all Tennessee Walking Horses the horse to walk and turn the horse in and racking horses entered in any ani- a manner that allows the DQP to deter- mated gait class (whether under saddle, mine whether the horse exhibits signs horse to cart, or otherwise), (iii) all of soreness. The DQP shall determine Tennessee Walking Horses and racking whether the horse moves in a free and horses entered for exhibition before easy manner and is free of any signs of they are admitted to be shown, exhib- soreness. ited, sold, or auctioned, and (iv) all (2) The DQP shall digitally palpate Tennessee Walking Horses and racking the front limbs of the horse from knee horses tyed first in their class or event to hoof, with particular emphasis on at any horse show, horse exhibition, the pasterns and fetlocks. The DQP horse sale, or horse auction. Such in- shall examine the posterior surface of spection shall be for the purpose of de- the pastern by picking up the foot and termining whether any such horses are examining the posterior (flexor) sur- in violation of the Act or regulations. face. The DQP shall apply digital pres- Such physical examination shall be sure to the pocket (sulcus), including conducted in accordance with the in- the bulbs of the heel, and continue the spection procedures provided for in palpation to the medial and lateral sur- § 11.21 of this part. The DQP shall observe horses in the warmup ring and faces of the pastern, being careful to during actual performances whenever observe for responses to pain in the possible, and shall inspect any Ten- horse. While continuing to hold onto nessee Walking Horse or racking horse the pastern, the DQP shall extend the at any time he deems necessary to de- foot and leg of the horse to examine termine whether any such horse shown, the front (extensor) surfaces, including exhibited, sold, or auctioned is in vio- the coronary band. The DQP may ex- lation of the Act or regulations. If amine the rear limbs of all horses in- present at other shows, he shall exam- spected after showing, and may examine any horse which he determines ine the rear limbs of any horse exam- should be examined for compliance ined preshow or on the showgrounds with the Act and regulations. when he deems it necessary, except (3) The DQP shall immediately re- that the DQP shall examine the rear port, to the management of any horse limbs of all horses exhibiting lesions show, horse exhibition, or horse sale or on, or unusual movement of, the rear auction, any horse which, in his opin- legs. While carrying out the procedures ion, is sore or otherwise in violation of set forth in this paragraph, the DQP the Act or regulations. Such report shall also inspect the horse to deter- shall be made, whenever possible, be- mine whether the provisions of § 11.3 of fore the show class or exhibitioin in- this part are being complied with, and

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particularly whether there is any evi- § 11.22 Records required and disposi- dence of inflammation, edema, or pro- tion thereof. liferating granuloma tissue. (a) The management of any horse (3) The DQP shall observe and inspect show, horse exhibition, or horse sale or all horses for compliance with the pro- auction, that contains Tennessee Walk- visions set forth in § 11.2(a) through ing Horses or racking horses, shall § 11.2(c) of this part. All action devices, maintain for a period of at least 90 pads, and other equipment shall be ob- days following the closing date of said served and/or examined to assure that show, exhibition, or sale or auction, all they are in compliance with the regula- pertinent records containing: tions. All such equipment on horses ex- (1) The dates and place of the horse amined postshow, and on horses exam- show, horse exhibition, horse sale, or ined preshow that are not clearly in horse auction. compliance, shall be weighed and/or (2) The name and address (including measured. street address or post office box number and ZIP code) of the sponsoring or- (4) The DQP shall instruct the custo- ganization. dian of the horse to control it by hold- (3) The name and address of the horse ing the reins approximately 18 inches show, exhibition, horse sale or horse from the bit shank. The DQP shall not auction management. be required to examine a horse if it is (4) The name and address (including presented in a manner that might street address or post office box num- cause the horse not to react to a DQP’s ber and ZIP code) of the DQP, if any, examination, or if whips, cigarette employed to conduct inspections under smoke, or other actions or para- § 11.20; and, the name of the horse in- phernalia are used to distract a horse dustry organization or association cer- during examination. All such incidents tifying the DQP. shall be reported to the show manage- (5) The name and address (including ment and the DQP licensing organiza- street address or post office box num- tion. ber, and ZIP code) of each show judge. (b) The DQP shall inspect horses no (6) A copy of each class or sale sheet more than three classes ahead of the containing the names of horses, the time the inspected horses are to be names and addresses (including street shown, except that, in shows with address, post office box and ZIP code) fewer than 150 horses, the DQP shall in- of horse owners, the exhibitor number spect horses no more than 2 classes and class number, or sale number as- ahead of the time the inspected horses signed to each horse, the show class or are to be shown. Inspected horses shall sale lot number, and the name and ad- be held in a designated area that is dress (including street address, post of- under observation by the DQP or fice box, and ZIP code) of the person APHIS representative. Horses shall not paying the entry fee and entering the be permitted to leave the designated horse in a horse show, horse exhibition, area before showing. Only the horse, or horse sale or auction. the rider, the groom, the trainer, the (7) A copy of the official horse show, DQP(s) and APHIS representatives horse exhibition, horse sale, or horse shall be allowed in the designated area. auction program, if any such program (c) The DQP may carry out addi- has been prepared. tional inspection procedures as he (8) The identification of each horse, deems necessary to determine whether including the name of the horse, the the horse is sore. name and address (including street address, post office box, and ZIP code) of (d) The HIO that licensed the DQP the owner, the trainer, the rider or shall assess and enforce penalties for other exhibitor, and the location (in- violations in accordance with § 11.25 cluding street address, post office box, and shall report all violations in ac- and ZIP code) of the home barn or cordance with § 11.20(b)(4). other facility where the horse is sta- [55 FR 41993, Oct. 17, 1990; as amended at 56 bled. FR 13750, Apr. 4, 1991; 57 FR 62175, Dec. 30, (b) The management of any horse 1992; 77 FR 33618, June 7, 2012] show, horse exhibition, or horse sale or

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auction containing Tennessee Walking upon the request of the APHIS rep- Horses or racking horses shall des- resentative. ignate a person to maintain the records [44 FR 25179, Apr. 27, 1979. Redesignated at 55 required in this section. FR 41993, Oct. 17, 1990, as amended at 56 FR (c) The management of any horse 13750, Apr. 4, 1991] show, horse exhibition, or horse sale or auction containing Tennessee Walking § 11.24 Reporting by management. Horses or racking horses shall furnish (a) Within 5 days following the con- to any APHIS representative, upon re- clusion of any horse show, horse exhi- quest, the name and address (including bition, or horse sale or auction, con- street address, or post office box, and taining Tennessee Walking Horses or ZIP code) of the person designated by racking horses, the managements of the sponsoring organization or man- such show, exhibition, sale or auction 1 ager to maintain the records required shall submit to the Regional Director by this section. for the State in which the show, exhibition, sale or auction was held, the in- (d) The Administrator may, in spe- formation required by § 11.22(a)(1) cific cases, require that a horse show, through (6) for each horse excused or horse exhibition, or horse sale or auc- disqualified by management or its rep- tion records be maintained by manage- resentatives from being shown, exhib- ment for a period in excess of 90 days. ited, sold or auctioned, and the reasons (Approved by the Office of Management and for such action. If no horses are ex- Budget under control numbers 0579–0056, and cused or disqualified, the management 0579–0058) shall submit a report so stating. (b) Within 5 days following the con- (44 U.S.C. 3506) clusion of any horse show, horse exhi- [44 FR 25179, Apr. 27, 1979, as amended at 48 bition, or horse sale or auction which FR 57471, Dec. 30, 1983. Redesignated at 55 FR does not contain Tennessee Walking 41993, Oct. 17, 1990; 56 FR 13750, Apr. 4, 1991] Horses or racking horses, the management of such show, exhibition, sale or § 11.23 Inspection of records. auction shall inform the Regional Di- (a) The management of any horse rector for the State in which the show, show, horse exhibition, or horse sale or exhibition, sale or auction was held, of auction shall permit any APHIS rep- any case where a horse was excused or resentative, upon request, to examine disqualified by management or its rep- and make copies of any and all records resentatives from being shown, exhib- pertaining to any horse, either re- ited, sold or auctioned because it was quired in any part of the regulations, found to be sore. or otherwise maintained, during ordi- (Approved by the Office of Management and nary business hours or such other Budget under control number 0579–0056) times as may be mutually agreed upon. [44 FR 25179, Apr. 27, 1979, as amended at 48 A room, table, or other facilities nec- FR 57471, Dec. 30, 1983; 55 FR 41994, Oct. 17, essary for proper examination of such 1990; 56 FR 13750, Apr. 4, 1991; 63 FR 62927, records shall be made available to the Nov. 10, 1998] APHIS representative. § 11.25 Minimum penalties to be as- (b) Horse industry organizations or sessed and enforced by HIOs that li- associations who train, maintain, and cense DQPs. license DQP’s under a certified DQP (a) Rulebook. Each HIO that licenses program shall permit any APHIS rep- DQPs in accordance with § 11.7 must in- resentative, upon request, to examine clude in its rulebook, and enforce, pen- and copy any and all records relating alties for the violations listed in this to the DQP program which are required section that equal or exceed the pen- by any part of the regulations. Such re- alties listed in paragraph (c) of this quests shall be made during ordinary section and must also enforce the re- business hours or such other times as quirement in paragraph (d) of this sec- mutually agreed upon. A room, table or tion. other facilities necessary for proper examination shall be made available 1 See footnote 1 to § 11.1.

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(b) Suspensions. (1) For the violations show, exhibition, sale, or auction. First listed in paragraph (c) of this section offense: Suspension for 60 days. Second that require a suspension, any individ- offense: Suspension for 120 days. Third uals who are responsible for showing offense and any subsequent offenses: the horse, exhibiting the horse, enter- Suspension for 1 year. ing or allowing the entry of the horse (3) Scar rule violation. A horse is found in a show or exhibition, selling the to be in violation of the scar rule in horse, auctioning the horse, or offering § 11.3. The horse must be dismissed the horse for sale or auction must be from the remainder of the horse show, suspended. This may include, but may exhibition, sale, or auction. First of- not be limited to, the manager, trainer, fense: Suspension for 2 weeks (14 days). rider, custodian, or seller, as applica- Second offense: Suspension for 60 days. ble. In addition, if the owner allowed Third offense and any subsequent of- any activity listed in this paragraph, fenses: Suspension for 1 year. the owner must be suspended as well. (4) Foreign substance violations. Viola- (2) Any person who is responsible for tions of the prohibition against the use the shipping, moving, delivering, or re- of foreign substances in § 11.2(c). ceiving of any horse that is found to be bilaterally sore or unilaterally sore as (i) Before or during the show, exhi- defined in paragraph (c) of this section, bition, sale, or auction. The horse must in violation of the scar rule in § 11.3, or be dismissed from the remainder of the in violation of the prohibition against horse show, exhibition, sale, or auc- the use of foreign substances in tion. § 11.2(c), with reason to believe that (ii) After the show, exhibition, sale, or such horse was to be shown, exhibited, auction. Suspension for 2 weeks (14 entered for the purpose of being shown days). The horse must be dismissed or exhibited, sold, auctioned, or offered from the remainder of the horse show, for sale in any horse show, horse exhi- exhibition, sale, or auction. bition, or horse sale or auction, must (5) Equipment violation. Violations of be suspended; Provided, that this re- the equipment-related prohibitions in quirement does not apply if the horse § 11.2(b)(1) through (b)(10) and (b)(12) was transported by a common or con- through (b)(17). tract carrier or an employee thereof in (i) Before or during the show, exhi- the usual course of the carrier’s busi- bition, sale, or auction. The horse must ness or the employee’s employment, be dismissed from the remainder of the unless the carrier or employee had rea- horse show, exhibition, sale, or auc- son to believe that the horse was sore. tion. (3) A person who is suspended must (ii) After the show, exhibition, sale, or not be permitted to show or exhibit auction. Suspension for 2 weeks (14 any horse or judge or manage any days). The horse must be dismissed horse show, horse exhibition, or horse from the remainder of the horse show, sale or auction for the duration of the exhibition, sale, or auction. suspension. (6) Shoeing violation. Violation of the (4) Any person with multiple suspen- shoeing-related prohibitions in sions must serve them consecutively, § 11.2(b)(18). The horse must be dis- not concurrently. missed from the remainder of the horse (c) Minimum penalties—(1) Bilateral show, exhibition, sale, or auction. sore. A horse is found to be sore in both its forelimbs or hindlimbs. The horse (7) Heel-toe ratio. Violation of the must be dismissed from the remainder heel-toe ratio requirement in of the horse show, exhibition, sale, or § 11.2(b)(11). The horse must be dis- auction. First offense: Suspension for 1 missed from the remainder of the horse year. Second offense: Suspension for 2 show, exhibition, sale, or auction. years. Third offense and any subse- (8) Suspension violation. A violation of quent offenses: Suspension for 4 years. any suspension penalty previously (2) Unilateral sore. A horse is found to issued. Suspension for an additional 6 be sore in one of its forelimbs or months (180 days) for each occurrence. hindlimbs. The horse must be dis- (d) Unruly or fractious horse. A horse missed from the remainder of the horse that cannot be inspected in accordance

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with § 11.21. The horse must be dis- (2) Name and address (including missed from the individual class for street address, post office box, and ZIP which it was to be inspected. code) of the horse trainer. (e) Appeals. The HIO must provide a (3) Name and address (including process in its rulebook for alleged vio- street address, post office box, and ZIP lators to appeal penalties. The process code) of the carrier transporting the must be approved by the Department. horse, and of the driver of the means of For all appeals, the appeal must be conveyance used. granted and the case heard and decided by the HIO or the violator must begin (4) Origin of the shipment and date serving the penalty within 60 days of thereof, and, the date of the violation. The HIO must (5) Destination of shipment. submit to the Department all decisions (b) [Reserved] on penalty appeals within 30 days of (Approved by the Office of Management and the completion of the appeal. When a Budget under control number 0579–0056) penalty is overturned on appeal, the HIO must also submit evidence com- [44 FR 25179, Apr. 27, 1979, as amended at 48 posing the record of the HIO’s decision FR 57471, Dec. 30, 1983; 56 FR 13750, Apr. 4, on the appeal. 1991] (f) Departmental prosecution. The De- partment retains the authority to ini- § 11.41 Reporting required of horse industry organizations or associa- tiate enforcement proceedings with re- tions. spect to any violation of the Act, including violations for which penalties Each horse industry organization or are assessed in accordance with this association which sponsors, or which section, and to impose the penalties sanctions any horse show, horse exhi- authorized by the Act if the Depart- bition, or horse sale or auction, shall ment determines that such actions are furnish the Department 6 by March 1 of necessary to fulfill the purpose of the each year with all such organization or Act and this part. In addition, the De- association rulebooks, and disciplinary partment reserves the right to inform procedures for the previous year per- the Attorney General of any violation taining to violations of the Horse Pro- of the Act or of this part, including tection Act or regulations, applicable violations for which penalties are as- to such horse show, horse exhibition, sessed in accordance with this section. or horse sale or auction. Rulebooks and [77 FR 33618, June 7, 2012] information relating to disciplinary procedures for violations of the Horse § 11.40 Prohibitions and requirements Protection Act or regulations should concerning persons involved in be readily available to all exhibitors, transportation of certain horses. trainers, and owners of horses at such (a) Each person who ships, trans- show, exhibition, sale, or auction. Each ports, or otherwise moves, or delivers horse industry organization or associa- or receives for movement, any horse tion shall furnish the Department 6 with reason to believe such horse may with a quarterly report of all discipli- be shown, exhibited, sold or auctioned nary actions taken against the man- at any horse show, horse exhibition, or agement or any horse show, horse exhi- horse sale or auction, shall allow and assist in the inspection of such horse at bition, horse sale, or horse auction, any such show, exhibition, sale, or auc- any exhibitor, or any licensed DQP, for tion to determine compliance with the violation of the Horse Protection Act Act as provided in § 11.4 of the regula- or regulations, and the results thereof. tions and shall furnish to any APHIS (Approved by the Office of Management and representatives upon his request the Budget under control number 0579–0056) following information: (1) Name and address (including [44 FR 25179, Apr. 27, 1979, as amended at 48 street address, post office box, and ZIP FR 57471, Dec. 30, 1983] code) of the horse owner and of the shipper, if different from the owner or trainer. 6 See footnote 6 to § 11.7.

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PART 12—RULES OF PRACTICE Subpart B—Supplemental Rules of GOVERNING PROCEEDINGS Practice UNDER THE HORSE PROTECTION ACT § 12.10 Stipulations. (a) At any time prior to the issuance Subpart A—General of a complaint seeking a civil penalty Sec. under the Act, the Administrator, in 12.1 Scope and applicability of rules of prac- his discretion, may enter into a stipu- tice. lation with any person in which: (1) The Administration gives notice Subpart B—Supplemental Rules of Practice of an apparent violation of the Act or 12.10 Stipulations. the regulations issued thereunder by AUTHORITY: 15 U.S.C. 1825 and 1828; 7 CFR such person and affords such person an 2.22, 2.80, and 371.7. opportunity for a hearing regarding the matter as provided by the Act; Subpart A—General (2) Such person expressly waives hearing and agrees to a specified order § 12.1 Scope and applicability of rules including an agreement to pay a speci- of practice. fied civil penalty within a designated The Uniform Rules of Practice for time; and the Department of Agriculture promul- (3) The Administrator agrees to ac- gated in subpart H of part 1, subtitle A, cept the specified order including a title 7, Code of Federal Regulations, civil penalty in settlement of the par- are the Rules of Practice applicable to ticular matter involved if it is paid adjudicatory, administrative pro- within the designated time. ceedings under section 6(a) of the Horse (b) If the specified penalty is not paid Protection Act of 1970 (15 U.S.C. within the time designated in such a 1825(a)) and sections 6 (b) and (c) of the Horse Protection Act (15 U.S.C. 1825 (b) stipulation, the amount of the stipu- and (c)). In addition, the Supplemental lated penalty shall not be relevant in Rules of Practice set forth in subpart B any respect to the penalty which may of this part shall be applicable to such be assessed after issuance of a com- proceedings. plaint. [42 FR 10959, Feb. 25, 1977, as amended at 68 [42 FR 10960, Feb. 25, 1977, as amended at 68 FR 6342, Feb. 7, 2003] FR 6342, Feb. 7, 2003]

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