[Title 9 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 1997 Edition]
[From the U.S. Government Publishing Office]
9
Animals and Animal Products
[[Page i]]
PARTS 1 to 199
Revised as of January 1, 1997
CONTAINING
A CODIFICATION OF DOCUMENTS
OF GENERAL APPLICABILITY
AND FUTURE EFFECT
AS OF JANUARY 1, 1997
With Ancillaries
Published by
the Office of the Federal Register
National Archives and Records
Administration
as a Special Edition of
the Federal Register
[[Page ii]]
U.S. GOVERNMENT PRINTING OFFICE
WASHINGTON : 1997
For sale by U.S. Government Printing Office
Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328
[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 9:
Chapter I--Animal and Plant Health Inspection Service,
Department of Agriculture............................. 3
Finding Aids:
Material Approved for Incorporation by Reference.......... 809
Table of CFR Titles and Chapters.......................... 811
Alphabetical List of Agencies Appearing in the CFR........ 827
List of CFR Sections Affected............................. 837
[[Page iv]]
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Cite this Code: CFR
To cite the regulations in this volume use title, part
and section number. Thus, 9 CFR 1.1 refers to title 9,
part 1, section 1.
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[[Page v]]
EXPLANATION
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
departments and agencies of the Federal Government. The Code is divided
into 50 titles which represent broad areas subject to Federal
regulation. Each title is divided into chapters which usually bear the
name of the issuing agency. Each chapter is further subdivided into
parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
The appropriate revision date is printed on the cover of each
volume.
LEGAL STATUS
The contents of the Federal Register are required to be judicially
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie
evidence of the text of the original documents (44 U.S.C. 1510).
HOW TO USE THE CODE OF FEDERAL REGULATIONS
The Code of Federal Regulations is kept up to date by the individual
issues of the Federal Register. These two publications must be used
together to determine the latest version of any given rule.
To determine whether a Code volume has been amended since its
revision date (in this case, January 1, 1997), consult the ``List of CFR
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative
List of Parts Affected,'' which appears in the Reader Aids section of
the daily Federal Register. These two lists will identify the Federal
Register page number of the latest amendment of any given rule.
EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal
Register since the last revision of that volume of the Code. Source
citations for the regulations are referred to by volume number and page
number of the Federal Register and date of publication. Publication
dates and effective dates are usually not the same and care must be
exercised by the user in determining the actual effective date. In
instances where the effective date is beyond the cut-off date for the
Code a note has been inserted to reflect the future effective date. In
those instances where a regulation published in the Federal Register
states a date certain for expiration, an appropriate note will be
inserted following the text.
OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires
Federal agencies to display an OMB control number with their information
collection request.
[[Page vi]]
Many agencies have begun publishing numerous OMB control numbers as
amendments to existing regulations in the CFR. These OMB numbers are
placed as close as possible to the applicable recordkeeping or reporting
requirements.
OBSOLETE PROVISIONS
Provisions that become obsolete before the revision date stated on
the cover of each volume are not carried. Code users may find the text
of provisions in effect on a given date in the past by using the
appropriate numerical list of sections affected. For the period before
January 1, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For
the period beginning January 1, 1986, a ``List of CFR Sections
Affected'' is published at the end of each CFR volume.
INCORPORATION BY REFERENCE
What is incorporation by reference? Incorporation by reference was
established by statute and allows Federal agencies to meet the
requirement to publish regulations in the Federal Register by referring
to materials already published elsewhere. For an incorporation to be
valid, the Director of the Federal Register must approve it. The legal
effect of incorporation by reference is that the material is treated as
if it were published in full in the Federal Register (5 U.S.C. 552(a)).
This material, like any other properly issued regulation, has the force
of law.
What is a proper incorporation by reference? The Director of the
Federal Register will approve an incorporation by reference only when
the requirements of 1 CFR part 51 are met. Some of the elements on which
approval is based are:
(a) The incorporation will substantially reduce the volume of
material published in the Federal Register.
(b) The matter incorporated is in fact available to the extent
necessary to afford fairness and uniformity in the administrative
process.
(c) The incorporating document is drafted and submitted for
publication in accordance with 1 CFR part 51.
Properly approved incorporations by reference in this volume are
listed in the Finding Aids at the end of this volume.
What if the material incorporated by reference cannot be found? If
you have any problem locating or obtaining a copy of material listed in
the Finding Aids of this volume as an approved incorporation by
reference, please contact the agency that issued the regulation
containing that incorporation. If, after contacting the agency, you find
the material is not available, please notify the Director of the Federal
Register, National Archives and Records Administration, Washington DC
20408, or call (202) 523-4534.
CFR INDEXES AND TABULAR GUIDES
A subject index to the Code of Federal Regulations is contained in a
separate volume, revised annually as of January 1, entitled CFR Index
and Finding Aids. This volume contains the Parallel Table of Statutory
Authorities and Agency Rules (Table I), and Acts Requiring Publication
in the Federal Register (Table II). A list of CFR titles, chapters, and
parts and an alphabetical list of agencies publishing in the CFR are
also included in this volume.
An index to the text of ``Title 3--The President'' is carried within
that volume.
The Federal Register Index is issued monthly in cumulative form.
This index is based on a consolidation of the ``Contents'' entries in
the daily Federal Register.
[[Page vii]]
A List of CFR Sections Affected (LSA) is published monthly, keyed to
the revision dates of the 50 CFR titles.
REPUBLICATION OF MATERIAL
There are no restrictions on the republication of material appearing
in the Code of Federal Regulations.
INQUIRIES
For a legal interpretation or explanation of any regulation in this
volume, contact the issuing agency. The issuing agency's name appears at
the top of odd-numbered pages.
For inquiries concerning CFR reference assistance, call 202-523-5227
or write to the Director, Office of the Federal Register, National
Archives and Records Administration, Washington, DC 20408.
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Richard L. Claypoole,
Director,
Office of the Federal Register.
January 1, 1997.
[[Page ix]]
THIS TITLE
Title 9--Animals and Animal Products is composed of two volumes. The
first volume contains chapter I--Animal and Plant Health Inspection
Service, Department of Agriculture (parts 1-199). The second volume
contains chapter II--Packers and Stockyards Administration, Department
of Agriculture and chapter III--Food Safety and Inspection Service, Meat
and Poultry Inspection, Department of Agriculture (part 200-End). The
contents of these volumes represent all current regulations codified
under this title of the CFR as of January 1, 1997.
For this volume, Elizabeth Thomas was Chief Editor. The Code of
Federal Regulations publication program is under the direction of
Frances D. McDonald, assisted by Alomha S. Morris.
[[Page x]]
[[Page 1]]
TITLE 9--ANIMALS AND ANIMAL PRODUCTS
(This book contains parts 1 to 199)
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Part
Chapter i--Animal and Plant Health Inspection Service,
Department of Agriculture................................. 1
Editorial Note: Other regulations issued by the Department of
Agriculture appear in title 7, title 36, chapter II, and title 41,
chapter 4.
[[Page 3]]
CHAPTER I--ANIMAL AND PLANT HEALTH INSPECTION SERVICE, DEPARTMENT OF AGRICULTURE
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SUBCHAPTER A--ANIMAL WELFARE
Part Page
1 Definition of terms......................... 7
2 Regulations................................. 12
3 Standards................................... 42
4 Rules of practice governing proceedings
under the Animal Welfare Act............ 115
11 Horse protection regulations................ 116
12 Rules of practice governing proceedings
under the Horse Protection Act.......... 132
SUBCHAPTER B--COOPERATIVE CONTROL AND ERADICATION OF LIVESTOCK OR
POULTRY DISEASES
49 Rules of practice governing proceedings
under certain acts...................... 134
50 Animals destroyed because of tuberculosis... 134
51 Animals destroyed because of brucellosis.... 142
52 [Reserved]
53 Foot-and-mouth disease, pleuropneumonia,
rinderpest, and certain other
communicable diseases of livestock or
poultry................................. 150
54 Control of scrapie.......................... 153
55 [Reserved]
56 Swine destroyed because of hog cholera...... 156
SUBCHAPTER C--INTERSTATE TRANSPORTATION OF ANIMALS (INCLUDING POULTRY)
AND ANIMAL PRODUCTS
70 Rules of practice governing proceedings
under certain acts...................... 160
71 General provisions.......................... 160
72 Texas (splenetic) fever in cattle........... 172
73 Scabies in cattle........................... 184
[[Page 4]]
74 [Reserved]
75 Communicable diseases in horses, asses,
ponies, mules, and zebras............... 190
76 Hog cholera and other communicable swine
diseases................................ 194
77 Tuberculosis................................ 205
78 Brucellosis................................. 210
79 Scrapie in sheep and goats.................. 250
80 Paratuberculosis in domestic animals........ 254
82 Exotic Newcastle Disease (END) and
chlamydiosis; poultry disease caused by
salmonella enteritidis serotype
enteritidis............................. 256
85 Pseudorabies................................ 278
89 Statement of policy under the Twenty-Eight
Hour Law................................ 291
SUBCHAPTER D--EXPORTATION AND IMPORTATION OF ANIMALS (INCLUDING POULTRY)
AND ANIMAL PRODUCTS
91 Inspection and handling of livestock for
exportation............................. 294
92 Importation of certain animals, birds, and
poultry, and certain animal, bird, and
poultry products; requirements for means
of conveyance and shipping containers... 310
93 Importation of elephants, hippopotami,
rhinoceroses, and tapirs................ 429
94 Rinderpest, foot-and-mouth disease, fowl
pest (fowl plague), exotic newcastle
disease, african swine fever, hog
cholera, and bovine spongiform
encephalopathy: prohibited and
restricted importations................. 433
95 Sanitary control of animal byproducts
(except casings), and hay and straw,
offered for entry into the United States 465
96 Restriction of importations of foreign
animal casings offered for entry into
the United States....................... 477
97 Overtime services relating to imports and
exports................................. 482
98 Importation of certain animal embryos and
animal semen............................ 488
99 Rules of practice governing proceedings
under certain acts...................... 509
SUBCHAPTER E--VIRUSES, SERUMS, TOXINS, AND ANALOGOUS PRODUCTS; ORGANISMS
AND VECTORS
101 Definitions................................. 511
102 Licenses for biological products............ 515
[[Page 5]]
103 Experimental production, distribution, and
evaluation of biological products prior
to licensing............................ 519
104 Permits for biological products............. 520
105 Suspension, revocation, or termination of
biological licenses or permits.......... 524
106 Exemption for biological products used in
department programs or under department
control or supervision.................. 525
107 Exemptions from preparation pursuant to an
unsuspended and unrevoked license....... 525
108 Facility requirements for licensed
establishments.......................... 526
109 Sterilization and pasteurization at licensed
establishments.......................... 530
112 Packaging and labeling...................... 530
113 Standard requirements....................... 539
114 Production requirements for biological
products................................ 667
115 Inspections................................. 677
116 Records and reports......................... 678
117 Animals at licensed establishments.......... 680
118 Detention; seizure and condemnation......... 682
122 Organisms and vectors....................... 683
123 Rules of practice governing proceedings
under the Virus-Serum-Toxin Act......... 684
124 Patent term restoration..................... 684
SUBCHAPTER F--USER FEES
130 User fees................................... 690
SUBCHAPTER G--POULTRY IMPROVEMENT
145 National Poultry Improvement Plan........... 704
146 [Reserved]
147 Auxiliary provisions on National Poultry
Improvement Plan........................ 737
SUBCHAPTER H--ANIMAL BREEDS
151 Recognition of breeds and books of record of
purebred animals........................ 775
SUBCHAPTER I--VOLUNTARY INSPECTION AND CERTIFICATION SERVICE
156 Inspection and certification of animal
byproducts.............................. 786
SUBCHAPTER J--ACCREDITATION OF VETERINARIANS AND SUSPENSION OR
REVOCATION OF SUCH ACCREDITATION
160 Definition of terms......................... 789
[[Page 6]]
161 Requirements and standards for accredited
veterinarians and suspension or
revocation of such accreditation........ 790
162 Rules of practice governing revocation or
suspension of veterinarians'
accreditation........................... 795
SUBCHAPTER K--PUBLIC INFORMATION
165 Availability of information................. 797
SUBCHAPTER L--SWINE HEALTH PROTECTION
166 Swine health protection..................... 798
167 Rules of practice governing proceedings
under the Swine Health Protection Act... 804
168-199 [Reserved]
[[Page 7]]
SUBCHAPTER A--ANIMAL WELFARE
PART 1--DEFINITION OF TERMS--Table of Contents
Authority: 7 U.S.C. 2131-2159; 7 CFR 2.22, 2.80, and 371.2(g).
Sec. 1.1 Definitions.
For the purposes of this subchapter, unless the context otherwise
requires, the following terms shall have the meanings assigned to them
in this section. The singular form shall also signify the plural and the
masculine form shall also signify the feminine. Words undefined in the
following paragraphs shall have the meaning attributed to them in
general usage as reflected by definitions in a standard dictionary.
Act means the Act of August 24, 1966 (Pub. L. 89-544), (commonly
known as the Laboratory Animal Welfare Act), as amended by the Act of
December 24, 1970 (Pub. L. 91-579), (the Animal Welfare Act of 1970),
the Act of April 22, 1976 (Pub. L. 94-279), (the Animal Welfare Act of
1976), and the Act of December 23, 1985 (Pub. L. 99-198), (the Food
Security Act of 1985), and as it may be subsequently amended.
Activity means, for purposes of part 2, subpart C of this
subchapter, those elements of research, testing, or teaching procedures
that involve the care and use of animals.
Administrative unit means the organizational or management unit at
the departmental level of a research facility.
Administrator means the Administrator of the Animal and Plant Health
Inspection Service, U.S. Department of Agriculture, or any other
official of the Animal and Plant Health Inspection Service to whom
authority has been delegated to act in his stead.
Ambient temperature means the air temperature surrounding the
animal.
Animal means any live or dead dog, cat, nonhuman primate, guinea
pig, hamster, rabbit, or any other warmblooded animal, which is being
used, or is intended for use for research, teaching, testing,
experimentation, or exhibition purposes, or as a pet. This term
excludes: Birds, rats of the genus Rattus and mice of the genus Mus bred
for use in research, and horses not used for research purposes and other
farm animals, such as, but not limited to livestock or poultry, used or
intended for use as food or fiber, or livestock or poultry used or
intended for use for improving animal nutrition, breeding, management,
or production efficiency, or for improving the quality of food or fiber.
With respect to a dog, the term means all dogs, including those used for
hunting, security, or breeding purposes.
Animal act means any performance of animals where such animals are
trained to perform some behavior or action or are part of a show,
performance, or exhibition.
APHIS means the Animal and Plant Health Inspection Service, United
States Department of Agriculture.
APHIS official means any person employed by the Department who is
authorized to perform a function under the Act and the regulations in 9
CFR parts 1, 2, and 3.
APHIS, REAC Sector Supervisor means a veterinarian or his designee,
employed by APHIS, who is assigned by the Administrator to supervise and
perform the official work of APHIS in a given State or States. As used
in part 2 of this subchapter, the APHIS, REAC Sector Supervisor shall be
deemed to be the person in charge of the official work of APHIS in the
State in which the dealer, exhibitor, research facility, intermediate
handler, carrier, or operator of an auction sale has his principal place
of business.
Attending veterinarian means a person who has graduated from a
veterinary school accredited by the American Veterinary Medical
Association's Council on Education, or has a certificate issued by the
American Veterinary Medical Association's Education Commission for
Foreign Veterinary Graduates, or has received equivalent formal
education as determined by the Administrator; has received training and/
or experience in the care and management of the species being attended;
and who has direct or delegated authority for activities involving
animals at a facility subject to the jurisdiction of the Secretary.
[[Page 8]]
Business hours means a reasonable number of hours between 7 a.m. and
7 p.m., Monday through Friday, except for legal Federal holidays, each
week of the year, during which inspections by APHIS may be made.
Business year means the 12-month period during which business is
conducted, and may be either on a calendar or fiscal-year basis.
Carrier means the operator of any airline, railroad, motor carrier,
shipping line, or other enterprise which is engaged in the business of
transporting any animals for hire.
Cat means any live or dead cat (Felis catus) or any cat-hybrid
cross.
Class ``A'' licensee (breeder) means a person subject to the
licensing requirements under part 2 and meeting the definition of a
``dealer'' (Sec. 1.1), and whose business involving animals consists
only of animals that are bred and raised on the premises in a closed or
stable colony and those animals acquired for the sole purpose of
maintaining or enhancing the breeding colony.
Class ``B'' licensee means a person subject to the licensing
requirements under part 2 and meeting the definition of a ``dealer''
(Sec. 1.1), and whose business includes the purchase and/or resale of
any animal. This term includes brokers, and operators of an auction
sale, as such individuals negotiate or arrange for the purchase, sale,
or transport of animals in commerce. Such individuals do not usually
take actual physical possession or control of the animals, and do not
usually hold animals in any facilities. A class ``B'' licensee may also
exhibit animals as a minor part of the business.
Class ``C'' licensee (exhibitor) means a person subject to the
licensing requirements under part 2 and meeting the definition of an
``exhibitor'' (Sec. 1.1), and whose business involves the showing or
displaying of animals to the public. A class ``C'' licensee may buy and
sell animals as a minor part of the business in order to maintain or add
to his animal collection.
Commerce means trade, traffic, transportation, or other commerce:
(1) Between a place in a State and any place outside of such State,
including any foreign country, or between points within the same State
but through any place outside thereof, or within any territory,
possession, or the District of Columbia; or
(2) Which affects the commerce described in this part.
Committee means the Institutional Animal Care and Use Committee
(IACUC) established under section 13(b) of the Act. It shall consist of
at least three (3) members, one of whom is the attending veterinarian of
the research facility and one of whom is not affiliated in any way with
the facility other than as a member of the committee, however, if the
research facility has more than one Doctor of Veterinary Medicine (DVM),
another DVM with delegated program responsibility may serve. The
research facility shall establish the Committee for the purpose of
evaluating the care, treatment, housing, and use of animals, and for
certifying compliance with the Act by the research facility.
Dealer means any person who, in commerce, for compensation or
profit, delivers for transportation, or transports, except as a carrier,
buys, or sells, or negotiates the purchase or sale of: Any dog or other
animal whether alive or dead (including unborn animals, organs, limbs,
blood, serum, or other parts) for research, teaching, testing,
experimentation, exhibition, or for use as a pet; or any dog for
hunting, security, or breeding purposes. This term does not include: A
retail pet store, as defined in this section, unless such store sells
any animals to a research facility, an exhibitor, or a dealer
(wholesale); or any person who does not sell, or negotiate the purchase
or sale of any wild or exotic animal, dog, or cat and who derives no
more than $500 gross income from the sale of animals other than wild or
exotic animals, dogs, or cats, during any calendar year.
Department means the U.S. Department of Agriculture.
Deputy Administrator means the Deputy Administrator for Regulatory
Enforcement and Animal Care (REAC) or any other official of REAC to whom
authority has been delegated to act in his stead.
Dog means any live or dead dog (Canis familiaris) or any dog-hybrid
cross.
[[Page 9]]
Dwarf hamster means any species of hamster such as the Chinese and
Armenian species whose adult body size is substantially less than that
attained by the Syrian or Golden species of hamsters.
Endangered species means those species defined in the Endangered
Species Act (16 U.S.C. 1531 et seq.) and as it may be subsequently
amended.
Euthanasia means the humane destruction of an animal accomplished by
a method that produces rapid unconsciousness and subsequent death
without evidence of pain or distress, or a method that utilizes
anesthesia produced by an agent that causes painless loss of
consciousness and subsequent death
Exhibitor means any person (public or private) exhibiting any
animals, which were purchased in commerce or the intended distribution
of which affects commerce, or will affect commerce, to the public for
compensation, as determined by the Secretary. This term includes
carnivals, circuses, animal acts, zoos, and educational exhibits,
exhibiting such animals whether operated for profit or not. This term
excludes retail pet stores, horse and dog races, organizations
sponsoring and all persons participating in State and county fairs,
livestock shows, rodeos, field trials, coursing events, purebred dog and
cat shows and any other fairs or exhibitions intended to advance
agricultural arts and sciences as may be determined by the Secretary.
Exotic animal means any animal not identified in the definition of
``animal'' provided in this part that is native to a foreign country or
of foreign origin or character, is not native to the United States, or
was introduced from abroad. This term specifically includes animals such
as, but not limited to, lions, tigers, leopards, elephants, camels,
antelope, anteaters, kangaroos, and water buffalo, and species of
foreign domestic cattle, such as Ankole, Gayal, and Yak.
Farm animal means any domestic species of cattle, sheep, swine,
goats, llamas, or horses, which are normally and have historically, been
kept and raised on farms in the United States, and used or intended for
use as food or fiber, or for improving animal nutrition, breeding,
management, or production efficiency, or for improving the quality of
food or fiber. This term also includes animals such as rabbits, mink,
and chinchilla, when they are used solely for purposes of meat or fur,
and animals such as horses and llamas when used solely as work and pack
animals.
Federal agency means an Executive agency as such term is defined in
section 105 of title 5, United States Code, and with respect to any
research facility means the agency from which the research facility
receives a Federal award for the conduct of research, experimentation,
or testing involving the use of animals.
Federal award means any mechanism (including a grant, award, loan,
contract, or cooperative agreement) under which Federal funds are used
to support the conduct of research, experimentation, or testing,
involving the use of animals. The permit system established under the
authorities of the Endangered Species Act, the Marine Mammal Protection
Act, and the Migratory Bird Treaty Act, are not considered to be Federal
awards under the Animal Welfare Act.
Federal research facility means each department, agency, or
instrumentality of the United States which uses live animals for
research or experimentation.
Field study means any study conducted on free-living wild animals in
their natural habitat, which does not involve an invasive procedure, and
which does not harm or materially alter the behavior of the animals
under study.
Handling means petting, feeding, watering, cleaning, manipulating,
loading, crating, shifting, transferring, immobilizing, restraining,
treating, training, working and moving, or any similar activity with
respect to any animal.
Housing facility means any land, premises, shed, barn, building,
trailer, or other structure or area housing or intended to house
animals.
Hybrid cross means an animal resulting from the crossbreeding
between
[[Page 10]]
two different species or types of animals. Crosses between wild animal
species, such as lions and tigers, are considered to be wild animals.
Crosses between wild animal species and domestic animals, such as dogs
and wolves or buffalo and domestic cattle, are considered to be domestic
animals.
Impervious surface means a surface that does not permit the
absorption of fluids. Such surfaces are those that can be thoroughly and
repeatedly cleaned and disinfected, will not retain odors, and from
which fluids bead up and run off or can be removed without their being
absorbed into the surface material.
Indoor housing facility means any structure or building with
environmental controls housing or intended to house animals and meeting
the following three requirements:
(1) It must be capable of controlling the temperature within the
building or structure within the limits set forth for that species of
animal, of maintaining humidity levels of 30 to 70 percent and of
rapidly eliminating odors from within the building; and
(2) It must be an enclosure created by the continuous connection of
a roof, floor, and walls (a shed or barn set on top of the ground does
not have a continuous connection between the walls and the ground unless
a foundation and floor are provided); and
(3) It must have at least one door for entry and exit that can be
opened and closed (any windows or openings which provide natural light
must be covered with a transparent material such as glass or hard
plastic).
Intermediate handler means any person, including a department,
agency, or instrumentality of the United States or of any State or local
government (other than a dealer, research facility, exhibitor, any
person excluded from the definition of a dealer, research facility, or
exhibitor, an operator of an auction sale, or a carrier), who is engaged
in any business in which he receives custody of animals in connection
with their transportation in commerce.
Inspector means any person employed by the Department who is
authorized to perform a function under the Act and the regulations in 9
CFR parts 1, 2, and 3.
Institutional official means the individual at a research facility
who is authorized to legally commit on behalf of the research facility
that the requirements of 9 CFR parts 1, 2, and 3 will be met.
Isolation in regard to marine mammals means the physical separation
of animals to prevent contact and a separate, noncommon, water
circulation and filtration system for the isolated animals.
Licensed veterinarian means a person who has graduated from an
accredited school of veterinary medicine or has received equivalent
formal education as determined by the Administrator, and who has a valid
license to practice veterinary medicine in some State.
Licensee means any person licensed according to the provisions of
the Act and the regulations in part 2 of this subchapter.
Major operative procedure means any surgical intervention that
penetrates and exposes a body cavity or any procedure which produces
permanent impairment of physical or physiological functions.
Minimum horizontal dimension (MHD) means the diameter of a circular
pool of water, or in the case of a square, rectangle, oblong, or other
shape pool, the diameter of the largest circle that can be inserted
within the confines of such a pool of water.
Mobile or traveling housing facility means a transporting vehicle
such as a truck, trailer, or railway car, used to house animals while
traveling for exhibition or public education purposes.
Nonconditioned animals means animals which have not been subjected
to special care and treatment for sufficient time to stabilize, and
where necessary, to improve their health.
Nonhuman primate means any nonhuman member of the highest order of
mammals including prosimians, monkeys, and apes.
Operator of an auction sale means any person who is engaged in
operating an auction at which animals are purchased or sold in commerce.
Outdoor housing facility means any structure, building, land, or
premise, housing or intended to house animals,
[[Page 11]]
which does not meet the definition of any other type of housing facility
provided in the regulations, and in which temperatures cannot be
controlled within set limits.
Painful procedure as applied to any animal means any procedure that
would reasonably be expected to cause more than slight or momentary pain
or distress in a human being to which that procedure was applied, that
is, pain in excess of that caused by injections or other minor
procedures.
Paralytic drug means a drug which causes partial or complete loss of
muscle contraction and which has no anesthetic or analgesic properties,
so that the animal cannot move, but is completely aware of its
surroundings and can feel pain.
Person means any individual, partnership, firm, joint stock company,
corporation, association, trust, estate, or other legal entity.
Pet animal means any animal that has commonly been kept as a pet in
family households in the United States, such as dogs, cats, guinea pigs,
rabbits, and hamsters. This term excludes exotic animals and wild
animals.
Positive physical contact means petting, stroking, or other
touching, which is beneficial to the well-being of the animal.
Pound or shelter means a facility that accepts and/or seizes animals
for the purpose of caring for them, placing them through adoption, or
carrying out law enforcement, whether or not the facility is operated
for profit.
Primary conveyance means the main method of transportation used to
convey an animal from origin to destination, such as a motor vehicle,
plane, ship, or train.
Primary enclosure means any structure or device used to restrict an
animal or animals to a limited amount of space, such as a room, pen,
run, cage, compartment, pool, hutch, or tether. In the case of animals
restrained by a tether (e.g., dogs on chains), it includes the shelter
and the area within reach of the tether.
Principal investigator means an employee of a research facility, or
other person associated with a research facility, responsible for a
proposal to conduct research and for the design and implementation of
research involving animals.
Quorum means a majority of the Committee members.
Random source means dogs and cats obtained from animal pounds or
shelters, auction sales, or from any person who did not breed and raise
them on his or her premises.
Registrant means any research facility, carrier, intermediate
handler, or exhibitor not required to be licensed under section 3 of the
Act, registered pursuant to the provisions of the Act and the
regulations in part 2 of this subchapter.
Research facility means any school (except an elementary or
secondary school), institution, organization, or person that uses or
intends to use live animals in research, tests, or experiments, and that
(1) purchases or transports live animals in commerce, or (2) receives
funds under a grant, award, loan, or contract from a department, agency,
or instrumentality of the United States for the purpose of carrying out
research, tests, or experiments: Provided, That the Administrator may
exempt, by regulation, any such school, institution, organization, or
person that does not use or intend to use live dogs or cats, except
those schools, institutions, organizations, or persons, which use
substantial numbers (as determined by the Administrator) of live animals
the principal function of which schools, institutions, organizations, or
persons, is biomedical research or testing, when in the judgment of the
Administrator, any such exemption does not vitiate the purpose of the
Act.
Retail pet store means any outlet where only the following animals
are sold or offered for sale, at retail, for use as pets: Dogs, cats,
rabbits, guinea pigs, hamsters, gerbils, rats, mice, gophers,
chinchilla, domestic ferrets, domestic farm animals, birds, and
coldblooded species. Such definition excludes--
(1) Establishments or persons who deal in dogs used for hunting,
security, or breeding purposes;
(2) Establishments or persons exhibiting, selling, or offering to
exhibit or sell any wild or exotic or other nonpet
[[Page 12]]
species of warmblooded animals (except birds), such as skunks, raccoons,
nonhuman primates, squirrels, ocelots, foxes, coyotes, etc.;
(3) Any establishment or person selling warmblooded animals (except
birds, and laboratory rats and mice) for research or exhibition
purposes; and
(4) Any establishment wholesaling any animals (except birds, rats
and mice).
(5) Any establishment exhibiting pet animals in a room that is
separate from or adjacent to the retail pet store, or in an outside
area, or anywhere off the retail pet store premises.
Sanitize means to make physically clean and to remove and destroy,
to the maximum degree that is practical, agents injurious to health.
Secretary means the Secretary of Agriculture of the United States or
his representative who shall be an employee of the Department.
Sheltered housing facility means a housing facility which provides
the animals with shelter; protection from the elements; and protection
from temperature extremes at all times. A sheltered housing facility may
consist of runs or pens totally enclosed in a barn or building, or of
connecting inside/outside runs or pens with the inside pens in a totally
enclosed building.
Standards means the requirements with respect to the humane housing,
exhibition, handling, care, treatment, temperature, and transportation
of animals by dealers, exhibitors research facilities, carriers,
intermediate handlers, and operators of auction sales as set forth in
part 3 of this subchapter.
State means a State of the United States, the District of Columbia,
Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa,
or any other territory or possession of the United States.
Study area means any building room, area, enclosure, or other
containment outside of a core facility or centrally designated or
managed area in which animals are housed for more than 12 hours.
Transporting device means an interim vehicle or device, other than
man, used to transport an animal between the primary conveyance and the
terminal facility or in and around the terminal facility of a carrier or
intermediate handler.
Transporting vehicle means any truck, car, trailer, airplane, ship,
or railroad car used for transporting animals.
Weaned means that an animal has become accustomed to take solid food
and has so done, without nursing, for a period of at least 5 days.
Wild animal means any animal which is now or historically has been
found in the wild, or in the wild state, within the boundaries of the
United States, its territories, or possessions. This term includes, but
is not limited to, animals such as: Deer, skunk, opossum, raccoon, mink,
armadillo, coyote, squirrel, fox, wolf.
Wild state means living in its original, natural condition; not
domesticated.
Zoo means any park, building, cage, enclosure, or other structure or
premise in which a live animal or animals are kept for public exhibition
or viewing, regardless of compensation.
[54 FR 36119, Aug. 31, 1989, as amended at 55 FR 12631, Apr. 5, 1990; 58
FR 39129, July 22, 1993]
PART 2--REGULATIONS--Table of Contents
Subpart A--Licensing
Sec.
2.1 Requirements and application.
2.2 Acknowledgement of regulations and standards.
2.3 Demonstration of compliance with standards and regulations.
2.4 Non-interference with APHIS officials.
2.5 Duration of license and termination of license.
2.6 Annual license fees.
2.7 Annual report by licensees.
2.8 Notification of change of name, address, control, or ownership of
business.
2.9 Officers, agents, and employees of licensees whose licenses have
been suspended or revoked.
2.10 Licensees whose licenses have been suspended or revoked.
2.11 Denial of initial license application.
Subpart B--Registration
2.25 Requirements and procedures.
2.26 Acknowledgement of regulations and standards.
2.27 Notification of change of operation.
[[Page 13]]
Subpart C--Research Facilities
2.30 Registration.
2.31 Institutional Animal Care and Use Committee (IACUC).
2.32 Personnel qualifications.
2.33 Attending veterinarian and adequate veterinary care.
2.34 [Reserved]
2.35 Recordkeeping requirements.
2.36 Annual report.
2.37 Federal research facilities.
2.38 Miscellaneous.
Subpart D--Attending Veterinarian and Adequate Veterinary Care
2.40 Attending veterinarian and adequate veterinary care (dealers and
exhibitors).
Subpart E--Identification of Animals
2.50 Time and method of identification.
2.51 Form of official tag.
2.52 How to obtain tags.
2.53 Use of tags.
2.54 Lost tags.
2.55 Removal and disposal of tags.
Subpart F--Stolen Animals
2.60 Prohibition on the purchase, sale, use, or transportation of
stolen animals.
Subpart G--Records
2.75 Records: Dealers and exhibitors.
2.76 Records: Operators of auction sales and brokers.
2.77 Records: Carriers and intermediate handlers.
2.78 Health certification and identification.
2.79 C.O.D. shipments.
2.80 Records, disposition.
Subpart H--Compliance With Standards and Holding Period
2.100 Compliance with standards.
2.101 Holding period.
2.102 Holding facility.
Subpart I--Miscellaneous
2.125 Information as to business; furnishing of same by dealers,
exhibitors, operators of auction sales, intermediate handlers,
and carriers.
2.126 Access and inspection of records and property.
2.127 Publication of names of persons subject to the provisions of this
part.
2.128 Inspection for missing animals.
2.129 Confiscation and destruction of animals.
2.130 Minimum age requirements.
2.131 Handling of animals.
2.132 Procurement of random source dogs and cats, dealers.
2.133 Certification for random source dogs and cats.
Authority: 7 U.S.C. 2131-2159; 7 CFR 2.22, 2.80, and 371.2(g).
Source: 54 FR 36147, Aug. 31, 1989, unless otherwise noted.
Subpart A--Licensing
Sec. 2.1 Requirements and application.
(a)(1) Any person operating or desiring to operate as a dealer,
exhibitor, or operator of an auction sale, except persons who are
exempted from the licensing requirements under paragraph (a)(3) of this
section, must have a valid license. A person must be 18 years of age or
older to obtain a license. A person seeking a license shall apply on a
form which will be furnished by the APHIS, REAC Sector Supervisor in the
State in which that person operates or intends to operate. The applicant
shall provide the information requested on the application form,
including a valid mailing address through which the licensee or
applicant can be reached at all times, and a valid premises address
where animals, animal facilities, equipment, and records may be
inspected for compliance. The applicant shall file the completed
application form with the APHIS, REAC Sector Supervisor.
(2) If an applicant for a license or license renewal operates in
more than one State, he or she shall apply in the State in which he or
she has his or her principal place of business. All premises,
facilities, or sites where such person operates or keeps animals shall
be indicated on the application form or on a separate sheet attached to
it. The completed application form, along with the application fee
indicated in paragraph (d) of this section, and the annual license fee
indicated in table 1 or 2 of Sec. 2.6 shall be filed with the APHIS,
REAC Sector Supervisor.
(3) The following persons are exempt from the licensing requirements
under section 2 or section 3 of the Act:
(i) Retail pet stores which sell nondangerous, pet-type animals,
such as dogs, cats, birds, rabbits, hamsters, guinea pigs, gophers,
domestic ferrets, chinchilla, rats, and mice, for pets, at retail only:
Provided, That, Anyone
[[Page 14]]
wholesaling any animals, selling any animals for research or exhibition,
or selling any wild, exotic, or nonpet animals retail, must have a
license;
(ii) Any person who sells or negotiates the sale or purchase of any
animal except wild or exotic animals, dogs, or cats, and who derives no
more than $500 gross income from the sale of such animals to a research
facility, an exhibitor, a dealer, or a pet store during any calendar
year and is not otherwise required to obtain a license;
(iii) Any person who maintains a total of three (3) or fewer
breeding female dogs and/or cats and who sells only the offspring of
these dogs or cats, which were born and raised on his or her premises,
for pets or exhibition, and is not otherwise required to obtain a
license;
(iv) Any person who sells fewer than 25 dogs and/or cats per year
which were born and raised on his or her premises, for research,
teaching, or testing purposes or to any research facility and is not
otherwise required to obtain a license. The sale of any dog or cat not
born and raised on the premises for research purposes requires a
license;
(v) Any person who arranges for transportation or transports animals
solely for the purpose of breeding, exhibiting in purebred shows,
boarding (not in association with commercial transportation), grooming,
or medical treatment, and is not otherwise required to obtain a license;
(vi) Any person who buys, sells, transports, or negotiates the sale,
purchase, or transportation of any animals used only for the purposes of
food or fiber (including fur);
(vii) Any person who breeds and raises domestic pet animals for
direct retail sales to another person for the buyer's own use and who
buys no animals for resale and who sells no animals to a research
facility, an exhibitor, a dealer, or a pet store (e.g., a purebred dog
or cat fancier) and is not otherwise required to obtain a license;
(viii) Any person who buys animals solely for his or her own use or
enjoyment and does not sell or exhibit animals, or is not otherwise
required to obtain a license;
(b) Any person who sells fewer than 25 dogs or cats per year for
research or teaching purposes and who is not otherwise required to
obtain a license may obtain a voluntary license, provided the animals
were born and raised on his or her premises. A voluntary licensee shall
comply with the requirements for dealers set forth in this part and the
Specifications for the Humane Handling, Care, Treatment, and
Transportation of Dogs and Cats set forth in part 3 of this subchapter
and shall agree in writing on a form furnished by APHIS to comply with
all the requirements of the Act and this subchapter. Voluntary licenses
will not be issued to any other persons. To obtain a voluntary license
the applicant shall submit to the APHIS, REAC Sector Supervisor the
application fee of $10 plus an annual license fee. The class of license
issued and the fee for a voluntary license shall be that of a Class
``A'' licensee (breeder). Voluntary licenses will not be issued to any
other persons or for any other class of license.
(c) No person shall have more than one license.
(d) A license will be issued to any applicant, except as provided in
Secs. 2.10 and 2.11, when the applicant:
(1) Has met the requirements of this section and of Secs. 2.2 and
2.3; and
(2) Has paid the application fee of $10 and the annual license fee
indicated in Sec. 2.6 to the APHIS, REAC Sector Supervisor and the
payment has cleared normal banking procedures.
(e)(1) On or before the expiration date of the license, a licensee
who wishes a renewal shall submit to the APHIS, REAC Sector Supervisor a
completed application form and the application fee of $10, plus the
annual license fee indicated in Sec. 2.6 by certified check, cashier's
check, personal check, or money order. A voluntary licensee who wishes a
renewal shall also submit the $10 application fee plus an annual license
fee. An applicant whose check is returned by the bank will be charged a
fee of $15 for each returned check. One returned check will be deemed
nonpayment of fees and will result in denial of license. Payment of fees
must then be made by certified check, cashier's check, or money order.
An applicant will not be licensed until his or her payment has cleared
normal banking procedures.
[[Page 15]]
(2) The $10 application fee must also be paid if an applicant is
applying for a changed class of license. The applicant may pay such fees
by certified check, cashier's check, personal check, or money order. An
applicant whose check is returned by a bank will be charged a fee of $15
for each returned check and will be required to pay all subsequent fees
by certified check, money order, or cashier's check. A license will not
be issued until payment has cleared normal banking procedures.
(f) The failure of any person to comply with any provision of the
Act, or any of the provisions of the regulations or standards in this
subchapter, shall constitute grounds for denial of a license; or for its
suspension or revocation by the Secretary, as provided in the Act.
Sec. 2.2 Acknowledgement of regulations and standards.
(a) Application for initial license. APHIS will supply a copy of the
applicable regulations and standards to the applicant with each request
for a license application. The applicant shall acknowledge receipt of
the regulations and standards and agree to comply with them by signing
the application form before a license will be issued.
(b) Application for license renewal. APHIS will supply a copy of the
applicable regulations and standards to the applicant for license
renewal with each request for a license renewal. Before a license will
be renewed, the applicant for license renewal shall acknowledge receipt
if the regulations and standards and shall certify by signing the
applications form that, to the best of the applicant's knowledge and
belief, he or she is in compliance with the regulations and standards
and agrees to continue to comply with the regulations and standards.
[60 FR 13895, Mar. 15, 1995]
Sec. 2.3 Demonstration of compliance with standards and regulations.
(a) Each applicant must demonstrate that his or her premises and any
animals, facilities, vehicles, equipment, or other premises used or
intended for use in the business comply with the regulations and
standards set forth in parts 2 and 3 of this subchapter. Each applicant
for an initial license or license renewal must make his or her animals,
premises, facilities, vehicles, equipment, other premises, and records
available for inspection during business hours and at other times
mutually agreeable to the applicant and APHIS, to ascertain the
applicant's compliance with the standards and regulations.
(b) In the case of an application for an initial license, the
applicant must demonstrate compliance with the regulations and
standards, as required in paragraph (a) of this section, before APHIS
will issue a license. If the applicant's animals, premises, facilities,
vehicles, equipment, other premises, or records do not meet the
requirements of this subchapter, APHIS will advise the applicant of
existing deficiencies and the corrective measures that must be completed
to come into compliance with the regulations and standards. The
applicant will have two more chances to demonstrate his or her
compliance with the regulations and standards through re-inspection by
APHIS. If the applicant fails the third inspection he or she will
forfeit the application fee and cannot re-apply for a license for a
period of 6 months following the third inspection. Issuance of the
license will be denied until the applicant demonstrates upon inspection
that the animals, premises, facilities, vehicles, equipment, other
premises and records are in compliance with all regulations and
standards in this subchapter.
Sec. 2.4 Non-interference with APHIS officials.
A licensee or applicant for an initial license shall not interfere
with, threaten, abuse (including verbally abuse), or harass any APHIS
official in the course of carrying out his or her duties.
Sec. 2.5 Duration of license and termination of license.
(a) A license issued under this part shall be valid and effective
unless:
(1) The license has been revoked or suspended pursuant to section 19
of the Act.
(2) The license is voluntarily terminated upon request of the
licensee, in writing, to the APHIS, REAC Sector Supervisor.
[[Page 16]]
(3) The license has expired or been terminated under this part.
(4) The applicant has failed to pay the application fee and the
annual license fee as required in Secs. 2.1 and 2.6.
There will be no refund of fees if a license is terminated prior to its
expiration date.
(b) Any person who is licensed must file an application for a
license renewal and an annual report form (APHIS Form 7003/VS Form 18-3)
as required by Sec. 2.7, and pay the required fees, on or before the
expiration date of the present license or the license shall expire and
automatically terminate on its anniversary date. The licensee will be
notified by certified mail at least 60 days prior to the expiration date
of the license. Failure to comply with the annual reporting
requirements, or to pay the required license fees prior to the
expiration date of the license, shall result in automatic termination of
such license on the anniversary date of the license.
(c) Licensees must accept delivery of registered mail or certified
mail notice and provide the APHIS, REAC Sector Supervisor notice of
their address in conformity with the requirements in Sec. 2.1.
(d) Any person who seeks the reinstatement of a license that has
been automatically terminated must follow the procedure applicable to
new applicants for a license set forth in Sec. 2.1.
(e) Licenses are issued to specific persons for specific premises
and do not transfer upon change of ownership, nor are they valid at a
different location.
(f) A license which is invalid under this part shall be surrendered
to the APHIS, REAC Sector Supervisor. If the license cannot be found,
the licensee shall provide a written statement so stating to the APHIS,
REAC Sector Supervisor.
[54 FR 36147, Aug. 31, 1989, as amended at 60 FR 13895, Mar. 15, 1995]
Sec. 2.6 Annual license fees.
(a) In addition to the application fee of $10 required to be paid
upon the application for a license, license renewal, or changed class of
license under Sec. 2.1, each licensee shall submit to the APHIS, REAC
Sector Supervisor the annual license fee prescribed in this section.
Paragraph (b) of this section indicates the method used to calculate the
appropriate fee. The amount of the fee is determined from Table 1 or 2
in paragraph (c) of this section.
(b)(1) Class ``A'' license. The annual license renewal fee for a
Class ``A'' dealer shall be based on 50 percent of the total gross
amount, expressed in dollars, derived from the sale of animals to
research facilities, dealers, exhibitors, retail pet stores, and persons
for use as pets, directly or through an auction sale, by the dealer or
applicant during his or her preceding business year (calendar or fiscal)
in the case of a person who operated during such a year. If animals are
leased, the lessor shall pay a fee based on 50 percent of any
compensation received from the leased animals and the lessee shall pay a
fee based upon the net compensation received from the leased animals, as
indicated for dealers in Table 1 in paragraph (c) of this section.
(2) Class ``B'' license. The annual license renewal fee for a Class
``B'' dealer shall be established by calculating the total amount
received from the sale of animals to research facilities, dealers,
exhibitors, retail pet stores, and persons for use as pets, directly or
through an auction sale, during the preceding business year (calendar or
fiscal) less the amount paid for the animals by the dealer or applicant.
This net difference, exclusive of other costs, shall be the figure used
to determine the license fee of a Class ``B'' dealer. If animals are
leased, the lessor and lessee shall each pay a fee based on the net
compensation received from the leased animals calculated from Table 1 in
paragraph (c) of this section.
(3) The annual license renewal fee for a broker or operator of an
auction sale shall be that of a class ``B'' dealer and shall be based on
the total gross amount, expressed in dollars, derived from commissions
or fees charged for the sale of animals, or for negotiating the sale of
animals, by brokers or by the operator of an auction sale, to research
facilities, dealers, exhibitors, retail pet stores, and persons for use
as pets, during the preceding business year (calendar or fiscal).
[[Page 17]]
(4) In the case of a new applicant for a license as a dealer, broker
or operator of an auction sale who did not operate during a preceding
business year, the annual license fee will be based on the anticipated
yearly dollar amount of business, as provided in paragraphs (b)(1), (2),
and (3) of this section, derived from the sale of animals to research
facilities, dealers, exhibitors, retail pet stores, and persons for use
as pets, directly or through an auction sale.
(5) The amount of the annual fee to be paid upon application for a
class ``C'' license as an exhibitor under this section shall be based on
the number of animals which the exhibitor owned, held, or exhibited at
the time the application is signed and dated or during the previous
year, whichever is greater, and will be the amount listed in Table 2 in
paragraph (c) of this section. Animals which are leased shall be
included in the number of animals being held by both the lessor and the
lessee when calculating the annual fee. An exhibitor shall pay his or
her annual license fee on or before the expiration date of the license
and the fee shall be based on the number of animals which the exhibitor
is holding or has held during the year (both owned and leased).
(c) The license fee shall be computed in accordance with the
following tables:
Table 1--Dealers, Brokers and Operators of an Auction Sale Class ``A''
and ``B'' License
------------------------------------------------------------------------
But Not
Over Over Fee
------------------------------------------------------------------------
$0................................................ $500 $30
500............................................... 2,000 60
2,000............................................. 10,000 120
10,000............................................ 25,000 225
25,000............................................ 50,000 350
50,000............................................ 100,000 475
100,000........................................... ......... 750
------------------------------------------------------------------------
Table 2--Exhibitors--Class ``C'' License
------------------------------------------------------------------------
Number of Animals Fee
------------------------------------------------------------------------
1 to 5.......................................................... $30
6 to 25......................................................... 75
26 to 50........................................................ 175
51 to 500....................................................... 225
501 and up...................................................... 300
------------------------------------------------------------------------
(d) If a person meets the licensing requirements for more than one
class of license, he shall be required to obtain a license and pay the
fee for the type business which is predominant for his operation, as
determined by the Secretary.
(e) In any situation in which a licensee shall have demonstrated in
writing to the satisfaction of the Secretary that he or she has good
reason to believe that the dollar amount of his or her business for the
forthcoming business year will be less than the previous business year,
then his or her estimated dollar amount of business shall be used for
computing the license fee for the forthcoming business year: Provided,
however, That if the dollar amount upon which the license fee is based
for that year does in fact exceed the amount estimated, the difference
in amount of the fee paid and that which was due under paragraphs (b)
and (c) of this section based upon the actual dollar business upon which
the license fee is based, shall be payable in addition to the required
annual license fee for the next subsequent year, on the anniversary date
of his or her license as prescribed in this section.
Sec. 2.7 Annual report by licensees.
(a) Each year, within 30 days prior to the expiration date of his or
her license, a licensee shall file with the APHIS, REAC Sector
Supervisor an application for license renewal and annual report upon a
form which the APHIS, REAC Sector Supervisor will furnish to him or her
upon request.
(b) A person licensed as a dealer shall set forth in his or her
license renewal application and annual report the dollar amount of
business, from the sale of animals, upon which the license fee is based,
directly or through an auction sale, to research facilities, dealers,
exhibitors, retail pet stores, and persons for use as pets, by the
licensee during the preceding business year (calendar or fiscal), and
any other information as may be required thereon.
(c) A licensed dealer who operates as a broker or an operator of an
auction sale shall set forth in his or her license renewal application
and annual report the total gross amount, expressed in dollars, derived
from commissions or fees charged for the sale of animals by
[[Page 18]]
the licensee to research facilities, dealers, exhibitors, retail pet
stores, and persons for use as pets, during the preceding business year
(calendar or fiscal), and any other information as may be required
thereon.
(d) A person licensed as an exhibitor shall set forth in his or her
license renewal application and annual report the number of animals
owned, held, or exhibited by him or her, including those which are
leased, during the previous year or at the time he signs and dates the
report, whichever is greater.
Sec. 2.8 Notification of change of name, address, control, or ownership of business.
A licensee shall promptly notify the APHIS, REAC Sector Supervisor
by certified mail of any change in the name, address, management, or
substantial control or ownership of his business or operation, or of any
additional sites, within 10 days of any change.
Sec. 2.9 Officers, agents, and employees of licensees whose licenses have been suspended or revoked.
Any person who has been or is an officer, agent, or employee of a
licensee whose license has been suspended or revoked and who was
responsible for or participated in the violation upon which the order of
suspension or revocation was based will not be licensed within the
period during which the order of suspension or revocation is in effect.
Sec. 2.10 Licensees whose licenses have been suspended or revoked.
(a) Any person whose license has been suspended for any reason shall
not be licensed in his or her own name or in any other manner within the
period during which the order of suspension is in effect. No
partnership, firm, corporation, or other legal entity in which any such
person has a substantial interest, financial or otherwise, will be
licensed during that period. Any person whose license has been suspended
for any reason may apply to the APHIS, REAC Sector Supervisor, in
writing, for reinstatement of his or her license.
(b) Any person whose license has been revoked shall not be licensed
in his or her own name or in any other manner; nor will any partnership,
firm, corporation, or other legal entity in which any such person has a
substantial interest, financial or otherwise, be licensed.
(c) Any person whose license has been suspended or revoked shall not
buy, sell, transport, exhibit, or deliver for transportation, any animal
during the period of suspension or revocation.
Sec. 2.11 Denial of initial license application.
(a) A license will not be issued to any applicant who:
(1) Has not complied with the raquirements of Secs. 2.1, 2.2, 2.3,
and 2.4 and has not paid the fees indicated in Sec. 2.6;
(2) Is not in compliance with any of the regulations or standards in
this subchapter;
(3) Has had a license revoked or whose license is suspended, as set
forth in Sec. 2.10;
(4) Has been fined, sentenced to jail, or pled nolo contendere (no
contest) under State or local cruelty to animal laws within l year of
application, except that if no penalty is imposed as a result of the
plea of nolo contendere the applicant may reapply immediately; or
(5) Has made any false or fraudulent statements, or provided any
false or fraudulent records to the Department.
(b) An applicant whose license application has been denied may
request a hearing in accordance with the applicable rules of practice
for the purpose of showing why the application for license should not be
denied. The license denial shall remain in effect until the final legal
decision has been rendered. Should the license denial be upheld, the
applicant may again apply for a license l year from the date of the
final order denying the application.
(c) No partnership, firm, corporation, or other legal entity in
which a person whose license application has been denied has a
substantial interest, financial or otherwise, will be licensed within 1
year of the license denial.
[[Page 19]]
Subpart B--Registration
Sec. 2.25 Requirements and procedures.
(a) Each carrier and intermediate handler, and each exhibitor not
required to be licensed under section 3 of the Act and the regulations
of this subchapter, shall register with the Secretary by completing and
filing a properly executed form which will be furnished, upon request,
by the APHIS, REAC Sector Supervisor. The registration form shall be
filed with the APHIS, REAC Sector Supervisor for the State in which the
registrant has his or her principal place of business, and shall be
updated every 3 years by the completion and filing of a new registration
form which will be provided by the APHIS, REAC Sector Supervisor.
(b) A subsidiary of a business corporation, rather than the parent
corporation, will be registered as an exhibitor unless the subsidiary is
under such direct control of the parent corporation that the Secretary
determines that it is necessary that the parent corporation be
registered to effectuate the purposes of the Act.
Sec. 2.26 Acknowledgment of regulations and standards.
APHIS will supply a copy of the regulations and standards in this
subchapter with each registration form. The registrant shall acknowledge
receipt of and shall agree to comply with the regulations and standards
by signing a form provided for this purpose by APHIS, and by filing it
with the APHIS, REAC Sector Supervisor.
Sec. 2.27 Notification of change of operation.
(a) A registrant shall notify the APHIS, REAC Sector Supervisor by
certified mail of any change in the name, address, or ownership, or
other change in operations affecting its status as an exhibitor,
carrier, or intermediate handler, within 10 days after making such
change.
(b)(1) A registrant which has not used, handled, or transported
animals for a period of at least 2 years may be placed in an inactive
status by making a written request to the APHIS, REAC Sector Supervisor
A registrant shall notify the APHIS, REAC Sector Supervisor in writing
at least 10 days before using, handling, or transporting animals again
after being in an inactive status.
(2) A registrant which goes out of business or which ceases to
function as a carrier, intermediate handler, or exhibitor, or which
changes its method of operation so that it no longer uses, handles, or
transports animals, and which does not plan to use, handle, or transport
animals again at any time in the future, may have its registration
canceled by making a written request to the APHIS, REAC Sector
Supervisor. The former registrant is responsible for reregistering and
demonstrating its compliance with the Act and regulations should it
start using, handling, or transporting animals at any time after its
registration is canceled.
Subpart C--Research Facilities
Sec. 2.30 Registration.
(a) Requirements and procedures. (1) Each research facility other
than a Federal research facility, shall register with the Secretary by
completing and filing a properly executed form which will be furnished,
upon request, by the APHIS, REAC Sector Supervisor. The registration
form shall be filed with the APHIS, REAC Sector Supervisor for the State
in which the research facility has its principal place of business, and
shall be updated every 3 years by the completion and filing of a new
registration form which will be provided by the APHIS, REAC Sector
Supervisor. Except as provided in paragraph (a)(2) of this section,
where a school or department of a university or college uses or intends
to use live animals for research, tests, experiments, or teaching, the
university or college rather than the school or department will be
considered the research facility and will be required to register with
the Secretary. An official who has the legal authority to bind the
parent organization shall sign the registration form.
(2) In any situation in which a school or department of a university
or college demonstrates to the Secretary that it is a separate legal
entity and its operations and administration are
[[Page 20]]
independent of those of the university or college, the school or
department will be registered rather than the university or college.
(3) A subsidiary of a business corporation, rather than the parent
corporation, will be registered as a research facility unless the
subsidiary is under such direct control of the parent corporation that
the Secretary determines that it is necessary that the parent
corporation be registered to effectuate the purposes of the Act.
(b) Acknowledgment of regulations and standards. APHIS will supply a
copy of the regulations and standards in this subchapter with each
registration form. The research facility shall acknowledge receipt of
and shall agree to comply with the regulations and standards by signing
a form provided for this purpose by APHIS, and by filing it with the
APHIS, REAC Sector Supervisor.
(c) Notification of change of operation. (1) A research facility
shall notify the APHIS, REAC Sector Supervisor by certified mail of any
change in the name, address, or ownership, or other change in operations
affecting its status as a research facility, within 10 days after making
such change.
(2) A research facility which has not used, handled, or transported
animals for a period of at least 2 years may be placed in an inactive
status by making a written request to the APHIS, REAC Sector Supervisor.
A research facility shall file an annual report of its status (active or
inactive). A research facility shall notify the APHIS, REAC Sector
Supervisor in writing at least 10 days before using, handling, or
transporting animals again after being in an inactive status.
(3) A research facility which goes out of business or which ceases
to function as a research facility, or which changes its method of
operation so that it no longer uses, handles, or transports animals, and
which does not plan to use, handle, or transport animals at any time in
the future, may have its registration canceled by making a written
request to the APHIS, REAC Sector Supervisor. The research facility is
responsible for reregistering and demonstrating its compliance with the
Act and regulations should it start using, handling, or transporting
animals at any time after its registration is canceled.
Sec. 2.31 Institutional Animal Care and Use Committee (IACUC).
(a) The Chief Executive Officer of the research facility shall
appoint an Institutional Animal Care and Use Committee (IACUC),
qualified through the experience and expertise of its members to assess
the research facility's animal program, facilities, and procedures.
Except as specifically authorized by law or these regulations, nothing
in this part shall be deemed to permit the Committee or IACUC to
prescribe methods or set standards for the design, performance, or
conduct of actual research or experimentation by a research facility.
(b) IACUC Membership. (1) The members of each Committee shall be
appointed by the Chief Executive Officer of the research facility;
(2) The Committee shall be composed of a Chairman and at least two
additional members;
(3) Of the members of the Committee:
(i) At least one shall be a Doctor of Veterinary Medicine, with
training or experience in laboratory animal science and medicine, who
has direct or delegated program responsibility for activities involving
animals at the research facility;
(ii) At least one shall not be affiliated in any way with the
facility other than as a member of the Committee, and shall not be a
member of the immediate family of a person who is affiliated with the
facility. The Secretary intends that such person will provide
representation for general community interests in the proper care and
treatment of animals;
(4) If the Committee consists of more than three members, not more
than three members shall be from the same administrative unit of the
facility.
(c) IACUC Functions. With respect to activities involving animals,
the IACUC, as an agent of the research facility, shall:
(1) Review, at least once every six months, the research facility's
program for humane care and use of animals, using title 9, chapter I,
subchapter A--Animal Welfare, as a basis for evaluation;
[[Page 21]]
(2) Inspect, at least once every six months, all of the research
facility's animal facilities, including animal study areas, using title
9, chapter I, subchapter A-Animal Welfare, as a basis for evaluation;
Provided, however, That animal areas containing free-living wild animals
in their natural habitat need not be included in such inspection;
(3) Prepare reports of its evaluations conducted as required by
paragraphs (c)(1) and (2) of this section, and submit the reports to the
Institutional Official of the research facility; Provided, however, That
the IACUC may determine the best means of conducting evaluations of the
research facility's programs and facilities; and Provided, further, That
no Committee member wishing to participate in any evaluation conducted
under this subpart may be excluded. The IACUC may use subcommittees
composed of at least two Committee members and may invite ad hoc
consultants to assist in conducting the evaluations, however, the IACUC
remains responsible for the evaluations and reports as required by the
Act and regulations. The reports shall be reviewed and signed by a
majority of the IACUC members and must include any minority views. The
reports shall be updated at least once every six months upon completion
of the required semiannual evaluations and shall be maintained by the
research facility and made available to APHIS and to officials of
funding Federal agencies for inspection and copying upon request. The
reports must contain a description of the nature and extent of the
research facility's adherence to this subchapter, must identify
specifically any departures from the provisions of title 9, chapter I,
subchapter A--Animal Welfare, and must state the reasons for each
departure. The reports must distinguish significant deficiencies from
minor deficiencies. A significant deficiency is one which, with
reference to Subchapter A, and, in the judgment of the IACUC and the
Institutional Official, is or may be a threat to the health or safety of
the animals. If program or facility deficiencies are noted, the reports
must contain a reasonable and specific plan and schedule with dates for
correcting each deficiency. Any failure to adhere to the plan and
schedule that results in a significant deficiency remaining uncorrected
shall be reported in writing within 15 business days by the IACUC,
through the Institutional Official, to APHIS and any Federal agency
funding that activity;
(4) Review, and, if warranted, investigate concerns involving the
care and use of animals at the research facility resulting from public
complaints received and from reports of noncompliance received from
laboratory or research facility personnel or employees;
(5) Make recommendations to the Institutional Official regarding any
aspect of the research facility's animal program, facilities, or
personnel training;
(6) Review and approve, require modifications in (to secure
approval), or withhold approval of those components of proposed
activities related to the care and use of animals, as specified in
paragraph (d) of this section;
(7) Review and approve, require modifications in (to secure
approval), or withhold approval of proposed significant changes
regarding the care and use of animals in ongoing activities; and
(8) Be authorized to suspend an activity involving animals in
accordance with the specifications set forth in paragraph (d)(6) of this
section.
(d) IACUC review of activities involving animals. (1) In order to
approve proposed activities or proposed significant changes in ongoing
activities, the IACUC shall conduct a review of those components of the
activities related to the care and use of animals and determine that the
proposed activities are in accordance with this subchapter unless
acceptable justification for a departure is presented in writing;
Provided, however, That field studies as defined in part 1 of this
subchapter are exempt from this requirement. Further, the IACUC shall
determine that the proposed activities or significant changes in ongoing
activities meet the following requirements:
(i) Procedures involving animals will avoid or minimize discomfort,
distress, and pain to the animals;
(ii) The principal investigator has considered alternatives to
procedures that may cause more than momentary
[[Page 22]]
or slight pain or distress to the animals, and has provided a written
narrative description of the methods and sources, e. g., the Animal
Welfare Information Center, used to determine that alternatives were not
available;
(iii) The principal investigator has provided written assurance that
the activities do not unnecessarily duplicate previous experiments;
(iv) Procedures that may cause more than momentary or slight pain or
distress to the animals will:
(A) Be performed with appropriate sedatives, analgesics or
anesthetics, unless withholding such agents is justified for scientific
reasons, in writing, by the principal investigator and will continue for
only the necessary period of time;
(B) Involve, in their planning, consultation with the attending
veterinarian or his or her designee;
(C) Not include the use of paralytics without anesthesia;
(v) Animals that would otherwise experience severe or chronic pain
or distress that cannot be relieved will be painlessly euthanized at the
end of the procedure or, if appropriate, during the procedure;
(vi) The animals' living conditions will be appropriate for their
species in accordance with part 3 of this subchapter, and contribute to
their health and comfort. The housing, feeding, and nonmedical care of
the animals will be directed by the attending veterinarian or other
scientist trained and experienced in the proper care, handling, and use
of the species being maintained or studied;
(vii) Medical care for animals will be available and provided as
necessary by a qualified veterinarian;
(viii) Personnel conducting procedures on the species being
maintained or studied will be appropriately qualified and trained in
those procedures;
(ix) Activities that involve surgery include appropriate provision
for pre-operative and post-operative care of the animals in accordance
with established veterinary medical and nursing practices. All survival
surgery will be performed using aseptic procedures, including surgical
gloves, masks, sterile instruments, and aseptic techniques. Major
operative procedures on non-rodents will be conducted only in facilities
intended for that purpose which shall be operated and maintained under
aseptic conditions. Non-major operative procedures and all surgery on
rodents do not require a dedicated facility, but must be performed using
aseptic procedures. Operative procedures conducted at field sites need
not be performed in dedicated facilities, but must be performed using
aseptic procedures;
(x) No animal will be used in more than one major operative
procedure from which it is allowed to recover, unless:
(A) Justified for scientific reasons by the principal investigator,
in writing;
(B) Required as routine veterinary procedure or to protect the
health or well-being of the animal as determined by the attending
veterinarian; or
(C) In other special circumstances as determined by the
Administrator on an individual basis. Written requests and supporting
data should be sent to the Animal and Plant Health Inspection Servcie,
Regulatory Enforcement and Animal Care, Animal Care, 4700 River Road,
Unit 84, Riverdale, Maryland 20737-1234;
(xi) Methods of euthanasia used must be in accordance with the
definition of the term set forth in 9 CFR part 1, Sec. 1.1 of this
subchapter, unless a deviation is justified for scientific reasons, in
writing, by the investigator.
(2) Prior to IACUC review, each member of the Committee shall be
provided with a list of proposed activities to be reviewed. Written
descriptions of all proposed activities that involve the care and use of
animals shall be available to all IACUC members, and any member of the
IACUC may obtain, upon request, full Committee review of those
activities. If full Committee review is not requested, at least one
member of the IACUC, designated by the chairman and qualified to conduct
the review, shall review those activities, and shall have the authority
to approve, require modifications in (to secure approval), or request
full Committee review of any of those activities. If full Committee
review is requested for a proposed activity, approval of that activity
may be granted
[[Page 23]]
only after review, at a convened meeting of a quorum of the IACUC, and
with the approval vote of a majority of the quorum present. No member
may participate in the IACUC review or approval of an activity in which
that member has a conflicting interest (e.g., is personally involved in
the activity), except to provide information requested by the IACUC, nor
may a member who has a conflicting interest contribute to the
constitution of a quorum;
(3) The IACUC may invite consultants to assist in the review of
complex issues arising out of its review of proposed activities.
Consultants may not approve or withhold approval of an activity, and may
not vote with the IACUC unless they are also members of the IACUC;
(4) The IACUC shall notify principal investigators and the research
facility in writing of its decision to approve or withhold approval of
those activities related to the care and use of animals, or of
modifications required to secure IACUC approval. If the IACUC decides to
withhold approval of an activity, it shall include in its written
notification a statement of the reasons for its decision and give the
principal investigator an opportunity to respond in person or in
writing. The IACUC may reconsider its decision, with documentation in
Committee minutes, in light of the information provided by the principal
investigator;
(5) The IACUC shall conduct continuing reviews of activities covered
by this subchapter at appropriate intervals as determined by the IACUC,
but not less than annually;
(6) The IACUC may suspend an activity that it previously approved if
it determines that the activity is not being conducted in accordance
with the description of that activity provided by the principal
investigator and approved by the Committee. The IACUC may suspend an
activity only after review of the matter at a convened meeting of a
quorum of the IACUC and with the suspension vote of a majority of the
quorum present;
(7) If the IACUC suspends an activity involving animals, the
Institutional Official, in consultation with the IACUC, shall review the
reasons for suspension, take appropriate corrective action, and report
that action with a full explanation to APHIS and any Federal agency
funding that activity; and
(8) Proposed activities and proposed significant changes in ongoing
activities that have been approved by the IACUC may be subject to
further appropriate review and approval by officials of the research
facility. However, those officials may not approve an activity involving
the care and use of animals if it has not been approved by the IACUC.
(e) A proposal to conduct an activity involving animals, or to make
a significant change in an ongoing activity involving animals, must
contain the following:
(1) Identification of the species and the approximate number of
animals to be used;
(2) A rationale for involving animals, and for the appropriateness
of the species and numbers of animals to be used;
(3) A complete description of the proposed use of the animals;
(4) A description of procedures designed to assure that discomfort
and pain to animals will be limited to that which is unavoidable for the
conduct of scientifically valuable research, including provision for the
use of analgesic, anesthetic, and tranquilizing drugs where indicated
and appropriate to minimize discomfort and pain to animals; and
(5) A description of any euthanasia method to be used.
[54 FR 36147, August 31, 1989, as amended by 59 FR 67611, Dec. 30, 1994]
Sec. 2.32 Personnel qualifications.
(a) It shall be the responsibility of the research facility to
ensure that all scientists, research technicians, animal technicians,
and other personnel involved in animal care, treatment, and use are
qualified to perform their duties. This responsibility shall be
fulfilled in part through the provision of training and instruction to
those personnel.
(b) Training and instruction shall be made available, and the
qualifications of personnel reviewed, with sufficient frequency to
fulfill the research facility's responsibilities under this section and
Sec. 2.31.
[[Page 24]]
(c) Training and instruction of personnel must include guidance in
at least the following areas:
(1) Humane methods of animal maintenance and experimentation,
including:
(i) The basic needs of each species of animal;
(ii) Proper handling and care for the various species of animals
used by the facility;
(iii) Proper pre-procedural and post-procedural care of animals; and
(iv) Aseptic surgical methods and procedures;
(2) The concept, availability, and use of research or testing
methods that limit the use of animals or minimize animal distress;
(3) Proper use of anesthetics, analgesics, and tranquilizers for any
species of animals used by the facility;
(4) Methods whereby deficiencies in animal care and treatment are
reported, including deficiencies in animal care and treatment reported
by any employee of the facility. No facility employee, Committee member,
or laboratory personnel shall be discriminated against or be subject to
any reprisal for reporting violations of any regulation or standards
under the Act;
(5) Utilization of services (e.g., National Agricultural Library,
National Library of Medicine) available to provide information:
(i) On appropriate methods of animal care and use;
(ii) On alternatives to the use of live animals in research;
(iii) That could prevent unintended and unnecessary duplication of
research involving animals; and
(iv) Regarding the intent and requirements of the Act.
Sec. 2.33 Attending veterinarian and adequate veterinary care.
(a) Each research facility shall have an attending veterinarian who
shall provide adequate veterinary care to its animals in compliance with
this section:
(1) Each research facility shall employ an attending veterinarian
under formal arrangements. In the case of a part-time attending
veterinarian or consultant arrangements, the formal arrangements shall
include a written program of veterinary care and regularly scheduled
visits to the research facility;
(2) Each research facility shall assure that the attending
veterinarian has appropriate authority to ensure the provision of
adequate veterinary care and to oversee the adequacy of other aspects of
animal care and use; and
(3) The attending veterinarian shall be a voting member of the
IACUC; Provided, however, That a research facility with more than one
Doctor of Veterinary Medicine (DVM) may appoint to the IACUC another DVM
with delegated program responsibility for activities involving animals
at the research facility.
(b) Each research facility shall establish and maintain programs of
adequate veterinary care that include:
(1) The availability of appropriate facilities, personnel,
equipment, and services to comply with the provisions of this
subchapter;
(2) The use of appropriate methods to prevent, control, diagnose,
and treat diseases and injuries, and the availability of emergency,
weekend, and holiday care;
(3) Daily observation of all animals to assess their health and
well-being; Provided, however, That daily observation of animals may be
accomplished by someone other than the attending veterinarian; and
Provided, further, That a mechanism of direct and frequent communication
is required so that timely and accurate information on problems of
animal health, behavior, and well-being is conveyed to the attending
veterinarian;
(4) Guidance to principal investigators and other personnel involved
in the care and use of animals regarding handling, immobilization,
anesthesia, analgesia, tranquilization, and euthanasia; and
(5) Adequate pre-procedural and post-procedural care in accordance
with current established veterinary medical and nursing procedures.
Sec. 2.34 [Reserved]
Sec. 2.35 Recordkeeping requirements.
(a) The research facility shall maintain the following IACUC
records:
[[Page 25]]
(1) Minutes of IACUC meetings, including records of attendance,
activities of the Committee, and Committee deliberations;
(2) Records of proposed activities involving animals and proposed
significant changes in activities involving animals, and whether IACUC
approval was given or withheld; and
(3) Records of semiannual IACUC reports and recommendations
(including minority views), prepared in accordance with the requirements
of Sec. 2.31(c)(3) of this subpart, and forwarded to the Institutional
Official.
(b) Every research facility shall make, keep, and maintain records
or forms which fully and correctly disclose the following information
concerning each live dog or cat purchased or otherwise acquired, owned,
held, or otherwise in their possession or under their control,
transported, euthanized, sold, or otherwise disposed of by the research
facility. The records shall include any offspring born of any animal
while in the research facility's possession or under its control:
(1) The name and address of the person from whom a dog or cat was
purchased or otherwise acquired, whether or not the person is required
to be licensed or registered under the Act;
(2) The USDA license or registration number of the person if he or
she is licensed or registered under the Act;
(3) The vehicle license number and state, and the driver's license
number and state of the person, if he or she is not licensed or
registered under the Act;
(4) The date of acquisition of each dog or cat;
(5) The official USDA tag number or tattoo assigned to each dog or
cat under Sec. 2.38(g) of this subpart;
(6) A description of each dog or cat which shall include:
(i) The species and breed or type of animal;
(ii) The sex;
(iii) The date of birth or approximate age; and
(iv) The color and any distinctive markings;
(7) Any identification number or mark assigned to each dog or cat by
the research facility.
(c) In addition to the information required to be kept and
maintained by every research facility concerning each live dog or cat
under paragraph (a) of this section, every research facility
transporting, selling, or otherwise disposing of any live dog or cat to
another person, shall make and maintain records or forms which fully and
correctly disclose the following information:
(1) The name and address of the person to whom a live dog or cat is
transported, sold, or otherwise disposed of;
(2) The date of transportation, sale, euthanasia, or other
disposition of the animal; and
(3) The method of transportation, including the name of the initial
carrier or intermediate handler, or if a privately owned vehicle is used
to transport the dog or cat, the name of the owner of the privately
owned vehicle.
(d)(1) The USDA Interstate and International Certificate of Health
Examination for Small Animals (APHIS Form 7001/VS Form 18-1) and Record
of Aquisition and Dogs and Cats on Hand (APHIS Form 7005/VS Form 18-5)
are forms which may be used by research facilities to keep and maintain
the information required by paragraph (b) of this section.
(2) The USDA Interstate and International Certificate of Health
Examination for Small Animals (APHIS Form 7001/VS Form 18-1) and Record
of Disposition of Dogs and Cats (APHIS Form 7006/VS Form 18-6) are forms
which may be used by research facilities to keep and maintain the
information required by paragraph (c) of this section.
(e) One copy of the record containing the information required by
paragraphs (b) and (c) of this section shall accompany each shipment of
any live dog or cat sold or otherwise disposed of by a research
facility; Provided, however, That, except as provided in Sec. 2.133 of
this part, information that indicates the source and date of acquisition
of any dog or cat need not appear on the copy of the record accompanying
the shipment. One copy of the record containing the information required
by paragraphs (b) and (c) of this section shall be retained by the
research facility.
[[Page 26]]
(f) All records and reports shall be maintained for at least three
years. Records that relate directly to proposed activities and proposed
significant changes in ongoing activities reviewed and approved by the
IACUC shall be maintained for the duration of the activity and for an
additional three years after completion of the activity. All records
shall be available for inspection and copying by authorized APHIS or
funding Federal agency representatives at reasonable times. APHIS
inspectors will maintain the confidentiality of the information and will
not remove the materials from the research facilities' premises unless
there has been an alleged violation, they are needed to investigate a
possible violation, or for other enforcement purposes. Release of any
such materials, including reports, summaries, and photographs that
contain trade secrets or commercial or financial information that is
privileged or confidential will be governed by applicable sections of
the Freedom of Information Act. Whenever the Administrator notifies a
research facility in writing that specified records shall be retained
pending completion of an investigation or proceeding under the Act, the
research facility shall hold those records until their disposition is
authorized in writing by the Administrator.
[54 FR 36147, Aug. 31, 1989, as amended at 58 FR 39129, July 22, 1993;
60 FR 13895, Mar. 15, 1995]
Sec. 2.36 Annual report.
(a) The reporting facility shall be that segment of the research
facility, or that department, agency, or instrumentality of the United
States, that uses or intends to use live animals in research, tests,
experiments, or for teaching. Each reporting facility shall submit an
annual report to the APHIS, REAC Sector Supervisor for the State where
the facility is located on or before December 1 of each calendar year.
The report shall be signed and certified by the CEO or Institutional
Official, and shall cover the previous Federal fiscal year.
(b) The annual report shall:
(1) Assure that professionally acceptable standards governing the
care, treatment, and use of animals, including appropriate use of
anesthetic, analgesic, and tranquilizing drugs, prior to, during, and
following actual research, teaching, testing, surgery, or
experimentation were followed by the research facility;
(2) Assure that each principal investigator has considered
alternatives to painful procedures;
(3) Assure that the facility is adhering to the standards and
regulations under the Act, and that it has required that exceptions to
the standards and regulations be specified and explained by the
principal investigator and approved by the IACUC. A summary of all such
exceptions must be attached to the facility's annual report. In addition
to identifying the IACUC-approved exceptions, this summary must include
a brief explanation of the exceptions, as well as the species and number
of animals affected;
(4) State the location of all facilities where animals were housed
or used in actual research, testing, teaching, or experimentation, or
held for these purposes;
(5) State the common names and the numbers of animals upon which
teaching, research, experiments, or tests were conducted involving no
pain, distress, or use of pain-relieving drugs. Routine procedures
(e.g., injections, tattooing, blood sampling) should be reported with
this group;
(6) State the common names and the numbers of animals upon which
experiments, teaching, research, surgery, or tests were conducted
involving accompanying pain or distress to the animals and for which
appropriate anesthetic, analgesic, or tranquilizing drugs were used;
(7) State the common names and the numbers of animals upon which
teaching, experiments, research, surgery, or tests were conducted
involving accompanying pain or distress to the animals and for which the
use of appropriate anesthetic, analgesic, or tranquilizing drugs would
have adversely affected the procedures, results, or interpretation of
the teaching, research, experiments, surgery, or tests. An explanation
of the procedures producing pain or distress in these animals and
[[Page 27]]
the reasons such drugs were not used shall be attached to the annual
report;
(8) State the common names and the numbers of animals being bred,
conditioned, or held for use in teaching, testing, experiments,
research, or surgery but not yet used for such purposes.
Sec. 2.37 Federal research facilities.
Each Federal research facility shall establish an Institutional
Animal Care and Use Committee which shall have the same composition,
duties, and responsibilities required of nonfederal research facilities
by Sec. 2.31 with the following exceptions:
(a) The Committee shall report deficiencies to the head of the
Federal agency conducting the research rather than to APHIS; and
(b) The head of the Federal agency conducting the research shall be
responsible for all corrective action to be taken at the facility and
for the granting of all exceptions to inspection protocol.
Sec. 2.38 Miscellaneous.
(a) Information as to business: furnishing of same by research
facilities. Each research facility shall furnish to any APHIS official
any information concerning the business of the research facility which
the APHIS official may request in connection with the enforcement of the
provisions of the Act, the regulations, and the standards in this
subchapter. The information shall be furnished within a reasonable time
and as may be specified in the request for information.
(b) Access and inspection of records and property. (1) Each research
facility shall, during business hours, allow APHIS officials:
(i) To enter its place of business;
(ii) To examine records required to be kept by the Act and the
regulations in this part;
(iii) To make copies of the records;
(iv) To inspect the facilities, property, and animals, as the APHIS
officials consider necessary to enforce the provisions of the Act, the
regulations, and the standards in this subchapter; and
(v) To document, by the taking of photographs and other means,
conditions and areas of noncompliance.
(2) The use of a room, table or other facilities necessary for the
proper examination of the records and for inspection of the property or
animals shall be extended to APHIS officials by the research facility.
(c) Publication of names of research facilities subject to the
provisions of this part. APHIS will publish lists of research facilities
registered in accordance with the provisions of this subpart in the
Federal Register. The lists may be obtained upon request from the APHIS,
REAC Sector Supervisor.
(d) Inspection for missing animals. Each research facility shall
allow, upon request and during business hours, police or officers of
other law enforcement agencies with general law enforcement authority
(not those agencies whose duties are limited to enforcement of local
animal regulations) to enter its place of business to inspect animals
and records for the purpose of seeking animals that are missing, under
the following conditions:
(1) The police or other law officer shall furnish to the research
facility a written description of the missing animal and the name and
address of its owner before making a search;
(2) The police or other law officer shall abide by all security
measures required by the research facility to prevent the spread of
disease, including the use of sterile clothing, footwear, and masks
where required, or to prevent the escape of an animal.
(e) Confiscation and destruction of animals. (1) If an animal being
held by a research facility is not being used to carry out research,
testing, or experimentation, and is found by an APHIS official to be
suffering as a result of the failure of the research facility to comply
with any provision of the regulations or the standards set forth in this
subchapter, the APHIS official shall make a reasonable effort to notify
the research facility of the condition of the animal(s) and request that
the condition be corrected and that adequate care be given to alleviate
the animal's suffering or distress, or that the animal(s) be destroyed
by euthanasia. In
[[Page 28]]
the event that the research facility refuses to comply with this
request, the APHIS official may confiscate the animal(s) for care,
treatment, or disposal as indicated in paragraph (e)(2) of this section,
if, in the opinion of the Administrator, the circumstances indicate the
animal's health is in danger.
(2) In the event that the APHIS official is unable to locate or
notify the research facility as required in this section, the APHIS
official shall contact a local police or other law officer to accompany
him or her to the premises and shall provide for adequate care when
necessary to alleviate the animal's suffering. If, in the opinion of the
Administrator, the condition of the animal(s) cannot be corrected by
this temporary care, the APHIS official shall confiscate the animal(s).
(3) Confiscated animals may be placed, by sale or donation, with
other registrants or licensees that comply with the standards and
regulations and can provide proper care, or they may be euthanized. The
research facility from which the animals were confiscated shall bear all
costs incurred in performing the placement or euthanasia activities
authorized by this section.
(f) Handling. (1) Handling of all animals shall be done as
expeditiously and carefully as possible in a manner that does not cause
trauma, overheating, excessive cooling, behavioral stress, physical
harm, or unnecessary discomfort.
(2)(i) Physical abuse shall not be used to train, work, or otherwise
handle animals.
(ii) Deprivation of food or water shall not be used to train, work,
or otherwise handle animals; Provided, however: That the short-term
withholding of food or water from animals, when specified in an IACUC-
approved activity that includes a description of monitoring procedures,
is allowed by these regulations.
(g) Identification of dogs and cats. (1) All live dogs or cats,
including those from any exempt source, delivered for transportation,
transported, purchased or otherwise acquired. sold, or disposed of by a
research facility, shall be identified at the time of such delivery for
transportation, purchase, sale, disposal, or acquisition in one of the
following ways:
(i) By the official tag or tattoo which was affixed to the animal at
the time it was acquired by the research facility, as required by this
section; or
(ii) By a tag, tattoo, or collar, applied to the live dog or cat by
the research facility and which individually identifies the dog or cat
by number.
(2) All official tag or tattoo numbers shall be correctly listed in
the records of purchase, acquisition, disposal, or sale which shall be
maintained in accordance with Sec. 2.35.
(3) Unweaned puppies or kittens need not be individually identified
while they are maintained as a litter with their dam in the same primary
enclosure, provided the dam has been individually identified.
(4) The official tag shall be made of a durable alloy such as brass,
bronze, or steel, or of a durable plastic. Aluminum of a sufficient
thickness to assure the tag is durable and legible may also be used. The
tag may be circular in shape and not less than 1\1/4\ inches in
diameter, or oblong and flat in shape and not less than 2 inches by \3/
4\ inch, and riveted to an acceptable collar.
(5) Each tag shall have the following information embossed or
stamped on so that it is easily readable:
(i) The letters ``USDA'';
(ii) Numbers identifying the State and dealer, exhibitor, or
research facility (e.g., 39-AB); and
(iii) Numbers identifying the animal (e.g., 82488).
(6) Official tags shall be serially numbered and shall be applied to
dogs or cats in the manner set forth in this section in as close to
consecutive numerical order as possible. No tag number shall be used to
identify more than one animal or shall be reused within a 5-year period.
(7) Research facilities may obtain, at their own expense, official
tags from commercial tag manufacturers.\1\ At the time the research
facility is registered,
[[Page 29]]
the Department will assign identification letters and numbers to be used
on the official tags.
---------------------------------------------------------------------------
\1\ A list of the commercial manufacturers who produce these tags
and are known to the Department may be obtained from the APHIS, REAC
Sector Supervisor. Any manufacturer who desires to be included in the
list should notify the Administrator.
---------------------------------------------------------------------------
(8) Each research facility shall be held accountable for all
official tags acquired. In the event an official tag is lost from a dog
or cat while in the possession of a research facility, the facility
shall make a diligent effort to locate and reapply the tag to the proper
animal. If the lost tag is not located, the research facility shall
affix another official tag to the animal in the manner prescribed in
this section and record the tag number on the official records.
(9) When a dog or cat wearing or identified by an official tag
arrives at a research facility, the facility may continue to use that
tag to identify the dog or cat or the tag may be replaced as indicated
in paragraph (g)(1) of this section. All tags removed by a research
facility shall be retained and disposed of as indicated in this section.
(10) Where a dog or cat to which is affixed or which is identified
by an official tag is euthanized, or dies from other causes, the
research facility shall remove and retain the tag for the required
period, as set forth in paragraph (g)(11) of this section.
(11) All official tags removed and retained by a research facility
shall be held until called for by an APHIS official or for a period of 1
year.
(12) When official tags are removed from animals for disposal, the
tags must be disposed of so as to preclude their reuse for animal
identification. No animal identification number shall be used within any
5-year period following its previous use.
(h) Health certification. (1) No research facility, including a
Federal research facility, shall deliver to any intermediate handler or
carrier for transportation, in commerce, or shall transport in commerce
any dog, cat, or nonhuman primate unless the dog, cat, or nonhuman
primate is accompanied by a health certificate executed and issued by a
licensed veterinarian. The health certificate shall state that:
(i) The licensed veterinarian inspected the dog, cat, or nonhuman
primate on a specified date which shall not be more than 10 days prior
to the delivery of the dog, cat, or nonhuman primate for transportation;
and
(ii) When so inspected, the dog, cat, or nonhuman primate appeared
to the licensed veterinarian to be free of any infectious disease or
physical abnormality which would endanger the animal(s) or other animals
or endanger public health.
(2) The Secretary may provide exceptions to the health certification
requirement on an individual basis for animals shipped to a research
facility for purposes of research, testing, or experimentation when the
research facility requires animals not eligible for certification.
Requests should be addressed to the Animal and Plant Health Inspection
Service, Regulatory Enforcement and Animal Care, Animal Care, 4700 River
Road, Unit 84, Riverdale, Maryland 20737-1234.
(3) The U.S. Interstate and International Certificate of Health
Examination for Small Animals (APHIS Form 7001/VS Form 18-1) may be used
for health certification by a licensed veterinarian as required by this
section.
(i) Holding of animals. If any research facility obtains prior
approval of the APHIS, REAC Sector Supervisor, it may arrange to have
another person hold animals: Provided, That:
(1) The other person agrees, in writing, to comply with the
regulations in this part and the standards in part 3 of this subchapter,
and to allow inspection of the premises by an APHIS official during
business hours;
(2) The animals remain under the total control and responsibility of
the research facility; and
(3) The Institutional Official agrees, in writing, that the other
person or premises is a recognized animal site under its research
facility registration. APHIS Form 7009/VS Form 18-9 shall be used for
approval.
(j) Holding period. Research facilities that obtain dogs and cats
from sources other than dealers, exhibitors, and exempt persons shall
hold the animals for 5 full days, not including the day of acquisition,
after acquiring the animal, excluding time in transit, before they may
be used by the facility. Research
[[Page 30]]
facilities shall comply with the identification of animals requirements
set forth in Sec. 2.38(g) during this period.
(k) Compliance with standards and prohibitions. (1) Each research
facility shall comply in all respects with the regulations set forth in
subpart C of this part and the standards set forth in part 3 of this
subchapter for the humane handling, care, treatment, housing, and
transportation of animals; Provided, however, That exceptions to the
standards in part 3 and the provisions of subpart C of this part may be
made only when such exceptions are specified and justified in the
proposal to conduct the activity and are approved by the IACUC.
(2) No person shall obtain live random source dogs or cats by use of
false pretenses, misrepresentation, or deception.
(3) No person shall acquire, buy, sell, exhibit, use for research,
transport, or offer for transportation, any stolen animal.
(4) Each research facility shall comply with the regulations set
forth in Sec. 2.133 of subpart I of this part.
[54 FR 36147, Aug. 31, 1989, as amended at 58 FR 39129, July 22, 1993;
59 FR 67612, Dec. 30, 1994; 60 FR 13895, Mar. 15, 1995]
Subpart D--Attending Veterinarian and Adequate Veterinary Care
Sec. 2.40 Attending veterinarian and adequate veterinary care (dealers and exhibitors).
(a) Each dealer or exhibitor shall have an attending veterinarian
who shall provide adequate veterinary care to its animals in compliance
with this section.
(1) Each dealer and exhibitor shall employ an attending veterinarian
under formal arrangements. In the case of a part-time attending
veterinarian or consultant arrangements, the formal arrangements shall
include a written program of veterinary care and regularly scheduled
visits to the premises of the dealer or exhibitor; and
(2) Each dealer and exhibitor shall assure that the attending
veterinarian has appropriate authority to ensure the provision of
adequate veterinary care and to oversee the adequacy of other aspects of
animal care and use.
(b) Each dealer or exhibitor shall establish and maintain programs
of adequate veterinary care that include:
(1) The availability of appropriate facilities, personnel,
equipment, and services to comply with the provisions of this
subchapter;
(2) The use of appropriate methods to prevent, control, diagnose,
and treat diseases and injuries, and the availability of emergency,
weekend, and holiday care;
(3) Daily observation of all animals to assess their health and
well-being; Provided, however, That daily observation of animals may be
accomplished by someone other than the attending veterinarian; and
Provided, further, That a mechanism of direct and frequent communication
is required so that timely and accurate information on problems of
animal health, behavior, and well-being is conveyed to the attending
veterinarian;
(4) Adequate guidance to personnel involved in the care and use of
animals regarding handling, immobilization, anesthesia, analgesia,
tranquilization, and euthanasia; and
(5) Adequate pre-procedural and post-procedural care in accordance
with established veterinary medical and nursing procedures.
Subpart E--Identification of Animals
Sec. 2.50 Time and method of identification.
(a) A class ``A'' dealer (breeder) shall identify all live dogs and
cats on the premises as follows:
(1) All live dogs and cats held on the premises, purchased, or
otherwise acquired, sold or otherwise disposed of, or removed from the
premises for delivery to a research facility or exhibitor or to another
dealer, or for sale, through an auction sale or to any person for use as
a pet, shall be identified by an official tag of the type described in
Sec. 2.51 affixed to the animal's neck by means of a collar made of
material generally considered acceptable to pet owners as a means of
identifying their pet dogs or
[[Page 31]]
cats \2\, or shall be identified by a distinctive and legible tattoo
marking acceptable to and approved by the Administrator.
---------------------------------------------------------------------------
\2\ In general, well fitted collars made of leather or plastic will
be acceptable under this provision. The use of certain types of chains
presently used by some dealers may also be deemed acceptable. APHIS will
determine the acceptability of a material proposed for usage as collars
from the standpoint of humane considerations on an individual basis in
consultation with the dealer or exhibitor involved. The use of materials
such as wire, elastic, or sharp metal that might cause discomfort or
injury to the dogs or cats is not acceptable.
---------------------------------------------------------------------------
(2) Live puppies or kittens, less than 16 weeks of age, shall be
identified by:
(i) An official tag as described in Sec. 2.51;
(ii) A distinctive and legible tattoo marking approved by the
Administrator; or
(iii) A plastic-type collar acceptable to the Administrator which
has legibly placed thereon the information required for an official tag
pursuant to Sec. 2.51.
(b) A class ``B'' dealer shall identify all live dogs and cats under
his or her control or on his or her premises as follows:
(1) When live dogs or cats are held, purchased, or otherwise
acquired, they shall be immediately identified:
(i) By affixing to the animal's neck an official tag as set forth in
Sec. 2.51 by means of a collar made of material generally acceptable to
pet owners as a means of identifying their pet dogs or cats \3\; or
---------------------------------------------------------------------------
\3\ See footnote 2 in Sec. 2.50(a)(1).
---------------------------------------------------------------------------
(ii) By a distinctive and legible tattoo marking approved by the
Administrator.
(2) If any live dog or cat is already identified by an official tag
or tattoo which has been applied by another dealer or exhibitor, the
dealer or exhibitor who purchases or otherwise acquires the animal may
continue identifying the dog or cat by the previous identification
number, or may replace the previous tag with his own official tag or
approved tattoo. In either case, the class B dealer or class C exhibitor
shall correctly list all old and new official tag numbers or tattoos in
his or her records of purchase which shall be maintained in accordance
with Secs. 2.75 and 2.77. Any new official tag or tattoo number shall be
used on all records of any subsequent sales by the dealer or exhibitor,
of any dog or cat.
(3) Live puppies or kittens less than 16 weeks of age, shall be
identified by:
(i) An official tag as described in Sec. 2.51;
(ii) A distinctive and legible tattoo marking approved by the
Administrator; or
(iii) A plastic-type collar acceptable to the Administrator which
has legibly placed thereon the information required for an official tag
pursuant to Sec. 2.51.
(4) When any dealer has made a reasonable effort to affix an
official tag to a cat, as set forth in paragraphs (a) and (b) of this
section, and has been unable to do so, or when the cat exhibits serious
distress from the attachment of a collar and tag, the dealer shall
attach the collar and tag to the door of the primary enclosure
containing the cat and take measures adequate to maintain the identity
of the cat in relation to the tag. Each primary enclosure shall contain
no more than one weaned cat without an affixed collar and official tag,
unless the cats are identified by a distinctive and legible tattoo or
plastic-type collar approved by the Administrator.
(c) A class ``C'' exhibitor shall identify all live dogs and cats
under his or her control or on his or her premises, whether held,
purchased, or otherwise acquired:
(1) As set forth in paragraph (b)(1) or (b)(3) of this section, or
(2) By identifying each dog or cat with:
(i) An official USDA sequentially numbered tag that is kept on the
door of the animal's cage or run;
(ii) A record book containing each animal's tag number, a written
description of each animal, the data required by Sec. 2.75(a), and a
clear photograph of each animal; and
(iii) A duplicate tag that accompanies each dog or cat whenever it
leaves the compound or premises.
(d) Unweaned puppies or kittens need not be individually identified
as required by paragraphs (a) and (b) of this section while they are
maintained as a
[[Page 32]]
litter with their dam in the same primary enclosure, provided the dam
has been individually identified.
(e)(1) All animals, except dogs and cats, delivered for
transportation, transported, purchased, sold, or otherwise acquired or
disposed of by any dealer or exhibitor shall be identified by the dealer
or exhibitor at the time of delivery for transportation, purchase, sale,
acquisition or disposal, as provided for in this paragraph and in
records maintained as required in Secs. 2.75 and 2.77.
(2) When one or more animals, other than dogs or cats, are confined
in a primary enclosure, the animal(s) shall be identified by:
(i) A label attached to the primary enclosure which shall bear a
description of the animals in the primary enclosure, including:
(A) The number of animals;
(B) The species of the animals;
(C) Any distinctive physical features of the animals; and
(D) Any identifying marks, tattoos, or tags attached to the animals;
(ii) Marking the primary enclosure with a painted or stenciled
number which shall be recorded in the records of the dealer or exhibitor
together with:
(A) A description of the animal(s);
(B) The species of the animal(s); and
(C) Any distinctive physical features of the animal(s); or
(iii) A tag or tattoo applied to each animal in the primary
enclosure by the dealer or exhibitor which individually identifies each
animal by description or number.
(3) When any animal, other than a dog or cat, is not confined in a
primary enclosure, it shall be identified on a record, as required by
Sec. 2.75, which shall accompany the animal at the time it is delivered
for transportation, transported, purchased, or sold, and shall be kept
and maintained by the dealer or exhibitor as part of his or her records.
Sec. 2.51 Form of official tag.
(a) The official tag shall be made of a durable alloy such as brass,
bronze, or steel, or of a durable plastic. Aluminum of a sufficient
thickness to assure the tag is durable and legible may also be used. The
tag shall be one of the following shapes:
(1) Circular in shape and not less than 1\1/4\ inches in diameter,
or
(2) Oblong and flat in shape, not less than 2 inches by \3/4\ inch
and riveted to an acceptable collar.
(b) Each tag shall have the following information embossed or
stamped on so that it is easily readable:
(1) The letters ``USDA'';
(2) Numbers identifying the State and dealer, exhibitor, or research
facility (e.g., 39-AB); and
(3) Numbers identifying the animal (e.g., 82488).
(c) Official tags shall be serially numbered. No individual dealer
or exhibitor shall use any identification tag number more than once
within a 5-year period.
Sec. 2.52 How to obtain tags.
Dealers or exhibitors may obtain, at their own expense, official
tags from commercial tag manufacturers.\4\ At the time the dealer or
exhibitor is issued a license or is registered, the Department will
assign identification letters and numbers and inform them of the
identification letters and numbers to be used on the official tags.
---------------------------------------------------------------------------
\4\ A list of the commercial manufacturers who produce these tags
and are known to the Department may be obtained from the APHIS, REAC
Sector Supervisor. Any manufacturer who desires to be included in the
list should notify the Administrator.
---------------------------------------------------------------------------
Sec. 2.53 Use of tags.
Official tags obtained by a dealer, exhibitor, or research facility,
shall be applied to dogs or cats in the manner set forth in Sec. 2.50
and in as close to consecutive numerical order as possible. No tag
number shall be used to identify more than one animal. No number shall
be repeated within a 5-year period.
Sec. 2.54 Lost tags.
Each dealer or exhibitor shall be held accountable for all official
tags acquired. In the event an official tag is lost from a dog or cat
while in the possession of a dealer or exhibitor, the dealer or
exhibitor shall make a diligent effort to locate and reapply the
[[Page 33]]
tag to the proper animal. If the lost tag is not located, the dealer or
exhibitor shall affix another official tag to the animal in the manner
prescribed in Sec. 2.50, and record the tag number on the official
records.
Sec. 2.55 Removal and disposal of tags.
(a) Where a dog or cat to which is affixed or which is identified by
an official tag is euthanized, or dies from other causes, the dealer or
exhibitor shall remove and retain the tag for the required period, as
set forth in paragraph (b) of this section.
(b) All official tags removed and retained by a dealer or exhibitor
shall be held until called for by an APHIS official or for a period of 1
year.
(c) When official tags are removed from animals for disposal, the
tags must be disposed of so as to preclude their reuse for animal
identification. No animal identification number shall be used within any
5-year period following its previous use.
Subpart F--Stolen Animals
Sec. 2.60 Prohibition on the purchase, sale, use, or transportation of stolen animals.
No person shall buy, sell, exhibit, use for research, transport, or
offer for transportation, any stolen animal.
Subpart G--Records
Sec. 2.75 Records: Dealers and exhibitors.
(a)(1) Each dealer, other than operators of auction sales and
brokers to whom animals are consigned, and each exhibitor shall make,
keep, and maintain records or forms which fully and correctly disclose
the following information concerning each dog or cat purchased or
otherwise acquired, owned, held, or otherwise in his or her possession
or under his or her control, or which is transported, euthanized, sold,
or otherwise disposed of by that dealer or exhibitor. The records shall
include any offspring born of any animal while in his or her possession
or under his or her control.
(i) The name and address of the person from whom a dog or cat was
purchased or otherwise acquired whether or not the person is required to
be licensed or registered under the Act;
(ii) The USDA license or registration number of the person if he or
she is licensed or registered under the Act;
(iii) The vehicle license number and state, and the driver's license
number and state of the person, if he or she is not licensed or
registered under the Act;
(iv) The name and address of the person to whom a dog or cat was
sold or given and that person's license or registration number if he or
she is licensed or registered under the Act;
(v) The date a dog or cat was acquired or disposed of, including by
euthanasia;
(vi) The official USDA tag number or tattoo assigned to a dog or cat
under Secs. 2.50 and 2.54;
(vii) A description of each dog or cat which shall include:
(A) The species and breed or type;
(B) The sex;
(C) The date of birth or approximate age; and
(D) The color and any distinctive markings;
(viii) The method of transportation including the name of the
initial carrier or intermediate handler or, if a privately owned vehicle
is used to transport a dog or cat, the name of the owner of the
privately owned vehicle;
(ix) The date and method of disposition of a dog or cat, e.g., sale,
death, euthanasia, or donation.
(2) Each dealer and exhibitor shall use Record of Aquisition and
Dogs and Cats on Hand (APHIS Form 7005/VS Form 18-5) and Record of
Disposition of Dogs and Cats (APHIS Form 7006/VS Form 18-6) to make,
keep, and maintain the information required by paragraph (a)(1) of this
section: Provided, that if a dealer or exhibitor who uses a computerized
recordkeeping system believes that APHIS Form 7005/VS Form 18-5 and
APHIS Form 7006/VS Form 18-6 are unsuitable for him or her to make,
keep, and maintain the information required by paragraph (a)(1) of this
section, the dealer or exhibitor may request a variance from the
requirement to use APHIS Form 7005/VS Form 18-5 and APHIS Form 7006/VS
Form 18-6.
[[Page 34]]
(i) The request for a variance must consist of a written statement
describing why APHIS Form 7005/VS Form 18-5 and APHIS Form 7006/VS Form
18-6 are unsuitable for the dealer or exhibitor to make, keep, and
maintain the information required by paragraph (a)(1) of this section,
and a description of the computerized recordkeeping system the person
would use in lieu of APHIS Form 7005/VS Form 18-5 and APHIS Form 7006/VS
Form 18-6 to make, keep, and maintain the information required by
paragraph (a)(1) of this section. APHIS will advise the person as to the
disposition of his or her request for a variance from the requirement to
use APHIS Form 7005/VS Form 18-5 and APHIS Form 7006/VS Form 18-6.
(ii) A dealer or exhibitor whose request for a variance has been
denied may request a hearing in accordance with the applicable rules of
practice for the purpose of showing why the request for a variance
should not be denied. The denial of the variance shall remain in effect
until the final legal decision has been rendered.
(3) The USDA Interstate and International Certificate of Health
Examination for Small Animals (APHIS Form 7001/VS Form 18-1) may be used
by dealers and exhibitors to make, keep, and maintain the information
required by Sec. 2.79.
(4) One copy of the record containing the information required by
paragraph (a)(1) of this section shall accompany each shipment of any
dog or cat purchased or otherwise acquired by a dealer or exhibitor. One
copy of the record containing the information required by paragraph
(a)(1) of this section shall accompany each shipment of any dog or cat
sold or otherwise disposed of by a dealer or exhibitor: Provided,
however, that, except as provided in Sec. 2.133(b) of this part for
dealers, information that indicates the source and date of acquisition
of a dog or cat need not appear on the copy of the record accompanying
the shipment. One copy of the record containing the information required
by paragraph (a)(1) of this section shall be retained by the dealer or
exhibitor.
(b)(1) Every dealer other than operators of auction sales and
brokers to whom animals are consigned, and exhibitor shall make, keep,
and maintain records or forms which fully and correctly disclose the
following information concerning animals other than dogs and cats,
purchased or otherwise acquired, owned, held, leased, or otherwise in
his or her possession or under his or her control, or which is
transported, sold, euthanized, or otherwise disposed of by that dealer
or exhibitor. The records shall include any offspring born of any animal
while in his or her possession or under his or her control.
(i) The name and address of the person from whom the animals were
purchased or otherwise acquired;
(ii) The USDA license or registration number of the person if he or
she is licensed or registered under the Act;
(iii) The vehicle license number and state, and the driver's license
number and state of the person, if he or she is not licensed or
registered under the Act;
(iv) The name and address of the person to whom an animal was sold
or given;
(v) The date of purchase, acquisition, sale, or disposal of the
animal(s);
(vi) The species of the animal(s); and
(vii) The number of animals in the shipment.
(2) Record of Animals on Hand (other than dogs and cats) (APHIS Form
7019/VS Form 18-19) and Record of Acquisition, Disposition, or Transport
of Animals (other than dogs and cats) (APHIS Form 7020/VS Form 18-20)
are forms which may be used by dealers and exhibitors to keep and
maintain the information required by paragraph (b)(1) of this section
concerning animals other than dogs and cats except as provided in
Sec. 2.79.
(3) One copy of the record containing the information required by
paragraph (b)(1) of this section shall accompany each shipment of any
animal(s) other than a dog or cat purchased or otherwise acquired by a
dealer or exhibitor. One copy of the record containing the information
required by paragraph (b)(1) of this section shall accompany each
shipment of any animal other than a dog or cat sold or otherwise
disposed of by a dealer or exhibitor; Provided, however, That
information which
[[Page 35]]
indicates the source and date of acquisition of any animal other than a
dog or cat need not appear on the copy of the record accompanying the
shipment. The dealer or exhibitor shall retain one copy of the record
containing the information required by paragraph (b)(1) of this section.
[54 FR 36147, Aug. 31, 1989, as amended at 58 FR 39129, July 22, 1993;
58 FR 45041, Aug. 26, 1993; 60 FR 13895, Mar. 15, 1995]
Sec. 2.76 Records: Operators of auction sales and brokers.
(a) Every operator of an auction sale or broker shall make, keep,
and maintain records or forms which fully and correctly disclose the
following information concerning each animal consigned for auction or
sold, whether or not a fee or commission is charged:
(1) The name and address of the person who owned or consigned the
animal(s) for sale;
(2) The name and address of the buyer or consignee who received the
animal;
(3) The USDA license or registration number of the person(s)
selling, consigning, buying, or receiving the animals if he or she is
licensed or registered under the Act;
(4) The vehicle license number and state, and the driver's license
number and state of the person, if he or she is not licensed or
registered under the Act;
(5) The date of the consignment;
(6) The official USDA tag number or tattoo assigned to the animal
under Secs. 2.50 and 2.54;
(7) A description of the animal which shall include:
(i) The species and breed or type of animal;
(ii) The sex of the animal; and
(iii) The date of birth or approximate age; and
(iv) The color and any distinctive markings;
(8) The auction sales number or records number assigned to the
animal.
(b) One copy of the record containing the information required by
paragraph (a) of this section shall be given to the consignor of each
animal, one copy of the record shall be given to the purchaser of each
animal: Provided, however, That information which indicates the source
and date of consignment of any animal need not appear on the copy of the
record given the purchaser of any animal. One copy of the record
containing the information required by paragraph (a) of this section
shall be retained by the operator of such auction sale, or broker, for
each animal sold by the auction sale or broker.
Sec. 2.77 Records: Carriers and intermediate handlers.
(a) In connection with all live animals accepted for shipment on a
C.O.D. basis or other arrangement or practice under which the cost of an
animal or the transportation of an animal is to be paid and collected
upon delivery of the animal to the consignee, the accepting carrier or
intermediate handler, if any, shall keep and maintain a copy of the
consignor's written guarantee for the payment of transportation charged
for any animal not claimed as provided in Sec. 2.80, including, where
necessary, both the return transportation charges and an amount
sufficient to reimburse the carrier for out-of-pocket expenses incurred
for the care, feeding, and storage of the animal. The carrier or
intermediate handler at destination shall also keep and maintain a copy
of the shipping document containing the time, date, and method of each
attempted notification and the final notification to the consignee and
the name of the person notifying the consignee, as provided in
Sec. 2.80.
(b) In connection with all live dogs, cats, or nonhuman primates
delivered for transportation, in commerce, to any carrier or
intermediate handler, by any dealer, research facility, exhibitor,
operator of an auction sale, broker, or department, agency or
instrumentality of the United States or of any state or local
government, the accepting carrier or intermediate handler shall keep and
maintain a copy of the health certification completed as required by
Sec. 2.79, tendered with each live dog, cat, or nonhuman primate.
Sec. 2.78 Health certification and identification.
(a) No dealer, exhibitor, operator of an auction sale, broker, or
department,
[[Page 36]]
agency, or instrumentality of the United States or of any State or local
government shall deliver to any intermediate handler or carrier for
transportation, in commerce, or shall transport in commerce any dog,
cat, or nonhuman primate unless the dog, cat, or nonhuman primate is
accompanied by a health certificate executed and issued by a licensed
veterinarian. The health certificate shall state that:
(1) The licensed veterinarian inspected the dog, cat, or nonhuman
primate on a specified date which shall not be more than 10 days prior
to the delivery of the dog, cat, or nonhuman primate for transportation;
and
(2) when so inspected, the dog, cat, or nonhuman primate appeared to
the licensed veterinarian to be free of any infectious disease or
physical abnormality which would endanger the animal(s) or other animals
or endanger public health.
(b) The Secretary may provide exceptions to the health certification
requirement on an individual basis for animals shipped to a research
facility for purposes of research, testing, or experimentation when the
research facility requires animals not eligible for certification.
Requests should be addressed to the Animal and Plant Health Inspection
Service, Regulatory Enforcement and Animal Care, Animal Care, 4700 River
Road, Unit 84, Riverdale, Maryland 20737-1234.
(c) No intermediate handler or carrier to whom any live dog, cat, or
nonhuman primate is delivered for transportation by any dealer, research
facility, exhibitor, broker, operator of an auction sale, or department,
agency, or instrumentality of the United States or any State or local
government shall receive a live dog, cat, or nonhuman primate for
transportation, in commerce, unless and until it is accompanied by a
health certificate issued by a licensed veterinarian in accordance with
paragraph (a) of this section, or an exemption issued by the Secretary
in accordance with paragraph (b) of this section.
(d) The U.S. Interstate and International Certificate of Health
Examination for Small Animals (APHIS Form 7001/VS Form 18-1) may be used
for health certification by a licensed veterinarian as required by this
section.
[54 FR 36147, August 31, 1989, as amended at 59 FR 67612, Dec. 30, 1994;
60 FR 13896, Mar. 15, 1995]
Sec. 2.79 C.O.D. shipments.
(a) No carrier or intermediate handler shall accept any animal for
transportation, in commerce, upon any C.O.D. or other basis where any
money is to be paid and collected upon delivery of the animal to the
consignee, unless the consignor guarantees in writing the payment of all
transportation, including any return transportation, if the shipment is
unclaimed or the consignee cannot be notified in accordance with
paragraphs (b) and (c) of this section, including reimbursing the
carrier or intermediate handler for all out-of-pocket expenses incurred
for the care, feeding, and storage or housing of the animal.
(b) Any carrier or intermediate handler receiving an animal at a
destination on a C.O.D. or other basis any money is to be paid and
collected upon delivery of the animal to the consignee shall attempt to
notify the consignee at least once every 6 hours for a period of 24
hours after arrival of the animal at the animal holding area of the
terminal cargo facility. The carrier or intermediate handler shall
record the time, date, and method of each attempted notification and the
final notification to the consignee, and the name of the person
notifying the consignee, on the shipping document and on the copy of the
shipping document accompanying the C.O.D. shipment. If the consignee
cannot be notified of the C.O.D. shipment within 24 hours after its
arrival, the carrier or intermediate handler shall return the animal to
the consignor, or to whomever the consignor has designated, on the next
practical available transportation, in accordance with the written
agreement required in paragraph (a) of this section and shall notify the
consignor. Any carrier or intermediate handler which has notified a
consignee of the arrival of a C.O.D. or other shipment of an animal,
where any money is to be paid and collected upon delivery of the animal
to the consignee, which is not claimed by the consignee within 48
[[Page 37]]
hours from the time of notification, shall return the animal to the
consignor, or to whomever the consignor has designated, on the next
practical available transportation, in accordance with the written
agreement required in paragraph (a) of this section and shall notify the
consignor.
(c) It is the responsibility of any carrier or intermediate handler
to hold, feed, and care for any animal accepted for transportation, in
commerce, under a C.O.D. or other arrangement where any money is to be
paid and collected upon delivery of the animal until the consignee
accepts shipment at destination or until returned to the consignor or
his or her designee should the consignee fail to accept delivery of the
animal or if the consignee could not be notified as prescribed in
paragraph (b) of this section.
(d) Nothing in this section shall be construed as prohibiting any
carrier or intermediate handler from requiring any guarantee in addition
to that required in paragraph (a) of this section for the payment of the
cost of any transportation or out-of-pocket or other incidental expenses
incurred in the transportation of any animal.
Sec. 2.80 Records, disposition.
(a) No dealer, exhibitor, broker, operator of an auction sale,
carrier, or intermediate handler shall, for a period of 1 year, destroy
or dispose of, without the consent in writing of the Administrator, any
books, records, documents, or other papers required to be kept and
maintained under this part.
(b) Unless otherwise specified, the records required to be kept and
maintained under this part shall be held for 1 year after an animal is
euthanized or disposed of and for any period in excess of one year as
necessary to comply with any applicable Federal, State, or local law.
Whenever the Administrator notifies a dealer, exhibitor, broker,
operator of an auction sale, carrier, or intermediate handler in writing
that specified records shall be retained pending completion of an
investigation or proceeding under the Act, the dealer, exhibitor,
broker, operator of an auction sale, carrier, or intermediate handler
shall hold those records until their disposition is authorized by the
Administrator.
Subpart H--Compliance With Standards and Holding Period
Sec. 2.100 Compliance with standards.
(a) Each dealer, exhibitor, operator of an auction sale, and
intermediate handler shall comply in all respects with the regulations
set forth in part 2 and the standards set forth in part 3 of this
subchapter for the humane handling, care, treatment, housing, and
transportation of animals.
(b) Each carrier shall comply in all respects with the regulations
in part 2 and the standards in part 3 of this subchapter setting forth
the conditions and requirements for the humane transportation of animals
in commerce and their handling, care, and treatment in connection
therewith.
Sec. 2.101 Holding period.
(a) Any live dog or cat acquired by a dealer \5\ or exhibitor shall
be held by him or her, under his or her supervision and control, for a
period of not less than 5 full days, not including the day of
acquisition, after acquiring the animal, excluding time in transit:
Provided, however:
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\5\ An operator of an auction sale is not considered to have
acquired a dog or cat which is sold through the auction sale.
---------------------------------------------------------------------------
(1) That any live dog or cat acquired by a dealer or exhibitor from
any private or contract animal pound or shelter shall be held by that
dealer or exhibitor under his or her supervision and control for a
period of not less than 10 full days, not including the day of
acquisition, after acquiring the animal, excluding time in transit;
(2) Live dogs or cats which have completed a 5-day holding period
with another dealer or exhibitor, or a 10-day holding period with
another dealer or exhibitor if obtained from a private or contract
shelter or pound, may be sold or otherwise disposed of by subsequent
dealers or exhibitors after a minimum holding period of 24 hours by each
subsequent dealer or exhibitor excluding time in transit;
[[Page 38]]
(3) Any dog or cat suffering from disease, emaciation, or injury may
be destroyed by euthanasia prior to the completion of the holding period
required by this section; and
(4) Any live dog or cat, 120 days of age or less, that was obtained
from the person that bred and raised such dog or cat, may be exempted
from the 5-day holding requirement and may be disposed of by dealers or
exhibitors after a minimum holding period of 24 hours, excluding time in
transit. Each subsequent dealer or exhibitor must also hold each such
dog or cat for a 24-hour period excluding time in transit.
(b) During the period in which any dog or cat is being held as
required by this section, the dog or cat shall be unloaded from any
means of conveyance in which it was received, for food, water, and rest,
and shall be handled, cared for, and treated in accordance with the
standards set forth in part 3, subpart A, of this subchapter and
Sec. 2.131.
Sec. 2.102 Holding facility.
(a) If any dealer or exhibitor obtains the prior approval of the
APHIS, REAC Sector Supervisor, he may arrange to have another person
hold animals for the required period provided for in paragraph (a) of
Sec. 2.101: Provided, That:
(1) The other person agrees in writing to comply with the
regulations in part 2 and the standards in part 3 of this subchapter and
to allow inspection of his premises by an APHIS official during business
hours; and
(2) The animals remain under the total control and responsibility of
the dealer or exhibitor.
(3) Approval will not be given for a dealer or exhibitor holding a
license as set forth in Sec. 2.1 to have animals held for purposes of
this section by another licensed dealer or exhibitor. APHIS Form 7009/VS
Form 18-9 shall be used for approval.
(b) If any intermediate handler obtains prior approval of the APHIS,
REAC Sector Supervisor, it may arrange to have another person hold
animals: Provided, That:
(1) The other person agrees in writing to comply with the
regulations in part 2 and the standards in part 3 of this subchapter and
to allow inspection of the premises by an APHIS official during business
hours; and
(2) The animals remain under the total control and responsibility of
the research facility or intermediate handler.
[54 FR 36147, Aug. 31, 1989, as amended at 60 FR 13896, Mar. 15, 1995]
Subpart I--Miscellaneous
Sec. 2.125 Information as to business; furnishing of same by dealers, exhibitors, operators of auction sales, intermediate handlers, and carriers.
Each dealer, exhibitor, operator of an auction sale, intermediate
handler, and carrier shall furnish to any APHIS official any information
concerning the business of the dealer, exhibitor, operator of an auction
sale, intermediate handler or carrier which the APHIS official may
request in connection with the enforcement of the provisions of the Act,
the regulations and the standards in this subchapter. The information
shall be furnished within a reasonable time and as may be specified in
the request for information.
Sec. 2.126 Access and inspection of records and property.
(a) Each dealer, exhibitor, intermediate handler, or carrier, shall,
during business hours, allow APHIS officials:
(1) To enter its place of business;
(2) To examine records required to be kept by the Act and the
regulations in this part;
(3) To make copies of the records;
(4) To inspect and photograph the facilities, property and animals,
as the APHIS officials consider necessary to enforce the provisions of
the Act, the regulations and the standards in this subchapter; and
(5) To document, by the taking of photographs and other means,
conditions and areas of noncompliance.
(b) The use of a room, table, or other facilities necessary for the
proper examination of the records and inspection of the property or
animals shall be extended to APHIS officials by the dealer, exhibitor,
intermediate handler or carrier.
[[Page 39]]
Sec. 2.127 Publication of names of persons subject to the provisions of this part.
APHIS will publish lists of persons licensed or registered in
accordance with the provisions of this part in the Federal Register. The
lists may be obtained upon request from the APHIS, REAC Sector
Supervisor.
Sec. 2.128 Inspection for missing animals.
Each dealer, exhibitor, intermediate handler and carrier shall
allow, upon request and during business hours, police or officers of
other law enforcement agencies with general law enforcement authority
(not those agencies whose duties are limited to enforcement of local
animal regulations) to enter his or her place of business to inspect
animals and records for the purpose of seeking animals that are missing,
under the following conditions:
(a) The police or other law officer shall furnish to the dealer,
exhibitor, intermediate handler or carrier a written description of the
missing animal and the name and address of its owner before making a
search.
(b) The police or other law officer shall abide by all security
measures required by the dealer, exhibitor, intermediate handler or
carrier to prevent the spread of disease, including the use of sterile
clothing, footwear, and masks where required, or to prevent the escape
of an animal.
Sec. 2.129 Confiscation and destruction of animals.
(a) If an animal being held by a dealer, exhibitor, intermediate
handler, or by a carrier is found by an APHIS official to be suffering
as a result of the failure of the dealer, exhibitor, intermediate
handler, or carrier to comply with any provision of the regulations or
the standards set forth in this subchapter, the APHIS official shall
make a reasonable effort to notify the dealer, exhibitor, intermediate
handler, or carrier of the condition of the animal(s) and request that
the condition be corrected and that adequate care be given to alleviate
the animal's suffering or distress, or that the animal(s) be destroyed
by euthanasia. In the event that the dealer, exhibitor, intermediate
handler, or carrier refuses to comply with this request, the APHIS
official may confiscate the animal(s) for care, treatment, or disposal
as indicated in paragraph (b) of this section, if, in the opinion of the
Administrator, the circumstances indicate the animal's health is in
danger.
(b) In the event that the APHIS official is unable to locate or
notify the dealer, exhibitor, intermediate handler, or carrier as
required in this section, the APHIS official shall contact a local
police or other law officer to accompany him to the premises and shall
provide for adequate care when necessary to alleviate the animal's
suffering. If in the opinion of the Administrator, the condition of the
animal(s) cannot be corrected by this temporary care, the APHIS official
shall confiscate the animals.
(c) Confiscated animals may be placed, by sale or donation, with
other licensees or registrants which comply with the standards and
regulations and can provide proper care, or they may be euthanized. The
dealer, exhibitor, intermediate handler, or carrier from whom the
animals were confiscated shall bear all costs incurred in performing the
placement or euthanasia activities authorized by this section.
Sec. 2.130 Minimum age requirements.
No dog or cat shall be delivered by any person to any carrier or
intermediate handler for transportation, in commerce, or shall be
transported in commerce by any person, except to a registered research
facility, unless such dog or cat is at least eight (8) weeks of age and
has been weaned.
Sec. 2.131 Handling of animals.
(a)(1) Handling of all animals shall be done as expeditiously and
carefully as possible in a manner that does not cause trauma,
overheating, excessive cooling, behavioral stress, physical harm, or
unnecessary discomfort.
(2)(i) Physical abuse shall not be used to train, work, or otherwise
handle animals.
(ii) Deprivation of food or water shall not be used to train, work,
or otherwise handle animals; Provided, however, That the short-term
withholding of
[[Page 40]]
food or water from animals by exhibitors is allowed by these regulations
as long as each of the animals affected receives its full dietary and
nutrition requirements each day.
(b)(1) During public exhibition, any animal must be handled so there
is minimal risk of harm to the animal and to the public, with sufficient
distance and/or barriers between the animal and the general viewing
public so as to assure the safety of animals and the public.
(2) Performing animals shall be allowed a rest period between
performances at least equal to the time for one performance.
(3) Young or immature animals shall not be exposed to rough or
excessive public handling or exhibited for periods of time which would
be detrimental to their health or well-being.
(4) Drugs, such as tranquilizers, shall not be used to facilitate,
allow, or provide for public handling of the animals.
(c)(1) Animals shall be exhibited only for periods of time and under
conditions consistent with their good health and well-being.
(2) A responsible, knowledgeable, and readily identifiable employee
or attendant must be present at all times during periods of public
contact.
(3) During public exhibition, dangerous animals such as lions,
tigers, wolves, bears, or elephants must be under the direct control and
supervision of a knowledgeable and experienced animal handler.
(4) If public feeding of animals is allowed, the food must be
provided by the animal facility and shall be appropriate to the type of
animal and its nutritional needs and diet.
Sec. 2.132 Procurement of random source dogs and cats, dealers.
(a) A class ``B'' dealer may obtain live random source dogs and cats
only from:
(1) Other dealers who are licensed under the Act and in accordance
with the regulations in part 2;
(2) State, county, or city owned and operated animal pounds or
shelters; and
(3) A legal entity organized and operated under the laws of the
State in which it is located as an animal pound or shelter, such as a
humane shelter or contract pound.
(b) A class ``B'' dealer shall not obtain live random source dogs
and cats from individuals who have not bred and raised the dogs and cats
on their own premises.
(c) Live nonrandom source dogs and cats may be obtained from persons
who have bred and raised the dogs and cats on their own premises, such
as hobby breeders.
(d) No person shall obtain live random source dogs or cats by use of
false pretenses, misrepresentation, or deception.
(e) Any dealer, exhibitor, research facility, carrier, or
intermediate handler who also operates a private or contract animal
pound or shelter shall comply with the following:
(1) The animal pound or shelter shall be located on premises that
are physically separated from the licensed or registered facility. The
animal housing facility of the pound or shelter shall not be adjacent to
the licensed or registered facility.
(2) Accurate and complete records shall be separately maintained by
the licensee or registrant and by the pound or shelter. The records
shall be in accordance with Secs. 2.75 and 2.76, unless the animals are
lost or stray. If the animals are lost or stray, the pound or shelter
records shall provide:
(i) An accurate description of the animal;
(ii) How, where, from whom, and when the dog or cat was obtained;
(iii) How long the dog or cat was held by the pound or shelter
before being transferred to the dealer; and
(iv) The date the dog or cat was transferred to the dealer.
(3) Any dealer who obtains or acquires a live random source dog or
cat from a private or contract pound or shelter, including a pound or
shelter he or she operates, shall hold the dog or cat for a period of at
least 10 full days, not including the day of acquisition, excluding time
in transit, after acquiring the animal, and otherwise in accordance with
Sec. 2.101.
[[Page 41]]
Sec. 2.133 Certification for random source dogs and cats.
(a) Each of the entities listed in paragraphs (a)(1) through (a)(3)
of this section that acquire any live dog or cat shall, before selling
or providing the live dog or cat to a dealer, hold and care for the dog
or cat for a period of not less than 5 full days after acquiring the
animal, not including the date of acquisition and excluding time in
transit. This holding period shall include at least one Saturday. The
provisions of this paragraph apply to:
(1) Each pound or shelter owned and operated by a State, county, or
city;
(2) Each private pound or shelter established for the purpose of
caring for animals, such as a humane society, or other organization that
is under contract with a State, county, or city, that operates as a
pound or shelter, and that releases animals on a voluntary basis; and
(3) Each research facility licensed by USDA as a dealer.
(b) A dealer shall not sell, provide, or make available to any
person a live random source dog or cat unless the dealer provides the
recipient of the dog or cat with certification that contains the
following information:
(1) The name, address, USDA license number, and signature of the
dealer;
(2) The name, address, USDA license or registration number, if such
number exists, and signature of the recipient of the dog or cat;
(3) A description of each dog or cat being sold, provided, or made
available that shall include:
(i) The species and breed or type (for mixed breeds, estimate the
two dominant breeds or types);
(ii) The sex;
(iii) The date of birth or, if unknown, then the approximate age;
(iv) The color and any distinctive markings; and
(v) The Official USDA-approved identification number of the animal.
However, if the certification is attached to a certificate provided by a
prior dealer which contains the required description, then only the
official identification numbers are required;
(4) The name and address of the person, pound, or shelter from which
the dog or cat was acquired by the dealer, and an assurance that the
person, pound, or shelter was notified that the cat or dog might be used
for research or educational purposes;
(5) The date the dealer acquired the dog or cat from the person,
pound, or shelter referred to in paragraph (b)(4) of this section; and
(6) If the dealer acquired the dog or cat from a pound or shelter, a
signed statement by the pound or shelter that it met the requirements of
paragraph (a) of this section. This statement must at least describe the
animals by their official USDA identification numbers. It may be
incorporated within the certification if the dealer makes the
certification at the time that the animals are acquired from the pound
or shelter or it may be made separately and attached to the
certification later. If made separately, it must include the same
information describing each animal as is required in the certification.
A photocopy of the statement will be regarded as a duplicate original.
(c) The original certification required under paragraph (b) of this
section shall accompany the shipment of a live dog or cat to be sold,
provided, or otherwise made available by the dealer.
(d) A dealer who acquires a live dog or cat from another dealer must
obtain from that dealer the certification required by paragraph (b) of
this section and must attach that certification (including any
previously attached certification) to the certification which he or she
provides pursuant to paragraph (b) of this section (a photocopy of the
original certification will be deemed a duplicate original if the dealer
does not dispose of all of the dogs or cats in a single transaction).
(e) A dealer who completes, provides, or receives a certification
required under paragraph (b) of this section shall keep, maintain, and
make available for APHIS inspection a copy of the certification for at
least 1 year following disposition.
(f) A research facility which acquires any live random source dog or
cat from a dealer must obtain the certification required under paragraph
(b) of this section and shall keep, maintain, and make available for
APHIS inspection the original for at least 3 years following
disposition.
[[Page 42]]
(g) In instances where a research facility transfers ownership of a
live random source dog or cat acquired from a dealer to another research
facility, a copy of the certification required by paragraph (b) of this
section must accompany the dog or cat transferred. The research facility
to which the dog or cat is transferred shall keep, maintain, and make
available for APHIS inspection the copy of the certification for at
least 3 years following disposition.
[58 FR 39129, July 22, 1993]
PART 3--STANDARDS--Table of Contents
Subpart A--Specifications for the Humane Handling, Care, Treatment, and
Transportation of Dogs and Cats
Facilities and Operating Standards
Sec.
3.1 Housing facilities, general.
3.2 Indoor housing facilities.
3.3 Sheltered housing facilities.
3.4 Outdoor housing facilities.
3.5 Mobile or traveling housing facilities.
3.6 Primary enclosures.
Animal Health and Husbandry Standards
3.7 Compatible grouping.
3.8 Exercise for dogs.
3.9 Feeding.
3.10 Watering.
3.11 Cleaning, sanitization, housekeeping, and pest control.
3.12 Employees.
Transportation Standards
3.13 Consignments to carriers and intermediate handlers.
3.14 Primary enclosures used to transport live dogs and cats.
3.15 Primary conveyances (motor vehicle, rail, air, and marine).
3.16 Food and water requirements.
3.17 Care in transit.
3.18 Terminal facilities.
3.19 Handling.
Subpart B--Specifications for the Humane Handling, Care, Treatment, and
Transportation of Guinea Pigs and Hamsters
Facilities and Operating Standards
3.25 Facilities, general.
3.26 Facilities, indoor.
3.27 Facilities, outdoor.
3.28 Primary enclosures.
Animal Health and Husbandry Standards
3.29 Feeding.
3.30 Watering.
3.31 Sanitation.
3.32 Employees.
3.33 Classification and separation.
3.34 [Reserved]
Transportation Standards
3.35 Consignments to carriers and intermediate handlers.
3.36 Primary enclosures used to transport live guinea pigs and
hamsters.
3.37 Primary conveyances (motor vehicle, rail, air, and marine).
3.38 Food and water requirements.
3.39 Care in transit.
3.40 Terminal facilities.
3.41 Handling.
Subpart C--Specifications for the Humane Handling, Care, Treatment and
Transportation of Rabbits
Facilities and Operating Standards
3.50 Facilities, general.
3.51 Facilities, indoor.
3.52 Facilities, outdoor.
3.53 Primary enclosures.
Animal Health and Husbandry Standards
3.54 Feeding.
3.55 Watering.
3.56 Sanitation.
3.57 Employees.
3.58 Classification and separation.
3.59 [Reserved]
Transportation Standards
3.60 Consignments to carriers and intermediate handlers.
3.61 Primary enclosures used to transport live rabbits.
3.62 Primary conveyances (motor vehicle, rail, air, and marine).
3.63 Food and water requirements.
3.64 Care in transit.
3.65 Terminal facilities.
3.66 Handling.
Subpart D--Specifications for the Humane Handling, Care, Treatment, and
Transportation of Nonhuman Primates
Facilities and Operating Standards
3.75 Housing facilities, general.
3.76 Indoor housing facilities.
3.77 Sheltered housing facilities.
3.78 Outdoor housing facilities.
3.79 Mobile or traveling housing facilities.
3.80 Primary enclosures.
3.81 Environment enhancement to promote psychological well-being.
[[Page 43]]
Animal Health and Husbandry Standards
3.82 Feeding.
3.83 Watering.
3.84 Cleaning, sanitization, housekeeping, and pest control.
3.85 Employees.
Transportation Standards
3.86 Consignments to carriers and intermediate handlers.
3.87 Primary enclosures used to transport nonhuman primates.
3.88 Primary conveyances (motor vehicle, rail, air, and marine).
3.89 Food and water requirements.
3.90 Care in transit.
3.91 Terminal facilities.
3.92 Handling.
Subpart E--Specifications for the Humane Handling, Care, Treatment, and
Transportation of Marine Mammals
Facilities and Operating Standards
3.100 Special considerations regarding compliance and/or variance.
3.101 Facilities, general.
3.102 Facilities, indoor.
3.103 Facilities, outdoor.
3.104 Space requirements.
Animal Health and Husbandry Standards
3.105 Feeding.
3.106 Water quality.
3.107 Sanitation.
3.108 Employees or attendants.
3.109 Separation.
3.110 Veterinary care.
3.111 [Reserved]
Transportation Standards
3.112 Consignments to carriers and intermediate handlers.
3.113 Primary enclosures used to transport marine mammals.
3.114 Primary conveyances (motor vehicle, rail, air, and marine).
3.115 Food and water requirements.
3.116 Care in transit.
3.117 Terminal facilities.
3.118 Handling.
Subpart F--Specifications for the Humane Handling, Care, Treatment, and
Transportation of Warmblooded Animals Other Than Dogs, Cats, Rabbits,
Hamsters, Guinea Pigs, Nonhuman Primates, and Marine Mammals
Facilities and Operating Standards
3.125 Facilities, general.
3.126 Facilities, indoor.
3.127 Facilities, outdoor.
3.128 Space requirements.
Animal Health and Husbandry Standards
3.129 Feeding.
3.130 Watering.
3.131 Sanitation.
3.132 Employees.
3.133 Separation.
3.134--3.135 [Reserved]
Transportation Standards
3.136 Consignments to carriers and intermediate handlers.
3.137 Primary enclosures used to transport live animals.
3.138 Primary conveyances (motor vehicle, rail, air, and marine).
3.139 Food and water requirements.
3.140 Care in transit.
3.141 Terminal facilities.
3.142 Handling.
Authority: 7 U.S.C. 2131-2156; 7 CFR 2.22, 2.80, and 371.2(d).
Source: 32 FR 3273, Feb. 24, 1967, unless otherwise noted.
Subpart A--Specifications for the Humane Handling, Care, Treatment, and
Transportation of Dogs and Cats \1\
Source: 56 FR 6486, Feb. 15, 1991, unless otherwise noted.
Facilities and Operating Standards
Sec. 3.1 Housing facilities, general.
(a) Structure; construction. Housing facilities for dogs and cats
must be designed and constructed so that they are structurally sound.
They must be kept in good repair, and they must protect the animals from
injury, contain the animals securely, and restrict other animals from
entering.
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\1\ These minimum standards apply only to live dogs and cats, unless
stated otherwise.
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(b) Condition and site. Housing facilities and areas used for
storing animal food or bedding must be free of any accumulation of
trash, waste material, junk, weeds, and other discarded materials.
Animal areas inside of housing facilities must be kept neat and free of
clutter, including equipment, furniture, and stored material, but may
contain materials actually used and necessary for cleaning the area, and
fixtures or equipment necessary for proper husbandry practices and
research needs. Housing facilities other than those maintained by
research facilities and Federal research facilities
[[Page 44]]
must be physically separated from any other business. If a housing
facility is located on the same premises as another business, it must be
physically separated from the other business so that animals the size of
dogs, skunks, and raccoons are prevented from entering it.
(c) Surfaces--(1) General requirements. The surfaces of housing
facilities--including houses, dens, and other furniture-type fixtures
and objects within the facility--must be constructed in a manner and
made of materials that allow them to be readily cleaned and sanitized,
or removed or replaced when worn or soiled. Interior surfaces and any
surfaces that come in contact with dogs or cats must:
(i) Be free of excessive rust that prevents the required cleaning
and sanitization, or that affects the structural strength of the
surface; and
(ii) Be free of jagged edges or sharp points that might injure the
animals.
(2) Maintenance and replacement of surfaces. All surfaces must be
maintained on a regular basis. Surfaces of housing facilities--including
houses, dens, and other furniture-type fixtures and objects within the
facility--that cannot be readily cleaned and sanitized, must be replaced
when worn or soiled.
(3) Cleaning. Hard surfaces with which the dogs or cats come in
contact must be spot-cleaned daily and sanitized in accordance with
Sec. 3.11(b) of this subpart to prevent accumulation of excreta and
reduce disease hazards. Floors made of dirt, absorbent bedding, sand,
gravel, grass, or other similar material must be raked or spot-cleaned
with sufficient frequency to ensure all animals the freedom to avoid
contact with excreta. Contaminated material must be replaced whenever
this raking and spot-cleaning is not sufficient to prevent or eliminate
odors, insects, pests, or vermin infestation. All other surfaces of
housing facilities must be cleaned and sanitized when necessary to
satisfy generally accepted husbandry standards and practices.
Sanitization may be done using any of the methods provided in
Sec. 3.11(b)(3) for primary enclosures.
(d) Water and electric power. The housing facility must have
reliable electric power adequate for heating, cooling, ventilation, and
lighting, and for carrying out other husbandry requirements in
accordance with the regulations in this subpart. The housing facility
must provide adequate running potable water for the dogs' and cats'
drinking needs, for cleaning, and for carrying out other husbandry
requirements.
(e) Storage. Supplies of food and bedding must be stored in a manner
that protects the supplies from spoilage, contamination, and vermin
infestation. The supplies must be stored off the floor and away from the
walls, to allow cleaning underneath and around the supplies. Foods
requiring refrigeration must be stored accordingly, and all food must be
stored in a manner that prevents contamination and deterioration of its
nutritive value. All open supplies of food and bedding must be kept in
leakproof containers with tightly fitting lids to prevent contamination
and spoilage. Only food and bedding that is currently being used may be
kept in the animal areas. Substances that are toxic to the dogs or cats
but are required for normal husbandry practices must not be stored in
food storage and preparation areas, but may be stored in cabinets in the
animal areas.
(f) Drainage and waste disposal. Housing facility operators must
provide for regular and frequent collection, removal, and disposal of
animal and food wastes, bedding, debris, garbage, water, other fluids
and wastes, and dead animals, in a manner that minimizes contamination
and disease risks. Housing facilities must be equipped with disposal
facilities and drainage systems that are constructed and operated so
that animal waste and water are rapidly eliminated and animals stay dry.
Disposal and drainage systems must minimize vermin and pest infestation,
insects, odors, and disease hazards. All drains must be properly
constructed, installed, and maintained. If closed drainage systems are
used, they must be equipped with traps and prevent the backflow of gases
and the backup of sewage onto the floor. If the facility uses sump or
settlement ponds, or other similar systems for drainage and animal waste
disposal, the system
[[Page 45]]
must be located far enough away from the animal area of the housing
facility to prevent odors, diseases, pests, and vermin infestation.
Standing puddles of water in animal enclosures must be drained or mopped
up so that the animals stay dry. Trash containers in housing facilities
and in food storage and food preparation areas must be leakproof and
must have tightly fitted lids on them at all times. Dead animals, animal
parts, and animal waste must not be kept in food storage or food
preparation areas, food freezers, food refrigerators, or animal areas.
(g) Washrooms and sinks. Washing facilities such as washrooms,
basins, sinks, or showers must be provided for animal caretakers and
must be readily accessible.
Sec. 3.2 Indoor housing facilities.
(a) Heating, cooling, and temperature. Indoor housing facilities for
dogs and cats must be sufficiently heated and cooled when necessary to
protect the dogs and cats from temperature extremes and to provide for
their health and well-being. When dogs or cats are present, the ambient
temperature in the facility must not fall below 50 deg.F (10 deg.C)
for dogs and cats not acclimated to lower temperatures, for those breeds
that cannot tolerate lower temperatures without stress or discomfort
(such as short-haired breeds), and for sick, aged, young, or infirm dogs
and cats, except as approved by the attending veterinarian. Dry bedding,
solid resting boards, or other methods of conserving body heat must be
provided when temperatures are below 50 deg.F (10 deg.C). The ambient
temperature must not fall below 45 deg.F (7.2 deg.C) for more than 4
consecutive hours when dogs or cats are present, and must not rise above
85 deg.F (29.5 deg.C) for more than 4 consecutive hours when dogs or
cats are present.
(b) Ventilation. Indoor housing facilities for dogs and cats must be
sufficiently ventilated at all times when dogs or cats are present to
provide for their health and well-being, and to minimize odors, drafts,
ammonia levels, and moisture condensation. Ventilation must be provided
by windows, vents, fans, or air conditioning. Auxiliary ventilation,
such as fans, blowers, or air conditioning must be provided when the
ambient temperature is 85 deg.F (29.5 deg.C) or higher. The relative
humidity must be maintained at a level that ensures the health and well-
being of the dogs or cats housed therein, in accordance with the
directions of the attending veterinarian and generally accepted
professional and husbandry practices.
(c) Lighting. Indoor housing facilities for dogs and cats must be
lighted well enough to permit routine inspection and cleaning of the
facility, and observation of the dogs and cats. Animal areas must be
provided a regular diurnal lighting cycle of either natural or
artificial light. Lighting must be uniformly diffused throughout animal
facilities and provide sufficient illumination to aid in maintaining
good housekeeping practices, adequate cleaning, adequate inspection of
animals, and for the well-being of the animals. Primary enclosures must
be placed so as to protect the dogs and cats from excessive light.
(d) Interior surfaces. The floors and walls of indoor housing
facilities, and any other surfaces in contact with the animals, must be
impervious to moisture. The ceilings of indoor housing facilities must
be impervious to moisture or be replaceable (e.g., a suspended ceiling
with replaceable panels).
Sec. 3.3 Sheltered housing facilities.
(a) Heating, cooling, and temperature. The sheltered part of
sheltered housing facilities for dogs and cats must be sufficiently
heated and cooled when necessary to protect the dogs and cats from
temperature extremes and to provide for their health and well-being. The
ambient temperature in the sheltered part of the facility must not fall
below 50 deg.F (10 deg.C) for dogs and cats not acclimated to lower
temperatures, for those breeds that cannot tolerate lower temperatures
without stress and discomfort (such as short-haired breeds), and for
sick, aged, young, or infirm dogs or cats, except as approved by the
attending veterinarian. Dry bedding, solid resting boards, or other
methods of conserving body heat must be provided when temperatures are
below 50 deg.F (10 deg.C). The ambient temperature must not fall below
45 deg.F (7.2 deg.C) for more than 4 consecutive hours when
[[Page 46]]
dogs or cats are present, and must not rise above 85 deg.F (29.5
deg.C) for more than 4 consecutive hours when dogs or cats are present.
(b) Ventilation. The enclosed or sheltered part of sheltered housing
facilities for dogs and cats must be sufficiently ventilated when dogs
or cats are present to provide for their health and well-being, and to
minimize odors, drafts, ammonia levels, and moisture condensation.
Ventilation must be provided by windows, doors, vents, fans, or air
conditioning. Auxiliary ventilation, such as fans, blowers, or air-
conditioning, must be provided when the ambient temperature is 85 deg.F
(29.5 deg.C) or higher.
(c) Lighting. Sheltered housing facilities for dogs and cats must be
lighted well enough to permit routine inspection and cleaning of the
facility, and observation of the dogs and cats. Animal areas must be
provided a regular diurnal lighting cycle of either natural or
artificial light. Lighting must be uniformly diffused throughout animal
facilities and provide sufficient illumination to aid in maintaining
good housekeeping practices, adequate cleaning, adequate inspection of
animals, and for the well-being of the animals. Primary enclosures must
be placed so as to protect the dogs and cats from excessive light.
(d) Shelter from the elements. Dogs and cats must be provided with
adequate shelter from the elements at all times to protect their health
and well-being. The shelter structures must be large enough to allow
each animal to sit, stand, and lie in a normal manner and to turn about
freely.
(e) Surfaces. (1) The following areas in sheltered housing
facilities must be impervious to moisture:
(i) Indoor floor areas in contact with the animals;
(ii) Outdoor floor areas in contact with the animals, when the floor
areas are not exposed to the direct sun, or are made of a hard material
such as wire, wood, metal, or concrete; and
(iii) All walls, boxes, houses, dens, and other surfaces in contact
with the animals.
(2) Outside floor areas in contact with the animals and exposed to
the direct sun may consist of compacted earth, absorbent bedding, sand,
gravel, or grass.
Sec. 3.4 Outdoor housing facilities.
(a) Restrictions. (1) The following categories of dogs or cats must
not be kept in outdoor facilities, unless that practice is specifically
approved by the attending veterinarian:
(i) Dogs or cats that are not acclimated to the temperatures
prevalent in the area or region where they are maintained;
(ii) Breeds of dogs or cats that cannot tolerate the prevalent
temperatures of the area without stress or discomfort (such as short-
haired breeds in cold climates); and
(iii) Sick, infirm, aged or young dogs or cats.
(2) When their acclimation status is unknown, dogs and cats must not
be kept in outdoor facilities when the ambient temperature is less than
50 deg.F (10 deg.C).
(b) Shelter from the elements. Outdoor facilities for dogs or cats
must include one or more shelter structures that are accessible to each
animal in each outdoor facility, and that are large enough to allow each
animal in the shelter structure to sit, stand, and lie in a normal
manner, and to turn about freely. In addition to the shelter structures,
one or more separate outside areas of shade must be provided, large
enough to contain all the animals at one time and protect them from the
direct rays of the sun. Shelters in outdoor facilities for dogs or cats
must contain a roof, four sides, and a floor, and must:
(1) Provide the dogs and cats with adequate protection and shelter
from the cold and heat;
(2) Provide the dogs and cats with protection from the direct rays
of the sun and the direct effect of wind, rain, or snow;
(3) Be provided with a wind break and rain break at the entrance;
and
(4) Contain clean, dry, bedding material if the ambient temperature
is below 50 deg.F (10 deg.C). Additional clean, dry bedding is
required when the temperature is 35 deg.F (1.7 deg.C) or lower.
(c) Construction. Building surfaces in contact with animals in
outdoor housing facilities must be impervious to
[[Page 47]]
moisture. Metal barrels, cars, refrigerators or freezers, and the like
must not be used as shelter structures. The floors of outdoor housing
facilities may be of compacted earth, absorbent bedding, sand, gravel,
or grass, and must be replaced if there are any prevalent odors,
diseases, insects, pests, or vermin. All surfaces must be maintained on
a regular basis. Surfaces of outdoor housing facilities--including
houses, dens, etc.--that cannot be readily cleaned and sanitized, must
be replaced when worn or soiled.
Sec. 3.5 Mobile or traveling housing facilities.
(a) Heating, cooling, and temperature. Mobile or traveling housing
facilities for dogs and cats must be sufficiently heated and cooled when
necessary to protect the dogs and cats from temperature extremes and to
provide for their health and well-being. The ambient temperature in the
mobile or traveling housing facility must not fall below 50 deg.F (10
deg.C) for dogs and cats not acclimated to lower temperatures, for those
breeds that cannot tolerate lower temperatures without stress or
discomfort (such as short-haired breeds), and for sick, aged, young, or
infirm dogs and cats. Dry bedding, solid resting boards, or other
methods of conserving body heat must be provided when temperatures are
below 50 deg.F (10 deg.C). The ambient temperature must not fall below
45 deg.F (7.2 deg.C) for more than 4 consecutive hours when dogs or
cats are present, and must not exceed 85 deg.F (29.5 deg.C) for more
than 4 consecutive hours when dogs or cats are present.
(b) Ventilation. Mobile or traveling housing facilities for dogs and
cats must be sufficiently ventilated at all times when dogs or cats are
present to provide for the health and well-being of the animals, and to
minimize odors, drafts, ammonia levels, moisture condensation, and
exhaust fumes. Ventilation must be provided by means of windows, doors,
vents, fans, or air conditioning. Auxiliary ventilation, such as fans,
blowers, or air conditioning, must be provided when the ambient
temperature within the animal housing area is 85 deg.F (29.5 deg.C) or
higher.
(c) Lighting. Mobile or traveling housing facilities for dogs and
cats must be lighted well enough to permit proper cleaning and
inspection of the facility, and observation of the dogs and cats. Animal
areas must be provided a regular diurnal lighting cycle of either
natural or artificial light. Lighting must be uniformly diffused
throughout animal facilities and provide sufficient illumination to aid
in maintaining good housekeeping practices, adequate cleaning, adequate
inspection of animals, and for the well-being of the animals.
Sec. 3.6 Primary enclosures.
Primary enclosures for dogs and cats must meet the following minimum
requirements:
(a) General requirements.
(1) Primary enclosures must be designed and constructed of suitable
materials so that they are structurally sound. The primary enclosures
must be kept in good repair.
(2) Primary enclosures must be constructed and maintained so that
they:
(i) Have no sharp points or edges that could injure the dogs and
cats;
(ii) Protect the dogs and cats from injury;
(iii) Contain the dogs and cats securely;
(iv) Keep other animals from entering the enclosure;
(v) Enable the dogs and cats to remain dry and clean;
(vi) Provide shelter and protection from extreme temperatures and
weather conditions that may be uncomfortable or hazardous to all the
dogs and cats;
(vii) Provide sufficient shade to shelter all the dogs and cats
housed in the primary enclosure at one time;
(viii) Provide all the dogs and cats with easy and convenient access
to clean food and water;
(ix) Enable all surfaces in contact with the dogs and cats to be
readily cleaned and sanitized in accordance with Sec. 3.11(b) of this
subpart, or be replaceable when worn or soiled;
(x) Have floors that are constructed in a manner that protects the
dogs' and cats' feet and legs from injury, and that, if of mesh or
slatted construction, do not allow the dogs' and cats' feet to pass
through any openings in
[[Page 48]]
the floor. If the floor of the primary enclosure is constructed of wire,
a solid resting surface or surfaces that, in the aggregate, are large
enough to hold all the occupants of the primary enclosure at the same
time comfortably must be provided; and
(xi) Provide sufficient space to allow each dog and cat to turn
about freely, to stand, sit, and lie in a comfortable, normal position,
and to walk in a normal manner.
(b) Additional requirements for cats.
(1) Space. Each cat, including weaned kittens, that is housed in any
primary enclosure must be provided minimum vertical space and floor
space as follows:
(i) Prior to February 15, 1994 each cat housed in any primary
enclosure shall be provided a minimum of 2\1/2\ square feet of floor
space;
(ii) On and after February 15, 1994:
(A) Each primary enclosure housing cats must be at least 24 in. high
(60.96 cm);
(B) Cats up to and including 8.8 lbs (4 kg) must be provided with at
least 3.0 ft\2\ (0.28 m\2\);
(C) Cats over 8.8 lbs (4 kg) must be provided with at least 4.0
ft\2\ (0.37 m\2\);
(iii) Each queen with nursing kittens must be provided with an
additional amount of floor space, based on her breed and behavioral
characteristics, and in accordance with generally accepted husbandry
practices. If the additional amount of floor space for each nursing
kitten is equivalent to less than 5 percent of the minimum requirement
for the queen, such housing must be approved by the attending
veterinarian in the case of a research facility, and, in the case of
dealers and exhibitors, such housing must be approved by the
Administrator; and
(iv) The minimum floor space required by this section is exclusive
of any food or water pans. The litter pan may be considered part of the
floor space if properly cleaned and sanitized.
(2) Compatibility. All cats housed in the same primary enclosure
must be compatible, as determined by observation. Not more than 12 adult
nonconditioned cats may be housed in the same primary enclosure. Queens
in heat may not be housed in the same primary enclosure with sexually
mature males, except for breeding. Except when maintained in breeding
colonies, queens with litters may not be housed in the same primary
enclosure with other adult cats, and kittens under 4 months of age may
not be housed in the same primary enclosure with adult cats, other than
the dam or foster dam. Cats with a vicious or aggressive disposition
must be housed separately.
(3) Litter. In all primary enclosures, a receptacle containing
sufficient clean litter must be provided to contain excreta and body
wastes.
(4) Resting surfaces. Each primary enclosure housing cats must
contain a resting surface or surfaces that, in the aggregate, are large
enough to hold all the occupants of the primary enclosure at the same
time comfortably. The resting surfaces must be elevated, impervious to
moisture, and be able to be easily cleaned and sanitized, or easily
replaced when soiled or worn. Low resting surfaces that do not allow the
space under them to be comfortably occupied by the animal will be
counted as part of the floor space.
(5) Cats in mobile or traveling shows or acts. Cats that are part of
a mobile or traveling show or act may be kept, while the show or act is
traveling from one temporary location to another, in transport
containers that comply with all requirements of Sec. 3.14 of this
subpart other than the marking requirements in Sec. 3.14(a)(6) of this
subpart. When the show or act is not traveling, the cats must be placed
in primary enclosures that meet the minimum requirements of this
section.
(c) Additional requirements for dogs--(1) Space. (i) Each dog housed
in a primary enclosure (including weaned puppies) must be provided a
minimum amount of floor space, calculated as follows: Find the
mathematical square of the sum of the length of the dog in inches
(measured from the tip of its nose to the base of its tail) plus 6
inches; then divide the product by 144. The calculation is: (length of
dog in inches + 6) x (length of dog in inches + 6) = required floor
space in square inches. Required floor space in inches/144 = required
floor space in square feet.
(ii) Each bitch with nursing puppies must be provided with an
additional
[[Page 49]]
amount of floor space, based on her breed and behavioral
characteristics, and in accordance with generally accepted husbandry
practices as determined by the attending veterinarian. If the additional
amount of floor space for each nursing puppy is less than 5 percent of
the minimum requirement for the bitch, such housing must be approved by
the attending veterinarian in the case of a research facility, and, in
the case of dealers and exhibitors, such housing must be approved by the
Administrator.
(iii) The interior height of a primary enclosure must be at least 6
inches higher than the head of the tallest dog in the enclosure when it
is in a normal standing position: Provided That, prior to February 15,
1994, each dog must be able to stand in a comfortable normal position.
(2) Dogs on tethers. (i) Dogs may be kept on tethers only in outside
housing facilities that meet the requirements of Sec. 3.4 of this
subpart, and only when the tether meets the requirements of this
paragraph. The tether must be attached to the front of the dog's shelter
structure or to a post in front of the shelter structure and must be at
least three times the length of the dog, as measured from the tip of its
nose to the base of its tail. The tether must allow the dog convenient
access to the shelter structure and to food and water containers. The
tether must be of the type and strength commonly used for the size dog
involved and must be attached to the dog by a well-fitted collar that
will not cause trauma or injury to the dog. Collars made of materials
such as wire, flat chains, chains with sharp edges, or chains with rusty
or nonuniform links are prohibited. The tether must be attached so that
the dog cannot become entangled with other objects or come into physical
contact with other dogs in the outside housing facility, and so the dog
can roam to the full range of the tether.
(ii) On and after February 15, 1994, dog housing areas where dogs
are on tethers must be enclosed by a perimeter fence that is of
sufficient height to keep unwanted animals out. Fences less than 6 feet
high must be approved by the Administrator. The fence must be
constructed so that it protects the dogs by preventing animals the size
of dogs, skunks, and raccoons from going through it or under it and
having contact with the dogs inside.
(3) Compatibility. All dogs housed in the same primary enclosure
must be compatible, as determined by observation. Not more than 12 adult
nonconditioned dogs may be housed in the same primary enclosure. Bitches
in heat may not be housed in the same primary enclosure with sexually
mature males, except for breeding. Except when maintained in breeding
colonies, bitches with litters may not be housed in the same primary
enclosure with other adult dogs, and puppies under 4 months of age may
not be housed in the same primary enclosure with adult dogs, other than
the dam or foster dam. Dogs with a vicious or aggressive disposition
must be housed separately.
(4) Dogs in mobile or traveling shows or acts. Dogs that are part of
a mobile or traveling show or act may be kept, while the show or act is
traveling from one temporary location to another, in transport
containers that comply with all requirements of Sec. 3.14 of this
subpart other than the marking requirements in Sec. 3.14(a)(6) of this
subpart. When the show or act is not traveling, the dogs must be placed
in primary enclosures that meet the minimum requirements of this
section.
(d) Innovative primary enclosures not precisely meeting the floor
area and height requirements provided in paragraphs (b)(1) and (c)(1) of
this section, but that provide the dogs or cats with a sufficient volume
of space and the opportunity to express species-typical behavior, may be
used at research facilities when approved by the Committee, and by
dealers and exhibitors when approved by the Administrator.
(Approved by the Office of Management and Budget under control number
0579-0093)
Animal Health and Husbandry Standards
Sec. 3.7 Compatible grouping.
Dogs and cats that are housed in the same primary enclosure must be
compatible, with the following restrictions:
[[Page 50]]
(a) Females in heat (estrus) may not be housed in the same primary
enclosure with males, except for breeding purposes;
(b) Any dog or cat exhibiting a vicious or overly aggressive
disposition must be housed separately;
(c) Puppies or kittens 4 months of age or less may not be housed in
the same primary enclosure with adult dogs or cats other than their dams
or foster dams, except when permanently maintained in breeding colonies;
(d) Dogs or cats may not be housed in the same primary enclosure
with any other species of animals, unless they are compatible; and
(e) Dogs and cats that have or are suspected of having a contagious
disease must be isolated from healthy animals in the colony, as directed
by the attending veterinarian. When an entire group or room of dogs and
cats is known to have or believed to be exposed to an infectious agent,
the group may be kept intact during the process of diagnosis, treatment,
and control.
Sec. 3.8 Exercise for dogs.
Dealers, exhibitors, and research facilities must develop, document,
and follow an appropriate plan to provide dogs with the opportunity for
exercise. In addition, the plan must be approved by the attending
veterinarian. The plan must include written standard procedures to be
followed in providing the opportunity for exercise. The plan must be
made available to APHIS upon request, and, in the case of research
facilities, to officials of any pertinent funding Federal agency. The
plan, at a minimum, must comply with each of the following:
(a) Dogs housed individually. Dogs over 12 weeks of age, except
bitches with litters, housed, held, or maintained by any dealer,
exhibitor, or research facility, including Federal research facilities,
must be provided the opportunity for exercise regularly if they are kept
individually in cages, pens, or runs that provide less than two times
the required floor space for that dog, as indicated by Sec. 3.6(c)(1) of
this subpart.
(b) Dogs housed in groups. Dogs over 12 weeks of age housed, held,
or maintained in groups by any dealer, exhibitor, or research facility,
including Federal research facilities, do not require additional
opportunity for exercise regularly if they are maintained in cages,
pens, or runs that provide in total at least 100 percent of the required
space for each dog if maintained separately. Such animals may be
maintained in compatible groups, unless:
(1) Housing in compatible groups is not in accordance with a
research proposal and the proposal has been approved by the research
facility Committee;
(2) In the opinion of the attending veterinarian, such housing would
adversely affect the health or well-being of the dog(s); or
(3) Any dog exhibits aggressive or vicious behavior.
(c) Methods and period of providing exercise opportunity. (1) The
frequency, method, and duration of the opportunity for exercise shall be
determined by the attending veterinarian and, at research facilities, in
consultation with and approval by the Committee.
(2) Dealers, exhibitors, and research facilities, in developing
their plan, should consider providing positive physical contact with
humans that encourages exercise through play or other similar
activities. If a dog is housed, held, or maintained at a facility
without sensory contact with another dog, it must be provided with
positive physical contact with humans at least daily.
(3) The opportunity for exercise may be provided in a number of
ways, such as:
(i) Group housing in cages, pens or runs that provide at least 100
percent of the required space for each dog if maintained separately
under the minimum floor space requirements of Sec. 3.6(c)(1) of this
subpart;
(ii) Maintaining individually housed dogs in cages, pens, or runs
that provide at least twice the minimum floor space required by
Sec. 3.6(c)(1) of this subpart;
(iii) Providing access to a run or open area at the frequency and
duration prescribed by the attending veterinarian; or
(iv) Other similar activities.
(4) Forced exercise methods or devices such as swimming, treadmills,
or
[[Page 51]]
carousel-type devices are unacceptable for meeting the exercise
requirements of this section.
(d) Exemptions. (1) If, in the opinion of the attending
veterinarian, it is inappropriate for certain dogs to exercise because
of their health, condition, or well-being, the dealer, exhibitor, or
research facility may be exempted from meeting the requirements of this
section for those dogs. Such exemption must be documented by the
attending veterinarian and, unless the basis for exemption is a
permanent condition, must be reviewed at least every 30 days by the
attending veterinarian.
(2) A research facility may be exempted from the requirements of
this section if the principal investigator determines for scientific
reasons set forth in the research proposal that it is inappropriate for
certain dogs to exercise. Such exemption must be documented in the
Committee-approved proposal and must be reviewed at appropriate
intervals as determined by the Committee, but not less than annually.
(3) Records of any exemptions must be maintained and made available
to USDA officials or any pertinent funding Federal agency upon request.
(Approved by the Office of Management and Budget under control number
0579-0093)
Sec. 3.9 Feeding.
(a) Dogs and cats must be fed at least once each day, except as
otherwise might be required to provide adequate veterinary care. The
food must be uncontaminated, wholesome, palatable, and of sufficient
quantity and nutritive value to maintain the normal condition and weight
of the animal. The diet must be appropriate for the individual animal's
age and condition.
(b) Food receptacles must be used for dogs and cats, must be readily
accessible to all dogs and cats, and must be located so as to minimize
contamination by excreta and pests, and be protected from rain and snow.
Feeding pans must either be made of a durable material that can be
easily cleaned and sanitized or be disposable. If the food receptacles
are not disposable, they must be kept clean and must be sanitized in
accordance with Sec. 3.11(b) of this subpart. Sanitization is achieved
by using one of the methods described in Sec. 3.11(b)(3) of this
subpart. If the food receptacles are disposable, they must be discarded
after one use. Self-feeders may be used for the feeding of dry food. If
self-feeders are used, they must be kept clean and must be sanitized in
accordance with Sec. 3.11(b) of this subpart. Measures must be taken to
ensure that there is no molding, deterioration, and caking of feed.
Sec. 3.10 Watering.
If potable water is not continually available to the dogs and cats,
it must be offered to the dogs and cats as often as necessary to ensure
their health and well-being, but not less than twice daily for at least
1 hour each time, unless restricted by the attending veterinarian. Water
receptacles must be kept clean and sanitized in accordance with
Sec. 3.11(b) of this subpart, and before being used to water a different
dog or cat or social grouping of dogs or cats.
Sec. 3.11 Cleaning, sanitization, housekeeping, and pest control.
(a) Cleaning of primary enclosures. Excreta and food waste must be
removed from primary enclosures daily, and from under primary enclosures
as often as necessary to prevent an excessive accumulation of feces and
food waste, to prevent soiling of the dogs or cats contained in the
primary enclosures, and to reduce disease hazards, insects, pests and
odors. When steam or water is used to clean the primary enclosure,
whether by hosing, flushing, or other methods, dogs and cats must be
removed, unless the enclosure is large enough to ensure the animals
would not be harmed, wetted, or distressed in the process. Standing
water must be removed from the primary enclosure and animals in other
primary enclosures must be protected from being contaminated with water
and other wastes during the cleaning. The pans under primary enclosures
with grill-type floors and the ground areas under raised runs with wire
or slatted floors must be cleaned as often as necessary to prevent
accumulation of feces and food waste and to reduce disease hazards
pests, insects and odors.
(b) Sanitization of primary enclosures and food and water
receptacles. (1) Used
[[Page 52]]
primary enclosures and food and water receptacles must be cleaned and
sanitized in accordance with this section before they can be used to
house, feed, or water another dog or cat, or social grouping of dogs or
cats.
(2) Used primary enclosures and food and water receptacles for dogs
and cats must be sanitized at least once every 2 weeks using one of the
methods prescribed in paragraph (b)(3) of this section, and more often
if necessary to prevent an accumulation of dirt, debris, food waste,
excreta, and other disease hazards.
(3) Hard surfaces of primary enclosures and food and water
receptacles must be sanitized using one of the following methods:
(i) Live steam under pressure;
(ii) Washing with hot water (at least 180 deg.F (82.2 deg.C)) and
soap or detergent, as with a mechanical cage washer; or
(iii) Washing all soiled surfaces with appropriate detergent
solutions and disinfectants, or by using a combination detergent/
disinfectant product that accomplishes the same purpose, with a thorough
cleaning of the surfaces to remove organic material, so as to remove all
organic material and mineral buildup, and to provide sanitization
followed by a clean water rinse.
(4) Pens, runs, and outdoor housing areas using material that cannot
be sanitized using the methods provided in paragraph (b)(3) of this
section, such as gravel, sand, grass, earth, or absorbent bedding, must
be sanitized by removing the contaminated material as necessary to
prevent odors, diseases, pests, insects, and vermin infestation.
(c) Housekeeping for premises. Premises where housing facilities are
located, including buildings and surrounding grounds, must be kept clean
and in good repair to protect the animals from injury, to facilitate the
husbandry practices required in this subpart, and to reduce or eliminate
breeding and living areas for rodents and other pests and vermin.
Premises must be kept free of accumulations of trash, junk, waste
products, and discarded matter. Weeds, grasses, and bushes must be
controlled so as to facilitate cleaning of the premises and pest
control, and to protect the health and well-being of the animals.
(d) Pest control. An effective program for the control of insects,
external parasites affecting dogs and cats, and birds and mammals that
are pests, must be established and maintained so as to promote the
health and well-being of the animals and reduce contamination by pests
in animal areas.
Sec. 3.12 Employees.
Each person subject to the Animal Welfare regulations (9 CFR parts
1, 2, and 3) maintaining dogs and cats must have enough employees to
carry out the level of husbandry practices and care required in this
subpart. The employees who provide for husbandry and care, or handle
animals, must be supervised by an individual who has the knowledge,
background, and experience in proper husbandry and care of dogs and cats
to supervise others. The employer must be certain that the supervisor
and other employees can perform to these standards.
Transportation Standards
Sec. 3.13 Consignments to carriers and intermediate handlers.
(a) Carriers and intermediate handlers must not accept a dog or cat
for transport in commerce more than 4 hours before the scheduled
departure time of the primary conveyance on which the animal is to be
transported. However, a carrier or intermediate handler may agree with
anyone consigning a dog or cat to extend this time by up to 2 hours.
(b) Carriers and intermediate handlers must not accept a dog or cat
for transport in commerce unless they are provided with the name,
address, and telephone number of the consignee.
(c) Carriers and intermediate handlers must not accept a dog or cat
for transport in commerce unless the consignor certifies in writing to
the carrier or intermediate handler that the dog or cat was offered food
and water during the 4 hours before delivery to the carrier or
intermediate handler. The certification must be securely attached to the
outside of the primary enclosure in a manner that makes it easily
noticed and read. Instructions for no food or water are not acceptable
[[Page 53]]
unless directed by the attending veterinarian. Instructions must be in
compliance with Sec. 3.16 of this subpart. The certification must
include the following information for each dog and cat:
(1) The consignor's name and address;
(2) The tag number or tattoo assigned to each dog or cat under
Secs. 2.38 and 2.50 of this chapter;
(3) The time and date the animal was last fed and watered and the
specific instructions for the next feeding(s) and watering(s) for a 24-
hour period; and
(4) The consignor's signature and the date and time the
certification was signed.
(d) Carriers and intermediate handlers must not accept a dog or cat
for transport in commerce in a primary enclosure unless the primary
enclosure meets the requirements of Sec. 3.14 of this subpart. A carrier
or intermediate handler must not accept a dog or cat for transport if
the primary enclosure is obviously defective or damaged and cannot
reasonably be expected to safely and comfortably contain the dog or cat
without causing suffering or injury.
(e) Carriers and intermediate handlers must not accept a dog or cat
for transport in commerce unless their animal holding area meets the
minimum temperature requirements provided in Secs. 3.18 and 3.19 of this
subpart, or unless the consignor provides them with a certificate signed
by a veterinarian and dated no more than 10 days before delivery of the
animal to the carrier or intermediate handler for transport in commerce,
certifying that the animal is acclimated to temperatures lower than
those required in Secs. 3.18 and 3.19 of this subpart. Even if the
carrier or intermediate handler receives this certification, the
temperatures the dog or cat is exposed to while in a terminal facility
must not be lower than 45 deg.F (2.2 deg.C) for more than 4
consecutive hours when dogs or cats are present, as set forth in
Sec. 3.18, nor lower than 45 deg.F (2.2 deg.C) for more than 45
minutes, as set forth in Sec. 3.19, when moving dogs or cats to or from
terminal facilities or primary conveyances. A copy of the certification
must accompany the dog or cat to its destination and must include the
following information:
(1) The consignor's name and address;
(2) The tag number or tattoo assigned to each dog or cat under
Secs. 2.38 and 2.50 of this chapter;
(3) A statement by a veterinarian, dated no more than 10 days before
delivery, that to the best of his or her knowledge, each of the dogs or
cats contained in the primary enclosure is acclimated to air
temperatures lower than 50 deg.F (10 deg.C); but not lower than a
minimum temperature, specified on a certificate, that the attending
veterinarian has determined is based on generally accepted temperature
standards for the age, condition, and breed of the dog or cat; and
(4) The signature of the veterinarian and the date the certification
was signed.
(f) When a primary enclosure containing a dog or cat has arrived at
the animal holding area at a terminal facility after transport, the
carrier or intermediate handler must attempt to notify the consignee
upon arrival and at least once in every 6-hour period thereafter. The
time, date, and method of all attempted notifications and the actual
notification of the consignee, and the name of the person who notifies
or attempts to notify the consignee must be written either on the
carrier's or intermediate handler's copy of the shipping document or on
the copy that accompanies the primary enclosure. If the consignee cannot
be notified within 24 hours after the dog or cat has arrived at the
terminal facility, the carrier or intermediate handler must return the
animal to the consignor or to whomever the consignor designates. If the
consignee is notified of the arrival and does not accept delivery of the
dog or cat within 48 hours after arrival of the dog or cat, the carrier
or intermediate handler must return the animal to the consignor or to
whomever the consignor designates. The carrier or intermediate handler
must continue to provide proper care, feeding, and housing to the dog or
cat, and maintain the dog or cat in accordance with generally accepted
professional and husbandry practices until the consignee accepts
delivery of the dog or cat or until it is returned to the consignor or
to whomever the consignor designates. The carrier or intermediate
handler must obligate the consignor to
[[Page 54]]
reimburse the carrier or intermediate handler for the cost of return
transportation and care.
(Approved by the Office of Management and Budget under control number
0579-0093)
Sec. 3.14 Primary enclosures used to transport live dogs and cats.
Any person subject to the Animal Welfare regulations (9 CFR parts 1,
2, and 3) must not transport or deliver for transport in commerce a dog
or cat unless the following requirements are met:
(a) Construction of primary enclosures. The dog or cat must be
contained in a primary enclosure such as a compartment, transport cage,
carton, or crate. Primary enclosures used to transport dogs and cats
must be constructed so that:
(1) The primary enclosure is strong enough to contain the dogs and
cats securely and comfortably and to withstand the normal rigors of
transportation;
(2) The interior of the primary enclosure has no sharp points or
edges and no protrusions that could injure the animal contained in it;
(3) The dog or cat is at all times securely contained within the
enclosure and cannot put any part of its body outside the enclosure in a
way that could result in injury to itself, to handlers, or to persons or
animals nearby;
(4) The dog or cat can be easily and quickly removed from the
enclosure in an emergency;
(5) Unless the enclosure is permanently affixed to the conveyance,
adequate devices such as handles or handholds are provided on its
exterior, and enable the enclosure to be lifted without tilting it, and
ensure that anyone handling the enclosure will not come into physical
contact with the animal contained inside;
(6) Unless the enclosure is permanently affixed to the conveyance,
it is clearly marked on top and on one or more sides with the words
``Live Animals,'' in letters at least 1 inch (2.5 cm.) high, and with
arrows or other markings to indicate the correct upright position of the
primary enclosure;
(7) Any material, treatment, paint, preservative, or other chemical
used in or on the enclosure is nontoxic to the animal and not harmful to
the health or well-being of the animal;
(8) Proper ventilation is provided to the animal in accordance with
paragraph (c) of this section; and
(9) The primary enclosure has a solid, leak-proof bottom or a
removable, leak-proof collection tray under a slatted or wire mesh floor
that prevents seepage of waste products, such as excreta and body
fluids, outside of the enclosure. If a slatted or wire mesh floor is
used in the enclosure, it must be designed and constructed so that the
animal cannot put any part of its body between the slats or through the
holes in the mesh. Unless the dogs and cats are on raised slatted floors
or raised floors made of wire mesh, the primary enclosure must contain
enough previously unused litter to absorb and cover excreta. The litter
must be of a suitably absorbent material that is safe and nontoxic to
the dogs and cats.
(b) Cleaning of primary enclosures. A primary enclosure used to hold
or transport dogs or cats in commerce must be cleaned and sanitized
before each use in accordance with the methods provided in
Sec. 3.11(b)(3) of this subpart. If the dogs or cats are in transit for
more than 24 hours, the enclosures must be cleaned and any litter
replaced, or other methods, such as moving the animals to another
enclosure, must be utilized to prevent the soiling of the dogs or cats
by body wastes. If it becomes necessary to remove the dog or cat from
the enclosure in order to clean, or to move the dog or cat to another
enclosure, this procedure must be completed in a way that safeguards the
dog or cat from injury and prevents escape.
(c) Ventilation. (1) Unless the primary enclosure is permanently
affixed to the conveyance, there must be:
(i) Ventilation openings located on two opposing walls of the
primary enclosure and the openings must be at least 16 percent of the
surface area of each such wall, and the total combined surface area of
the ventilation openings must be at least 14 percent of the total
combined surface area of all the walls of the primary enclosure; or
(ii) Ventilation openings on three walls of the primary enclosure,
and the
[[Page 55]]
openings on each of the two opposing walls must be at least 8 percent of
the total surface area of the two walls, and the ventilation openings on
the third wall of the primary enclosure must be at least 50 percent of
the total surface area of that wall, and the total combined surface area
of the ventilation openings must be at least 14 percent of the total
combined surface area of all the walls of the primary enclosure; or
(iii) Ventilation openings located on all four walls of the primary
enclosure and the ventilation openings on each of the four walls must be
at least 8 percent of the total surface area of each such wall, and the
total combined surface area of the openings must be at least 14 percent
of total combined surface area of all the walls of the primary
enclosure; and
(iv) At least one-third of the ventilation area must be located on
the upper half of the primary enclosure.
(2) Unless the primary enclosure is permanently affixed to the
conveyance, projecting rims or similar devices must be located on the
exterior of each enclosure wall having a ventilation opening, in order
to prevent obstruction of the openings. The projecting rims or similar
devices must be large enough to provide a minimum air circulation space
of 0.75 in. (1.9 cm) between the primary enclosure and anything the
enclosure is placed against.
(3) If a primary enclosure is permanently affixed to the primary
conveyance so that there is only a front ventilation opening for the
enclosure, the primary enclosure must be affixed to the primary
conveyance in such a way that the front ventilation opening cannot be
blocked, and the front ventilation opening must open directly to an
unobstructed aisle or passageway inside the conveyance. The ventilation
opening must be at least 90 percent of the total area of the front wall
of the enclosure, and must be covered with bars, wire mesh, or smooth
expanded metal having air spaces.
(d) Compatibility. (1) Live dogs or cats transported in the same
primary enclosure must be of the same species and be maintained in
compatible groups, except that dogs and cats that are private pets, are
of comparable size, and are compatible, may be transported in the same
primary enclosure.
(2) Puppies or kittens 4 months of age or less may not be
transported in the same primary enclosure with adult dogs or cats other
than their dams.
(3) Dogs or cats that are overly aggressive or exhibit a vicious
disposition must be transported individually in a primary enclosure.
(4) Any female dog or cat in heat (estrus) may not be transported in
the same primary enclosure with any male dog or cat.
(e) Space and placement. (1) Primary enclosures used to transport
live dogs and cats must be large enough to ensure that each animal
contained in the primary enclosure has enough space to turn about
normally while standing, to stand and sit erect, and to lie in a natural
position.
(2) Primary enclosures used to transport dogs and cats must be
positioned in the primary conveyance so as to provide protection from
the elements.
(f) Transportation by air. (1) No more than one live dog or cat, 6
months of age or older, may be transported in the same primary enclosure
when shipped via air carrier.
(2) No more than one live puppy, 8 weeks to 6 months of age, and
weighing over 20 lbs (9 kg), may be transported in a primary enclosure
when shipped via air carrier.
(3) No more than two live puppies or kittens, 8 weeks to 6 months of
age, that are of comparable size, and weighing 20 lbs (9 kg) or less
each, may be transported in the same primary enclosure when shipped via
air carrier.
(4) Weaned live puppies or kittens less than 8 weeks of age and of
comparable size, or puppies or kittens that are less than 8 weeks of age
that are littermates and are accompanied by their dam, may be
transported in the same primary enclosure when shipped to research
facilities, including Federal research facilities.
(g) Transportation by surface vehicle or privately owned aircraft.
(1) No more than four live dogs or cats, 8 weeks of age or older, that
are of comparable size, may be transported in the same primary enclosure
when shipped by surface vehicle (including ground and water
transportation) or privately
[[Page 56]]
owned aircraft, and only if all other requirements of this section are
met.
(2) Weaned live puppies or kittens less than 8 weeks of age and of
comparable size, or puppies or kittens that are less than 8 weeks of age
that are littermates and are accompanied by their dam, may be
transported in the same primary enclosure when shipped to research
facilities, including Federal research facilities, and only if all other
requirements in this section are met.
(h) Accompanying documents and records. Shipping documents that must
accompany shipments of dogs and cats may be held by the operator of the
primary conveyance, for surface transportation only, or must be securely
attached in a readily accessible manner to the outside of any primary
enclosure that is part of the shipment, in a manner that allows them to
be detached for examination and securely reattached, such as in a pocket
or sleeve. Instructions for administration of drugs, medication, and
other special care must be attached to each primary enclosure in a
manner that makes them easy to notice, to detach for examination, and to
reattach securely. Food and water instructions must be attached in
accordance with Sec. 3.13(c).
(Approved by the Office of Management and Budget under control number
0579-0093)
Sec. 3.15 Primary conveyances (motor vehicle, rail, air, and marine).
(a) The animal cargo space of primary conveyances used to transport
dogs and cats must be designed, constructed, and maintained in a manner
that at all times protects the health and well-being of the animals
transported in them, ensures their safety and comfort, and prevents the
entry of engine exhaust from the primary conveyance during
transportation.
(b) The animal cargo space must have a supply of air that is
sufficient for the normal breathing of all the animals being transported
in it.
(c) Each primary enclosure containing dogs or cats must be
positioned in the animal cargo space in a manner that provides
protection from the elements and that allows each dog or cat enough air
for normal breathing.
(d) During air transportation, dogs and cats must be held in cargo
areas that are heated or cooled as necessary to maintain an ambient
temperature that ensures the health and well-being of the dogs or cats.
The cargo areas must be pressurized when the primary conveyance used for
air transportation is not on the ground, unless flying under 8,000 ft.
Dogs and cats must have adequate air for breathing at all times when
being transported.
(e) During surface transportation, auxiliary ventilation, such as
fans, blowers or air conditioning, must be used in any animal cargo
space containing live dogs or cats when the ambient temperature within
the animal cargo space reaches 85 deg.F (29.5 deg.C). Moreover, the
ambient temperature may not exceed 85 deg.F (29.5 deg.C) for a period
of more than 4 hours; nor fall below 45 deg.F (7.2 deg.C) for a period
of more than 4 hours.
(f) Primary enclosures must be positioned in the primary conveyance
in a manner that allows the dogs and cats to be quickly and easily
removed from the primary conveyance in an emergency.
(g) The interior of the animal cargo space must be kept clean.
(h) Live dogs and cats may not be transported with any material,
substance (e.g., dry ice) or device in a manner that may reasonably be
expected to harm the dogs and cats or cause inhumane conditions.
Sec. 3.16 Food and water requirements.
(a) Each dog and cat that is 16 weeks of age or more must be offered
food at least once every 24 hours. Puppies and kittens less than 16
weeks of age must be offered food at least once every 12 hours. Each dog
and cat must be offered potable water at least once every 12 hours.
These time periods apply to dealers, exhibitors, research facilities.
including Federal research facilities, who transport dogs and cats in
their own primary conveyance, starting from the time the dog or cat was
last offered food and potable water before transportation was begun.
These time periods apply to carriers and intermediate handlers starting
from the date and time stated on the certificate provided under
Sec. 3.13(c) of this subpart. Each dog and cat must be offered food and
potable water within 4 hours before being
[[Page 57]]
transported in commerce. Consignors who are subject to the Animal
Welfare regulations (9 CFR parts 1, 2, and 3) must certify that each dog
and cat was offered food and potable water within the 4 hours preceding
delivery of the dog or cat to a carrier or intermediate handler for
transportation in commerce, and must certify the date and time the food
and potable water was offered, in accordance with Sec. 3.13(c) of this
subpart.
(b) Any dealer, research facility, including a Federal research
facility, or exhibitor offering any dog or cat to a carrier or
intermediate handler for transportation in commerce must securely attach
to the outside of the primary enclosure used for transporting the dog or
cat, written instructions for the in-transit food and water requirements
for a 24-hour period for the dogs and cats contained in the enclosure.
The instructions must be attached in a manner that makes them easily
noticed and read.
(c) Food and water receptacles must be securely attached inside the
primary enclosure and placed so that the receptacles can be filled from
outside the enclosure without opening the door. Food and water
containers must be designed, constructed, and installed so that a dog or
cat cannot leave the primary enclosure through the food or water
opening.
(Approved by the Office of Management and Budget under control number
0579-0093)
Sec. 3.17 Care in transit.
(a) Surface transportation (ground and water). Any person subject to
the Animal Welfare regulations transporting dogs or cats in commerce
must ensure that the operator of the conveyance, or a person
accompanying the operator, observes the dogs or cats as often as
circumstances allow, but not less than once every 4 hours, to make sure
they have sufficient air for normal breathing, that the ambient
temperature is within the limits provided in Sec. 3.15(e), and that all
applicable standards of this subpart are being complied with. The
regulated person must ensure that the operator or person accompanying
the operator determines whether any of the dogs or cats are in obvious
physical distress and obtains any veterinary care needed for the dogs or
cats at the closest available veterinary facility.
(b) Air transportation. During air transportation of dogs or cats,
it is the responsibility of the carrier to observe the dogs or cats as
frequently as circumstances allow, but not less than once every 4 hours
if the animal cargo area is accessible during flight. If the animal
cargo area is not accessible during flight, the carrier must observe the
dogs or cats whenever they are loaded and unloaded and whenever the
animal cargo space is otherwise accessible to make sure they have
sufficient air for normal breathing, that the animal cargo area meets
the heating and cooling requirements of Sec. 3.15(d), and that all other
applicable standards of this subpart are being complied with. The
carrier must determine whether any of the dogs or cats are in obvious
physical distress, and arrange for any needed veterinary care as soon as
possible.
(c) If a dog or cat is obviously ill, injured, or in physical
distress, it must not be transported in commerce, except to receive
veterinary care for the condition.
(d) Except during the cleaning of primary enclosures, as required in
Sec. 3.14(b) of this subpart, during transportation in commerce a dog or
cat must not be removed from its primary enclosure, unless it is placed
in another primary enclosure or facility that meets the requirements of
Sec. 3.6 or Sec. 3.14 of this subpart.
(e) The transportation regulations contained in this subpart must be
complied with until a consignee takes physical delivery of the dog or
cat if the animal is consigned for transportation, or until the animal
is returned to the consignor.
Sec. 3.18 Terminal facilities.
(a) Placement. Any person subject to the Animal Welfare regulations
(9 CFR parts 1, 2, and 3) must not commingle shipments of dogs or cats
with inanimate cargo in animal holding areas of terminal facilities.
(b) Cleaning, sanitization, and pest control. All animal holding
areas of terminal facilities must be cleaned and sanitized in a manner
prescribed in
[[Page 58]]
Sec. 3.11(b)(3) of this subpart, as often as necessary to prevent an
accumulation of debris or excreta and to minimize vermin infestation and
disease hazards. Terminal facilities must follow an effective program in
all animal holding areas for the control of insects, ectoparasites, and
birds and mammals that are pests to dogs and cats.
(c) Ventilation. Ventilation must be provided in any animal holding
area in a terminal facility containing dogs or cats, by means of
windows, doors, vents, or air conditioning. The air must be circulated
by fans, blowers, or air conditioning so as to minimize drafts, odors,
and moisture condensation. Auxiliary ventilation, such as exhaust fans,
vents, fans, blowers, or air conditioning must be used in any animal
holding area containing dogs and cats, when the ambient temperature is
85 deg.F (29.5 deg.C) or higher
(d) Temperature. The ambient temperature in an animal holding area
containing dogs or cats must not fall below 45 deg.F (7.2 deg.C) or
rise above 85 deg.F (29.5 deg.C) for more than four consecutive hours
at any time dogs or cats are present. The ambient temperature must be
measured in the animal holding area by the carrier, intermediate
handler, or a person transporting dogs or cats who is subject to the
Animal Welfare regulations (9 CFR parts 1, 2, and 3), outside any
primary enclosure containing a dog or cat at a point not more than 3
feet (0.91 m) away from an outside wall of the primary enclosure, and
approximately midway up the side of the enclosure.
(e) Shelter. Any person subject to the Animal Welfare regulations (9
CFR parts 1, 2, and 3) holding a live dog or cat in an animal holding
area of a terminal facility must provide the following:
(1) Shelter from sunlight and extreme heat. Shade must be provided
that is sufficient to protect the dog or cat from the direct rays of the
sun.
(2) Shelter from rain or snow. Sufficient protection must be
provided to allow the dogs and cats to remain dry during rain, snow, and
other precipitation.
(f) Duration. The length of time any person subject to the Animal
Welfare regulations (9 CFR parts 1, 2, and 3) can hold dogs and cats in
animal holding areas of terminal facilities upon arrival is the same as
that provided in Sec. 3.13(f) of this subpart.
Sec. 3.19 Handling.
(a) Any person subject to the Animal Welfare regulations (9 CFR
parts 1, 2, and 3) who moves (including loading and unloading) dogs or
cats within, to, or from the animal holding area of a terminal facility
or a primary conveyance must do so as quickly and efficiently as
possible and must provide the following during movement of the dog or
cat:
(1) Shelter from sunlight and extreme heat. Sufficient shade must be
provided to protect the dog or cat from the direct rays of the sun. The
dog or cat must not be exposed to an ambient air temperature above 85
deg.F (29.5 deg.C) for a period of more than 45 minutes while being
moved to or from a primary conveyance or a terminal facility. The
temperature must be measured in the manner provided in Sec. 3.18(d) of
this subpart.
(2) Shelter from rain and snow. Sufficient protection must be
provided to allow the dogs and cats to remain dry during rain, snow, and
other precipitation.
(3) Shelter from cold temperatures. Transporting devices on which
live dogs or cats are placed to move them must be covered to protect the
animals when the outdoor temperature falls below 50 deg.F (10 deg.C).
The dogs or cats must not be exposed to an ambient temperature below 45
deg.F (7.2 deg.C) for a period of more than 45 minutes, unless they are
accompanied by a certificate of acclimation to lower temperatures as
provided in Sec. 3.13(e). The temperature must be measured in the manner
provided in Sec. 3.18(d) of this subpart.
(b) Any person handling a primary enclosure containing a dog or cat
must use care and must avoid causing physical harm or distress to the
dog or cat.
(1) A primary enclosure containing a live dog or cat must not be
placed on unattended conveyor belts, or on elevated conveyor belts, such
as baggage claim conveyor belts and inclined conveyor ramps that lead to
baggage claim
[[Page 59]]
areas, at any time; except that a primary enclosure may be placed on
inclined conveyor ramps used to load and unload aircraft if an attendant
is present at each end of the conveyor belt.
(2) A primary enclosure containing a dog or cat must not be tossed,
dropped, or needlessly tilted, and must not be stacked in a manner that
may reasonably be expected to result in its falling. It must be handled
and positioned in the manner that written instructions and arrows on the
outside of the primary enclosure indicate.
(c) This section applies to movement of a dog or cat from primary
conveyance to primary conveyance, within a primary conveyance or
terminal facility, and to or from a terminal facility or a primary
conveyance.
(Approved by the Office of Management and Budget under control number
0579-0093)
Subpart B--Specifications for the Humane Handling, Care, Treatment, and
Transportation of Guinea Pigs and Hamsters
Facilities and Operating Standards
Sec. 3.25 Facilities, general.
(a) Structural strength. Indoor and outdoor housing facilities for
guinea pigs or hamsters shall be structurally sound and shall be
maintained in good repair, to protect the animals from injury, to
contain the animals, and to restrict the entrance of other animals.
(b) Water and electric power. Reliable and adequate electric power,
if required to comply with other provisions of this subpart, and
adequate potable water shall be available.
(c) Storage. Supplies of food and bedding shall be stored in
facilities which adequately protect such supplies against spoilage or
deterioration and infestation or contamination by vermin. Food supplies
shall be stored in containers with tightly fitting lids or covers or in
the original containers as received from the commercial sources of
supply. Refrigeration shall be provided for supplies of perishable food.
(d) Waste disposal. Provisions shall be made for the removal and
disposal of animal and food wastes, bedding, dead animals, and debris.
Disposal facilities shall be so provided and operated as to minimize
vermin infestation, odors, and disease hazards.
(e) Washroom and sinks. Facilities, such as washrooms, basins, or
sinks, shall be provided to maintain cleanliness among animal
caretakers.
[32 FR 3273, Feb. 24, 1967, as amended at 44 FR 63492, Nov. 2, 1979]
Sec. 3.26 Facilities, indoor.
(a) Heating. Indoor housing facilities for guinea pigs or hamsters
shall be sufficiently heated when necessary to protect the animals from
the cold, and to provide for their health and comfort. The ambient
temperature shall not be allowed to fall below 60 deg. F. nor to exceed
85 deg. F.
(b) Ventilation. Indoor housing facilities for guinea pigs or
hamsters shall be adequately ventilated to provide for the health and
comfort of the animals at all times. Such facilities shall be provided
with fresh air either by means of windows, doors, vents, or air
conditioning, and shall be ventilated so as to minimize drafts, odors,
and moisture condensation. The ambient temperature shall not be allowed
to rise above 85 deg. F.
(c) Lighting. Indoor housing facilities for guinea pigs or hamsters
shall have ample light, by natural or artificial means, or both, of good
quality and well distributed. Such lighting shall provide uniformly
distributed illumination of sufficient light intensity to permit routine
inspection and cleaning during the entire working period. Primary
enclosures shall be so placed as to protect the guinea pigs or hamsters
from excessive illumination.
(d) Interior surfaces. The interior building surfaces of indoor
housing facilities shall be constructed and maintained so that they are
substantially impervious to moisture and may be readily sanitized.
Sec. 3.27 Facilities, outdoor.
(a) Hamsters shall not be housed in outdoor facilities.
(b) Guinea pigs shall not be housed in outdoor facilities unless
such facilities are located in an appropriate climate and prior approval
for such outdoor
[[Page 60]]
housing is obtained from the Deputy Administrator.
Sec. 3.28 Primary enclosures.
All primary enclosures for guinea pigs and hamsters shall conform to
the following requirements:
(a) General. (1) Primary enclosures shall be structurally sound and
maintained in good repair to protect the guinea pigs and hamsters from
injury. Such enclosures, including their racks, shelving and other
accessories, shall be constructed of smooth material substantially
impervious to liquids and moisture.
(2) Primary enclosures shall be constructed and maintained so that
the guinea pigs or hamsters contained therein have convenient access to
clean food and water as required in this subpart.
(3) Primary enclosures having a solid floor shall be provided with
clean bedding material.
(4) Primary enclosures equipped with mesh or wire floors shall be so
constructed as to allow feces to pass through the spaces of the mesh or
wire: Provided, however, That such floors shall be constructed so as to
protect the animals' feet and legs from injury.
(b) Space requirements for primary enclosures acquired before August
15, 1990.--(1) Guinea pigs and hamsters. Primary enclosures shall be
constructed and maintained so as to provide sufficient space for each
animal contained therein to make normal postural adjustments with
adequate freedom of movement.
(2) Guinea pigs. In addition to the provisions of paragraph (b)(1)
of this section, the following space requirements are applicable to
primary enclosures for guinea pigs:
(i) The interior height of any primary enclosure used to confine
guinea pigs shall be at least 6\1/2\ inches.
(ii) Each guinea pig housed in a primary enclosure shall be provided
a minimum amount of floor space in accordance with the following table:
------------------------------------------------------------------------
Minimum
space per
Weight or stage of maturity guinea pig
(square
inches)
------------------------------------------------------------------------
Weaning to 350 grams........................................ 60
350 grams or more........................................... 90
Breeders.................................................... 180
------------------------------------------------------------------------
(3) Hamsters. In addition to the provisions of paragraph (b)(1) of
this section, the following space requirements are applicable to primary
enclosures for hamsters:
(i) The interior height of any primary enclosure used to confine
hamsters shall be at least 5\1/2\ inches, except that in the case of
dwarf hamsters, such interior height shall be at least 5 inches.
(ii) A nursing female hamster, together with her litter, shall be
housed in a primary enclosure which contains no other hamsters and which
provides at least 121 square inches of floor space: Provided, however,
That in the case of dwarf hamsters such floor space shall be at least 25
square inches.
(iii) The minimum amount of floor space per individual hamster and
the maximum number of hamsters allowed in a single primary enclosure,
except as provided for nursing females in paragraph (b)(3)(ii) of this
section, shall be in accordance with the following table:
------------------------------------------------------------------------
Minimum space per
hamster (square Maximum
Age inches) population
-------------------- per
Dwarf Other enclosure
------------------------------------------------------------------------
Weaning to 5 wks........................ 5.0 10.0 20
5 to 10 wks............................. 7.5 12.5 16
10 wks. or more......................... 9 15.0 13
------------------------------------------------------------------------
(c) Space requirements for primary enclosures acquired on or after
August 15, 1990--(1) Guinea pigs. (i) Primary enclosures shall be
constructed and maintained so as to provide sufficient space for each
guinea pig contained therein to make normal postural adjustments with
adequte freedom of movement.
(ii) The interior height of any primary enclosure used to confine
guinea pigs shall be at least 7 inches (17.78 cm).
(iii) Each guinea pig shall be provided a minimum amount of floor
space in any primary enclosure as follows:
[[Page 61]]
------------------------------------------------------------------------
Minimum floor
space
Weight or stage of maturity ---------------
in\2\ cm\2\
------------------------------------------------------------------------
Weaning to 350 grams.................................... 60 387.12
>350 grams.............................................. 101 651.65
Nursing females with their litters...................... 101 651.65
------------------------------------------------------------------------
(2) Hamsters. (i) Primary enclosures shall be constructed and
maintained so as to provide sufficient space for each hamster contained
therein to make normal postural adjustments with adequate freedom of
movement.
(ii) The interior height of any primary enclosure used to confine
hamsters shall be at least 6 inches (15.24 cm).
(iii) Except as provided in paragraph (c)(2)(iv) of this section,
each hamster shall be provided a minimum amount of floor space in any
primary enclosure as follows:
------------------------------------------------------------------------
Weight Minimum floor
------------------------------------------------------- space per
hamster
g ozs -----------------
in2 cm2
------------------------------------------------------------------------
<60 <2.1 10 64.52
60 to 80 2.1-2.8 13 83.88
80 to 100 2.8-3.5 16 103.23
>100 >3.5 19 122.59
------------------------------------------------------------------------
(iv) A nursing female hamster, together with her litter, shall be
housed in a primary enclosure that contains no other hamsters and that
provides at least 121 square inches of floor space: Provided, however,
That in the case of nursing female dwarf hamsters such floor space shall
be at least 25 square inches.
(3) Innovative primary enclosures that do not precisely meet the
space requirements of paragraph (c)(1) or (c)(2) of this section, but
that do provide guinea pigs or hamsters with a sufficient volume of
space and the opportunity to express species-typical behavior, may be
used at research facilities when approved by the Institutional Animal
Care and Use Committee, and by dealers and exhibitors when approved by
the Administrator.
[32 FR 3273, Feb. 24, 1967, as amended at 55 FR 28882, July 16, 1990]
Animal Health and Husbandry Standards
Sec. 3.29 Feeding.
(a) Guinea pigs and hamsters shall be fed each day except as
otherwise might be required to provide adequate veterinary care. The
food shall be free from contamination, wholesome, palatable and of
sufficient quantity and nutritive value to meet the normal daily
requirements for the condition and size of the guinea pig or hamster.
(b) Food comprising the basic diet shall be at least equivalent in
quality and content to pelleted rations produced commercially and
commonly available from feed suppliers.
(c) The basic diet of guinea pigs and hamsters may be supplemented
with good quality fruits or vegetables consistent with their individual
dietary requirements.
(d) Food receptacles, if used, shall be accessible to all guinea
pigs or hamsters in a primary enclosure and shall be located so as to
minimize contamination by excreta. All food receptacles shall be kept
clean and shall be sanitized at least once every 2 weeks. If self-
feeders are used for the feeding of pelleted feed, measures must be
taken to prevent molding, deterioration or caking of the feed. Hamsters
may be fed pelleted feed on the floor of a primary enclosure.
(e) Fruit or vegetable food supplements may be placed upon the
bedding within the primary enclosure: Provided, however, That the
uneaten portion of such supplements and any bedding soiled as a result
of such feeding practices shall be removed from the primary enclosure
when such uneaten supplements accumulate or such bedding becomes soiled
to a degree that might be harmful or uncomfortable to animals therein.
Sec. 3.30 Watering.
Unless food supplements consumed by guinea pigs or hamsters supply
them with their normal water requirements, potable water shall be
provided daily except as might otherwise be required to provide adequate
veterinary
[[Page 62]]
care. Open containers used for dispensing water to guinea pigs or
hamsters shall be so placed in or attached to the primary enclosure as
to minimize contamination from excreta. All watering receptacles shall
be sanitized when dirty: Provided, however, That such receptacles shall
be sanitized at least once every 2 weeks.
Sec. 3.31 Sanitation.
(a) Cleaning and sanitation of primary enclosures. (1) Primary
enclosures shall be cleaned and sanitized often enough to prevent an
accumulation of excreta or debris: Provided, however, That such
enclosures shall be sanitized at least once every 2 weeks in the manner
provided in paragraph (a)(4) of this section.
(2) In the event a primary enclosure becomes soiled or wet to a
degree that might be harmful or uncomfortable to the animals therein due
to leakage of the watering system, discharges from dead or dying
animals, spoiled perishable foods, or moisture condensation, the guinea
pigs or hamsters shall be transferred to clean primary enclosures.
(3) Prior to the introduction of guinea pigs or hamsters into empty
primary enclosures previously occupied, such enclosures shall be
sanitized in the manner provided in paragraph (a)(4) of this section.
(4) Primary enclosures for guinea pigs or hamsters shall be
sanitized by washing them with hot water (180 deg. F.) and soap or
detergent as in a mechanical cage washer, or by washing all soiled
surfaces with a detergent solution followed by a safe and effective
disinfectant, or by cleaning all soiled surfaces with live steam.
(b) Housekeeping. Premises (buildings and grounds) shall be kept
clean and in good repair in order to protect the animals from injury and
to facilitate the prescribed husbandry practices set forth in this
subpart. Premises shall remain free of accumulations of trash.
(c) Pest control. An effective program for the control of insects,
ectoparasites, and avian and mammalian pests shall be established and
maintained.
Sec. 3.32 Employees.
A sufficient number of employees shall be utilized to maintain the
prescribed level of husbandry practices set forth in this subpart. Such
practices shall be under the supervision of an animal caretaker who has
a background in animal husbandry or care.
Sec. 3.33 Classification and separation.
Animals housed in the same primary enclosure shall be maintained in
compatible groups, with the following additional restrictions:
(a) Except where harem breeding is practiced, preweanling guinea
pigs shall not be housed in the same primary enclosure with adults other
than their parents.
(b) Guinea pigs shall not be housed in the same primary enclosure
with hamsters, nor shall guinea pigs or hamsters be housed in the same
primary enclosure with any other species of animals.
(c) Guinea pigs or hamsters under quarantine or treatment for a
communicable disease shall be separated from other guinea pigs or
hamsters and other susceptible species of animals in such a manner as to
minimize dissemination of such disease.
Sec. 3.34 [Reserved]
Transportation Standards
Authority: Sections 3.35 through 3.41 issued under secs. 3, 5, 6,
10, 11, 14, 16, 17, 21; 80 Stat. 353; 84 Stat. 1561, 1562, 1563, 1564;
90 Stat. 418, 419, 420, 423; (7 U.S.C. 2133, 2135, 2136, 2140, 2141,
2144, 2146, 2147, 2151); 37 FR 28464, 28477, 38 FR 19141.
Sec. 3.35 Consignments to carriers and intermediate handlers.
(a) Carriers and intermediate handlers shall not accept any live
guinea pig or hamster presented by any dealer, research facility,
exhibitor, operator of an auction sale, or other person, or any
department, agency, or instrumentality of the United States or any State
or local govenment for shipment, in commerce, more than 4 hours prior to
the scheduled departure of the primary conveyance on which it is to be
transported: Provided, however, That the carrier or intermediate handler
and any
[[Page 63]]
dealer, research facility, exhibitor, operator of an auction sale, or
other person, or any department, agency, or instrumentality of the
United States or any State or local government may mutually agree to
extend the time of acceptance to not more than 6 hours if specific prior
scheduling of the animal shipment to destination has been made.
(b) Any carrier or intermediate handler shall only accept for
transportation or transport, in commerce any live guinea pig or hamster
in a primary enclosure which conforms to the requirements set forth in
Sec. 3.36 of the standards: Provided, however, That any carrier or
intermediate handler may accept for transportation or transport, in
commerce, any live guinea pig or hamster consigned by any department,
agency, or instrumentality of the United States having laboratory animal
facilities or exhibiting animals, or any licensed or registered dealer,
research facility, exhibitor, or operator of an auction sale, if such
consignor furnishes to the carrier or intermediate handler a
certificate, signed by the consignor, stating that the primary enclosure
complies with Sec. 3.36 of the standards, unless such primary enclosure
is obviously defective or damaged and it is apparent that it cannot
reasonably be expected to contain the live guinea pig or hamster without
causing suffering or injury to such live guinea pig or hamster. A copy
of such certificate shall accompany the shipment to destination. The
certificate of compliance shall include at least the following
information:
(1) Name and address of the consignor;
(2) The number of guinea pigs or hamsters in the primary
enclosure(s);
(3) A certifying statement (e.g., ``I hereby certify that the ----
(number) primary enclosure(s) which are used to transport the animal(s)
in this shipment complies (comply) with USDA standards for primary
enclosures (9 CFR part 3).''); and
(4) The signature of the consignor, and date.
(c) Carriers or intermediate handlers whose facilities fail to meet
the minimum temperature allowed by the standards may accept for
transportation or transport, in commerce, any live hamster consigned by
any department, agency, or instrumentality of the United States or of
any State or local government, or by any person (including any licensee
or registrant under the Act, as well as any private individual) if the
consignor furnishes to the carrier or intermediate handler a certificate
executed by a veterinarian accredited by this Department pursuant to
part 160 of this title on a specified date which shall not be more than
10 days prior to delivery of such hamster for transportation in
commerce, stating that such live hamster is acclimated to air
temperatures lower than those prescribed in Secs. 3.40 and 3.41. A copy
of such certificate shall accompany the shipment to destination. The
certificate shall include the following information:
(1) Name and address of the consignor;
(2) The number of hamsters in the shipment;
(3) A certifying statement (e.g., ``I hereby certify that the
animal(s) in this shipment is (are), to the best of my knowledge,
acclimated to air temperatures lower than 7.2 deg. C. (45 deg. F.).'');
and
(4) The signature of the USDA accredited veterinarian, assigned
accreditation number, and date.
(d) Carriers and intermediate handlers shall attempt to notify the
consignee at least once in every 6 hour period following the arrival of
any live guinea pig or hamster at the animal holding area of the
terminal cargo facility. The time, date, and method of each attempted
notification and the final notification to the consignee and the name of
the person notifying the consignee shall be recorded on the copy of the
shipping document retained by the carrier or intermediate handler and on
a copy of the shipping document accompanying the animal shipment.
[42 FR 31563, June 21, 1977, as amended at 43 FR 22163, May 16, 1978; 44
FR 63492, Nov. 2, 1979]
[[Page 64]]
Sec. 3.36 Primary enclosures used to transport live guinea pigs and hamsters.
No person subject to the Animal Welfare regulations shall offer for
transportation, or transport, in commerce any live guinea pig or hamster
in a primary enclosure that does not conform to the following
requirements:
(a) Primary enclosures, such as compartments, transport cages,
cartons, or crates, used to transport live guinea pigs or hamsters shall
be constructed in such a manner that (1) the structural strength of the
enclosure shall be sufficient to contain the live guinea pigs or
hamsters and to withstand the normal rigors of transportation; (2) the
interior of the enclosure shall be free from any protrusions that could
be injurious to the live guinea pigs or hamsters contained therein; (3)
the inner surfaces of corrugated fiberboard, cardboard, or plastic
containers shall be covered or laminated with wire mesh or screen where
necessary to prevent escape of the animals; (4) the openings of such
enclosures are easily accessible at all times for emergency removal of
the live guinea pigs or hamsters; (5) except as provided in paragraph
(i) of this section, there are ventilation openings located on two
opposite walls of the primary enclosure and the ventilation openings on
each such wall shall be at least 16 percent of the total surface area of
each such wall, or there are ventilation openings located on all four
walls of the primary enclosure and the ventilation openings on each such
wall shall be at least 8 percent of the total surface area of each such
wall: Provided, however, That at least one-third of the total minimum
area required for ventilation of the primary enclosure shall be located
on the lower one-half of the primary enclosure and at least one-third of
the total minimum area required for ventilation of the primary enclosure
shall be located on the upper one-half of the primary enclosure; (6)
except as provided in paragraph (i) of this section, projecting rims or
other devices shall be on the exterior of the outside walls with any
ventilation openings to prevent obstruction of the ventilation openings
and to provide a minimum air circulation space of 1.9 centimeters (.75
inches) between the primary enclosure and any adjacent cargo or
conveyance wall; and (7) except as provided in paragraph (i) of this
section, adequate handholds or other devices for lifting shall be
provided on the exterior of the primary enclosure to enable the primary
enclosure to be lifted without tilting and to ensure that the person
handling the primary enclosure will not be in contact with the guinea
pigs or hamsters.
(b) Live guinea pigs or hamsters tranported in the same primary
enclosure shall be of the same species and maintained in compatible
groups.
(c) Primary enclosures used to transport live guinea pigs or
hamsters shall be large enough to ensure that each animal contained
therein has sufficient space to turn about freely and to make normal
postural adjustments.
(d) Not more than 15 live guinea pigs shall be transported in the
same primary enclosure. No more than 50 live hamsters shall be
transported in the same primary enclosure.
(e) In addition to the other provisions of this section, the
following requirements shall also apply to primary enclosures used to
transport live guinea pigs or hamsters:
(1) Guinea pigs. (i) The interior height of primary enclosures used
to tranport live guinea pigs weighing up to 500 grams shall be at least
15.2 centimeters (6 inches) and the interior height of primary
enclosures used to transport live guinea pigs weighing over 500 grams
shall be at least 17.8 centimeters (7 inches).
(ii) Each live guinea pig transported in a primary enclosure shall
be provided a minimum amount of floor space in accordance with the
following table:
Minimum space per live guinea pig
------------------------------------------------------------------------
Square Square
Weight (grams) centimeters inches
------------------------------------------------------------------------
Up to 350...................................... 193.6 30
350 to 600..................................... 290.3 45
Over 600....................................... 354.8 55
------------------------------------------------------------------------
(2) Hamsters. (i) The interior height of primary enclosures used to
transport live hamsters shall be at least 15.2 centimeters (6 inches)
except that in the case of dwarf hamsters such interior
[[Page 65]]
height shall be at least 12.7 centimeters (5 inches).
(ii) Each live hamster transported in a primary enclosure shall be
provided a minimum amount of floor space in accordance with the
following table:
Minimum space per live hamster
----------------------------------------------------------------------------------------------------------------
Dwarf Other
-----------------------------------------------
Age Square Square Square Square
centimeters inches centimeters inches
----------------------------------------------------------------------------------------------------------------
Weaning to 5 wks................................................ 32.2 5.0 45.2 7
5 to 10 wks..................................................... 48.3 7.5 71.0 11
Over 10 wks..................................................... 58.1 9.0 96.8 15
----------------------------------------------------------------------------------------------------------------
(f) Primary enclosures used to transport live guinea pigs or
hamsters as provided in this section shall have solid bottoms to prevent
leakage in shipment and shall be cleaned and sanitized in a manner
prescribed in Sec. 3.31 of the standards, if previously used. Such
primary enclosures shall contain clean litter of a suitable absorbent
material, which is safe and nontoxic to the guinea pigs or hamsters, in
sufficient quantity to absorb and cover excreta, unless the guinea pigs
or hamsters are on wire or other nonsolid floors.
(g) Primary enclosures used to transport live guinea pigs or
hamsters, except where such primary enclosures are permanently affixed
in the animal cargo space of the primary conveyance, shall be clearly
marked on top and on one or more sides with the words ``Live Animals''
in letters not less than 2.5 centimeters (1 inch) in height, and with
arrows or other markings, to indicate the correct upright position of
the container.
(h) Documents accompanying the shipment shall be attached in an
easily accessible manner to the outside of a primary enclosure which is
part of such shipment.
(i) When a primary enclosure is permanently affixed within the
animal cargo space of the primary conveyance so that the front opening
is the only source of ventilation for such primary enclosure, the front
opening shall open directly to the outside or to an unobstructed aisle
or passageway within the primary conveyance. Such front ventilation
opening shall be at least 90 percent of the total surface area of the
front wall of the primary enclosure and covered with bars, wire mesh or
smooth expanded metal.
[42 FR 31563, June 21, 1977, as amended at 43 FR 21163, May 16, 1978; 55
FR 28882, July 16, 1990]
Sec. 3.37 Primary conveyances (motor vehicle, rail, air, and marine).
(a) The animal cargo space of primary conveyances used in
transporting live guinea pigs and hamsters shall be designed and
constructed to protect the health, and ensure the safety and comfort of
the live guinea pigs and hamsters at all times.
(b) The animal cargo space shall be constructed and maintained in a
manner to prevent the ingress of engine exhaust fumes and gases from the
primary conveyance during transportation in commerce.
(c) No live guinea pig or hamster shall be placed in an animal cargo
space that does not have a supply of air sufficient for normal breathing
for each live animal contained therein, and the primary enclosures shall
be positioned in the animal cargo space in such a manner that each live
guinea pig or hamster has access to sufficient air for normal breathing.
(d) Primary enclosures shall be positioned in the primary conveyance
in such a manner that in an emergency the live guinea pigs or hamsters
can be removed from the primary conveyance as soon as possible.
(e) The interior of the animal cargo space shall be kept clean.
(f) Live guinea pigs and hamsters shall not be transported with any
material, substance (e.g., dry ice) or device which may reasonably be
expected to be injurious to the health and well-
[[Page 66]]
being of the guinea pigs and hamsters unless proper precaution is taken
to prevent such injury.
(g) The animal cargo space of primary conveyances used to transport
guinea pigs or hamsters shall be mechanically sound and provide fresh
air by means of windows, doors, vents, or air conditioning so as to
minimize drafts, odors, and moisture condensation. Auxiliary
ventilation, such as fans, blowers, or air conditioners, shall be used
in any cargo space containing live guinea pigs or hamsters when the
ambient temperature in the animal cargo space is 75 deg.F (23.9 deg.C)
or higher. The ambient temperature within the animal cargo space shall
not exceed 85 deg.F (29.5 deg.C) or fall below 45 deg.F (7.2 deg.C),
except that the ambient temperature in the cargo space may be below 45
deg.F (7.2 deg.C) for hamsters if the hamsters are accompanied by a
certificate of acclimation to lower temperatures, as provided in
Sec. 3.35(c) of this part.
[42 FR 31563, June 21, 1977, as amended at 55 FR 28882, July 16, 1990]
Sec. 3.38 Food and water requirements.
(a) If live guinea pigs or hamsters are to be transported for a
period of more than 6 hours, the animals shall have access to food and
water or a type of food, which provides the requirements for food and
water in quantity and quality sufficient to satisfy their food and water
needs, during transit.
(b) Any dealer, research facility, exhibitor or operator of an
auction sale offering any live guinea pig or hamster to any carrier or
intermediate handler for transportation, in commerce, shall provide an
adequate supply of food or type of food, which provides the requirements
for food and water, within the primary enclosure to meet the
requirements of this section.
(c) No carrier or intermediate handler shall accept for
transportation, in commerce, any live guinea pig or hamster without an
adequate supply of food or type of food, which provides the requirements
for food and water, within the primary enclosure to meet the
requirements of this section.
[42 FR 31563, June 21, 1977]
Sec. 3.39 Care in transit.
(a) During surface transportation, it shall be the responsibility of
the driver or other employee to visually observe the live guinea pigs or
hamsters as frequently as circumstances may dictate, but not less than
once every 4 hours, to assure that they are receiving sufficient air for
normal breathing, their ambient temperatures are within the prescribed
limits, all other applicable standards are being complied with and to
determine whether any of the live guinea pigs or hamsters are in obvious
physical distress and to provide any needed veterinary care as soon as
possible. When transported by air, live guinea pigs and hamsters shall
be visually observed by the carrier as frequently as circumstances may
dictate, but not less than once every 4 hours, if the animal cargo space
is accessible during flight. If the animal cargo space is not accessible
during flight, the carrier shall visually observe the live guinea pigs
or hamsters whenever loaded and unloaded and whenever the animal cargo
space is otherwise accessible to assure that they are receiving
sufficient air for normal breathing, their ambient temperatures are
within the prescribed limits, all other applicable standards are being
complied with and to determine whether any such live guinea pigs or
hamsters are in obvious physical distress. The carrier shall provide any
needed veterinary care as soon as possible. No guinea pig or hamster in
obvious physical distress shall be transported in commerce.
(b) During the course of transportation, in commerce, live guinea
pigs or hamsters shall not be removed from their primary enclosures
unless placed in other primary enclosures or facilities conforming to
the requirements provided in this subpart.
[42 FR 31563, June 21, 1977]
Sec. 3.40 Terminal facilities.
No person subject to the Animal Welfare regulations shall commingle
shipments of live guinea pigs or hamsters with inanimate cargo. All
animal holding areas of a terminal facility where shipments of live
guinea pigs or hamsters are maintained shall be cleaned and sanitized as
prescribed in Sec. 3.31 of
[[Page 67]]
the standards often enough to prevent an accumulation of debris or
excreta, to minimize vermin infestation, and to prevent a disease
hazard. An effective program for the control of insects, ectoparasites,
and avian and mammalian pests shall be established and maintained for
all animal holding areas. Any animal holding area containing live guinea
pigs or hamsters shall be provided with fresh air by means of windows,
doors, vents, or air conditioning and may be ventilated or air
circulated by means of fans, blowers, or an air conditioning system so
as to minimize drafts, odors, and moisture condensation. Auxiliary
ventilation, such as exhaust fans and vents or fans or blowers or air
conditioning shall be used for any animal holding area containing live
guinea pigs and hamsters when the air temperature within such animal
holding area is 23.9 deg. C. (75. deg. F.) or higher. The air
temperature around any live guinea pig or hamster in any animal holding
area shall not be allowed to fall below 7.2 deg. C. (45 deg. F.) nor be
allowed to exceed 29.5 deg. C. (85 deg. F.) at any time. To ascertain
compliance with the provisions of this paragraph, the air temperature
around any live guinea pig or hamster shall be measured and read outside
the primary enclosure which contains such guinea pig or hamster at a
distance not to exceed .91 meters (3 feet) from any one of the external
walls of the primary enclosure and measured on a level parallel to the
bottom of such primary enclosure at a point which approximates half the
distance between the top and bottom of such primary enclosure.
[43 FR 56215, Dec. 1, 1978, as amended at 55 FR 28883, July 16, 1990]
Sec. 3.41 Handling.
(a) Any person who is subject to the Animal Welfare regulations and
who moves live guinea pigs or hamsters from an animal holding area of a
terminal facility to a primary conveyance or vice versa shall do so as
quickly and efficiently as possible. Any person subject to the Animal
Welfare Act and holding any live guinea pig or hamster in an animal
holding area of a terminal facility or transporting any live guinea pig
or hamster to or from a terminal facility shall provide the following:
(1) Shelter from sunlight. When sunlight is likely to cause
overheating or discomfort, sufficient shade shall be provided to protect
the live guinea pigs and hamsters from the direct rays of the sun and
such live guinea pigs or hamsters shall not be subjected to surrounding
air temperatures which exceed 29.5 deg. C. (85 deg. F.), and which shall
be measured and read in the manner prescribed Sec. 3.40 of this part,
for a period of more than 45 minutes.
(2) Shelter from rain or snow. Live guinea pigs and hamsters shall
be provided protection to allow them to remain dry during rain or snow.
(3) Shelter from cold weather. Transporting devices shall be covered
to provide protection for live guinea pigs and hamsters when the outdoor
air temperature falls below 10 deg. C. (50 deg. F.), and such live
guinea pigs and hamsters shall not be subjected to surrounding air
temperatures which fall below 7.2 deg. C. (45 deg. F.), and which shall
be measured and read in the manner prescribed in Sec. 3.40 of this part,
for a period of more than 45 minutes.
(b) Care shall be exercised to avoid handling of the primary
enclosure in such a manner that may cause physical or emotional trauma
to the live guinea pig or hamster contained therein.
(c) Primary enclosures used to transport any live guinea pig or
hamster shall not be tossed, dropped, or needlessly tilted and shall not
be stacked in a manner which may reasonably be expected to result in
their falling.
[43 FR 21163, May 16, 1978, as amended at 43 FR 56216, Dec. 1, 1978; 55
FR 28883, July 16, 1990]
Subpart C--Specifications for the Humane Handling, Care, Treatment and
Transportation of Rabbits
Facilities and Operating Standards
Sec. 3.50 Facilities, general.
(a) Structural strength. Indoor and outdoor housing facilities for
rabbits shall be structurally sound and shall be maintained in good
repair, to protect the animals from injury, to contain the animals, and
to restrict the entrance of other animals.
[[Page 68]]
(b) Water and electric power. Reliable and adequate electric power,
if required to comply with other provisions of this subpart, and
adequate potable water shall be available.
(c) Storage. Supplies of food and bedding shall be stored in
facilities which adequately protect such supplies against infestation or
contamination by vermin. Refrigeration shall be provided for supplies of
perishable food.
(d) Waste disposal. Provision shall be made for the removal and
disposal of animal and food wastes, bedding, dead animals, and debris.
Disposal facilities shall be so provided and operated as to minimize
vermin infestation, odors, and disease hazards.
(e) Washroom and sinks. Facilities, such as washrooms, basins, or
sinks, shall be provided to maintain cleanliness among animal
caretakers.
[32 FR 3273, Feb. 24, 1967, as amended at 44 FR 63492, Nov. 2, 1979]
Sec. 3.51 Facilities, indoor.
(a) Heating. Indoor housing facilities for rabbits need not be
heated.
(b) Ventilation. Indoor housing facilities for rabbits shall be
adequately ventilated to provide for the health and comfort of the
animals at all times. Such facilities shall be provided with fresh air
either by means of windows, doors, vents, or air conditioning and shall
be ventilated so as to minimize drafts, odors, and moisture
condensation. Auxiliary ventilation, such as exhaust fans and vents or
air conditioning, shall be provided when the ambient temperature is
85 deg. F. or higher.
(c) Lighting. Indoor housing facilities for rabbits shall have ample
light, by natural or artificial means, or both, of good quality and well
distributed. Such lighting shall provide uniformly distributed
illumination of sufficient light intensity to permit routine inspection
and cleaning during the entire working period. Primary enclosures shall
be so placed as to protect the rabbits from excessive illumination.
(d) Interior surfaces. The interior building surfaces of indoor
housing facilities shall be constructed and maintained so that they are
substantially impervious to moisture and may be readily sanitized.
Sec. 3.52 Facilities, outdoor.
(a) Shelter from sunlight. When sunlight is likely to cause
overheating or discomfort, sufficient shade shall be provided to allow
all rabbits kept outdoors to protect themselves from the direct rays of
the sun. When the atmospheric temperature exceeds 90 deg. F. artificial
cooling shall be provided by a sprinkler system or other means.
(b) Shelter from rain or snow. Rabbits kept outdoors shall be
provided with access to shelter to allow them to remain dry during rain
or snow.
(c) Shelter from cold weather. Shelter shall be provided for all
rabbits kept outdoors when the atmospheric temperature falls below
40 deg. F.
(d) Protection from predators. Outdoor housing facilities for
rabbits shall be fenced or otherwise enclosed to minimize the entrance
of predators.
(e) Drainage. A suitable method shall be provided to rapidly
eliminate excess water.
Sec. 3.53 Primary enclosures.
All primary enclosures for rabbits shall conform to the following
requirements:
(a) General. (1) Primary enclosures shall be structurally sound and
maintained in good repair to protect the rabbits from injury, to contain
them, and to keep predators out.
(2) Primary enclosures shall be constructed and maintained so as to
enable the rabbits to remain dry and clean.
(3) Primary enclosures shall be constructed and maintained so that
the rabbits contained therein have convenient access to clean food and
water as required in this subpart.
(4) The floors of the primary enclosures shall be constructed so as
to protect the rabbits' feet and legs from injury. Litter shall be
provided in all primary enclosures having solid floors.
(5) A suitable nest box containing clean nesting material shall be
provided in each primary enclosure housing a female with a litter less
than one month of age.
(b) Space requirements for primary enclosures acquired before August
15, 1990. Primary enclosures shall be constructed and maintained so as
to provide sufficient space for the animal to
[[Page 69]]
make normal postural adjustments with adequate freedom of movement. Each
rabbit housed in a primary enclosure shall be provided a minimum amount
of floor space, exclusive of the space taken up by food and water
receptacles, in accordance with the following table:
------------------------------------------------------------------------
Minimum
space per
Category Individual weights rabbit
(pounds) (square
inches)
------------------------------------------------------------------------
Groups.............................. 3 through 5........... 144
6 through 8........... 288
9 or more............. 432
Individual adults................... 3 through 5........... 180
6 through 8........... 360
9 through 11.......... 540
12 or more............ 720
Nursing females..................... 3 through 5........... 576
6 through 8........... 720
9 through 11.......... 864
12 or more............ 1080
------------------------------------------------------------------------
(c) Space requirements for primary enclosures acquired on or after
August 15, 1990.
(1) Primary enclosures shall be constructed and maintained so as to
provide sufficient space for the animal to make normal postural
adjustments with adequate freedom of movement.
(2) Each rabbit housed in a primary enclosure shall be provided a
minimum amount of floor space, exclusive of the space taken up by food
and water receptacles, in accordance with the following table:
----------------------------------------------------------------------------------------------------------------
Individual weights Minimum floor space Minimum interior height
-----------------------------------------------------------------------------
kg lbs m2 ft2 cm in
----------------------------------------------------------------------------------------------------------------
Individual rabbits (weaned)....... <2
2-4
4-5.4
>5.4 <4.4
4.4-8.8
8.8-11.9
>11.9 0.14
0.28
0.37
0.46 1.5
3.0
4.0
5.0 35.56
35.56
35.56
35.56 14
14
14
14
----------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------
Weight of nursing female Minimum floor space/ Minimum interior height
-------------------------- female & litter -------------------------
--------------------------
kg lbs m2 ft2 cm in
----------------------------------------------------------------------------------------------------------------
Females with litters.............. <2
2-4
4-5.4
>5.4 <4.4
4.4-8.8
8.8-11.9
>11.9 0.37
0.46
0.56
0.70 4.0
5.0
6.0
7.5 35.56
35.56
35.56
35.56 14
14
14
14
----------------------------------------------------------------------------------------------------------------
(3) Innovative primary enclosures that do not precisely meet the
space requirements of paragraph (c)(2) of this section, but that do
provide rabbits with a sufficient volume of space and the opportunity to
express species-typical behavior, may be used at research facilities
when approved by the Institutional Animal Care and Use Committee, and by
dealers and exhibitors when approved by the Administrator.
[32 FR 3273, Feb. 24, 1967, as amended at 55 FR 28883, July 16, 1990]
Animal Health and Husbandry Standards
Sec. 3.54 Feeding.
(a) Rabbits shall be fed at least once each day except as otherwise
might be required to provide adequate veterinary care. The food shall be
free from contamination, wholesome, palatable and of sufficient quantity
and nutritive value to meet the normal daily requirements for the
condition and size of the rabbit.
(b) Food receptacles shall be accessible to all rabbits in a primary
enclosure and shall be located so as to minimize contamination by
excreta. All food receptacles shall be kept clean and sanitized at least
once every 2 weeks. If self feeders are used for the feeding of dry
feed, measures must be taken to prevent molding, deterioration or caking
of the feed.
[[Page 70]]
Sec. 3.55 Watering.
Sufficient potable water shall be provided daily except as might
otherwise be required to provide adequate veterinary care. All watering
receptacles shall be sanitized when dirty: Provided, however, That such
receptacles shall be sanitized at least once every 2 weeks.
Sec. 3.56 Sanitation.
(a) Cleaning of primary enclosures. (1) Primary enclosures shall be
kept reasonably free of excreta, hair, cobwebs and other debris by
periodic cleaning. Measures shall be taken to prevent the wetting of
rabbits in such enclosures if a washing process is used.
(2) In primary enclosures equipped with solid floors, soiled litter
shall be removed and replaced with clean litter at least once each week.
(3) If primary enclosures are equipped with wire or mesh floors, the
troughs or pans under such enclosures shall be cleaned at least once
each week. If worm bins are used under such enclosures they shall be
maintained in a sanitary condition.
(b) Sanitization of primary enclosures. (1) Primary enclosures for
rabbits shall be sanitized at least once every 30 days in the manner
provided in paragraph (b)(3) of this section.
(2) Prior to the introduction of rabbits into empty primary
enclosures previously occupied, such enclosures shall be sanitized in
the manner provided in paragraph (b)(3) of this section.
(3) Primary enclosures for rabbits shall be sanitized by washing
them with hot water (180 deg. F.) and soap or detergent as in a
mechanical cage washer, or by washing all soiled surfaces with a
detergent solution followed by a safe and effective disinfectant, or by
cleaning all soiled surfaces with live steam or flame.
(c) Housekeeping. Premises (buildings and grounds) shall be kept
clean and in good repair in order to protect the animals from injury and
to facilitate the prescribed husbandry practices set forth in this
subpart. Premises shall remain free of accumulations of trash.
(d) Pest control. An effective program for the control of insects,
ectoparasites, and avian and mammalian pests shall be established and
maintained.
Sec. 3.57 Employees.
A sufficient number of employees shall be utilized to maintain the
prescribed level of husbandry practices set forth in this subpart. Such
practices shall be under the supervision of an animal caretaker who has
a background in animal husbandry or care.
Sec. 3.58 Classification and separation.
Animals housed in the same primary enclosure shall be maintained in
compatible groups, with the following additional restrictions:
(a) Rabbits shall not be housed in the same primary enclosure with
any other species of animals unless required for scientific reasons.
(b) Rabbits under quarantine or treatment for a communicable disease
shall be separated from other rabbits and other susceptible species of
animals in such a manner as to minimize dissemination of such disease.
Sec. 3.59 [Reserved]
Transportation Standards
Authority: Sections 3.60 through 3.66 issued under secs. 3, 5, 6,
10, 11, 14, 16, 17, 21; 80 Stat. 353; 84 Stat. 1561, 1562, 1563, 1564;
90 Stat. 418, 420, 423 (7 U.S.C. 2133, 2135, 2136, 2140, 2141, 2144,
2146, 2147, 2151); 37 FR 28464, 28477, 38 FR 19141.
Source: Sections 3.60 through 3.66 appear at 42 FR 31565, June 21,
1977, unless otherwise noted.
Sec. 3.60 Consignments to carriers and intermediate handlers.
(a) Carriers and intermediate handlers shall not accept any live
rabbit presented by any dealer, research facility, exhibitor, operator
of an auction sale, or other person, or any department, agency, or
instrumentality of the United States or any State or local government
for shipment, in commerce, more than 4 hours prior to the scheduled
departure of the primary conveyance on which it is to be transported:
Provided, however, That the carrier or intermediate handler and any
[[Page 71]]
dealer, research facility, exhibitor, operator of an auction sale, or
other person, or any department, agency, or instrumentality of the
United States or any State or local government may mutually agree to
extend the time of acceptance to not more than 6 hours if specific prior
scheduling of the animal shipment to destination has been made.
(b) Any carrier or intermediate handler shall only accept for
transportation or transport, in commerce, any live rabbit in a primary
enclosure which conforms to the requirements set forth in Sec. 3.61 of
the standards: Provided, however, That any carrier or intermediate
handler may accept for transportation or transport, in commerce, any
live rabbit consigned by any department, agency, or instrumentality of
the United States having laboratory animal facilities or exhibiting
animals or any licensed or registered dealer, research facility,
exhibitor, or operator of any auction sale, if such consignor furnishes
to the carrier or intermediate handler a certificate, signed by the
consignor, stating that the primary enclosure complies with Sec. 3.61 of
the standards, unless such primary enclosure is obviously defective or
damaged and it is apparent that it cannot reasonably be expected to
contain the live rabbit without causing suffering or injury to such live
rabbit. A copy of such certificate shall accompany the shipment to
destination. The certificate shall include at least the following
information:
(1) Name and address of the consignor;
(2) The number of rabbits in the primary enclosure(s);
(3) A certifying statement (e.g., ``I hereby certify that the ----
(number) primary enclosure(s) which are used to transport the animal(s)
in this shipment complies (comply) with USDA standards for primary
enclosures (9 CFR part 3).''); and
(4) The signature of the consignor, and date.
(c) Carriers or intermediate handlers whose facilities fail to meet
the minimum temperature allowed by the standards may accept for
transportation or transport, in commerce, any live rabbit consigned by
any department, agency, or instrumentality of the United States or of
any State or local government, or by any person (including any licensee
or registrant under the Act, as well as any private individual) if the
consignor furnishes to the carrier or intermediate handler a certificate
executed by a veterinarian accredited by this Department pursuant to
part 160 of this title on a specified date which shall not be more than
10 days prior to delivery of such rabbit for transportation in commerce,
stating that such live rabbit is acclimated to air temperatures lower
than those prescribed in Secs. 3.65 and 3.66. A copy of such certificate
shall accompany the shipment to destination. The certificate shall
include at least the following information:
(1) Name and address of the consignor;
(2) The number of rabbits in the shipment;
(3) A certifying statement (e.g., ``I hereby certify that the
animal(s) in this shipment is (are), to the best of my knowledge,
acclimated to air temperatures lower than 7.2 deg. C. (45 deg. F.).)'';
and
(4) The signature of the USDA accredited veterinarian, assigned
accreditation number, and date.
(d) Carriers and intermediate handlers shall attempt to notify the
consignee at least once in every 6 hour period following the arrival of
any live rabbit at the animal holding area of the terminal cargo
facility. The time, date, and method of each attempted notification and
the final notification to the consignee and the name of the person
notifying the consignee shall be recorded on the copy of the shipping
document retained by the carrier or intermediate handler and on a copy
of the shipping document accompanying the animal shipment.
[42 FR 31565, June 21, 1977, as amended at 43 FR 21164, May 16, 1978; 44
FR 63493, Nov. 2, 1979]
Sec. 3.61 Primary enclosures used to transport live rabbits.
No person subject to the Animal Welfare regulations shall offer for
transportation or transport in commerce any live rabbit in a primary
enclosure
[[Page 72]]
that does not conform to the following requirements:
(a) Primary enclosures, such as compartments, transport cages,
cartons, or crates, used to transport live rabbits shall be constructed
in such a manner that:
(1) The stuctural strength of the enclosure shall be sufficient to
contain the live rabbits and to withstand the normal rigors of
transportation;
(2) The interior of the enclosure shall be free from any protrusions
that could be injurious to the live rabbits contained therein;
(3) The openings of such enclosures are easily accessible at all
times for emergency removal of the live rabbits;
(4) Except as provided in paragraph (h) of this section, there are
ventilation openings located on two opposite walls of the primary
enclosure and the ventilation openings on each such wall shall be at
least 16 percent of the total surface area of each such wall, or there
are ventilation openings located on all four walls of the primary
enclosure and the ventilation openings on each such wall shall be at
least 8 percent of the total surface area of each such wall: Provided,
however, That at least one-third of the total minimum area required for
ventilation of the primary enclosure shall be located on the lower one-
half of the primary enclosure and at least one-third of the total
minimum area required for ventilation of the primary enclosure shall be
located on the upper one-half of the primary enclosure;
(5) Except as provided in paragraph (h) of this section, projecting
rims or other devices shall be on the exterior of the outside walls with
any ventilation openings to prevent obstruction of the ventilation
openings and to provide a minimum air circulation space 1.9 centimeters
(.75 inch) between the primary enclosure and any adjacent cargo or
conveyance wall; and
(6) Except as provided in paragraph (h) of this section, adequate
handholds or other devices for lifting shall be provided on the exterior
of the primary enclosure to enable the primary enclosure to be lifted
without tilting and to ensure that the person handling the primary
enclosure will not be in contact with the rabbit.
(b) Live rabbits transported in the same primary enclosure shall be
maintained in compatible groups and shall not be transported in the same
primary enclosure with other specie of animals.
(c) Primary enclosures used to transport live rabbits shall be large
enough to ensure that each rabbit contained therein has sufficient space
to turn about freely and to make normal postural adjustments.
(d) Not more than 15 live rabbits shall be transported in the same
primary enclosure.
(e) Primary enclosures used to transport live rabbits as provided in
this section shall have solid bottoms to prevent leakage in shipment and
shall be cleaned and sanitized in a manner prescribed in Sec. 3.56 of
the standards, if previously used. Such primary enclosures shall contain
clean litter of a suitable absorbent material which is safe and nontoxic
to the rabbits, in sufficient quantity to absorb and cover excreta,
unless the rabbits are on wire or other nonsolid floors.
(f) Primary enclosures used to transport live rabbits, except where
such primary enclosures are permanently affixed in the animal cargo
space of the primary conveyance, shall be clearly marked on top and on
one or more sides with the works ``Live Animal'' in letters not less
than 2.5 centimeters (1 inch) in height, and with arrows or other
markings, to indicate the correct upright position of the container.
(g) Documents accompanying the shipment shall be attached in an
easily accessible manner to the outside of a primary enclosure which is
part of such shipment.
(h) When a primary enclosure is permanently affixed within the
animal cargo space of the primary conveyance so that the front opening
is the only source of ventilation for such primary enclosure, the front
opening shall open directly to the outside or to an unobstructed aisle
or passageway within the primary conveyance. Such front ventilation
opening shall be at least 90 percent of the total surface area of the
front wall of the primary enclosure and
[[Page 73]]
covered with bars, wire mesh or smooth expanded metal.
[42 FR 31565, June 21, 1977, as amended at 43 FR 21164, May 16, 1978; 55
FR 28883, July 16, 1990]
Sec. 3.62 Primary conveyances (motor vehicle, rail, air, and marine).
(a) The animal cargo space of primary conveyances used in
transporting live rabbits shall be designed and constructed to protect
the health, and ensure the safety and comfort of the rabbits contained
therein at all times.
(b) The animal cargo space shall be constructed and maintained in a
manner to prevent the ingress of engine exhaust fumes and gases from the
primary conveyance during transportation in commerce.
(c) No live rabbit shall be placed in an animal cargo space that
does not have a supply of air sufficient for normal breathing for each
live animal contained therein, and the primary enclosures shall be
positioned in the animal cargo space in such a manner that each rabbit
has access to sufficient air for normal breathing.
(d) Primary enclosures shall be positioned in the primary conveyance
in such a manner that in an emergency the live rabbits can be removed
from the primary conveyance as soon as possible.
(e) The interior of the animal cargo space shall be kept clean.
(f) Live rabbits shall not be transported with any material,
substance (e.g., dry ice) or device which may reasonably be expected to
be injurious to the health and well-being of the rabbits unless proper
precaution is taken to prevent such injury.
(g) The animal cargo space of primary conveyances used to transport
rabbits shall be mechanically sound and provide fresh air by means of
windows, doors, vents, or air conditioning so as to minimize drafts,
odors, and moisture condensation. Auxiliary ventilation, such as fans,
blowers, or air conditioners, shall be used in any cargo space
containing live rabbits when the ambient temperature in the animal cargo
space is 75 deg.F (23.9 deg.C) or higher. The ambient temperature
within the animal cargo space shall not exceed 85 deg.F (29.5 deg.C)
or fall below 45 deg.F (7.2 deg.C), except that the ambient
temperature in the cargo space may be below 45 deg.F (7.2 deg.C) if
the rabbits are accompanied by a certificate of acclimation to lower
temperatures, as provided in Sec. 3.60(c) of this part.
[42 FR 31565, June 21, 1977, as amended at 55 FR 28883, July 16, 1990]
Sec. 3.63 Food and water requirements.
(a) If live rabbits are to be transported for a period of more than
6 hours, they shall have access to food and water or a type of food,
which provides the requirements for food and water in quantity and
quality sufficient to satisfy their food and water needs, during
transit.
(b) Any dealer, research facility, exhibitor or operator of an
auction sale offering any live rabbit to any carrier or intermediate
handler for transportation, in commerce, shall provide an adequate
supply of food or type of food, which provides the requirements for food
and water, within the primary enclosure to meet the requirements of this
section.
(c) No carrier or intermediate handler shall accept for
transportation, in commerce, any live rabbit without an adequate supply
of food or type of food, which provides the requirements for food and
water, within the primary enclosure to meet the requirements of this
section.
Sec. 3.64 Care in transit.
(a) During surface transportation, it shall be th responsibility of
the driver or other employee to visually observe the live rabbits as
frequently as circumstances may dictate, but not less than once every 4
hours, to assure that they are receiving sufficient air for normal
breathing, their ambient temperatures are within the prescribed limits,
all other applicable standards are being complied with and to determine
whether any of the live rabbits are in obvious physical disress and to
provide any needed veterinary care as soon as possible. When transported
by air, live rabbits shall be visually observed by the carrier as
frequently as circumstances may dictate, but not less than once every 4
hours, if the cargo space is accessible during flight.
[[Page 74]]
If the animal cargo space is not accessible during flight, the carrier
shall visually observe the live rabbits whenever loaded and unloaded and
whenever the animal cargo space is otherwise accessible to assure that
they are receiving sufficient air for normal breathing, their ambient
temperatures are within the prescribed limits, all other applicable
standards are being complied with and to determine whether any such live
rabbits are in obvious physical distress. The carrier shall provide any
needed veterinary care as soon as possible. No rabbit in obvious
physical distress shall be transported in commerce.
(b) During the course of transportation, in commerce, live rabbits
shall not be removed from their primary enclosures unless placed in
other primary enclosures or facilities conforming to the requirements
provided in this subpart.
Sec. 3.65 Terminal facilities.
No person subject to the Animal Welfare regulations shall commingle
shipments of live rabbits with inanimate cargo. All animal holding areas
of a terminal facility where shipments of rabbits are maintained shall
be cleaned and sanitized as prescribed in Sec. 3.56 of the standards
often enough to prevent an accumulation of debris or excreta, to
minimize vermin infestation, and to prevent a disease hazard. An
effective program for the control of insects, ectoparasites, and avian
and mammalian pests shall be established and maintained for all animal
holding areas. Any animal holding area containing live rabbits shall be
provided with fresh air by means of windows, doors, vents, or air
conditioning and may be ventilated or air circulated by means of fans,
blowers, or an air conditioning system so as to minimize drafts, odors,
and moisture condensation. Auxiliary ventilation, such as exhaust fans
and vents or fans or blowers or air conditioning shall be used for any
animal holding area containing live rabbits when the air temperature
within such animal holding area is 23.9 deg. C. (75 deg. F.) or higher.
The air temperature around any live rabbit in any animal holding area
shall not be allowed to fall below 7.2 deg. C. (45 deg. F.) nor be
allowed to exceed 29.5 deg. C. (85 deg. F.) at any time. To ascertain
compliance with the provisions of this paragraph, the air temperature
around any live rabbit shall be measured and read outside the primary
enclosure which contains such rabbit at a distance not to exceed .91
meters (3 feet) from any one of the external walls of the primary
enclosure and on a level parallel to the bottom of such primary
enclosure at a point which approximates half the distance between the
top and bottom of such primary enclosure.
[43 FR 56216, Dec. 1, 1978, as amended at 55 FR 28883, July 16, 1990]]
Sec. 3.66 Handling.
(a) Any person who is subject to the Animal Welfare regulations and
who moves live rabbits from an animal holding area of a terminal
facility to a primary conveyance or vice versa shall do so as quickly
and efficiently as possible. Any person subject to the Animal Welfare
regulations and holding any live rabbit in an animal holding area of a
terminal facility or transporting any live rabbit to or from a terminal
facility shall provide the following:
(1) Shelter from sunlight. When sunlight is likely to cause
overheating or discomfort, sufficient shade shall be provided to protect
the live rabbits from the direct rays of the sun and such live rabbits
shall not be subjected to surrounding air temperatures which exceed
29.5 deg. C. (85 deg. F.), and which shall be measured and read in the
manner prescribed in Sec. 3.65 of this part, for a period of more than
45 minutes.
(2) Shelter from rain or snow. Live rabbits shall be provided
protection to allow them to remain dry during rain or snow.
(3) Shelter from cold weather. Transporting devices shall be covered
to provide protection for live rabbits when the outdoor air temperature
falls below 10 deg. C. (50 deg. F.), and such live rabbits shall not be
subjected to surrounding air temperatures which fall below 7.2 deg. C.
(45 deg. F.), and which shall be measured and read in the manner
prescribed in Sec. 3.65 of this part, for a period of more than 45
minutes unless such rabbits are accompanied by a certificate of
acclimation to lower temperatures as prescribed in Sec. 3.60(c).
[[Page 75]]
(b) Care shall be exercised to avoid handling of the primary
enclosure in such a manner that may cause physical or emotional trauma
to the live rabbit contained therein.
(c) Primary enclosures used to transport any live rabbit shall not
be tossed, dropped, or needlessly tilted and shall not be stacked in a
manner which may reasonably be expected to result in their falling.
[43 FR 21164, May 16, 1978, as amended at 43 FR 56216, Dec. 1, 1978; 55
FR 28883, July 16, 1990]
Subpart D--Specifications for the Humane Handling, Care, Treatment, and
Transportation of Nonhuman Primates \2\
Source: 56 FR 6495, Feb. 15, 1991, unless otherwise noted.
Facilities and Operating Standards
Sec. 3.75 Housing facilities, general.
(a) Structure: construction. Housing facilities for nonhuman
primates must be designed and constructed so that they are structurally
sound for the species of nonhuman primates housed in them. They must be
kept in good repair, and they must protect the animals from injury,
contain the animals securely, and restrict other animals from entering.
---------------------------------------------------------------------------
\2\ Nonhuman primates include a great diversity of forms, ranging
from the marmoset weighing only a few ounces, to the adult gorilla
weighing hundreds of pounds, and include more than 240 species. They
come from Asia, Africa, and Central and South America, and they live in
different habitats in nature. Some have been transported to the United
States from their natural habitats and some have been raised in
captivity in the United States. Their nutritional and activity
requirements differ, as do their social and environmental requirements.
As a result, the conditions appropriate for one species do not
necessarily apply to another. Accordingly, these minimum specifications
must be applied in accordance with the customary and generally accepted
professional and husbandry practices considered appropriate for each
species, and necessary to promote their psychological well-being.
These minimum standards apply only to live nonhuman primates, unless
stated otherwise.
---------------------------------------------------------------------------
(b) Condition and site. Housing facilities and areas used for
storing animal food or bedding must be free of any accumulation of
trash, waste material, junk, weeds, and other discarded materials.
Animal areas inside of housing facilities must be kept neat and free of
clutter, including equipment, furniture, or stored material, but may
contain materials actually used and necessary for cleaning the area, and
fixtures and equipment necessary for proper husbandry practices and
research needs. Housing facilities other than those maintained by
research facilities and Federal research facilities must be physically
separated from any other businesses. If a housing facility is located on
the same premises as any other businesses, it must be physically
separated from the other businesses so that animals the size of dogs,
skunks, and raccoons, are prevented from entering it.
(c) Surfaces--(1) General requirements. The surfaces of housing
facilities--including perches, shelves, swings, boxes, houses, dens, and
other furniture-type fixtures or objects within the facility--must be
constructed in a manner and made of materials that allow them to be
readily cleaned and sanitized, or removed or replaced when worn or
soiled. Furniture-type fixtures or objects must be sturdily constructed
and must be strong enough to provide for the safe activity and welfare
of nonhuman primates. Floors may be made of dirt, absorbent bedding,
sand, gravel, grass, or other similar material that can be readily
cleaned, or can be removed or replaced whenever cleaning does not
eliminate odors, diseases, pests, insects, or vermin. Any surfaces that
come in contact with nonhuman primates must:
(i) Be free of excessive rust that prevents the required cleaning
and sanitization, or that affects the structural strength of the
surface; and
(ii) Be free of jagged edges or sharp points that might injure the
animals.
(2) Maintenance and replacement of surfaces. All surfaces must be
maintained on a regular basis. Surfaces of housing facilities--including
houses, dens, and other furniture-type fixtures and objects within the
facility--that
[[Page 76]]
cannot be readily cleaned and sanitized, must be replaced when worn or
soiled.
(3) Cleaning. Hard surfaces with which nonhuman primates come in
contact must be spot-cleaned daily and sanitized in accordance with
Sec. 3.84 of this subpart to prevent accumulation of excreta or disease
hazards. If the species scent mark, the surfaces must be sanitized or
replaced at regular intervals as determined by the attending
veterinarian in accordance with generally accepted professional and
husbandry practices. Floors made of dirt, absorbent bedding, sand,
gravel, grass, or other similar material, and planted enclosures must be
raked or spot-cleaned with sufficient frequency to ensure all animals
the freedom to avoid contact with excreta. Contaminated material must be
removed or replaced whenever raking and spot cleaning does not eliminate
odors, diseases, insects, pests, or vermin infestation. All other
surfaces of housing facilities must be cleaned and sanitized when
necessary to satisfy generally accepted husbandry standards and
practices. Sanitization may be done by any of the methods provided in
Sec. 3.84(b)(3) of this subpart for primary enclosures.
(d) Water and electric power. The housing facility must have
reliable electric power adequate for heating, cooling, ventilation, and
lighting, and for carrying out other husbandry requirements in
accordance with the regulations in this subpart. The housing facility
must provide running potable water for the nonhuman primates' drinking
needs. It must be adequate for cleaning and for carrying out other
husbandry requirements.
(e) Storage. Supplies of food and bedding must be stored in a manner
that protects the supplies from spoilage, contamination, and vermin
infestation. The supplies must be stored off the floor and away from the
walls, to allow cleaning underneath and around the supplies. Food
requiring refrigeration must be stored accordingly, and all food must be
stored in a manner that prevents contamination and deterioration of its
nutritive value. Only the food and bedding currently being used may be
kept in animal areas, and when not in actual use, open food and bedding
supplies must be kept in leakproof containers with tightly fitting lids
to prevent spoilage and contamination. Substances that are toxic to the
nonhuman primates but that are required for normal husbandry practices
must not be stored in food storage and preparation areas, but may be
stored in cabinets in the animal areas.
(f) Drainage and waste disposal. Housing facility operators must
provide for regular and frequent collection, removal, and disposal of
animal and food wastes, bedding, dead animals, debris, garbage, water,
and any other fluids and wastes, in a manner that minimizes
contamination and disease risk. Housing facilities must be equipped with
disposal facilities and drainage systems that are constructed and
operated so that animal wastes and water are rapidly eliminated and the
animals stay dry. Disposal and drainage systems must minimize vermin and
pest infestation, insects, odors, and disease hazards. All drains must
be properly constructed, installed, and maintained. If closed drainage
systems are used, they must be equipped with traps and prevent the
backflow of gases and the backup of sewage onto the floor. If the
facility uses sump ponds, settlement ponds, or other similar systems for
drainage and animal waste disposal, the system must be located far
enough away from the animal area of the housing facility to prevent
odors, diseases, insects, pests, and vermin infestation. If drip or
constant flow watering devices are used to provide water to the animals,
excess water must be rapidly drained out of the animal areas by gutters
or pipes so that the animals stay dry. Standing puddles of water in
animal areas must be mopped up or drained so that the animals remain
dry. Trash containers in housing facilities and in food storage and food
preparation areas must be leakproof and must have tightly fitted lids on
them at all times. Dead animals, animal parts, and animal waste must not
be kept in food storage or food preparation areas, food freezers, food
refrigerators, and animal areas.
(g) Washrooms and sinks. Washing facilities, such as washrooms,
basins, sinks, or showers must be provided for
[[Page 77]]
animal caretakers and must be readily accessible.
Sec. 3.76 Indoor housing facilities.
(a) Heating, cooling, and temperature. Indoor housing facilities
must be sufficiently heated and cooled when necessary to protect
nonhuman primates from temperature extremes and to provide for their
health and well-being. The ambient temperature in the facility must not
fall below 45 deg.F (7.2 deg.C) for more than 4 consecutive hours when
nonhuman primates are present, and must not rise above 85 deg.F (29.5
deg.C) for more than 4 consecutive hours when nonhuman primates are
present. The ambient temperature must be maintained at a level that
ensures the health and well-being of the species housed, as directed by
the attending veterinarian, in accordance with generally accepted
professional and husbandry practices.
(b) Ventilation. Indoor housing facilities must be sufficiently
ventilated at all times when nonhuman primates are present to provide
for their health and well-being and to minimize odors, drafts, ammonia
levels, and moisture condensation. Ventilation must be provided by
windows, doors, vents, fans, or air conditioning. Auxiliary ventilation,
such as fans, blowers, or air conditioning, must be provided when the
ambient temperature is 85 deg.F (29.5 deg.C) or higher. The relative
humidity maintained must be at a level that ensures the health and well-
being of the animals housed, as directed by the attending veterinarian,
in accordance with generally accepted professional and husbandry
practices.
(c) Lighting. Indoor housing facilities must be lighted well enough
to permit routine inspection and cleaning of the facility, and
observation of the nonhuman primates. Animal areas must be provided a
regular diurnal lighting cycle of either natural or artificial light.
Lighting must be uniformly diffused throughout animal facilities and
provide sufficient illumination to aid in maintaining good housekeeping
practices, adequate cleaning, adequate inspection of animals, and for
the well-being of the animals. Primary enclosures must be placed in the
housing facility so as to protect the nonhuman primates from excessive
light.
Sec. 3.77 Sheltered housing facilities.
(a) Heating, cooling, and temperature. The sheltered part of
sheltered housing facilities must be sufficiently heated and cooled when
necessary to protect the nonhuman primates from temperature extremes,
and to provide for their health and well-being. The ambient temperature
in the sheltered part of the facility must not fall below 45 deg.F (7.2
deg.C) for more than 4 consecutive hours when nonhuman primates are
present, and must not rise above 85 deg.F (29.5 deg.C) for more than 4
consecutive hours when nonhuman primates are present, unless
temperatures above 85 deg.F (29.5 deg.C) are approved by the attending
veterinarian, in accordance with generally accepted husbandry practices.
The ambient temperature must be maintained at a level that ensures the
health and well-being of the species housed, as directed by the
attending veterinarian, in accordance with generally accepted
professional and husbandry practices.
(b) Ventilation. The sheltered part of sheltered animal facilities
must be sufficiently ventilated at all times to provide for the health
and well-being of nonhuman primates and to minimize odors, drafts,
ammonia levels, and moisture condensation. Ventilation must be provided
by windows, doors, vents, fans, or air conditioning. Auxiliary
ventilation, such as fans, blowers, or air conditioning, must be
provided when the ambient temperature is 85 deg.F (29.5 deg.C) or
higher. The relative humidity maintained must be at a level that ensures
the health and well-being of the species housed, as directed by the
attending veterinarian, in accordance with generally accepted
professional and husbandry practices.
(c) Lighting. The sheltered part of sheltered housing facilities
must be lighted well enough to permit routine inspection and cleaning of
the facility, and observation of the nonhuman primates. Animal areas
must be provided a regular diurnal lighting cycle of either natural or
artificial light. Lighting must be uniformly diffused throughout animal
facilities and provide sufficient illumination to aid in
[[Page 78]]
maintaining good housekeeping practices, adequate cleaning, adequate
inspection of animals, and for the well-being of the animals. Primary
enclosures must be placed in the housing facility so as to protect the
nonhuman primates from excessive light.
(d) Shelter from the elements. Sheltered housing facilities for
nonhuman primates must provide adequate shelter from the elements at all
times. They must provide protection from the sun, rain, snow, wind, and
cold, and from any weather conditions that may occur.
(e) Capacity: multiple shelters. Both the sheltered part of
sheltered housing facilities and any other necessary shelter from the
elements must be sufficiently large to provide protection comfortably to
each nonhuman primate housed in the facility. If aggressive or dominant
animals are housed in the facility with other animals, there must be
multiple shelters or other means to ensure that each nonhuman primate
has access to shelter.
(f) Perimeter fence. On and after February 15, 1994, the outdoor
area of a sheltered housing facility must be enclosed by a fence that is
of sufficient height to keep unwanted species out. Fences less than 6
feet high must be approved by the Administrator. The fence must be
constructed so that it protects nonhuman primates by restricting
unauthorized humans, and animals the size of dogs, skunks, and raccoons
from going through it or under it and having contact with the nonhuman
primates. It must be of sufficient distance from the outside wall or
fence of the primary enclosure to prevent physical contact between
animals inside the enclosure and outside the perimeter fence. Such
fences less than 3 feet in distance from the primary enclosure must be
approved by the Administrator. A perimeter fence is not required if:
(1) The outside walls of the primary enclosure are made of a sturdy,
durable material such as concrete, wood, plastic, metal, or glass, and
are high enough and constructed in a manner that restricts contact with
or entry by humans and animals that are outside the sheltered housing
facility; or
(2) The housing facility is surrounded by a natural barrier that
restricts the nonhuman primates to the housing facility and protects
them from contact with unauthorized humans and animals that are outside
the sheltered housing facility, and the Administrator gives written
permission
(g) Public barriers. Fixed public exhibits housing nonhuman
primates, such as zoos, must have a barrier between the primary
enclosure and the public at any time the public is present, that
restricts physical contact between the public and the nonhuman primates.
Nonhuman primates used in trained animal acts or in uncaged public
exhibits must be under the direct control and supervision of an
experienced handler or trainer at all times when the public is present.
Trained nonhuman primates may be permitted physical contact with the
public, as allowed under Sec. 2.131, but only if they are under the
direct control and supervision of an experienced handler or trainer at
all times during the contact.
(Approved by the Office of Management and Budget under control number
0579-0093)
Sec. 3.78 0utdoor housing facilities.
(a) Acclimation. Only nonhuman primates that are acclimated, as
determined by the attending veterinarian, to the prevailing temperature
and humidity at the outdoor housing facility during the time of year
they are at the facility, and that can tolerate the range of
temperatures and climatic conditions known to occur at the facility at
that time of year without stress or discomfort, may be kept in outdoor
facilities.
(b) Shelter from the elements. Outdoor housing facilities for
nonhuman primates must provide adequate shelter from the elements at all
times. It must provide protection from the sun, rain, snow, wind, and
cold, and from any weather conditions that may occur. The shelter must
safely provide heat to the nonhuman primates to prevent the ambient
temperature from falling below 45 deg.F (7.2 deg.C), except as
directed by the attending veterinarian and in accordance with generally
accepted professional and husbandry practices.
(c) Capacity: multiple shelters. The shelter must be sufficiently
large to comfortably provide protection for each nonhuman primate housed
in the
[[Page 79]]
facility. If aggressive or dominant animals are housed in the facility
with other animals there must be multiple shelters, or other means to
ensure protection for each nonhuman primate housed in the facility.
(d) Perimeter fence. On and after February 15, 1994, an outdoor
housing facility must be enclosed by a fence that is of sufficient
height to keep unwanted species out. Fences less than 6 feet high must
be approved by the Administrator. The fence must be constructed so that
it protects nonhuman primates by restricting unauthorized humans, and
animals the size of dogs, skunks, and raccoons from going through it or
under it and having contact with the nonhuman primates. It must be of
sufficient distance from the outside wall or fence of the primary
enclosure to prevent physical contact between animals inside the
enclosure and outside the perimeter fence. Such fences less than 3 feet
in distance from the primary enclosure must be approved by the
Administrator. A perimeter fence is not required if:
(1) The outside walls of the primary enclosure are made of a sturdy,
durable material such as concrete, wood, plastic, metal, or glass, and
are high enough and constructed in a manner that restricts contact with
or entry by humans and animals that are outside the housing facility; or
(2) The housing facility is surrounded by a natural barrier that
restricts the nonhuman primates to the housing facility and protects
them from contact with unauthorized humans and animals that are outside
the housing facility, and the Administrator gives written permission.
(e) Public barriers. Fixed public exhibits housing nonhuman
primates, such as zoos, must have a barrier between the primary
enclosure and the public at any time the public is present, in order to
restrict physical contact between the public and the nonhuman primates.
Nonhuman primates used in trained animal acts or in uncaged public
exhibits must be under the direct control and supervision of an
experienced handler or trainer at all times when the public is present.
Trained nonhuman primates may be allowed physical contact with the
public, but only if they are under the direct control and supervision of
an experienced handler or trainer at all times during the contact.
(Approved by the Office of Management and Budget under control number
0579-0093)
Sec. 3.79 Mobile or traveling housing facilities.
(a) Heating, cooling, and temperature. Mobile or traveling housing
facilities must be sufficiently heated and cooled when necessary to
protect nonhuman primates from temperature extremes and to provide for
their health and well-being. The ambient temperature in the traveling
housing facility must not fall below 45 deg.F (7.2 deg.C) for more
than 4 consecutive hours when nonhuman primates are present, and must
not rise above 85 deg.F (29.5 deg.C) for more than 4 consecutive hours
when nonhuman primates are present. The ambient temperature must be
maintained at a level that ensures the health and well-being of the
species housed, as directed by the attending veterinarian, and in
accordance with generally accepted professional and husbandry practices.
(b) Ventilation. Traveling housing facilities must be sufficiently
ventilated at all times when nonhuman primates are present to provide
for the health and well-being of nonhuman primates and to minimize
odors, drafts, ammonia levels, moisture condensation, and exhaust fumes.
Ventilation must be provided by means of windows, doors, vents, fans, or
air conditioning. Auxiliary ventilation, such as fans, blowers, or air
conditioning, must be provided when the ambient temperature in the
traveling housing facility is 85 deg.F (29.5 deg.C) or higher.
(c) Lighting. Mobile or traveling housing facilities must be lighted
well enough to permit routine inspection and cleaning of the facility,
and observation of the nonhuman primates. Animal areas must be provided
a regular diurnal lighting cycle of either natural or artificial light.
Lighting must be uniformly diffused throughout animal facilities and
provide sufficient illumination to aid in maintaining good housekeeping
practices, adequate
[[Page 80]]
cleaning, adequate inspection of animals, and for the well-being of the
animals. Primary enclosures must be placed in the housing facility so as
to protect the nonhuman primates from excessive light.
(d) Public barriers. There must be a barrier between a mobile or
traveling housing facility and the public at any time the public is
present, in order to restrict physical contact between the nonhuman
primates and the public. Nonhuman primates used in traveling exhibits,
trained animal acts, or in uncaged public exhibits must be under the
direct control and supervision of an experienced handler or trainer at
all times when the public is present. Trained nonhuman primates may be
allowed physical contact with the public, but only if they are under the
direct control and supervision of an experienced handler or trainer at
all times during the contact.
Sec. 3.80 Primary enclosures.
Primary enclosures for nonhuman primates must meet the following
minimum requirements:
(a) General requirements. (1) Primary enclosures must be designed
and constructed of suitable materials so that they are structurally
sound for the species of nonhuman primates contained in them. They must
be kept in good repair.
(2) Primary enclosures must be constructed and maintained so that
they:
(i) Have no sharp points or edges that could injure the nonhuman
primates;
(ii) Protect the nonhuman primates from injury;
(iii) Contain the nonhuman primates securely and prevent accidental
opening of the enclosure, including opening by the animal;
(iv) Keep other unwanted animals from entering the enclosure or
having physical contact with the nonhuman primates;
(v) Enable the nonhuman primates to remain dry and clean;
(vi) Provide shelter and protection from extreme temperatures and
weather conditions that may be uncomfortable or hazardous to the species
of nonhuman primate contained;
(vii) Provide sufficient shade to shelter all the nonhuman primates
housed in the primary enclosure at one time;
(viii) Provide the nonhuman primates with easy and convenient access
to clean food and water;
(ix) Enable all surfaces in contact with nonhuman primates to be
readily cleaned and sanitized in accordance with Sec. 3.84(b)(3) of this
subpart, or replaced when worn or soiled;
(x) Have floors that are constructed in a manner that protects the
nonhuman primates from injuring themselves; and
(xi) Provide sufficient space for the nonhuman primates to make
normal postural adjustments with freedom of movement.
(b) Minimum space requirements. Primary enclosures must meet the
minimum space requirements provided in this subpart. These minimum space
requirements must be met even if perches, ledges, swings, or other
suspended fixtures are placed in the enclosure. Low perches and ledges
that do not allow the space underneath them to be comfortably occupied
by the animal will be counted as part of the floor space.
(1) Prior to February 15, 1994:
(i) Primary enclosures must be constructed and maintained so as to
provide sufficient space to allow each nonhuman primate to make normal
postural adjustments with adequate freedom of movement; and
(ii) Each nonhuman primate housed in a primary enclosure must be
provided with a minimum floor space equal to an area at least three
times the area occupied by the primate when standing on four feet.
(2) On and after February 15, 1994:
(i) The minimum space that must be provided to each nonhuman
primate, whether housed individually or with other nonhuman primates,
will be determined by the typical weight of animals of its species,
except for brachiating species and great apes\3\ and
[[Page 81]]
will be calculated by using the following table: \4\
---------------------------------------------------------------------------
\3\ The different species of nonhuman primates are divided into six
weight groups for determining minimum space requirements, except that
all brachiating species of any weight are grouped together since they
require additional space to engage in species-typical behavior. The
grouping provided is based upon the typical weight for various species
and not on changes associated with obesity, aging, or pregnancy. These
conditions will not be considered in determining a nonhuman primate's
weight group unless the animal is obviously unable to make normal
postural adjustments and movements within the primary enclosure.
Different species of prosimians vary in weight and should be grouped
with their appropriate weight group. They have not been included in the
weight table since different species typically fall into different
weight groups. Infants and juveniles of certain species are
substantially lower in weight than adults of those species and require
the minimum space requirements of lighter weight species, unless the
animal is obviously unable to make normal postural adjustments and
movements within the primary enclosure.
\4\ Examples of the kinds of nonhuman primates typically included in
each age group are:
Group 1--marmosets, tamarins, and infants (less than 6 months of
age) of various species.
Group 2--capuchins, squirrel monkeys and similar size species, and
juveniles (6 months to 3 years of age) of various species.
Group 3--macaques and African species.
Group 4--male macaques and large African species.
Group 5--baboons and nonbrachiating species larger than 33.0 lbs.
(15 kg.).
Group 6--great apes over 55.0 lbs. (25 kg.), except as provided in
paragraph (b)(2)(ii) of this section, and brachiating species.
----------------------------------------------------------------------------------------------------------------
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 facilities, including Federal
research facilities, must provide great apes weighing over 110 lbs. (50
kg) an additional volume of space in excess of that required for Group 6
animals as set forth in paragraph (b)(2)(i) of this section, to allow
for normal postural adjustments.
(iii) In the case of research facilities, any exemption from these
standards must be required by a research proposal or in the judgment of
the attending veterinarian and must be approved by the Committee. In the
case of dealers and exhibitors, any exemption from these standards must
be required in the judgment of the attending veterinarian and approved
by the Administrator.
(iv) When more than one nonhuman primate is housed in a primary
enclosure, the minimum space requirement for the enclosure is the sum of
the minimum floor area space required for each individual nonhuman
primate in the table in paragraph (b)(2)(i) of this section, and the
minimum height requirement for the largest nonhuman primate housed in
the enclosure. Provided however, that mothers with infants less than 6
months of age may be maintained together in primary enclosures that meet
the floor area space and height requirements of the mother.
(c) Innovative primary enclosures not precisely meeting the floor
area and height requirements provided in paragraphs (b)(1) and (b)(2) of
this section, but that do provide nonhuman primates with a sufficient
volume of space and the opportunity to express species-typical behavior,
may be used at research facilities when approved by the Committee, and
by dealers and exhibitors when approved by the Administrator.
(Approved by the Office of Management and Budget under control number
0579-0093)
Sec. 3.81 Environment enhancement to promote psychological well-being.
Dealers, exhibitors, and research facilities must develop, document,
and follow an appropriate plan for environment enhancement adequate to
promote the psychological well-being of
[[Page 82]]
nonhuman primates. The plan must be in accordance with the currently
accepted professional standards as cited in appropriate professional
journals or reference guides, and as directed by the attending
veterinarian. This plan must be made available to APHIS upon request,
and, in the case of research facilities, to officials of any pertinent
funding agency. The plan, at a minimum, must address each of the
following:
(a) Social grouping. The environment enhancement plan must include
specific provisions to address the social needs of nonhuman primates of
species known to exist in social groups in nature. Such specific
provisions must be in accordance with currently accepted professional
standards, as cited in appropriate professional journals or reference
guides, and as directed by the attending veterinarian. The plan may
provide for the following exceptions:
(1) If a nonhuman primate exhibits vicious or overly aggressive
behavior, or is debilitated as a result of age or other conditions
(e.g., arthritis), it should be housed separately;
(2) Nonhuman primates that have or are suspected of having a
contagious disease must be isolated from healthy animals in the colony
as directed by the attending veterinarian. When an entire group or room
of nonhuman primates is known to have or believed to be exposed to an
infectious agent, the group may be kept intact during the process of
diagnosis, treatment, and control.
(3) Nonhuman primates may not be housed with other species of
primates or animals unless they are compatible, do not prevent access to
food, water, or shelter by individual animals. and are not known to be
hazardous to the health and well-being of each other. Compatibility of
nonhuman primates must be determined in accordance with generally
accepted professional practices and actual observations, as directed by
the attending veterinarian, to ensure that the nonhuman primates are in
fact compatible. Individually housed nonhuman primates must be able to
see and hear nonhuman primates of their own or compatible species unless
the attending veterinarian determines that it would endanger their
health, safety, or well-being.
(b) Environmental enrichment. The physical environment in the
primary enclosures must be enriched by providing means of expressing
noninjurious species-typical activities. Species differences should be
considered when determining the type or methods of enrichment. Examples
of environmental enrichments include providing perches, swings, mirrors,
and other increased cage complexities; providing objects to manipulate;
varied food items; using foraging or task-oriented feeding methods; and
providing interaction with the care giver or other familiar and
knowledgeable person consistent with personnel safety precautions.
(c) Special considerations. Certain nonhuman primates must be
provided special attention regarding enhancement of their environment,
based on the needs of the individual species and in accordance with the
instructions of the attending veterinarian. Nonhuman primates requiring
special attention are the following:
(1) Infants and young juveniles;
(2) Those that show signs of being in psychological distress through
behavior or appearance;
(3) Those used in research for which the Committee-approved protocol
requires restricted activity;
(4) Individually housed nonhuman primates that are unable to see and
hear nonhuman primates of their own or compatible species; and
(5) Great apes weighing over 110 lbs. (50 kg). Dealers, exhibitors,
and research facilities must include in the environment enhancement plan
special provisions for great apes weighing over 110 lbs. (50 kg),
including additional opportunities to express species-typical behavior.
(d) Restraint devices. Nonhuman primates must not be maintained in
restraint devices unless required for health reasons as determined by
the attending veterinarian or by a research proposal approved by the
Committee at research facilities. Maintenance under such restraint must
be for the shortest period possible. In instances where long-term (more
than 12 hours) restraint is required, the nonhuman primate must be
provided the opportunity
[[Page 83]]
daily for unrestrained activity for at least one continuous hour during
the period of restraint, unless continuous restraint is required by the
research proposal approved by the Committee at research facilities.
(e) Exemptions. (1) The attending veterinarian may exempt an
individual nonhuman primate from participation in the environment
enhancement plan because of its health or condition, or in consideration
of its well-being. The basis of the exemption must be recorded by the
attending veterinarian for each exempted nonhuman primate. Unless the
basis for the exemption is a permanent condition, the exemption must be
reviewed at least every 30 days by the attending veterinarian.
(2) For a research facility, the Committee may exempt an individual
nonhuman primate from participation in some or all of the otherwise
required environment enhancement plans for scientific reasons set forth
in the research proposal. The basis of the exemption shall be documented
in the approved proposal and must be reviewed at appropriate intervals
as determined by the Committee, but not less than annually.
(3) Records of any exemptions must be maintained by the dealer,
exhibitor, or research facility and must be made available to USDA
officials or officials of any pertinent funding Federal agency upon
request.
(Approved by the Office of Management and Budget under control number
0579-0093)
Animal Health and Husbandry Standards
Sec. 3.82 Feeding.
(a) The diet for nonhuman primates must be appropriate for the
species, size, age, and condition of the animal, and for the conditions
in which the nonhuman primate is maintained, according to generally
accepted professional and husbandry practices and nutritional standards.
The food must be clean, wholesome, and palatable to the animals. It must
be of sufficient quantity and have sufficient nutritive value to
maintain a healthful condition and weight range of the animal and to
meet its normal daily nutritional requirements.
(b) Nonhuman primates must be fed at least once each day except as
otherwise might be required to provide adequate veterinary care. Infant
and juvenile nonhuman primates must be fed as often as necessary in
accordance with generally accepted professional and husbandry practices
and nutritional standards, based upon the animals' age and condition.
(c) Food and food receptacles, if used, must be readily accessible
to all the nonhuman primates being fed. If members of dominant nonhuman
primate or other species are fed together with other nonhuman primates,
multiple feeding sites must be provided. The animals must be observed to
determine that all receive a sufficient quantity of food.
(d) Food and food receptacles, if used, must be located so as to
minimize any risk of contamination by excreta and pests. Food
receptacles must be kept clean and must be sanitized in accordance with
the procedures listed in Sec. 3.84(b)(3) of this subpart at least once
every 2 weeks. Used food receptacles must be sanitized before they can
be used to provide food to a different nonhuman primate or social
grouping of nonhuman primates. Measures must be taken to ensure there is
no molding, deterioration, contamination, or caking or wetting of food
placed in self-feeders.
Sec. 3.83 Watering.
Potable water must be provided in sufficient quantity to every
nonhuman primate housed at the facility. If potable water is not
continually available to the nonhuman primates, it must be offered to
them as often as necessary to ensure their health and well-being, but no
less than twice daily for at least l hour each time, unless otherwise
required by the attending veterinarian, or as required by the research
proposal approved by the Committee at research facilities. Water
receptacles must be kept clean and sanitized in accordance with methods
provided in Sec. 3.84(b)(3) of this subpart at least once every 2 weeks
or as often as necessary to keep them clean and free from contamination.
Used water receptacles must be sanitized before they can be used to
provide water to a different nonhuman
[[Page 84]]
primate or social grouping of nonhuman primates.
(Approved by the Office of Management and Budget under control number
0579-0093)
Sec. 3.84 Cleaning, sanitization, housekeeping, and pest control.
(a) Cleaning of primary enclosures. Excreta and food waste must be
removed from inside each indoor primary enclosure daily and from
underneath them as often as necessary to prevent an excessive
accumulation of feces and food waste, to prevent the nonhuman primates
from becoming soiled, and to reduce disease hazards, insects, pests, and
odors. Dirt floors, floors with absorbent bedding, and planted areas in
primary enclosures must be spot-cleaned with sufficient frequency to
ensure all animals the freedom to avoid contact with excreta, or as
often as necessary to reduce disease hazards, insects, pests, and odors.
When steam or water is used to clean the primary enclosure, whether by
hosing, flushing, or other methods, nonhuman primates must be removed,
unless the enclosure is large enough to ensure the animals will not be
harmed, wetted, or distressed in the process. Perches, bars, and shelves
must be kept clean and replaced when worn. If the species of the
nonhuman primates housed in the primary enclosure engages in scent
marking, hard surfaces in the primary enclosure must be spot-cleaned
daily.
(b) Sanitization of primary enclosures and food and water
receptacles.
(1) A used primary enclosure must be sanitized in accordance with
this section before it can be used to house another nonhuman primate or
group of nonhuman primates.
(2) Indoor primary enclosures must be sanitized at least once every
2 weeks and as often as necessary to prevent an excessive accumulation
of dirt, debris, waste, food waste, excreta, or disease hazard, using
one of the methods prescribed in paragraph (b)(3) of this section.
However, if the species of nonhuman primates housed in the primary
enclosure engages in scent marking, the primary enclosure must be
sanitized at regular intervals determined in accordance with generally
accepted professional and husbandry practices.
(3) Hard surfaces of primary enclosures and food and water
receptacles must be sanitized using one of the following methods:
(i) Live steam under pressure;
(ii) Washing with hot water (at least 180 deg.F (82.2 deg.C)) and
soap or detergent, such as in a mechanical cage washer;
(iii) Washing all soiled surfaces with appropriate detergent
solutions or disinfectants, or by using a combination detergent/
disinfectant product that accomplishes the same purpose, with a thorough
cleaning of the surfaces to remove organic material, so as to remove all
organic material and mineral buildup, and to provide sanitization
followed by a clean water rinse.
(4) Primary enclosures containing material that cannot be sanitized
using the methods provided in paragraph (b)(3) of this section, such as
sand, gravel, dirt, absorbent bedding, grass, or planted areas, must be
sanitized by removing the contaminated material as necessary to prevent
odors, diseases, pests, insects, and vermin infestation.
(c) Housekeeping for premises. Premises where housing facilities are
located, including buildings and surrounding grounds, must be kept clean
and in good repair in order to protect the nonhuman primates from
injury, to facilitate the husbandry practices required in this subpart,
and to reduce or eliminate breeding and living areas for rodents, pests,
and vermin. Premises must be kept free of accumulations of trash, junk,
waste, and discarded matter. Weeds, grass, and bushes must be controlled
so as to facilitate cleaning of the premises and pest control.
(d) Pest control. An effective program for control of insects,
external parasites affecting nonhuman primates, and birds and mammals
that are pests, must be established and maintained so as to promote the
health and well-being of the animals and reduce contamination by pests
in animal areas.
Sec. 3.85 Employees.
Every person subject to the Animal Welfare regulations (9 CFR parts
1, 2, and 3) maintaining nonhuman primates must have enough employees to
carry out the level of husbandry practices and care required in this
subpart. The employees who provide husbandry
[[Page 85]]
practices and care, or handle nonhuman primates, must be trained and
supervised by an individual who has the knowledge, background, and
experience in proper husbandry and care of nonhuman primates to
supervise others. The employer must be certain that the supervisor can
perform to these standards.
Transportation Standards
Sec. 3.86 Consignments to carriers and intermediate handlers.
(a) Carriers and intermediate handlers must not accept a nonhuman
primate for transport in commerce more than 4 hours before the scheduled
departure time of the primary conveyance on which the animal is to be
transported. However, a carrier or intermediate handler may agree with
anyone consigning a nonhuman primate to extend this time by up to 2
hours.
(b) Carriers and intermediate handlers must not accept a nonhuman
primate for transport in commerce unless they are provided with the
name, address, telephone number, and telex number, if applicable, of the
consignee.
(c) Carriers and intermediate handlers must not accept a nonhuman
primate for transport in commerce unless the consignor certifies in
writing to the carrier or intermediate handler that the nonhuman primate
was offered food and water during the 4 hours before delivery to the
carrier or intermediate handler. The certification must be securely
attached to the outside of the primary enclosure in a manner that makes
it easily noticed and read. Instructions for no food or water are not
acceptable unless directed by the attending veterinarian. Instructions
must be in compliance with Sec. 3.89 of this subpart. The certification
must include the following information for each nonhuman primate:
(1) The consignor's name and address;
(2) The species of nonhuman primate;
(3) The time and date the animal was last fed and watered and the
specific instructions for the next feeding(s) and watering(s) for a 24-
hour period; and
(4) The consignor's signature and the date and time the
certification was signed.
(d) Carriers and intermediate handlers must not accept a nonhuman
primate for transport in commerce unless the primary enclosure meets the
requirements of Sec. 3.87 of this subpart. A carrier or intermediate
handler must not accept a nonhuman primate for transport if the primary
enclosure is obviously defective or damaged and cannot reasonably be
expected to safely and comfortably contain the nonhuman primate without
suffering or injury.
(e) Carriers and intermediate handlers must not accept a nonhuman
primate for transport in commerce unless their animal holding area
facilities meet the minimum temperature requirements provided in
Secs. 3.91 and 3.92 of this subpart, or unless the consignor provides
them with a certificate signed by a veterinarian and dated no more than
10 days before delivery of the animal to the carrier or intermediate
handler for transport in commerce, certifying that the animal is
acclimated to temperatures lower than those that are required in
Secs. 3.91 and 3.92 of this subpart. Even if the carrier or intermediate
handler receives this certification, the temperatures the nonhuman
primate is exposed to while in the carrier's or intermediate handler's
custody must not be lower than the minimum temperature specified by the
veterinarian in accordance with paragraph (e)(4) of this section, and
must be reasonably within the generally and professionally accepted
temperature range for the nonhuman primate, as determined by the
veterinarian, considering its age, condition, and species. A copy of the
certification must accompany the nonhuman primate to its destination and
must include the following information for each primary enclosure:
(1) The consignor's name and address;
(2) The number of nonhuman primates contained in the primary
enclosure;
(3) The species of nonhuman primate contained in the primary
enclosure;
(4) A statement by a veterinarian that to the best of his or her
knowledge, each of the nonhuman primates contained in the primary
enclosure is acclimated to air temperatures lower than 50 deg.F (10
deg.C), but not lower than a minimum temperature specified on the
[[Page 86]]
certificate based on the generally and professionally accepted
temperature range for the nonhuman primate, considering its age,
condition, and species; and
(5) The veterinarian's signature and the date the certification was
signed.
(f) When a primary enclosure containing a nonhuman primate has
arrived at the animal holding area of a terminal facility after
transport, the carrier or intermediate handler must attempt to notify
the consignee upon arrival and at least once in every 6-hour period
after arrival. The time, date, and method of all attempted notifications
and the actual notification of the consignee, and the name of the person
who notifies or attempts to notify the consignee must be written either
on the carrier's or intermediate handler's copy of the shipping document
or on the copy that accompanies the primary enclosure. If the consignee
cannot be notified within 24 hours after the nonhuman primate has
arrived at the terminal facility, the carrier or intermediate handler
must return the animal to the consignor or to whomever the consignor
designates. If the consignee is notified of the arrival and does not
take physical delivery of the nonhuman primate within 48 hours after
arrival of the nonhuman primate, the carrier or intermediate handler
must return the animal to the consignor or to whomever the consignor
designates. The carrier or intermediate handler must continue to provide
proper care, feeding, and housing to the nonhuman primate, and maintain
the nonhuman primate in accordance with generally accepted professional
and husbandry practices until the consignee accepts delivery of the
nonhuman primate or until it is returned to the consignor or to whomever
the consignor designates. The carrier or intermediate handler must
obligate the consignor to reimburse the carrier or intermediate handler
for the cost of return transportation and care.
(Approved by the Office of Management and Budget under control number
0579-0093)
Sec. 3.87 Primary enclosures used to transport nonhuman primates.
Any person subject to the Animal Welfare regulations (9 CFR parts 1,
2, and 3) must not transport or deliver for transport in commerce a
nonhuman primate unless it is contained in a primary enclosure, such as
a compartment, transport cage, carton, or crate, and the following
requirements are met:
(a) Construction of primary enclosures. Primary enclosures used to
transport nonhuman primates may be connected or attached to each other
and must be constructed so that:
(1) The primary enclosure is strong enough to contain the nonhuman
primate securely and comfortably and to withstand the normal rigors of
transportation;
(2) The interior of the enclosure has no sharp points or edges and
no protrusions that could injure the animal contained in it;
(3) The nonhuman primate is at all times securely contained within
the enclosure and cannot put any part of its body outside the enclosure
in a way that could result in injury to the animal, or to persons or
animals nearby;
(4) The nonhuman primate can be easily and quickly removed from the
enclosure in an emergency;
(5) The doors or other closures that provide access into the
enclosure are secured with animal-proof devices that prevent accidental
opening of the enclosure, including opening by the nonhuman primate;
(6) Unless the enclosure is permanently affixed to the conveyance,
adequate devices such as handles or handholds are provided on its
exterior, and enable the enclosure to be lifted without tilting it, and
ensure that anyone handling the enclosure will not come into physical
contact with the animal contained inside;
(7) Any material, treatment, paint, preservative, or other chemical
used in or on the enclosure is nontoxic to the animal and not harmful to
the health or well-being of the animal;
(8) Proper ventilation is provided to the nonhuman primate in
accordance with paragraph (c) of this section;
(9) Ventilation openings are covered with bars, wire mesh, or smooth
expanded metal having air spaces; and
(10) The primary enclosure has a solid, leak-proof bottom, or a
removable, leak-proof collection tray under a
[[Page 87]]
slatted or wire mesh floor that prevents seepage of waste products, such
as excreta and body fluids, outside of the enclosure. If a slatted or
wire mesh floor is used in the enclosure, it must be designed and
constructed so that the animal cannot put any part of its body between
the slats or through the holes in the mesh. It must contain enough
previously unused litter to absorb and cover excreta. The litter must be
of a suitably absorbent material that is safe and nontoxic to the
nonhuman primate and is appropriate for the species transported in the
primary enclosure.
(b) Cleaning of primary enclosures. A primary enclosure used to hold
or transport nonhuman primates in commerce must be cleaned and sanitized
before each use in accordance with the methods provided in
Sec. 3.84(b)(3) of this subpart.
(c) Ventilation. (1) If the primary enclosure is movable,
ventilation openings must be constructed in one of the following ways:
(i) If ventilation openings are located on two opposite walls of the
primary enclosure, the openings on each wall must be at least 16 percent
of the total surface area of each such wall and be located above the
midline of the enclosure; or
(ii) If ventilation openings are located on all four walls of the
primary enclosure, the openings on every wall must be at least 8 percent
of the total surface area of each such wall and be located above the
midline of the enclosure.
(2) Unless the primary enclosure is permanently affixed to the
conveyance, projecting rims or similar devices must be located on the
exterior of each enclosure wall having a ventilation opening, in order
to prevent obstruction of the openings. The projecting rims or similar
devices must be large enough to provide a minimum air circulation space
of 0.75 inches (1.9 centimeters) between the primary enclosure and
anything the enclosure is placed against.
(3) If a primary enclosure is permanently affixed to the primary
conveyance so that there is only a front ventilation opening for the
enclosure, the primary enclosure must be affixed to the primary
conveyance in such a way that the front ventilation opening cannot be
blocked, and the front ventilation opening must open directly to an
unobstructed aisle or passageway inside of the conveyance. The
ventilation opening must be at least 90 percent of the total area of the
front wall of the enclosure, and must be covered with bars, wire mesh,
or smooth expanded metal having air spaces.
(d) Compatibility. (1) Only one live nonhuman primate may be
transported in a primary enclosure, except as follows:
(i) A mother and her nursing infant may be transported together;
(ii) An established male-female pair or family group may be
transported together, except that a female in estrus must not be
transported with a male nonhuman primate;
(iii) A compatible pair of juveniles of the same species that have
not reached puberty may be transported together.
(2) Nonhuman primates of different species must not be transported
in adjacent or connecting primary enclosures.
(e) Space requirements. Primary enclosures used to transport
nonhuman primates must be large enough so that each animal contained in
the primary enclosure has enough space to turn around freely in a normal
manner and to sit in an upright, hands down position without its head
touching the top of the enclosure. However, certain larger species may
be restricted in their movements, in accordance with professionally
accepted standards of care, when greater freedom of movement would be
dangerous to the animal, its handler, or to other persons.
(f) Marking and labeling. Primary enclosures, other than those that
are permanently affixed to a conveyance, must be clearly marked in
English on the top and on one or more sides with the words ``Wild
Animals,'' or ``Live Animals,'' in letters at least 1 inch (2.5 cm.)
high, and with arrows or other markings to indicate the correct upright
position of the primary enclosure. Permanently affixed primary
enclosures must be clearly marked in English with the words ``Wild
Animals'' or ``Live Animals,'' in the same manner.
[[Page 88]]
(g) Accompanying documents and records. Shipping documents that must
accompany shipments of nonhuman primates may be held by the operator of
the primary conveyance, for surface transportation only, or must be
securely attached in a readily accessible manner to the outside of any
primary enclosure that is part of the shipment, in a manner that allows
them to be detached for examination and securely reattached, such as in
a pocket or sleeve. Instructions for administration of drugs,
medication, and other special care must be attached to each primary
enclosure in a manner that makes them easy to notice, to detach for
examination, and to reattach securely. Food and water instructions must
be attached in accordance with Sec. 3.86(c) of this subpart.
(Approved by the Office of Management and Budget under control number
0579-0093)
Sec. 3.88 Primary conveyances (motor vehicle, rail, air, and marine).
(a) The animal cargo space of primary conveyances used to transport
nonhuman primates must be designed, constructed, and maintained in a
manner that at all times protects the health and well-being of the
animals transported in it, ensures their safety and comfort, and
prevents the entry of engine exhaust from the primary conveyance during
transportation.
(b) The animal cargo space must have a supply of air that is
sufficient for the normal breathing of all the animals being transported
in it.
(c) Each primary enclosure containing nonhuman primates must be
positioned in the animal cargo space in a manner that provides
protection from the elements and that allows each nonhuman primate
enough air for normal breathing.
(d) During air transportation, the ambient temperature inside a
primary conveyance used to transport nonhuman primates must be
maintained at a level that ensures the health and well-being of the
species housed, in accordance with generally accepted professional and
husbandry practices, at all times a nonhuman primate is present.
(e) During surface transportation, the ambient temperature inside a
primary conveyance used to transport nonhuman primates must be
maintained between 45 deg.F (7.2 deg.C) and 85 deg.F (30 deg.C) at
all times a nonhuman primate is present.
(f) A primary enclosure containing a nonhuman primate must be placed
far enough away from animals that are predators or natural enemies of
nonhuman primates, whether the other animals are in primary enclosures
or not, so that the nonhuman primate cannot touch or see the other
animals.
(g) Primary enclosures must be positioned in the primary conveyance
in a manner that allows the nonhuman primates to be quickly and easily
removed from the primary conveyance in an emergency.
(h) The interior of the animal cargo space must be kept clean
(i) Nonhuman primates must not be transported with any material,
substance (e.g., dry ice), or device in a manner that may reasonably be
expected to harm the nonhuman primates or cause inhumane conditions.
Sec. 3.89 Food and water requirements.
(a) Each nonhuman primate that is 1 year of age or more must be
offered food \5\ at least once every 24 hours. Each nonhuman primate
that is less than 1 year of age must be offered food at least once every
12 hours. Each nonhuman primate must be offered potable water at least
once every 12 hours. These time periods apply to dealers, exhibitors,
and research facilities, including Federal research facilities, who
transport nonhuman primates in their own primary conveyances, starting
from the time the nonhuman primate was last offered food and potable
water before transportation was begun. These time periods apply to
carriers and intermediate handlers starting from the date and time
stated on the certification provided under Sec. 3.86(c) of this subpart.
Each nonhuman primate must be offered food and potable water within 4
hours before being transported in commerce.
[[Page 89]]
Consignors who are subject to the Animal Welfare regulations (9 CFR
parts 1, 2, and 3) must certify that each nonhuman primate was offered
food and potable water within the 4 hours preceding delivery of the
nonhuman primate to a carrier or intermediate handler for transportation
in commerce, and must certify the date and time the food and potable
water was offered, in accordance with Sec. 3.86(c) of this subpart.
---------------------------------------------------------------------------
\5\ Proper food for purposes of this section is described in
Sec. 3.82 of this subpart, with the necessities and circumstances of the
mode of travel taken into account.
---------------------------------------------------------------------------
(b) Any dealer, exhibitor, or research facility, including a Federal
research facility, offering a nonhuman primate to a carrier or
intermediate handler for transportation in commerce must securely attach
to the outside of the primary enclosure used for transporting the
nonhuman primate, written instructions for a 24-hour period for the in-
transit food and water requirements of the nonhuman primate(s) contained
in the enclosure. The instructions must be attached in a manner that
makes them easily noticed and read.
(c) Food and water receptacles must be securely attached inside the
primary enclosure and placed so that the receptacles can be filled from
outside of the enclosure without opening the door. Food and water
receptacles must be designed, constructed, and installed so that a
nonhuman primate cannot leave the primary enclosure through the food or
water opening.
(Approved by the Office of Management and Budget under control number
0579-0093)
Sec. 3.90 Care in transit.
(a) Surface transportation (ground and water). Any person subject to
the Animal Welfare regulations (9 CFR parts 1, 2, and 3) transporting
nonhuman primates in commerce must ensure that the operator of the
conveyance or a person accompanying the operator of the conveyance
observes the nonhuman primates as often as circumstances allow, but not
less than once every 4 hours, to make sure that they have sufficient air
for normal breathing, that the ambient temperature is within the limits
provided in Sec. 3.88(d) of this subpart, and that all other applicable
standards of this subpart are being complied with. The regulated person
transporting the nonhuman primates must ensure that the operator or the
person accompanying the operator determines whether any of the nonhuman
primates are in obvious physical distress, and obtains any veterinary
care needed for the nonhuman primates at the closest available
veterinary facility.
(b) Air transportation. During air transportation of nonhuman
primates, it is the responsibility of the carrier to observe the
nonhuman primates as frequently as circumstances allow, but not less
than once every 4 hours if the animal cargo area is accessible during
flight. If the animal cargo area is not accessible during flight, the
carrier must observe the nonhuman primates whenever they are loaded and
unloaded and whenever the animal cargo space is otherwise accessible to
make sure that the nonhuman primates have sufficient air for normal
breathing, that the ambient temperature is within the limits provided in
Sec. 3.88(d) of this subpart, and that all other applicable standards of
this subpart are being complied with. The carrier must determine whether
any of the nonhuman primates is in obvious physical distress, and
arrange for any needed veterinary care for the nonhuman primates as soon
as possible.
(c) If a nonhuman primate is obviously ill, injured, or in physical
distress, it must not be transported in commerce, except to receive
veterinary care for the condition.
(d) During transportation in commerce, a nonhuman primate must not
be removed from its primary enclosure unless it is placed in another
primary enclosure or a facility that meets the requirements of Sec. 3.80
or Sec. 3.87 of this subpart. Only persons who are experienced and
authorized by the shipper, or authorized by the consignor or the
consignee upon delivery, if the animal is consigned for transportation,
may remove nonhuman primates from their primary enclosure during
transportation in commerce, unless required for the health or well-being
of the animal.
(e) The transportation regulations contained in this subpart must be
complied with until a consignee takes physical delivery of the animal if
the animal is consigned for transportation, or until the animal is
returned to the consignor.
[[Page 90]]
Sec. 3.91 Terminal facilities.
(a) Placement. Any persons subject to the Animal Welfare regulations
(9 CFR parts l, 2, and 3) must not commingle shipments of nonhuman
primates with inanimate cargo or with other animals in animal holding
areas of terminal facilities. Nonhuman primates must not be placed near
any other animals, including other species of nonhuman primates, and
must not be able to touch or see any other animals, including other
species of nonhuman primates.
(b) Cleaning, sanitization, and pest control. All animal holding
areas of terminal facilities must be cleaned and sanitized in a manner
prescribed in Sec. 3.84(b)(3) of this subpart, as often as necessary to
prevent an accumulation of debris or excreta and to minimize vermin
infestation and disease hazards. Terminal facilities must follow an
effective program in all animal holding areas for the control of
insects, ectoparasites, and birds and mammals that are pests of nonhuman
primates.
(c) Ventilation. Ventilation must be provided in any animal holding
area in a terminal facility containing nonhuman primates by means of
windows, doors, vents, or air conditioning. The air must be circulated
by fans, blowers, or air conditioning so as to minimize drafts, odors,
and moisture condensation. Auxiliary ventilation, such as exhaust fans,
vents, fans, blowers, or air conditioning, must be used in any animal
holding area containing nonhuman primates when the ambient temperature
is 85 deg.F (29.5 deg.C) or higher.
(d) Temperature. The ambient temperature in an animal holding area
containing nonhuman primates must not fall below 45 deg.F (7.2 deg.C)
or rise above 85 deg.F (29.5 deg.C) for more than four consecutive
hours at any time nonhuman primates are present. The ambient temperature
must be measured in the animal holding area by the carrier, intermediate
handler, or a person transporting nonhuman primates who is subject to
the Animal Welfare regulations (9 CFR parts 1, 2, and 3), outside any
primary enclosure containing a nonhuman primate at a point not more than
3 feet (0.91 m.) away from an outside wall of the primary enclosure, on
a level that is even with the enclosure and approximately midway up the
side of the enclosure.
(e) Shelter. Any person subject to the Animal Welfare regulations (9
CFR parts l, 2, and 3) holding a nonhuman primate in an animal holding
area of a terminal facility must provide the following:
(1) Shelter from sunlight and extreme heat. Shade must be provided
that is sufficient to protect the nonhuman primate from the direct rays
of the sun.
(2) Shelter from rain or snow. Sufficient protection must be
provided to allow nonhuman primates to remain dry during rain, snow, and
other precipitation.
(f) Duration. The length of time any person subject to the Animal
Welfare regulations (9 CFR parts 1, 2, and 3) can hold a nonhuman
primate in an animal holding area of a terminal facility upon arrival is
the same as that provided in Sec. 3.86(f) of this subpart.
Sec. 3.92 Handling.
(a) Any person subject to the Animal Welfare regulations (9 CFR
parts 1, 2, and 3) who moves (including loading and unloading) nonhuman
primates within, to, or from the animal holding area of a terminal
facility or a primary conveyance must do so as quickly and efficiently
as possible, and must provide the following during movement of the
nonhuman primate:
(1) Shelter from sunlight and extreme heat. Sufficient shade must be
provided to protect the nonhuman primate from the direct rays of the
sun. A nonhuman primate must not be exposed to an ambient temperature
above 85 deg.F (29.5 deg.C) for a period of more than 45 minutes while
being moved to or from a primary conveyance or a terminal facility, The
ambient temperature must be measured in the manner provided in
Sec. 3.91(d) of this subpart.
(2) Shelter from rain or snow. Sufficient protection must be
provided to allow nonhuman primates to remain dry during rain, snow, and
other precipitation.
(3) Shelter from cold temperatures. Transporting devices on which
nonhuman primates are placed to move them must be covered to protect the
animals when the outdoor temperature falls below 45 deg.F (7.2 deg.C).
A nonhuman
[[Page 91]]
primate must not be exposed to an ambient air temperature below 45
deg.F (7.2 deg.C) for a period of more than 45 minutes, unless it is
accompanied by a certificate of acclimation to lower temperatures as
provided in Sec. 3.86(e) of this subpart. The ambient temperature must
be measured in the manner provided in Sec. 3.91(d) of this subpart.
(b) Any person handling a primary enclosure containing a nonhuman
primate must use care and must avoid causing physical harm or distress
to the nonhuman primate.
(1) A primary enclosure containing a nonhuman primate must not be
placed on unattended conveyor belts or on elevated conveyor belts, such
as baggage claim conveyor belts and inclined conveyor ramps that lead to
baggage claim areas, at any time; except that a primary enclosure may be
placed on inclined conveyor ramps used to load and unload aircraft if an
attendant is present at each end of the conveyor belt.
(2) A primary enclosure containing a nonhuman primate must not be
tossed, dropped, or needlessly tilted, and must not be stacked in a
manner that may reasonably be expected to result in its falling. It must
be handled and positioned in the manner that written instructions and
arrows on the outside of the primary enclosure indicate.
(c) This section applies to movement of a nonhuman primate from
primary conveyance to primary conveyance, within a primary conveyance or
terminal facility, and to or from a terminal facility or a primary
conveyance.
(Approved by the Office of Management and Budget under control number
0579-0093)
Subpart E--Specifications for the Humane Handling, Care, Treatment, and
Transportation of Marine Mammals
Authority: Secs. 3, 5, 6, 10, 11, 12, 16, 17, 21, 80 Stat. 351, 352,
353, 84 Stat. 1561, 1562, 1563, 1564, 90 Stat. 418, 419, 420, 423, (7
U.S.C. 2133, 2135, 2136, 2140, 2141, 2142, 2143, 2144, 2146, 2147,
2151); 37 FR 28464, 28477, 38 FR 19141.
Source: 44 FR 36874, June 22, 1979, unless otherwise noted.
Facilities and Operating Standards
Sec. 3.100 Special considerations regarding compliance and/or variance.
(a) All persons subject to the Animal Welfare Act who maintain or
otherwise handle marine mammals in captivity must comply with the
provisions of this subpart, except that they may apply for and be
granted a variance,\1\ by the Deputy Administrator, from one or more
specified provisions of Sec. 3.104. The provisions of this subpart shall
not apply, however, in emergency circumstances where compliance with one
or more requirements would not serve the best interest of the marine
mammals concerned.
---------------------------------------------------------------------------
\1\ Written permission from the Deputy Administrator to operate as a
licensee or registrant under the Act without being in full compliance
with one or more specified provisions of Sec. 3.104.
---------------------------------------------------------------------------
(b) An application for a variance must be made to the Deputy
Administrator in writing. The request must include:
(1) The species and number of animals involved,
(2) A statement from the attending veterinarian concerning the age
and health status of the animals involved, and concerning whether the
granting of a variance would be detrimental to the marine mammals
involved,
(3) Each provision of the regulations that is not met,
(4) The time period requested for a variance,
(5) The specific reasons why a variance is requested, and
(6) The estimated cost of coming into compliance, if construction is
involved.
(c) After receipt of an application for a variance, the Deputy
Administrator may require the submission in writing of a report by two
experts recommended by the American Association of Zoological Parks and
Aquariums and approved by the Deputy Administrator concerning potential
adverse impacts on the animals involved or on other matters relating to
the effects of the requested variance on the health and well-being of
such marine mammals. Such a report will be required only in those cases
when the Deputy Administrator determines that
[[Page 92]]
such expertise is necessary to determine whether the granting of a
variance would cause a situation detrimental to the health and well-
being of the marine mammals involved. The cost of such report is to be
paid by the applicant.
(d) Variances granted for facilities because of ill or infirm marine
mammals that cannot be moved without placing their well-being in
jeopardy, or for facilities within 0.3048 meters (1 foot) of compliance
with any space requirement may be granted for up to the life of the
marine mammals involved. Otherwise, variances shall be granted for a
period not exceeding July 30, 1986, Provided, however, That under
circumstances deemed justified by the Deputy Administrator, a maximum
extension of 1 year may be granted to attain full compliance. A written
request for the extension must be received by the Deputy Administrator
by May 30, 1986. Consideration for extension by the Deputy Administrator
will be limited to unforeseen or unusual situations such as when
necessary public funds cannot be allocated in an appropriate time frame
for a facility to attain full compliance by July 30, 1986.
(e) The Deputy Administrator shall deny any application for a
variance if he determines that it is not justified under the
circumstances or that allowing it will be detrimental to the health and
well-being of the marine mammals involved.
(f) Any facility housing marine mammals that does not meet all of
the space requirements as of July 30, 1984, must meet all of the
requirements by September 28, 1984, or may operate without meeting such
requirements until action is taken on an application for a variance if
the application is submitted to the Deputy Administrator on or before
September 28, 1984.
(g) A research facility may be granted a variance from specified
requirements of this subpart when such variance is necessary for
research purposes and is fully explained in the experimental design. Any
time limitation stated in this section shall not be applicable in such
case.
[49 FR 26681, June 28, 1984]
Sec. 3.101 Facilities, general.
(a) Construction requirements. (1) Indoor and outdoor housing
facilities for marine mammals shall be structurally sound and shall be
maintained in good repair, to protect the animals from injury, to
contain the animals, and to restrict the entrance of unwanted animals.
(2) All marine mammals shall be provided with protection from abuse
and harassment by the viewing public by the use of a sufficient number
of employees or attendants to supervise the viewing public, or by
physical barriers, such as fences, walls, glass partitions, or distance,
or both.
(3) Any primary enclosure pool, except for natural seawater pools
subject to tidal action, shall be constructed of materials having a
nonporous, waterproof finish, which facilitate proper cleaning and
disinfection, and shall be maintained in good repair as part of a
regular ongoing maintenance program. Any ramps or haul-out areas for
primary enclosure pools, and any natural seawater pools subject to tidal
action, shall be constructed of materials which facilitate proper
cleaning and disinfection and shall be maintained in good repair as part
of a regular ongoing maintenance program.
(4) Facilities which utilize natural water areas, such as tidal
basins, bays, or estuaries (subject to natural tidewater action) used
for housing marine mammals shall be exempt from the drainage
requirements of paragraph (c)(1) of this section, but they must meet the
minimum standards with regard to space, depth, and sanitation. The water
must be monitored for coliforms and for ph and chemical content, if
chemicals are added.
(b) Water and power supply. Reliable and adequate sources of water
and electric power shall be provided by the facility housing marine
mammals. Written contingency plans must be submitted to and approved by
Veterinary Services regarding emergency sources of water and electric
power in the event of failure of the primary sources, when such failure
could reasonably be expected to be detrimental to the good health and
well-being of the marine mammals housed therein.
[[Page 93]]
(c) Drainage. (1) Adequate drainage shall be provided for all
primary enclosure pools and shall be located so that all of the water
contained in such pools may be rapidly eliminated when necessary for
cleaning the pools or for other purposes. Drainage effluent from primary
enclosure pools shall be disposed of in a manner that complies with all
applicable Federal, State, and local pollution control laws.
(2) Drainage shall be provided for primary enclosures and areas
immediately surrounding pools. Drains shall be located so as to rapidly
eliminate excess water (except in pools). Such drainage effluent shall
be disposed of in a manner that complies with all applicable Federal,
State, and local pollution control laws.
(d) Storage. Supplies of food shall be stored in facilities which
adequately protect such supplies from deterioration, molding, or
contamination by vermin. Refrigerators and freezers shall be used for
perishable food. No substances which are known to be or may be toxic or
harmful to marine mammals shall be stored or maintained in the marine
mammal food storage areas.
(e) Waste disposal. Provision shall be made for the removal and
disposal of animal and food wastes, dead animals, trash, and debris.
Disposal facilities shall be provided and operated in a manner which
will minimize vermin infestation, odors, and disease hazards. All waste
disposal procedures must comply with all applicable Federal, State, and
local laws pertaining to pollution control, protection of the
environment, and public health.
(f) Washroom facilities. Facilities such as washrooms, basins,
showers, or sinks, shall be provided to maintain cleanliness among
employees and attendants.
[44 FR 36874, June 22, 1979, as amended at 44 FR 63492, Nov. 2, 1979; 49
FR 26682, June 28, 1984]
Sec. 3.102 Facilities, indoor.
(a) Ambient temperature. The air and water temperatures in indoor
facilities shall be sufficiently regulated by heating or cooling to
protect the marine mammals from extremes of temperature, to provide for
their good health and well-being and to prevent discomfort, in
accordance with the currently accepted practices as cited in appropriate
professional journals or reference guides, depending upon the species
housed therein. Rapid changes in air and water temperatures shall be
avoided.
(b) Ventilation. Indoor housing facilities shall be ventilated by
natural or artificial means to provide a flow of fresh air for the
marine mammals and to minimize the accumulation of chlorine fumes, other
gases, and objectionable odors. A vertical air space averaging at least
1.83 meters (6 feet) shall be maintained in all primary enclosures
housing marine mammals, including pools of water.
(c) Lighting. Indoor housing facilities for marine mammals shall
have ample lighting, by natural or artificial means, or both, of a
quality, distribution, and duration which is appropriate for the species
involved. Sufficient lighting must be available to provide uniformly
distributed illumination which is adequate to permit routine
inspections, observations, and cleaning of all parts of the primary
enclosure including any den areas. The lighting shall be designed so as
to prevent overexposure of the marine mammals contained therein to
excessive illumination.\5\
---------------------------------------------------------------------------
\5\ Lighting intensity and duration must be consistent with the
general well-being and comfort of the animal involved. When possible, it
should approximate the lighting conditions encountered by the animal in
its natural environment. At no time shall the lighting be such that it
will cause the animal discomfort or trauma.
---------------------------------------------------------------------------
Sec. 3.103 Facilities, outdoor.
(a) Environmental temperatures. Marine mammals shall not be housed
in outdoor facilities unless the air and water temperature ranges which
they may encounter during the period they are so housed do not adversely
affect their health and comfort. A marine mammal shall not be introduced
to an outdoor housing facility until it is acclimated to the air and
water temperature ranges which it will encounter therein. The following
requirements shall be applicable to all outdoor pools.
[[Page 94]]
(1) The water surface of pools in outdoor primary enclosures housing
polar bears and ice or cold water dwelling species of pinnipeds shall be
kept sufficiently free of solid ice to allow for entry and exit of the
animals.
(2) The water surface of pools in outdoor primary enclosures housing
cetaceans and sea otters shall be kept free of ice.
(3) No sirenian or warm water dwelling species of pinnipeds or
cetaceans shall be housed in outdoor pools where water temperature
cannot be maintained within the temperature range to meet their needs.
(b) Shelter. Natural or artificial shelter which is appropriate for
the species concerned, when the local climatic conditions are taken into
consideration, shall be provided for all marine mammals kept outdoors to
afford them protection from the weather or from direct sunlight.
Sec. 3.104 Space requirements.
(a) General. Primary enclosures, including pools of water housing
marine mammals, shall comply with the minimum space requirements
prescribed by this part. They shall be constructed and maintained so
that the animals contained therein are provided with sufficient space,
both horizontally and vertically so that they are able to make normal
postural and social adjustments with adequate freedom of movement, in or
out of the water. An exception to these requirements is provided for in
Sec. 3.110, ``Veterinary care.'' Primary enclosures smaller than
required by the standards are also allowed to be used for temporary
holding purposes such as training and transfer. Such enclosures shall
not be used for permanent housing purposes or for periods longer than
specified by an attending veterinarian.
(b) Cetaceans. Primary enclosures housing cetaceans shall contain a
pool of water and may consist entirely of a pool of water. In
determining the minimum space required in a pool holding cetaceans, four
factors must be satisfied. These are MHD, depth, volume, and surface
area. For the purposes of this subpart, cetaceans are divided into Group
I cetaceans and Group II cetaceans as shown in Table III in this
section.
(1)(i) The required minimum horizontal dimension (MHD) of a pool for
Group I cetaceans shall be 7.32 meters (24.0 feet) or two times the
average adult length of the longest species of Group I cetacean housed
therein (as measured in a parallel or horizontal line, from the tip of
its upper jaw, or from the most anterior portion of the head in bulbous
headed animals, to the notch in the tail fluke \2\ ), whichever is
greater; except that such MHD measurement may be reduced from the
greater number by up to 20 percent if the amount of the reduction is
added to the MHD at the 90-degree angle and if the minimum volume and
surface area requirements are met based on an MHD of 7.32 meters (24.0
feet) or two times the average adult length of the longest species of
Group I cetacean housed therein, whichever is greater.
---------------------------------------------------------------------------
\2\ The body length of a Monodon monoceros (narwhale) is measured
from the tip of the upper incisor tooth to the notch in the tail fluke.
If the upper incisor is absent or does not extend beyond the front of
the head, then it is measured like other cetaceans, from the tip of the
upper jaw to the notch in the tail fluke. Immature males should be
anticipated to develop the ``tusk'' (usually left incisor tooth)
beginning at sexual maturity.
---------------------------------------------------------------------------
(ii) The MHD of a pool for Group II cetaceans shall be 7.32 meters
(24.0 feet) or four times the average adult length of the longest
species of cetacean to be housed therein (as measured in a parallel or
horizontal line from the tip of its upper jaw, or from the most anterior
portion of the head in bulbous headed animals, to the notch in the tail
fluke), whichever is greater; except that such MHD measurement may be
reduced from the greater number by up to 20 percent if the amount of the
reduction is added to the MHD at the 90-degree angle and if the minimum
volume and surface area requirements are met based on an MHD of 7.32
meters (24.0 feet) or four times the average adult length of the longest
species of Group II cetacean housed therein, whichever is greater.
(iii) In a pool housing a mixture of Group I and Group II cetaceans,
the MHD shall be the largest required for any cetacean housed therein.
[[Page 95]]
(iv) Once the required MHD has been satisfied, the pool size may be
required to be adjusted to increase the surface area and volume when
cetaceans are added. Examples of MHD and volume requirements for Group I
cetaceans are shown in Table I, and for Group II cetaceans in Table II.
Table I--Group I Cetaceans\1\
----------------------------------------------------------------------------------------------------------------
Representative average Minimum horizontal Minimum required depth Volume of water required for
adult lengths dimension (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 Minimum horizontal Minimum required depth Volume of water required for
adult length dimension (MHD) --------------------------- each additional cetacean in
------------------------------------------------------- excess of four
------------------------------
Meters Feet Meters Feet Meters Feet Cubic meters
\1\ Cubic feet
----------------------------------------------------------------------------------------------------------------
1.52......... 5.0 7.32 24 1.83 6 13.28 471.00
1.68......... 5.5 7.32 24 1.83 6 16.22 569.91
1.83......... 6.0 7.32 24 1.83 6 19.24 678.24
2.13......... 7.0 8.53 28 1.83 6 26.07 923.16
2.29......... 7.5 9.14 30 1.83 6 30.13 1,059.75
2.44......... 8.0 9.75 32 1.83 6 34.21 1,205.76
2.59......... 8.5 10.36 34 1.83 6 38.55 1,361.19
2.74......... 9.0 10.97 36 1.83 6 43.14 1,526.04
----------------------------------------------------------------------------------------------------------------
\1\ Converting cubic feet to cubic meters is based on: 1 cubic foot=0.0283 of a cubic meter.
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 1.52 5.0
dolphin.
Delphinapterus leucas....... Beluga whale...... 4.27 14.0
Monodon monoceros........... Narwhale.......... 3.96 13.0
Globicephala melaena........ Long-finned pilot 5.79 19.0
whale.
Globicephala macrorhynchus.. Short-finned pilot 5.49 18.0
whale.
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 Bottlenose dolphin 2.74 9.0
(Atlantic).
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
[[Page 96]]
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- 2.90 9.5
sided dolphin.
Lagenorhynchus cruciger..... Hourglass dolphin. 1.70 5.6
Lagenorhynchus obliquidens.. Pacific white- 2.29 7.5
sided dolphin.
Lagenorhynchus albirostris.. White-beaked 2.74 9.0
dolphin.
Lagenorhynchus obscurus..... Duskey dolphin.... 2.13 7.0
Lissodelphis borealis....... Northern right 2.74 9.0
whale dolphin.
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 2.44 8.0
dolphin.
------------------------------------------------------------------------
\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
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
[[Page 97]]
Trichechus manatus.......... West Indian 3.51 11.5
Manatee.
Trichechus inunguis......... Amazon Manatee.... 2.44 8.0
Mustelidae:
Enhydra lutris.............. Sea Otter......... 1.25 4.1
------------------------------------------------------------------------
(2) The minimum depth requirement for primary enclosure pools for
all cetaceans shall be one-half the average adult length of the longest
species to be housed therein, regardless of Group I or Group II
classification, or 1.83 meters (6.0 feet), whichever is greater, and can
be expressed as d=L/2 or 6 feet, whichever is greater. Those parts of
the primary enclosure pool which do not meet the minimum depth
requirement cannot be included when calculating space requirements for
cetaceans.
(3) Pool volume. A pool of water housing cetaceans which satisfies
the MHD and which meets the minimum depth requirement, will have
sufficient volume and surface area to hold up to two Group I cetaceans
or up to four Group II cetaceans. If additional cetaceans are to be
added to the pool, the volume as well as the surface area may have to be
adjusted to allow for additional space necessary for such cetaceans. See
Tables I, II, and IV for volumes and surface area requirements. The
additional volume needed shall be based on the number and kind of
cetaceans housed therein and shall be determined in the following
manner.
(i) The minimum volume of water required for up to two Group I
cetaceans is based upon the following formula:
MHD 2
Volume = <3-ln (> ------ <3-ln )> x 3.1
4 x depth
2
When there are more than two Group I cetaceans housed in a primary
enclosure pool, the additional volume of water required for each
additional Group I cetacean in excess of two is based on the following
formula:
(Average Adult Length) 2
Volume = ................................. x 3.14 x depth
2
See Table I for required volumes.
(ii) The minimum volume of water required for up to four Group II
cetaceans is based upon the following formula:
MHD 2
Volume = <3-ln (> ------ <3-ln )> x 3.1
4 x depth
2
When there are more than four Group II cetaceans housed in a primary
enclosure pool, the additional volume of water required for each
additional Group II cetacean in excess of four is based on the following
formula:
Volume=(Average Adult Length)\2\ x 3.14 x depth
See Table II for required volumes.
(iii) When a mixture of both Group I and Group II cetaceans are
housed together, the MHD must be satisfied as stated in
Sec. 3.104(b)(1), and the minimum depth must be satisfied as stated in
Sec. 3.104(b)(2). Based on these figures, the resulting volume must then
be calculated
MHD 2
Volume = <3-ln (> ------ <3-ln )> x 3.1
4 x depth
2
Then the volume necessary for the cetaceans to be housed in the pool
must be calculated (by obtaining the sum of the volumes required for
each animal). If this volume is greater than that obtained by using the
MHD and depth figures, then the additional volume required may be added
by enlarging the pool in its lateral dimensions or by increasing its
depth, or both. The
[[Page 98]]
minimum surface area requirements discussed next must also be satisfied.
(4)(i) The minimum surface area requirements for each cetacean
housed in a pool, regardless of Group I or Group II classification, are
calculated as follows:
[GRAPHIC] [TIFF OMITTED] TC10SE91.016
In a pool containing more than two Group I cetaceans or more than four
Group II cetaceans,\8\ the additional surface area which may be required
when animals are added must be calculated for each such animal.
(ii) When a mixture of Group I and Group II cetaceans are to be
housed in a pool, the required MHD, depth, and volume must be met. Then
the required surface area must be determined for each animal in the
pool. The sum of these surface areas must then be compared to the
surface area which is obtained by a computation based on the required
MHD of the pool.\9\ The larger of the two figures represents the surface
area which is required for a pool housing a mixture of Group I and Group
II cetaceans. Pool surfaces where the depth does not meet the minimum
requirements cannot be used in determining the required surface area.
(iii) Surface area requirements are given in Table IV.
--------------
\8\ A pool containing up to two Group I cetaceans or up to four
Group II cetaceans which meets the required MHD and depth will have the
necessary surface area and volume required for the animals contained
therein.
\9\ Since the MHD represents the diameter of a circle, the surface
area based on the MHD is calculated by use of the following formula:
[GRAPHIC] [TIFF OMITTED] TC10SE91.017
Table IV--Minimum Surface Area Required for Each Cetacean
------------------------------------------------------------------------
Average adult length of each Surface area required for each
cetacean cetacean
------------------------------------------------------------------------
Meters Feet Sq. meters \1\ Sq. feet
------------------------------------------------------------------------
1.68............. 5.5 3.31 33.62
2.13............. 7.0 5.36 57.70
2.29............. 7.5 6.15 66.23
2.59............. 8.5 7.90 85.07
2.74............. 9.0 8.86 95.38
3.05............. 10.0 10.94 117.75
3.51............. 11.5 14.47 155.72
3.66............. 12.0 15.75 169.56
4.27............. 14.0 21.44 230.79
5.49............. 18.0 35.44 381.51
5.64............. 18.5 37.43 403.00
5.79............. 19.0 39.49 425.08
6.71............. 22.0 52.94 569.91
6.86............. 22.5 55.38 596.11
7.32............. 24.0 63.01 678.24
8.53............. 28.0 85.76 923.16
------------------------------------------------------------------------
\1\ Square meter=square feet/9 x 0.8361.
(c) Sirenians. Primary enclosures housing sirenians shall contain a
pool of water and may consist entirely of a pool of water.
(1) The required MHD of a primary enclosure pool for sirenians shall
be two times the average adult length of the longest species of sirenian
to be housed therein. Calculations shall be based on the average adult
length of such sirenians as measured in a horizontal line from the tip
of the muzzle to the notch in the tail fluke of dugongs and from the tip
of the muzzle to the most distal point in the rounded tail of the
manatee.
(2) The minimum depth requirements for primary enclosure pools for
all sirenians shall be one-half the average adult length of the longest
species to be housed therein, or 1.52 meters (5.0 feet), whichever is
greater. Those parts of the primary enclosure pool which do not meet the
minimum depth requirements cannot be included when calculating space
requirements for sirenians.
(3) A pool which satisfies the required MHD and depth shall be
adequate for one or two sirenians. Volume and surface area requirements
for additional animals shall be calculated using the same formula as for
Group I cetaceans, except that the figure for depth requirement for
sirenians shall be one-half the average adult length or 1.52 meters (5.0
feet), whichever is greater.
(d) Pinnipeds. (1) Primary enclosures housing pinnipeds shall
contain a pool
[[Page 99]]
of water and a dry resting or social activity area that must be close
enough to the surface of the water to allow easy access for entering or
leaving the pool. For the purposes of this subpart, pinnipeds have been
divided into Group I pinnipeds and Group II pinnipeds as shown in Table
III in this section. In certain instances some Group I pinnipeds shall
be considered as Group II pinnipeds. (See Table III).
(2) The minimum size of the dry resting or social activity area of
the primary enclosure for pinnipeds (exclusive of the pool of water)
shall be based on the average adult length of each pinniped contained
therein, as measured in a horizontal or extended position in a straight
line from the tip of its nose to the tip of its tail. The minimum size
of the dry resting or social activity area shall be computed using the
following methods:
(i) Group I pinnipeds. Square the average adult length of each
pinniped to be contained in the primary enclosure. Add the figures
obtained for each of the pinnipeds in the primary enclosure to determine
the dry resting or social activity area required for such pinnipeds. If
only a single Group I pinniped is maintained in the primary enclosure,
the minimum dry resting or social activity area shall be twice the
square of the average adult length of that single Group I pinniped.
Examples:
(average adult length)\2\ of 1st Group I pinniped+(average adult
length)\2\ of 2nd Group I pinniped=Total DRA for two pinnipeds
DRA for one pinniped=2 x (average adult length of Group I
pinniped)\2\
(ii) Group II pinnipeds. List all pinnipeds contained in a primary
enclosure by average adult length in descending order from the longest
species of pinniped to the shortest species of pinniped. Square the
average adult length of each pinniped. Multiply the average adult length
squared of the longest pinniped by 1.5, the second longest by 1.4, the
third longest by 1.3, the fourth longest by 1.2, and the fifth longest
by 1.1, as indicated in the following example. Square the average adult
length of the sixth pinniped and each additional pinniped. Add the
figures obtained for all the pinnipeds in the primary enclosure to
determine the required minimum dry resting or social activity area
required for such pinnipeds. If only a single Group II pinniped is
maintained in the primary enclosure, the minimum dry resting or social
activity area must be computed for a minimum of two pinnipeds.
Examples: DRA for 1 Group II Pinniped=[(Average adult
length)\2\ x 1.5]+[(Average adult length)\2\ x 1.4]
1st pinniped (avg. adult length)\2\ x 1.5=social and DRA required
2nd pinniped (avg. adult length)\2\ x 1.4=social and DRA required
3rd pinniped (avg. adult length)\1\ x 1.3=social and DRA required
4th pinniped (avg. adult length)\2\ x 1.2=social and DRA required
5th pinniped (avg. adult length)\2\ x 1.1=social and DRA required
Each pinniped over 5 (avg. adult length)\2\=social and DRA required
------------------------------------------------------------------------
Total minimum social activity and dry resting area required for all
pinnipeds housed in a primary enclosure.
If all the pinnipeds in the primary enclosure are of the same species,
the same descending order of calculation shall apply. Example: Hooded
seal--average adult length of male=8.5 feet and female=6.6 feet. In a
primary enclosure containing 2 males and 2 females, the social or DRA
required would be the sum of [(8.5)\2\ x 1.5]+ [(8.5)\2\ x 1.4]
+[(6.6)\2\ x 1.3] +[(6.6)\2\ x 1.2].
If two or more sexually mature males are maintained together in a
primary enclosure, the dry resting or social activity area shall be
divided into two or more separate areas with sufficient visual barriers
(such as fences, rocks, or foliage) to provide relief from aggressive
animals.
(iii) Mixture of Group I and Group II pinnipeds. In a primary
enclosure where a mixture of Group I and Group II pinnipeds is to be
housed, the dry resting or social activity area shall be calculated as
for Group II pinnipeds. The dry resting or social activity area shall be
divided into two or more separate areas with sufficient visual barriers
(such as fences, rocks, or foliage) to provide relief from aggressive
animals.
(3)(i) The minimum surface area of a pool of water for pinnipeds
shall be at least equal to the dry resting or social activity area
required.
[[Page 100]]
(ii) The MHD of the pool shall be at least one and one-half (1.5)
times the average adult length of the largest species of pinniped to be
housed in the enclosure; except that such MHD measurement may be reduced
by up to 20 percent if the amount of the reduction is added to the MHD
at the 90-degree angle.
(iii) The pool of water shall be at least 0.91 meters (3.0 feet)
deep or one-half the average adult length of the longest species of
pinniped contained therein, whichever is greater. Parts of the pool that
do not meet the minimum depth requirement cannot be used in the
calculation of the dry resting and social activity area, or as part of
the MHD or required surface area of the pool.
(e) Polar bears. Primary enclosures housing polar bears shall
consist of a pool of water, a dry resting and social activity area, and
a den. A minimum of 37.16 square meters (400 square feet) of dry resting
and social activity area shall be provided for up to two polar bears,
with an additional 3.72 square meters (40 square feet) of dry resting
and social activity area for each additional polar bear. The dry resting
and social activity area shall be provided with enough shade to
accommodate all of the polar bears housed in such primary enclosure at
the same time. The pool of water shall have an MHD of not less than 2.44
meters (8.0 feet) and a surface area of at least 8.93 square meters
(96.0 square feet) with a minimum depth of 1.52 meters (5.0 feet) with
the exception of any entry and exit area. This size pool shall be
adequate for two polar bears. For each additional bear, the surface area
of the pool must be increased by 3.72 square meters (40 square feet). In
measuring this additional surface area, parts of the pool which do not
meet minimum depth cannot be considered. The den shall be at least 1.83
meters (6 feet) in width and depth and not less than 1.52 meters (5
feet) in height. It will be so positioned that the viewing public shall
not be visible from the interior of the den. A separate den shall be
provided for each adult female of breeding age which is permanently
housed in the same primary enclosure with an adult male of breeding age.
Female polar bears in traveling acts or shows must be provided a den
when pregnancy has been determined.
(f) Sea otters. (1) Primary enclosures for sea otters shall consist
of a pool of water and a dry resting area. The MHD of the pool of water
for sea otters shall be at least three times the average adult length of
the sea otter contained therein (measured in a horizontal line from the
tip of its nose to the tip of its tail) and the pool shall be not less
than .91 meters (3.0 feet) deep. When more than two sea otters are
housed in the same primary enclosure, additional dry resting area as
well as pool volume is required to accommodate the additional sea
otters. (See Table V).
(2) The minimum volume of water required for a primary enclosure
pool for sea otters shall be based on the sea otter's average adult
length. The minimum volume of water required in the pool shall be
computed using the following method: Multiply the square of the sea
otter's average adult length by 3.14 and then multiply the total by 0.91
meters (3.0 feet). This volume is satisfactory for one or two otters. To
calculate the additional volume of water for each additional sea otter
above two in a primary enclosure, multiply one-half of the square of the
sea otter's average adult length by 3.14, then multiply by 0.91 meters
(3.0 feet). (See Table V).
(3) The minimum dry resting area required for one or two sea otters
shall be based on the sea otter's average adult length. The minimum dry
resting area for one or two sea otters shall be computed using the
following method: Square the average adult length of the sea otter and
multiply the total by 3.14. When the enclosure is to contain more than
two sea otters, the dry resting area for each additional animal shall be
computed by multiplying one-half of the sea otter's average adult length
by 3.14. Using 1.25 meters or 4.1 feet (the average adult length of a
sea otter), the calculations for additional space will result in the
following figures:
[[Page 101]]
Table V--Additional Space Required for Each Sea Otter When More Than Two
in a Primary Enclosure
------------------------------------------------------------------------
Average adult length of Resting area Pool Volume
sea otter ------------------------------------------------
------------------------ Square Square Cubic
Meters Feet meters Feet 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]
Animal Health and Husbandry Standards
Sec. 3.105 Feeding.
(a) The food for marine mammals shall be wholesome, palatable, and
free from contamination, and shall be of sufficient quantity and
nutritive value to maintain all of the marine mammals in a state of good
health. The diet shall be prepared with consideration for age, species,
condition, size, and type of marine mammal being fed. Marine mammals
shall be offered food at least once a day, except as directed by
veterinary treatment or professionally accepted practices.
(b) Food receptacles, if used, shall be located so as to be
accessible to all marine mammals in the same primary enclosure and shall
be placed so as to minimize contamination of the food contained therein.
Such food receptacles shall be cleaned and sanitized after each use.
(c) Food, when given to each marine mammal individually, shall be
given by an employee or attendant responsible to management who has the
necessary knowledge to assure that each marine mammal receives an
adequate quantity of food to maintain it in good health. Such employee
or attendant is required to have the ability to recognize deviations
from a normal state of good health in each marine mammal so that the
food intake can be adjusted accordingly. Public feeding shall be only
permitted if it is done in the presence and under the supervision of a
uniformed employee or attendant. Such employee or attendant must assure
that the marine mammals are receiving the proper amount and type of
food. Only food supplied by the facility where the marine mammals are
kept shall be fed to such mammals by the public.
(d) Food preparation and handling shall be conducted so as to
minimize bacterial or chemical contamination and to assure the
wholesomeness and nutritive value of the food. Frozen fish or other
frozen food shall be stored in freezers which are maintained at a
maximum temperature of -18 deg.C. (0 deg.F.). The length of time food is
stored and the method of storage, as well as the thawing of frozen food,
shall be conducted in a manner which will minimize contamination and
which will assure that the food retains nutritive value and wholesome
quality. The thawed product shall be kept iced or refrigerated until a
reasonable time before feeding. All foods shall be fed to the marine
mammals within 24 hours following the removal of such foods from the
freezers for thawing.
Sec. 3.106 Water quality.
(a) General. The primary enclosure shall not contain water which
would be detrimental to the health of the marine mammal contained
therein.
(b) Bacterial standards. (1) The coliform bacteria count of the
primary enclosure pool shall not exceed 1,000 MPN (most probable number)
per 100 ml. of water. Should a coliform bacterial count exceed 1,000
MPN, two subsequent samples may be taken at 48-hour intervals and
averaged with the first sample. If such average count does not fall
below 1,000 MPN, then the water in the pool shall be deemed
unsatisfactory, and the condition must be corrected immediately.
(2) When the water is chemically treated, the chemicals shall be
added so as not to cause harm or discomfort to the marine mammals.
(3) Water samples shall be taken and tested at least weekly for
coliform count and at least daily for pH and any chemical additives
(e.g. chlorine and
[[Page 102]]
copper) that are added to the water to maintain water quality standards.
Facilities using natural seawater shall be exempt from pH and chemical
testing unless chemicals are added to maintain water quality. However,
they are required to test for coliforms. Records must be kept
documenting the time when all such samples were taken and the results of
the sampling. Records of all such test results shall be maintained by
management for a 1-year period and must be made available for inspection
purposes on request.
(c) Salinity. Primary enclosure pools of water shall be salinized
for marine cetaceans as well as for those other marine mammals which
require salinized water for their good health and well-being. The
salinity of the water in such pools shall be maintained within a range
of 15-36 parts per thousand.
(d) Filtration and water flow. Water quality must be maintained by
filtration, chemical treatment, or other means so as to comply with the
water quality standards specified in this section.
Sec. 3.107 Sanitation.
(a) Primary enclosures. (1) Animal and food waste in areas other
than the pool of water shall be removed from the primary enclosure at
least daily, and more often when necessary to prevent contamination of
the marine mammals contained therein and to minimize disease hazards.
(2) Particulate animal and food waste, trash, or debris that enter
the primary enclosure pool of water shall be removed as often as
necessary to maintain the required water quality and to prevent health
hazards to the marine mammals contained therein.
(3) The wall and bottom surfaces of the primary enclosure pool of
water shall be cleaned as often as necessary to maintain proper water
quality.
(b) Food preparation areas and food receptacles. Containers, such as
buckets, tubs, and tanks, as well as utensils, such as knives and
cutting boards, or any other equipment which has been used for holding,
thawing or preparing food for marine mammals shall be cleaned and
sanitized after each feeding, if the marine mammals are fed once a day,
and at least daily if the marine mammals are fed more than once a day.
Kitchens and other food handling areas where animal food is prepared
shall be cleaned at least once daily and sanitized at least once every
week. Sanitizing shall be accomplished by washing with hot water
(82 deg. C., 180 deg. F., or higher) and soap or detergent in a
mechanical dishwasher, or by washing all soiled surfaces with a
detergent solution followed by a safe and effective disinfectant, or by
cleaning all soiled surfaces with live steam. Substances such as
cleansing and sanitizing agents, pesticides, and other potentially toxic
agents must be stored in properly labeled containers away from food
preparation surface areas.
(c) Housekeeping. Buildings and grounds, as well as exhibit areas,
shall be kept clean and in good repair. Fences shall be maintained in
good repair. Primary enclosures housing marine mammals shall not have
any loose objects, sharp projections, and/or edges which may cause
injury or trauma to the marine mammals contained therein.
(d) Pest control. A safe and effective program for the control of
insects, ectoparasites, and avian and mammalian pests shall be
established and maintained. Insecticides or other such chemical agents
shall not be applied in a primary enclosure housing marine mammals
except when deemed essential by an attending veterinarian.
Sec. 3.108 Employees or attendants.
A sufficient number of adequately trained employees or attendants
responsible to management shall be utilized to maintain the prescribed
level of husbandry practices set forth in this subpart. Such practices
shall be conducted under the supervision of a marine mammal caretaker
who has a background in marine mammal husbandry and care. Training of
marine mammals shall be done by or under the direct supervision of
experienced trainers without physical punishment or abuse being used or
inflicted upon the marine mammals.
Sec. 3.109 Separation.
Marine mammals which are not compatible shall not be housed in the
same
[[Page 103]]
enclosure. Marine mammals shall not be housed near animals that would
cause them stress or discomfort, or interfere with their good health.
Captive marine mammals must be given access to other animals except when
they are temporarily maintained in isolation for such purposes as
medical treatment or training and given special attention.
Sec. 3.110 Veterinary care.
(a) Newly acquired marine mammals shall be isolated from resident
marine mammals until such newly acquired marine mammals can be
reasonably determined to be in good health. Any communicable disease
condition in a newly acquired marine mammal must be remedied before it
is placed with other resident marine mammals.
(b) Any primary enclosure containing a marine mammal with an
infectious or contagious disease shall be cleaned and sanitized in the
manner prescribed by the attending veterinarian. No additional animals
shall be introduced into the primary enclosure prior to such cleaning
and sanitizing procedures. Any marine mammal exposed to a diseased
animal shall be isolated for observation for an appropriate period of
time as determined by the attending veterinarian.
(c) Temporary holding facilities with adequately and properly
designed pools, tanks, restraining devices or primary enclosures shall
be provided for isolation, medication, treatment, and other purposes
such as transfer and training of marine mammals. The pools, tanks and
primary enclosures may be less than minimum size in both lateral
dimensions and depth when used in special situations when prescribed by
the professional staff for temporary usage.
(d) A complete necropsy must be conducted by or under the direct
supervision of a veterinarian on all marine mammals that die in
captivity. A necropsy report must be prepared by the veterinarian
listing all pathologic lesions observed and giving the apparent cause of
death. All diagnostic tests conducted on post mortem specimens shall be
listed in the report, and the results of each test recorded. The
management of the facility, at which the marine mammal died, must
maintain these necropsy records for a period of 3 years and present them
to Department inspectors when requested.
[44 FR 36874, June 22, 1979, as amended at 54 FR 36163, Aug. 31, 1989]
Sec. 3.111 [Reserved]
Transportation Standards
Sec. 3.112 Consignments to carriers and intermediate handlers.
(a) Carriers and intermediate handlers shall not accept any marine
mammal presented by any dealer, research facility, exhibitor, operator
of an auction sale, or other person, or any department, agency, or
instrumentality of the United States or any State or local government
for shipment, in commerce, more than 4 hours prior to the scheduled
departure of the primary conveyance on which it is to be transported:
Provided, however, That the carrier or intermediate handler and any
dealer, research facility, exhibitor, operator of an auction sale, or
other person, or any department, agency, or instrumentality of the
United States of any State or local government may mutually agree to
extend the time of acceptance to not more than 6 hours if specific prior
scheduling of the animal shipment to destination has been made.
(b) Any carrier or intermediate handler shall only accept for
transportation or transport, in commerce, any marine mammal in a primary
enclosure which conforms to the requirements set forth in Sec. 3.113 of
the standards: Provided, however, That any carrier or intermediate
handler may accept for transportation or transport, in commerce, any
marine mammal consigned by any department, agency, or instrumentality of
the United States having laboratory animal facilities or exhibiting
animals or any licensed or registered dealer, research facility,
exhibitor, or operator of an auction sale if the consignor furnishes to
the carrier or intermediate handler a certificate, signed by the
consignor, stating that the primary enclosure complies with Sec. 3.113
of the standards, unless such primary enclosure is obviously defective
or damaged and it is apparent that it
[[Page 104]]
cannot reasonably be expected to contain the marine mammal without
causing suffering or injury to such marine mammal. A copy of such
certificate shall accompany the shipment to destination. The certificate
shall include at least the following information:
(1) Name and address of the consignor;
(2) The number of animals in the primary enclosure(s);
(3) A certifying statement (e.g., ``I hereby certify that the ------
(number) primary enclosure(s) which are used to transport the animal(s)
in this shipment complies (comply) with USDA standards for primary
enclosures (9 CFR part 3).''); and
(4) The signature of the consignor, and date.
(c) Carriers or intermediate handlers whose facilities fail to meet
the minimum temperature allowed by the standards may accept for
transportation or transport, in commerce, any marine mammal consigned by
any department, agency, or instrumentality of the United States or of
any State or local government, or by any person (including any licensee
or registrant under the Act, as well as any private individual) if the
consignor furnishes to the carrier or intermediate handler a certificate
executed by a veterinarian accredited by this Department pursuant to
part 160 of this title on a specified date which shall not be more than
10 days prior to delivery of such animal for transportation in commerce,
stating that such marine mammal is acclimated to air temperatures lower
than those prescribed in Secs. 3.117 and 3.118. A copy of such
certificate shall accompany the shipment to destination. The certificate
to include at least the following information:
(1) Name and address of the consignor;
(2) The number of animals in the shipment;
(3) A certifying statement (e.g., ``I hereby certify that the
animal(s) in this shipment is (are), to the best of my knowledge,
acclimated to air temperatures lower than 7.2 deg. C. (45 deg. F.)'');
and
(4) The signature of the USDA accredited veterinarian, assigned
accreditation number, and date.
(d) Carriers and intermediate handlers shall attempt to notify the
consigned at least once in every 6-hour period following the arrival of
any marine mammals at the animal holding area of the terminal cargo
facility. The time, date, and method of each attempted notification and
the final notification to the consignee and the name of the person
notifying the consignee shall be recorded on the copy of the shipping
document retained by the carrier or intermediate handler and on a copy
of the shipping document accompanying the animal shipment.
[44 FR 36874, June 22, 1979, as amended at 44 FR 63493, Nov. 2, 1979]
Sec. 3.113 Primary enclosures used to transport marine mammals.
No dealer, research facility, exhibitor, or operator of an auction
sale shall offer for transportation or transport, in commerce, any
marine mammal in a primary enclosure which does not conform to the
following requirements:
(a) Primary enclosures, which are used to transport marine mammals
other than cetaceans and sirenians, shall (1) be constructed from
materials of sufficient structural strength to contain the marine
mammals; (2) be constructed from material that is durable, nontoxic, and
cannot be chewed and/or swallowed; (3) be able to withstand the normal
rigors of transportation; (4) have interiors which are free from any
protrusions that could be injurious to the marine mammals contained
therein; (5) be constructed so that no parts of the contained marine
mammals shall be exposed to the outside of the enclosures in such a way
which may cause injury to the animals or to persons who are nearby or
who handle the enclosures; (6) have openings which provide access into
the enclosures which shall be secured with locking devices of a type
which cannot be accidentally opened; (7) have such openings located in a
manner which makes them easily accessible at all times for emergency
removal of any live marine mammal contained therein; (8) have air inlets
at heights which will provide cross ventilation at all levels
(particularly when the marine mammals are in a prone position) and
located on all four sides of the enclosures, and such
[[Page 105]]
ventilation openings shall be not less than 16 percent of the total
surface area of each side of the enclosures; (9) have projecting rims or
other devices placed on the ends and sides of any enclosures which have
ventilation openings to provide a minimum air circulation space of 1.9
centimeters (0.75 inches) between the enclosures and any adjacent cargo
or conveyance wall; and (10) be equipped with adequate handholds or
other devices on the exterior of the enclosures which shall enable them
to be lifted without unnecessary tilting and which will ensure that the
persons handling the enclosures will not come in contact with any marine
mammal contained therein.
(b) Straps, slings, harnesses, or other devices, if used for body
support or restraint, when transporting marine mammals such as cetaceans
and sirenians shall (1) be designed so as not to prevent access to such
mammals by attendants during transportation for the purpose of
administering in transit care; (2) be equipped with special padding to
prevent trauma or injury at critical weight pressure points on the body
of the marine mammals; and (3) be capable of keeping the animals from
thrashing about and causing injury to themselves or their attendants,
and yet be adequately designed so as not to cause injury to the animals.
(c) Primary enclosures used to transport live marine mammals shall
be large enough to assure that (1) in the case of polar bears and sea
otters, there is sufficient space to turn about freely in a stance
whereby all four feet are on the floor and the animal can sit in an
upright position and lie in a natural position; (2) in the case of
pinnipeds, each animal has sufficient space to lie in a natural
position; and (3) in the case of cetaceans and sirenians, each animal
has sufficient space for support of its body in slings, harnesses, or
other supporting devices, if used (as prescribed in paragraph (b) of
this section) without causing injury to such cetaceans or sirenians due
to contact with the primary enclosure: Provided, however, That certain
species may be restricted in their movements according to professionally
acceptable standards when such freedom of movement would constitute a
danger to the animals, their handlers, or other persons.
(d) Marine mammals transported in the same primary enclosure shall
be of the same species and maintained in compatible groups. Marine
mammals which have not reached puberty shall not be transported in the
same primary enclosure with adult marine mammals other than their dams.
Socially dependent animals (e.g., sibling, dam, and other members of a
family group) must be allowed visual and olfactory contact. Female
marine mammals shall not be transported in the same primary enclosure
with any mature male marine mammals.
(e) Primary enclosures used to transport marine mammals as provided
in this section shall have solid bottoms to prevent leakage in shipment
and shall be cleaned and sanitized in a manner prescribed in Sec. 3.107
of the standards, if previously used. Such primary enclosures shall
contain clean litter of a suitable absorbent material, which is safe and
nontoxic to the marine mammals contained therein, in sufficient quantity
to absorb and cover excreta, unless the animals are on wire or other
nonsolid floors.
(f) Primary enclosures used to transport marine mammals, except
where such primary enclosures are permanently affixed in the animal
cargo space of the primary conveyance, shall be clearly marked on top
and on one or more sides with the words ``Live Animal'' or ``Wild
Animal'', whichever is appropriate, in letters not less than 2.5
centimeters (1 inch) in height, and with arrows or other markings, to
indicate the correct upright position of the container.
(g) Documents accompanying the shipment shall be attached in an
easily accessible manner to the outside of a primary enclosure which is
part of such shipment.
(h) When a primary enclosure is permanently affixed within the
animal cargo space of the primary conveyance so that the front opening
is the only source of ventilation for such primary enclosure, the front
opening shall open directly to the outside or to an unobstructed aisle
or passageway within the primary conveyance. Such front ventilation
opening shall be at least 90
[[Page 106]]
percent of the total surface area of the front wall of the primary
enclosure and covered with bars, wire mesh, or smooth expanded metal.
Sec. 3.114 Primary conveyances (motor vehicle, rail, air and marine).
(a) The animal cargo space of primary conveyances used in
transporting live marine mammals shall be constructed in a manner which
will protect the health and assure the safety and comfort of the marine
mammals contained therein at all times.
(b) The animal cargo space shall be constructed and maintained in a
manner which will prevent the ingress of engine exhaust fumes and gases
in excess of that ordinarily contained in the passenger compartments.
(c) No marine mammal shall be placed in an animal cargo space that
does not have a supply of air sufficient for normal breathing for each
live animal contained therein, and the primary enclosures shall be
positioned in the animal cargo spaces of primary conveyances in such a
manner that each marine mammal contained therein shall have access to
sufficient air for normal breathing.
(d) Primary enclosures shall be positioned in primary conveyances in
such a manner that in an emergency the live marine mammals can be
removed from the conveyances as soon as possible.
(e) The interiors of animal cargo spaces in primary conveyances
shall be kept clean.
(f) Live marine mammals shall not knowingly be transported with any
material, substance or device which may be injurious to the health and
well-being of such marine mammals unless proper precaution is taken to
prevent such injury.
Sec. 3.115 Food and water requirements.
(a) Those marine mammals which require drinking water shall be
offered potable water within 4 hours prior to being transported in
commerce or offered for transportation in commerce. Such marine mammals
shall be watered as often as necessary and appropriate to the species
involved to prevent excessive dehydration which would jeopardize the
good health and well-being of the animals.
(b) Marine mammals shall not be transported for more than a period
of 36 hours without being offered food. When an employee or attendant is
required to accompany a shipment of marine mammals, as provided in
Sec. 3.116 of these standards, such marine mammals shall be fed during
transit when necessary to provide for their good health and well-being.
Sec. 3.116 Care in transit.
(a) An employee or attendant of the shipper or receiver of any
marine mammal being transported, in commerce, knowledgeable in the area
of marine mammal care, shall accompany cetaceans, sirenians, pinnipeds,
and sea otters during periods of transportation to provide for their
good health and well-being, to observe such marine mammals and to
determine whether they need veterinary care and to obtain any needed
veterinary care as soon as possible.
(b) An employee or attendant of the shipper or receiver of cetaceans
or sirenians being transported, in commerce, shall provide for such
cetaceans and sirenians during periods of transport by (1) keeping the
skin moist or preventing the drying of the skin by such methods as
intermittent spraying of water or application of a nontoxic emollient,
such as lanolin; (2) assuring that the pectoral flippers shall be
allowed freedom of movement at all times; (3) making adjustments in the
position of such marine mammals when necessary to prevent necrosis of
the skin at weight pressure points; and (4) calming such marine mammals
to avoid struggling, thrashing, and other unnecessary activity which may
cause overheating or physical trauma. No cetacean or sirenian in need of
veterinary care shall be transported in commerce, unless such
transportation is for the purpose of obtaining such care.
(c) Not less than one-half of the floor area in a primary enclosure
used to transport sea otters shall be leakproof and shall contain
sufficient crushed ice or ice water to provide each sea otter contained
therein with moisture necessary to allow each sea otter to maintain its
hair coat by preventing it from drying and to minimize soiling of the
hair coat with urine and fecal material.
[[Page 107]]
No sea otter in need of veterinary care shall be transported in
commerce, unless such transportation is for the purpose of obtaining
such care.
(d) Polar bears need not be accompanied by an employee or attendant
of the shipper or receiver, unless the period of transportation will
exceed 24 hours in duration. During surface transportation, it shall be
the responsibility of the carrier to inspect polar bears unaccompanied
by an employee or attendant at least every 4 hours to determine whether
they need veterinary care and to provide any needed veterinary care as
soon as possible. When transported by air, live polar bears
unaccompanied by an employee or attendant, shall be inspected by the
carrier at least every 4 hours if the animal cargo space is accessible
during flight. If the animal cargo space is not accessible during
flight, the air carrier shall inspect such live unattended polar bears
whenever loaded and unloaded and whenever the animal cargo space is
otherwise accessible to determine whether such unattended live animals
need veterinary care, and the carrier shall provide any needed
veterinary care as soon as possible. No polar bear in need of veterinary
care shall be transported in commerce, unless such transportation is for
the purpose of obtaining such care.
(e) Wild or otherwise dangerous marine mammals shall not be taken
from their primary enclosure except under extreme emergency conditions
and then only by their trainer or other person who is capable of
handling such mammals safely.
[44 FR 36874, June 22, 1979, as amended at 49 FR 26686, June 28, 1984]
Sec. 3.117 Terminal facilities.
Carriers and intermediate handlers shall not commingle marine mammal
shipments with inanimate cargo. All animal holding areas of a terminal
facility of any carrier or intermediate handler wherein marine mammal
shipments are maintained shall be cleaned and sanitized in a manner
prescribed in Sec. 3.107 of the standards often enough to prevent an
accumulation of debris or excreta, to minimize vermin infestation, and
to prevent a disease hazard. An effective program for the control of
insects, ectoparasites, and avian and mammalian pests shall be
established and maintained for all animal holding areas. Any animal
holding area containing marine mammals shall be provided with fresh air
by means of windows, door, vents, or air conditioning and may be
ventilated or air circulated by means of fans, blowers, or an air
conditioning system so as to minimize drafts, odors, and moisture
condensation. Auxiliary ventilation, such as exhaust fans and vents or
fans or blowers or air conditioning shall be used for any animal holding
area containing marine mammals when the air temperature within such
animal holding area is 23.9 deg. C. (75 deg. F.) or higher. The air
temperature around any marine mammal in any animal holding area shall
not be allowed to fall below 7.2 deg. C. (45 deg. F.). The air
temperature around any polar bear shall not be allowed to exceed
29.5 deg. C. (85 deg. F.) at any time and no polar bear shall be
subjected to surrounding air temperatures which exceed 23.9 deg. C.
(75 deg. F.) for more than 4 hours at any time. To ascertain compliance
with the provisions of this paragraph, the air temperature around any
marine mammal shall be measured and read outside the primary enclosure
which contains such animal at a distance not to exceed .91 meters (3
feet) from any one of the external walls of the primary enclosure and on
a level parallel to the bottom of such primary enclosure at a point
which approximates half the distance between the top and bottom of such
primary enclosure.
[44 FR 36874, June 22, 1979, as amended at 49 FR 26686, June 28, 1984]
Sec. 3.118 Handling.
(a) Carriers and intermediate handlers shall move marine mammals
from the animal holding area of the terminal facility to the primary
conveyance and from the primary conveyance to the animal holding area of
the terminal facility as expeditiously as possible. Carriers and
intermediate handlers holding any marine mammal in an animal holding
area of a terminal facility or in transporting any marine mammal from
the animal holding area of the terminal facility to the primary
[[Page 108]]
conveyance and from the primary conveyance to the animal holding area of
the terminal facility, including loading and unloading procedures, shall
provide the following:
(1) Shelter from sunlight. When sunlight is likely to cause
overheating or discomfort, sufficient shade shall be provided to protect
the marine mammals from the direct rays of the sun and such marine
mammals shall not be subjected to surrounding air temperatures which
exceed 29.5 deg. C. (85 deg. F.), and which shall be measured and read
in the manner prescribed in Sec. 3.117 of this part, for a period of
more than 45 minutes.
(2) Shelter from cold weather. Transporting devices shall be covered
to provide protection for marine mammals when the outdoor air
temperature falls below 10 deg. C. (50 deg. F.) and such marine mammals
shall not be subjected to surrounding air temperatures which fall below
7.2 deg. C. (45 deg. F.), and which shall be measured and read in the
manner prescribed in Sec. 3.117 of this part, for a period of more than
45 minutes unless such animals are accompanied by a certificate of
acclimation to lower temperatures as prescribed in Sec. 3.112(c).
(b) Care shall be exercised to avoid handling of the primary
enclosure in such a manner that may cause physical or emotional trauma
to the marine mammal contained therein.
(c) Primary enclosures used to transport any marine mammal shall not
be tossed, dropped, or needlessly tilted and shall not be stacked in a
manner which may reasonably be expected to result in their falling.
[44 FR 36874, June 22, 1979, as amended at 49 FR 26686, June 28, 1984]
Subpart F--Specifications for the Humane Handling, Care, Treatment, and
Transportation of Warmblooded Animals Other Than Dogs, Cats, Rabbits,
Hamsters, Guinea Pigs, Nonhuman Primates, and Marine Mammals
Authority: Secs. 3, 5, 6, 10, 11, 12, 16, 17, 21, 80 Stat. 351, 352,
353, as amended; 7 U.S.C. 2133, 2135, 2136, 2140, 2141, 2142, 2146,
2147, 2151.
Source: 36 FR 24925, Dec. 24, 1971, unless otherwise noted.
Redesignated at 44 FR 36874, July 22, 1979.
Facilities and Operating Standards
Sec. 3.125 Facilities, general.
(a) Structural strength. The facility must be constructed of such
material and of such strength as appropriate for the animals involved.
The indoor and outdoor housing facilities shall be structurally sound
and shall be maintained in good repair to protect the animals from
injury and to contain the animals.
(b) Water and power. Reliable and adequate electric power, if
required to comply with other provisions of this subpart, and adequate
potable water shall be available on the premises.
(c) Storage. Supplies of food and bedding shall be stored in
facilities which adequately protect such supplies against deterioration,
molding, or contamination by vermin. Refrigeration shall be provided for
supplies of perishable food.
(d) Waste disposal. Provision shall be made for the removal and
disposal of animal and food wastes, bedding, dead animals, trash and
debris. Disposal facilities shall be so provided and operated as to
minimize vermin infestation, odors, and disease hazards. The disposal
facilities and any disposal of animal and food wastes, bedding, dead
animals, trash, and debris shall comply with applicable Federal, State,
and local laws and regulations relating to pollution control or the
protection of the environment.
(e) Washroom and sinks. Facilities, such as washrooms, basins,
showers, or sinks, shall be provided to maintain cleanliness among
animal caretakers.
[36 FR 24925, Dec. 24, 1971. Redesignated at 44 FR 36874, June 22, 1979,
and amended at 44 FR 63492, Nov. 2, 1979]
Sec. 3.126 Facilities, indoor.
(a) Ambient temperatures. Temperature in indoor housing facilities
shall be sufficiently regulated by heating or cooling to protect the
animals from the extremes of temperature, to provide for their health
and to prevent their discomfort. The ambient temperature shall not be
allowed to fall below nor
[[Page 109]]
rise above temperatures compatible with the health and comfort of the
animal.
(b) Ventilation. Indoor housing facilities shall be adequately
ventilated by natural or mechanical means to provide for the health and
to prevent discomfort of the animals at all times. Such facilities shall
be provided with fresh air either by means of windows, doors, vents,
fans, or air-conditioning and shall be ventilated so as to minimize
drafts, odors, and moisture condensation.
(c) Lighting. Indoor housing facilities shall have ample lighting,
by natural or artificial means, or both, of good quality, distribution,
and duration as appropriate for the species involved. Such lighting
shall be uniformly distributed and of sufficient intensity to permit
routine inspection and cleaning. Lighting of primary enclosures shall be
designed to protect the animals from excessive illumination.
(d) Drainage. A suitable sanitary method shall be provided to
eliminate rapidly, excess water from indoor housing facilities. If
drains are used, they shall be properly constructed and kept in good
repair to avoid foul odors and installed so as to prevent any backup of
sewage. The method of drainage shall comply with applicable Federal,
State, and local laws and regulations relating to pollution control or
the protection of the environment.
Sec. 3.127 Facilities, outdoor.
(a) Shelter from sunlight. When sunlight is likely to cause
overheating or discomfort of the animals, sufficient shade by natural or
artificial means shall be provided to allow all animals kept outdoors to
protect themselves from direct sunlight.
(b) Shelter from inclement weather. Natural or artificial shelter
appropriate to the local climatic conditions for the species concerned
shall be provided for all animals kept outdoors to afford them
protection and to prevent discomfort to such animals. Individual animals
shall be acclimated before they are exposed to the extremes of the
individual climate.
(c) Drainage. A suitable method shall be provided to rapidly
eliminate excess water. The method of drainage shall comply with
applicable Federal, State, and local laws and regulations relating to
pollution control or the protection of the environment.
Sec. 3.128 Space requirements.
Enclosures shall be constructed and maintained so as to provide
sufficient space to allow each animal to make normal postural and social
adjustments with adequate freedom of movement. Inadequate space may be
indicated by evidence of malnutrition, poor condition, debility, stress,
or abnormal behavior patterns.
Animal Health and Husbandry Standards
Sec. 3.129 Feeding.
(a) The food shall be wholesome, palatable, and free from
contamination and of sufficient quantity and nutritive value to maintain
all animals in good health. The diet shall be prepared with
consideration for the age, species, condition, size, and type of the
animal. Animals shall be fed at least once a day except as dictated by
hibernation, veterinary treatment, normal fasts, or other professionally
accepted practices.
(b) Food, and food receptacles, if used, shall be sufficient in
quantity and located so as to be accessible to all animals in the
enclosure and shall be placed so as to minimize contamination. Food
receptacles shall be kept clean and sanitary at all times. If self-
feeders are used, adequate measures shall be taken to prevent molding,
contamination, and deterioration or caking of food.
Sec. 3.130 Watering.
If potable water is not accessible to the animals at all times, it
must be provided as often as necessary for the health and comfort of the
animal. Frequency of watering shall consider age, species, condition,
size, and type of the animal. All water receptacles shall be kept clean
and sanitary.
Sec. 3.131 Sanitation.
(a) Cleaning of enclosures. Excreta shall be removed from primary
enclosures as often as necessary to prevent
[[Page 110]]
contamination of the animals contained therein and to minimize disease
hazards and to reduce odors. When enclosures are cleaned by hosing or
flushing, adequate measures shall be taken to protect the animals
confined in such enclosures from being directly sprayed with the stream
of water or wetted involuntarily.
(b) Sanitation of enclosures. Subsequent to the presence of an
animal with an infectious or transmissible disease, cages, rooms, and
hard-surfaced pens or runs shall be sanitized either by washing them
with hot water (180 F. at source) and soap or detergent, as in a
mechanical washer, or by washing all soiled surfaces with a detergent
solution followed by a safe and effective disinfectant, or by cleaning
all soiled surfaces with saturated live steam under pressure. Pens or
runs using gravel, sand, or dirt, shall be sanitized when necessary as
directed by the attending veterinarian.
(c) Housekeeping. Premises (buildings and grounds) shall be kept
clean and in good repair in order to protect the animals from injury and
to facilitate the prescribed husbandry practices set forth in this
subpart. Accumulations of trash shall be placed in designated areas and
cleared as necessary to protect the health of the animals.
(d) Pest control. A safe and effective program for the control of
insects, ectoparasites, and avian and mammalian pests shall be
established and maintained.
Sec. 3.132 Employees.
A sufficient number of adequately trained employees shall be
utilized to maintain the professionally acceptable level of husbandry
practices set forth in this subpart. Such practices shall be under a
supervisor who has a background in animal care.
Sec. 3.133 Separation.
Animals housed in the same primary enclosure must be compatible.
Animals shall not be housed near animals that interfere with their
health or cause them discomfort.
Secs. 3.134--3.135 [Reserved]
Transportation Standards
Authority: Secs. 3, 5, 6, 10, 11, 14, 16, 17, 21; 80 Stat. 353; 84
Stat. 1561, 1562, 1563, 1564; 90 Stat. 418, 419, 420, 423; (7 U.S.C.
2133, 2135, 2136, 2140, 2141, 2144, 2146, 2147, 2151); 37 FR 28464,
28477, 38 FR 19141.
Source: Sections 3.136 through 3.142 appear at 42 FR 31569, June 21,
1977, unless otherwise noted. Redesignated at 44 FR 36874, July 22,
1979.
Sec. 3.136 Consignments to carriers and intermediate handlers.
(a) Carriers and intermediate handlers shall not accept any live
animals presented by any dealer, research facility, exhibitor, operator
of an auction sale, or other person, or any department, agency, or
instrumentality of the United States or any State or local government
for shipment, in commerce, more than 4 hours prior to the scheduled
departure of the primary conveyance on which it is to be transported:
Provided, however, That the carrier or intermediate handler and any
dealer, research facility, exhibitor, operator of an auction sale, or
other person, or any department, agency, or instrumentality of the
United States or any State or local government may mutually agree to
extend the time of acceptance to not more than 6 hours if specific prior
scheduling of the animal shipment to destination has been made.
(b) Any carrier or intermediate handler shall only accept for
transportation or transport, in commerce, any live animal in a primary
enclosure which conforms to the requirements set forth in Sec. 3.137 of
the standards: Provided, however, That any carrier or intermediate
handler may accept for transportation or transport, in commerce, any
live animal consigned by any department, agency, or instrumentality of
the United States having laboratory animal facilities or exhibiting
animals or any licensed or registered dealer, research facility,
exhibitor, or operator of an auction sale if the consignor furnishes to
the carrier or intermediate handler a certificate, signed by the
consignor, stating that the primary enclosure complies with Sec. 3.137
of
[[Page 111]]
the standards, unless such primary enclosure is obviously defective or
damaged and it is apparent that it cannot reasonably be expected to
contain the live animal without causing suffering or injury to such live
animal. A copy of such certificate shall accompany the shipment to
destination. The certificate shall include at least the following
information:
(1) Name and address of the consignor;
(2) The number of animals in the primary enclosure(s);
(3) A certifying statement (e.g., ``I hereby certify that the ------
(number) primary enclosure(s) which are used to transport the animal(s)
in this shipment complies (comply) with USDA standards for primary
enclosures (9 CFR part 3).''); and
(4) The signature of the consignor, and date.
(c) Carriers or intermediate handlers whose facilities fail to meet
the minimum temperature allowed by the standards may accept for
transportation or transport, in commerce, any live animal consigned by
any department, agency, or instrumentality of the United States or of
any State or local government, or by any person (including any licensee
or registrant under the Act, as well as any private individual) if the
consignor furnishes to the carrier or intermediate handler a certificate
executed by a veterinarian accredited by this Department pursuant to
part 160 of this title on a specified date which shall not be more than
10 days prior to delivery of such animal for transportation in commerce,
stating that such live animal is acclimated to air temperatures lower
than those prescribed in Secs. 3.141 and 3.142. A copy of such
certificate shall accompany the shipment to destination. The certificate
shall include at least the following information:
(1) Name and address of the consignor;
(2) The number of animals in the shipment;
(3) A certifying statement (e.g., ``I hereby certify that the
animal(s) in this shipment is (are), to the best of my knowledge,
acclimated to air temperatures lower than 7.2 deg. C. (45 deg. F.)'');
and
(4) The signature of the USDA accredited veterinarian, assigned
accrediation number, and date.
(d) Carriers and intermediate handlers shall attempt to notify the
consignee at least once in every 6 hour period following the arrival of
any live animals at the animal holding area of the terminal cargo
facility. The time, date, and method of each attempted notification and
the final notification to the consignee and the name of the person
notifying the consignee shall be recorded on the copy of the shipping
document retained by the carrier or intermediate handler and on a copy
of the shipping document accompanying the animal shipment.
[42 FR 31569, June 21, 1977, as amended at 43 FR 21166, May 16, 1978.
Redesignated at 44 FR 36874, July 22, 1979, and amended at 44 FR 63493,
Nov. 2, 1979]
Sec. 3.137 Primary enclosures used to transport live animals.
No dealer, research facility, exhibitor, or operator of an auction
sale shall offer for transportation or transport, in commerce, any live
animal in a primary enclosure which does not conform to the following
requirements:
(a) Primary enclosures, such as compartments, transport cages,
cartons, or crates, used to transport live animals shall be constructed
in such a manner that (1) the structural strength of the enclosure shall
be sufficient to contain the live animals and to withstand the normal
rigors of transportation; (2) the interior of the enclosure shall be
free from any protrusions that could be injurious to the live animals
contained therein; (3) the opernings of such enclosures are easily
accessible at all times for emergency removal of the live animals; (4)
except as provided in paragraph (g) of this section, there are
ventilation openings located on two opposite walls of the primary
enclosure and the ventilation openings on each such wall shall be at
least 16 percent of the total surface area of each such wall, or there
are ventilation openings located on all four walls of the primary
enclosure and the ventilation openings on each such wall shall be at
least 8 percent of the total surface area of each such wall: Provided,
however, That at least one-third of the total minimum
[[Page 112]]
area required for ventilation of the primary enclosure shall be located
on the lower one-half of the primary enclosure and at least one-third of
the total minimum area required for ventilation of the primary enclosure
shall be located on the upper one-half of the primary enclosure; (5)
except as provided in paragraph (g) of this section, projecting rims or
other devices shall be on the exterior of the outside walls with any
ventilation openings to prevent obstruction of the ventilation openings
and to provide a minimum air circulation space of 1.9 centimeters (.75
inch) between the primary enclosure and any adjacent cargo or conveyance
wall; and (6) except as provided in paragraph (g) of this section,
adequate handholds or other devices for lifting shall be provided on the
exterior of the primary enclosure to enable the primary enclosure to be
lifted without tilting and to ensure that the person handling the
primary enclosure will not be in contact with the animal.
(b) Live animals transported in the same primary enclosure shall be
of the same species and maintained in compatible groups. Live animals
that have not reached puberty shall not be transported in the same
primary enclosure with adult animals other than their dams. Socially
dependent animals (e.g., sibling, dam, and other members of a family
group) must be allowed visual and olfactory contact. Any female animal
in season (estrus) shall not be transported in the same primary
enclosure with any male animal.
(c) Primary enclosures used to transport live animals shall be large
enough to ensure that each animal contained therein has sufficient space
to turn about freely and to make normal postural adjustments: Provided,
however, That certain species may be restricted in their movements
according to professionally acceptable standards when such freedom of
movement would constitute a danger to the animals, their handlers, or
other persons.
(d) Primary enclosures used to transport live animals as provided in
this section shall have solid bottoms to prevent leakage in shipment and
still be cleaned and sanitized in a manner prescribed in Sec. 3.131 of
the standards, if previously used. Such primary enclosures shall contain
clean litter of a suitable absorbant material, which is safe and
nontoxic to the live animals contained therein, in sufficient quantity
to absorb and cover excreta, unless the animals are on wire or other
nonsolid floors.
(e) Primary enclosures used to transport live animals, except where
such primary enclosures are permanently affixed in the animal cargo
space of the primary conveyance, shall be clearly marked on top and on
one or more sides with the words ``Live Animal'' or ``Wild Animal'',
whichever is appropriate, in letters not less than 2.5 centimeters (1
inch) in height, and with arrows or other markings to indicate the
correct upright position of the container.
(f) Documents accompanying the shipment shall be attached in an
easily accessible manner to the outside of a primary enclosure which is
part of such shipment.
(g) When a primary enclosure is permanently affixed within the
animal cargo space of the primary conveyance so that the front opening
is the only source of ventilation for such primary enclosure, the front
opening shall open directly to the outside or to an unobstructed aisle
or passageway within the primary conveyance. Such front ventilation
opening shall be at least 90 percent of the total surface area of the
front wall of the primary enclosure and covered with bars, wire mesh or
smooth expanded metal.
[42 FR 31569, June 21, 1977, as amended at 43 FR 21166, May 16, 1978.
Redesignated at 44 FR 36874, July 22, 1979]
Sec. 3.138 Primary conveyances (motor vehicle, rail, air, and marine).
(a) The animal cargo space of primary conveyances used in
transporting live animals shall be designed and constructed to protect
the health, and ensure the safety and comfort of the live animals
contained therein at all times.
(b) The animal cargo space shall be constructed and maintained in a
manner to prevent the ingress of engine exhaust fumes and gases from the
primary conveyance during transportation in commerce.
(c) No live animal shall be placed in an animal cargo space that
does not
[[Page 113]]
have a supply of air sufficient for normal breathing for each live
animal contained therein, and the primary enclosures shall be positioned
in the animal cargo space in such a manner that each live animal has
access to sufficient air for normal breathing.
(d) Primary enclosures shall be positioned in the primary conveyance
in such a manner that in an emergency the live animals can be removed
from the primary conveyance as soon as possible.
(e) The interior of the animal cargo space shall be kept clean.
(f) Live animals shall not be transported with any material,
substance (e.g., dry ice) or device which may reasonably be expected to
be injurious to the health and well-being of the animals unless proper
precaution is taken to prevent such injury.
Sec. 3.139 Food and water requirements.
(a) All live animals shall be offered potable water within 4 hours
prior to being transported in commerce. Dealers, exhibitors, research
facilities and operators of auction sales shall provide potable water to
all live animals transported in their own primary conveyance at least
every 12 hours after such transportation is initiated, and carriers and
intermediate handlers shall provide potable water to all live animals at
least every 12 hours after acceptance for transportation in commerce:
Provided, however, That except as directed by hibernation, veterinary
treatment or other professionally accepted practices, those live animals
which, by common accepted practices, require watering more frequently
shall be so watered.
(b) Each live animal shall be fed at least once in each 24 hour
period, except as directed by hibernation, veterinary treatment, normal
fasts, or other professionally accepted practices. Those live animals
which, by common accepted practice, require feeding more frequently
shall be so fed.
(c) A sufficient quantity of food and water shall accompany the live
animal to provide food and water for such animals for a period of at
least 24 hours, except as directed by hibernation, veterinary treatment,
normal fasts, and other professionally accepted practices.
(d) Any dealer, research facility, exhibitor or operator of an
auction sale offering any live animal to any carrier or intermediate
handler for transportation in commerce shall affix to the outside of the
primary enclosure used for transporting such live animal, written
instructions concerning the food and water requirements of such animal
while being so transported.
(e) No carrier or intermediate handler shall accept any live animals
for transportation in commerce unless written instructions concerning
the food and water requirements of such animal while being so
transported is affixed to the outside of its primary enclosure.
Sec. 3.140 Care in transit.
(a) During surface transportation, it shall be the responsibility of
the driver or other employee to visually observe the live animals as
frequently as circumstances may dictate, but not less than once every 4
hours, to assure that they are receiving sufficient air for normal
breathing, their ambient temperatures are within the prescribed limits,
all other applicable standards are being complied with and to determine
whether any of the live animals are in obvious physical distress and to
provide any needed veterinary care as soon as possible. When transported
by air, live animals shall be visually observed by the carrier as
frequently as circumstances may dictate, but not less than once every 4
hours, if the animal cargo space is accessible during flight. If the
animal cargo space is not accessible during flight, the carrier shall
visually observe the live animals whenever loaded and unloaded and
whenever the animal cargo space is otherwise accessible to assure that
they are receiving sufficient air for normal breathing, their ambient
temperatures are within the prescribed limits, all other applicable
standards are being complied with and to determine whether any such live
animals are in obvious physical distress. The carrier shall provide any
needed veterinary care as soon as possible. No animal in obvious
physical distress shall be transported in commerce.
[[Page 114]]
(b) Wild or otherwise dangerous animals shall not be taken from
their primary enclosure except under extreme emergency conditions:
Provided, however, That a temporary primary enclosure may be used, if
available, and such temporary primary enclosure is structurally strong
enough to prevent the escape of the animal. During the course of
transportation, in commerce, live animals shall not be removed from
their primary enclosures unless placed in other primary enclosures or
facilities conforming to the requirements provided in this subpart.
Sec. 3.141 Terminal facilities.
Carriers and intermediate handlers shall not commingle live animal
shipments with inanimate cargo. All animal holding areas of a terminal
facility of any carrier or intermediate handler wherein live animal
shipments are maintained shall be cleaned and sanitized in a manner
prescribed in Sec. 3.141 of the standards often enough to prevent an
accumulation of debris or excreta, to minimize vermin infestation and to
prevent a disease hazard. An effective program for the control of
insects, ectoparasites, and avian and mammalian pests shall be
established and maintained for all animal holding areas. Any animal
holding area containing live animals shall be provided with fresh air by
means of windows, doors vents, or air conditioning and may be ventilated
or air circulated by means of fans, blowers, or an air conditioning
system so as to minimize drafts, odors, and moisture condensation.
Auxiliary ventilation, such as exhaust fans and vents or fans or blowers
or air conditioning shall be used for any animal holding area containing
live animals when the air temperature within such animal holding area is
23.9 deg.C. (75. deg.F.) or higher. The air temperature around any live
animal in any animal holding area shall not be allowed to fall below
7.2 deg.C. (45 deg.F.) nor be allowed to exceed 29.5 deg.C. (85 deg.F.)
at any time: Provided, however, That no live animal shall be subjected
to surrounding air temperatures which exceed 23.9 deg.C. (75 deg.F.) for
more than 4 hours at any time. To ascertain compliance with the
provisions of this paragraph, the air temperature around any live animal
shall be measured and read outside the primary enclosure which contains
such animal at a distance not to exceed .91 meters (3 feet) from any one
of the external walls of the primary enclosure and on a level parallel
to the bottom of such primary enclosure at a point which approximates
half the distance between the top and bottom of such primary enclosure.
[43 FR 56217, Dec. 1, 1978. Redesignated at 44 FR 36874, July 22, 1979]
Sec. 3.142 Handling.
(a) Carriers and intermediate handlers shall move live animals from
the animal holding area of the terminal facility to the primary
conveyance and from the primary conveyance to the animal holding area of
the terminal facility as expeditiously as possible. Carriers and
intermediate handlers holding any live animal in an animal holding area
of a terminal facility or in transporting any live animal from the
animal holding area of the terminal facility to the primary conveyance
and from the primary conveyance to the animal holding area of the
terminal facility, including loading and unloading procedures, shall
provide the following:
(1) Shelter from sunlight. When sunlight is likely to cause
overheating or discomfort, sufficient shade shall be provided to protect
the live animals from the direct rays of the sun and such live animals
shall not be subjected to surrounding air temperatures which exceed
29.5 deg.C. (85 deg.F.), and which shall be measured and read in the
manner prescribed in Sec. 3.141 of this part, for a period of more than
45 minutes.
(2) Shelter from rain or snow. Live animals shall be provided
protection to allow them to remain dry during rain or snow.
(3) Shelter from cold weather. Transporting devices shall be covered
to provide protection for live animals when the outdoor air temperature
falls below 10 deg.C. (50 deg.F.) and such live animals shall not be
subjected to surrounding air temperatures which fall below 7.2 deg.C.
(45 deg.F.), and which shall be measured and read in the manner
prescribed in Sec. 3.141 of this part, for a period of more than 45
minutes unless such animals
[[Page 115]]
are accompanied by a certificate of acclimation to lower temperatures as
prescribed in Sec. 3.136(c).
(b) Care shall be exercised to avoid handling of the primary
enclosure in such a manner that may cause physical or emotional trauma
to the live animal contained therein.
(c) Primary enclosures used to transport any live animal shall not
be tossed, dropped, or needlessly tilted and shall not be stacked in a
manner which may reasonably be expected to result in their falling.
[43 FR 21167, May 16, 1978, as amended at 43 FR 56217, Dec. 1, 1978.
Redesignated at 44 FR 36874, July 22, 1979]
PART 4--RULES OF PRACTICE GOVERNING PROCEEDINGS UNDER THE ANIMAL WELFARE ACT--Table of Contents
Subpart A--General
Sec.
4.1 Scope and applicability of rules of practice.
Subpart B--Supplemental Rules of Practice
4.10 Summary action.
4.11 Stipulations.
Authority: 80 Stat. 353; 7 U.S.C. 2151.
Source: 42 FR 10959, Feb. 25, 1977, unless otherwise noted.
Subpart A--General
Sec. 4.1 Scope and applicability of rules of practice.
The Uniform Rules of Practice for the Department of Agriculture
promulgated in subpart H of part 1, subtitle A, title 7, Code of Federal
Regulations, are the Rules of Practice applicable to adjudicatory,
administrative proceedings under section 19 of the Animal Welfare Act (7
U.S.C. 2149). In addition, the Supplemental Rules of Practice set forth
in subpart B of this part shall be applicable to such proceedings.
Subpart B--Supplemental Rules of Practice
Sec. 4.10 Summary action.
(a) In any situation where the Administrator has reason to believe
that any person licensed under the Act has violated or is violating any
provision of the Act, or the regulations or standards issued thereunder,
and he deems it warranted under the circumstances, the Administrator may
suspend such person's license temporarily, for a period not to exceed 21
days, effective, except as provided in Sec. 4.10(b), upon written
notification given to such person of the suspension of his license
pursuant to Sec. 1.147(b) of the Uniform Rules of Practice (7 CFR
1.147(b)).
(b) In any case of actual or threatened physical harm to animals in
violation of the Act, or the regulations or standards issued thereunder,
by a person licensed under the Act, the Administrator may suspend such
person's license temporarily, for a period not to exceed 21 days,
effective upon oral or written notification, whichever is earlier. In
the event of oral notification, a written confirmation thereof shall be
given to such person pursuant to Sec. 1.147(b) of the Uniform Rules of
Practice (7 CFR 1.147(b)) as promptly as circumstances permit.
(c) The temporary suspension of a license shall be in addition to
any sanction which may be imposed against said person by the Secretary
pursuant to the Act after notice and opportunity for hearing.
Sec. 4.11 Stipulations.
(a) At any time prior to the issuance of a complaint seeking a civil
penalty under the Act, the Administrator, in his discretion, may enter
into a stipulation with any person in which:
(1) The Administrator gives notice of an apparent violation of the
Act, or the regulations or standards issued thereunder, by such person
and affords such person an opportunity for a hearing regarding the
matter as provided by the Act;
(2) Such person expressly waives hearing and agrees to pay a
specified penalty within a designated time; and
(3) The Administrator agrees to accept the specified penalty in
settlement of the particular matter involved if it is paid within the
designated time.
(b) If the specified penalty is not paid within the time designated
in such a stipulation, the amount of the stipulated penalty shall not be
relevant in any respect to the penalty which may
[[Page 116]]
be assessed after issuance of a complaint.
PART 11--HORSE PROTECTION REGULATIONS--Table of Contents
Sec.
11.1 Definitions.
11.2 Prohibitions concerning exhibitors.
11.3 Scar rule.
11.4 Inspection and detention of horses.
11.5 Access to premises and records.
11.6 Inspection space and facility requirements.
11.7 Certification and licensing of designated qualified persons
(DQP's).
11.20 Responsibilities and liabilities of managment.
11.21 Inspection procedures for designated qualified persons (DQP's).
11.22 Records required and disposition thereof.
11.23 Inspection of records.
11.24 Reporting by management.
11.40 Prohibitions and requirements concerning persons involved in
transportation of certain horses.
11.41 Reporting required of horse industry organizations or
associations.
Authority: 15 U.S.C. 1823, 1824, 1825, and 1828; 44 U.S.C. 3506.
Source: 44 FR 25179, Apr. 27, 1979, unless otherwise noted.
Sec. 11.1 Definitions.
For the purpose of this part, unless the context otherwise requires,
the following terms shall have the meanings assigned to them in this
section. The singular form shall also impart the plural and the
masculine form shall also impart the feminine. Words of art undefined in
the following paragraphs shall have the meaning attributed to them by
trade usage or general usage as reflected by definition in a standard
dictionary, such as ``Webster's.''
Act means the Horse Protection Act of 1970 (Pub. L. 91-540) as
amended by the Horse Protection Act Amendments of 1976 (Pub. L. 94-360),
15 U.S.C. 1821 et seq., and any legislation amendatory thereof.
Action Device means any boot, collar, chain, roller, or other device
which encircles or is placed upon the lower extremity of the leg of a
horse in such a manner that it can either rotate around the leg, or
slide up and down the leg so as to cause friction, or which can strike
the hoof, coronet band or fetlock joint.
Administrator means the Administrator, Animal and Plant Health
Inspection Service, or any person authorized to act for the
Administrator.
Animal and Plant Health Inspection Service (APHIS) means the Animal
and Plant Health Inspection Service of the United States Department of
Agriculture.
APHIS representative means any employee of APHIS, or any officer or
employee of any State agency who is authorized by the Administrator to
perform inspections or any other functions authorized by the Act,
including the inspection of the records of any horse show, horse
exhibition, horse sale or horse auction.
APHIS Show Veterinarian means the APHIS Doctor of Veterinary
Medicine responsible for the immediate supervision and conduct of the
Department's activities under the Act at any horse show, horse
exhibition, horse sale or horse auction.
Department means the United States Department of Agriculture.
Designated Qualified Person or DQP means a person meeting the
requirements specified in Sec. 11.7 of this part who has been licensed
as a DQP by a horse industry organization or association having a DQP
program certified by the Department and who may be appointed and
delegated authority by the management of any horse show, horse
exhibition, horse sale or horse auction under section 4 of the Act to
detect or diagnose horses which are sore or to otherwise inspect horses
and any records pertaining to such horses for the purposes of enforcing
the Act.
Exhibitor means (1) any person who enters any horse, any person who
allows his horse to be entered, or any person who directs or allows any
horse in his custody or under his direction, control or supervision to
be entered in any horse show or horse exhibition; (2) any person who
shows or exhibits any horse, any person who allows his horse to be shown
or exhibited, or any person who directs or allows any horse in his
custody or under his direction, control, or supervision to be shown or
exhibited in any horse show or horse exhibition; (3) any person who
enters or presents
[[Page 117]]
any horse for sale or auction, any person who allows his horse to be
entered or presented for sale or auction, or any person who allows any
horse in his custody or under his direction, control, or supervision to
be entered or presented for sale or auction in any horse sale or horse
auction; or (4) any person who sells or auctions any horse, any person
who allows his horse to be sold or auctioned, or any person who directs
or allows any horse in his custody or under his direction, control, or
supervision to be sold or auctioned.
Horse means any member of the species Equus caballus.
Horse Exhibition means a public display of any horses, singly or in
groups, but not in competition, except events where speed is the prime
factor, rodeo events, parades, or trail rides.
Horse Industry Organization or Association means an organized group
of people, having a formal structure, who are engaged in the promotion
of horses through the showing, exhibiting, sale, auction, registry, or
any activity which contributes to the advancement of the horse.
Horse Sale or Horse Auction means any event, public or private, at
which horses are sold or auctioned, regardless of whether or not said
horses are exhibited prior to or during the sale or auction.
Horse Show means a public display of any horses, in competition,
except events where speed is the prime factor, rodeo events, parades, or
trail rides.
Inspection means the examination of any horse and any records
pertaining to any horse by use of whatever means are deemed appropriate
and necessary for the purpose of determining compliance with the Act and
regulations. Such inspection may include, but is not limited to, visual
examination of a horse and records, actual physical examination of a
horse including touching, rubbing, palpating and observation of vital
signs, and the use of any diagnostic device or instrument, and may
require the removal of any shoe, pad, action device, or any other
equipment, substance or paraphernalia from the horse when deemed
necessary by the person conducting such inspection.
Lubricant means mineral oil, glycerine or petrolatum, or mixtures
exclusively thereof, that is applied to the limbs of a horse solely for
protective and lubricating purposes while the horse is being shown or
exhibited at a horse show, horse exhibition, horse sale or horse
auction.
Management means any person or persons who organize, exercise
control over, or administer or are responsible for organizing,
directing, or administering any horse show, horse exhibition, horse sale
or horse auction and specifically includes, but is not limited to, the
sponsoring organization and show manager.
Person means any individual, corporation, company, association,
firm, partnership, society, organization, joint stock company, or other
legal entity.
Secretary means the Secretary of Agriculture or anyone who has
heretofore or may hereafter be delegated authority to act in his stead.
Sector Supervisor means the APHIS veterinarian who is assigned by
the Administrator to supervise and perform official duties of APHIS
under the Act in a specified State or States.\1\
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\1\ Information as to the name and address of the Sector Supervisor
for the State or States concerned can be obtained by writing to the
Animal and Plant Health Inspection Service, Regulatory Enforcement and
Animal Care, Animal Care, 4700 River Road, Unit 84, Riverdale, Maryland
20737-1234.
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Show Manager means the person who has been delegated primary
authority by a sponsoring organization for managing a horse show, horse
exhibition, horse sale or horse auction.
Sore when used to describe a horse means:
(1) An irritating or blistering agent has been applied, internally
or externally by a person to any limb of a horse,
(2) Any burn, cut, or laceration has been inflicted by a person on
any limb of a horse,
(3) Any tack, nail, screw, or chemical agent has been injected by a
person into or used by a person on any limb of a horse, or
(4) Any other substance or device has been used by a person on any
limb of a horse or a person has engaged in a
[[Page 118]]
practice involving a horse, and, as a result of such application,
infliction, injection, use, or practice, such horse suffers, or can
reasonably be expected to suffer, physical pain or distress,
inflammation, or lameness when walking, trotting, or otherwise moving,
except that such term does not include such an application, infliction,
injection, use, or practice in connection with the therapeutic treatment
of a horse by or under the supervision of a person licensed to practice
veterinary medicine in the State in which such treatment was given.
Sponsoring Organization means any person under whose immediate
auspices and responsibility a horse show, horse exhibition, horse sale,
or horse auction is conducted.
State means any of the several States, the District of Columbia, the
Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa,
or the Trust Territory of the Pacific Islands.
[44 FR 1561, Jan. 5, 1979, as amended at 53 FR 14782, Apr. 26, 1988; 53
FR 28372, July 28, 1988; 56 FR 13749, Apr. 4, 1991; 59 FR 67612, Dec.
30, 1994]
Sec. 11.2 Prohibitions concerning exhibitors.
(a) General prohibitions. Notwithstanding the provisions of
paragraph (b) of this section, no chain, boot, roller, collar, action
device, nor any other device, method, practice, or substance shall be
used with respect to any horse at any horse show, horse exhibition, or
horse sale or auction if such use causes or can reasonably be expected
to cause such horse to be sore.
(b) Specific prohibitions. The use of any of the following devices,
equipment, or practices on any horse at any horse show, horse
exhibition, or horse sale or auction is prohibited:
(1) All beads, bangles, rollers, and similar devices, with the
exception of rollers made of lignum vitae (hardwood), aluminum, or
stainless steel, with individual rollers of uniform size, weight and
configuration, provided each such device may not weigh more than 6
ounces, including the weight of the fastener.
(2) Chains weighing more than 6 ounces each, including the weight of
the fastener.
(3) Chains with links that are not of uniform size, weight and
configuration; and, chains that have twisted links or double links.
(4) Chains that have drop links on any horse that is being ridden,
worked on a lead, or otherwise worked out or moved about.
(5) More than one action device on any one limb of a horse.
(6) Chains or lignum vitae, stainless steel, or aluminum rollers
which are not smooth and free of protrusions, projections, rust,
corrosion, or rough or sharp edges.
(7)(i) Boots, collars, or any other devices, with protrusions or
swellings, or rigid, rough, or sharp edges, seams or any other abrasive
or abusive surface that may contact a horse's leg; and
(ii) Boots, collars, or any other devices that weigh more than 6
ounces, except for soft rubber or soft leather bell boots and quarter
boots that are used as protective devices.
(8) Pads or other devices on yearling horses (horses up to 2 years
old) that elevate or change the angle of such horses' hooves in excess
of 1 inch at the heel.
(9) Any weight on yearling horses, except a keg or similar
conventional horseshoe, and any horseshoe on yearling horses that weighs
more than 16 ounces.
(10) Artificial extension of the toe length, whether accomplsihed
with pads, acrylics or any other material or combinations thereof, that
exceeds 50 percent of the natural hoof length, as measured from the
coronet band, at the center of the front pastern along the front of the
hoof wall, to the distal portion of the hoof wall at the tip of the toe.
The artificial extension shall be measured from the distal portion of
the hoof wall at the tip of the toe at a 90 degree angle to the proximal
(foot/hoof) surface of the shoe.
(11) Toe length that does not exceed the height of the heel by 1
inch or more. The length of the toe shall be measured from the coronet
band, at the center of the front pastern along the front of the hoof
wall to the ground. The heel shall be measured from the
[[Page 119]]
coronet band, at the most lateral portion of the rear pastern, at a 90
degree angle to the ground, not including normal caulks at the rear of a
horseshoe that do not exceed \3/4\ inch in length. That portion of caulk
at the rear of a horseshoe in excess of \3/4\ of an inch shall be added
to the height of the heel in determining the heel/toe ratio.
(12) Pads that are not made of leather, plastic, or a similar pliant
material.
(13) Any object or material inserted between the pad and the hoof
other than acceptable hoof packing, which includes pine tar, oakum, live
rubber, sponge rubber, silicone, commercial hoof packing or other
substances used to maintain adequate frog pressure or sole consistency.
(14) Single or double rocker-bars on the bottom surface of
horseshoes which extend more than 1\1/2\ inches back from the point of
the toe, or which would cause, or could reasonably be expected to cause,
an unsteadiness of stance in the horse with resulting muscle and tendon
strain due to the horse's weight and balance being focused upon a small
fulcrum point.\2\
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\2\ This prohibition is not intended to disallow corrective devices,
such as Memphis bars which consist of a metal bar(s) crossing from the
ground surface of one side of the horseshoe to the ground surface of the
other side of the horseshoe, and the purpose of which is to correct a
lameness or pathological condition of the foot: Provided, That such
metal bar(s) do not act as a single fulcrum point so as to affect the
balance of the horse.
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(15) Metal hoof bands, such as used to anchor or strengthen pads and
shoes, placed less than \1/2\ inch below the coronet band.
(16) Metal hoof bands that can be easily and quickly loosened or
tightened by hand, by means such as, but not limited to, a wing-nut or
similar fastener.
(17) Any action device or any other device that strikes the coronet
band of the foot of a horse except for soft rubber or soft leather bell
boots that are used as protective devices.
(18) Shoeing a horse, or trimming a horse's hoof in a manner that
will cause such horse to suffer, or can reasonably be expected to cause
such horse to suffer pain or distress, inflammation, or lameness when
walking, trotting, or otherwise moving.
(19) Lead or other weights attached to the outside of the hoof wall,
the outside surface of the horseshoe, or any portion of the pad except
the bottom surface within the horseshoe. Pads may not be hollowed out
for the purpose of inserting or affixing weights, and weights may not
extend below the bearing surface of the shoe. Hollow shoes or artificial
extensions filled with mercury or similar substances are prohibited.
(c) Substances. All substances are prohibited on the extremities
above the hoof of any Tennessee Walking Horse or racking horse while
being shown, exhibited, or offered for sale at any horse show, horse
exhibition, or horse sale or auction, except lubricants such as
glycerine, petrolatum, and mineral oil, or mixtures thereof: Provided,
That:
(1) The horse show, horse exhibition, or horse sale or auction
management agrees to furnish all such lubricants and to maintain control
over them when used at the horse show, horse exhibition, or horse sale
or auction.
(2) Any such lubricants shall be applied only after the horse has
been inspected by management or by a DQP and shall only be applied under
the supervision of the horse show, horse exhibition, or horse sale, or
auction management.
(3) Horse show, horse exhibition, or horse sale or auction
management makes such lubricants available to Department personnel for
inspection and sampling as they deem necessary.
(d) Competition restrictions--2 Year-Old Horses. Horse show or horse
exhibition workouts or performances of 2-year-old Tennessee Walking
Horses and racking horses and working exhibitions of 2-year-old
Tennessee Walking Horses and racking horses (horses eligible to be shown
or exhibited in 2-year-old classes) at horse sales or horse auctions
that exceed a total of 10 minutes continuous workout or performance
without a minimum 5-minute rest period between the first such 10-minute
period and the second such 10-minute period, and, more than two such 10-
minute periods per performance, class, or workout are prohibited.
[[Page 120]]
(e) Information requirements--horse related. Failing to provide
information or providing any false or misleading information required by
the Act or regulations or requested by Department representatives, by
any person that owns, trains, shows, exhibits, or sells or has custody
of, or direction or control over any horse shown, exhibited, sold, or
auctioned or entered for the purpose of being shown, exhibited, sold, or
auctioned at any horse show, horse exhibition, or horse sale or auction
is prohibited. Such information shall include, but is not limited to:
Information concerning the registered name, markings, sex, age, and
legal ownership of the horse; the name and address of the horse's
training and/or stabling facilities; the name and address of the owner,
trainer, rider, any other exhibitor, or other legal entity bearing
responsibility for the horse; the class in which the horse is entered or
shown; the exhibitor identification number; and, any other information
reasonably related to the identification, ownership, control, direction,
or supervision of any such horse.
[44 FR 25179, Apr. 27, 1979, as amended at 53 FR 14782, Apr. 26, 1988,
53 FR 15641, May 2, 1988, 53 FR 28372, July 28, 1988, 53 FR 41562, Oct.
24, 1988, 53 FR 45854, Nov. 14, 1988; 54 FR 7178, Feb. 17, 1989]
Sec. 11.3 Scar rule.
The scar rule applies to all horses born on or after October 1,
1975. Horses subject to this rule that do not meet the following scar
rule criteria shall be considered to be ``sore'' and are subject to all
prohibitions of section 5 of the Act. The scar rule criteria are as
follows:
(a) The anterior and anterior-lateral surfaces of the fore pasterns
(extensor surface) must be free of bilateral granulomas,\5\ other
bilateral pathological evidence of inflammation, and, other bilateral
evidence of abuse indicative of soring including, but not limited to,
excessive loss of hair.
---------------------------------------------------------------------------
\3-4\[Reserved]
5 Granuloma is defined as any one of a rather large group of
fairly distinctive focal lesions that are formed as a result of
inflammatory reactions caused by biological, chemical, or physical
agents.
---------------------------------------------------------------------------
(b) The posterior surfaces of the pasterns (flexor surface),
including the sulcus or ``pocket'' may show bilateral areas of uniformly
thickened epithelial tissue if such areas are free of proliferating
granuloma tissue, irritation, moisture, edema, or other evidence of
inflammation.
[44 FR 25179, Apr. 27, 1979, as amended at 53 FR 14782, Apr. 26, 1988,
53 FR 28373, July 28, 1988]
Sec. 11.4 Inspection and detention of horses.
For the purpose of effective enforcement of the Act:
(a) Each horse owner, exhibitor, trainer, or other person having
custody of, or responsibility for, any horse at any horse show, horse
exhibition, or horse sale or auction, shall allow any APHIS
representative to reasonably inspect such horse at all reasonable times
and places the APHIS representative may designate. Such inspections may
be required of any horse which is stabled, loaded on a trailer, being
prepared for show, exhibition, or sale or auction, being exercised or
otherwise on the grounds of, or present at, any horse show, horse
exhibition, or horse sale or auction, whether or not such horse has or
has not been shown, exhibited, or sold or auctioned, or has or has not
been entered for the purpose of being shown or exhibited or offered for
sale or auction at any such horse show, horse exhibition, or horse sale
or auction. APHIS representatives will not generally or routinely delay
or interrupt actual individual classes or performances at horse shows,
horse exhibitions, or horse sales or auctions for the purpose of
examining horses, but they may do so in extraordinary situations, such
as but not limited to, lack of proper facilities for inspection, refusal
of management to cooperate with Department inspection efforts, reason to
believe that failure to immediately perform inspection may result in the
loss, removal, or masking of any evidence of a violation of the Act or
the regulations, or a request by management that such inspections be
performed by an APHIS representative.
(b) When any APHIS representative notifies the owner, exhibitor,
trainer, or other person having custody of or
[[Page 121]]
responsibility for a horse at any horse show, horse exhibition, or horse
sale or auction that APHIS desires to inspect such horse, it shall not
be moved from the horse show, horse exhibition, or horse sale or auction
until such inspection has been completed and the horse has been released
by an APHIS representative.
(c) For the purpose of examination, testing, or taking of evidence,
APHIS representatives may detain for a period not to exceed 24 hours any
horse, at any horse show, horse exhibition, or horse sale or auction,
which is sore or which an APHIS veterinarian has probable cause to
believe is sore. Such detained horse may be marked for identification
and any such identifying markings shall not be removed by any person
other than an APHIS representative.
(d) Detained horses shall be kept under the supervision of an APHIS
representative or secured under an official USDA seal or seals in a
horse stall, horse trailer, or other facility to which access shall be
limited. It shall be the policy of APHIS to have at least one
representative present in the immediate detention area when a horse is
being held in detention. The official USDA seal or seals may not be
broken or removed by any person other than an APHIS representative,
unless:
(1) The life or well-being of the detained horse is immediately
endangered by fire, flood, windstorm, or other dire circumstances that
are beyond human control.
(2) The detained horse is in need of such immediate veterinary
attention that its life may be in peril before an APHIS representative
can be located.
(3) The horse has been detained for a maximum 24-hour detention
period, and an APHIS representative is not available to release the
horse.
(e) The owner, exhibitor, trainer, or other person having custody of
or responsibility for any horse detained by APHIS for further
examination, testing, or the taking of evidence shall be allowed to
feed, water, and provide other normal custodial and maintenance care,
such as walking, grooming, etc., for such detained horse: Provided,
That:
(1) Such feeding, watering, and other normal custodial and
maintenance care of the detained horse is rendered under the direct
supervision of an APHIS representative.
(2) Any non-emergency veterinary care of the detained horse
requiring the use, application, or injection of any drugs or other
medication for therapeutic or other purposes is rendered by a Doctor of
Veterinary Medicine in the presence of an APHIS representative and, the
identity and dosage of the drug or other medication used, applied, or
injected and its purpose is furnished in writing to the APHIS
representative prior to such use, application, or injection by the
Doctor of Veterinary Medicine attending the horse. The use, application,
or injection of such drug or other medication must be approved by the
APHIS Show Veterinarian or his appointed representative.
(f) It shall be the policy of APHIS to inform the owner, trainer,
exhibitor, or other person having immediate custody of or responsibility
for any horse allegedly found to be in violation of the Act or the
regulations of such alleged violation or violations before the horse is
released by an APHIS representative.
(g) The owner, trainer, exhibitor, or other person having immediate
custody of or responsibility for any horse or horses that an APHIS
representative determines shall be detained for examination, testing, or
taking of evidence pursuant to paragraph (e) of this section shall be
informed after such determination is made and shall allow said horse to
be immediately put under the supervisory custody of APHIS or secured
under official USDA seal as provided in paragraph (d) of this section
until the completion of such examination, testing, or gathering of
evidence, or until the 24-hour detention period expires.
(h) The owner, trainer, exhibitor, or other person having custody of
or responsibility for any horse allegedly found to be in violation of
the Act or regulations, and who has been notified of such alleged
violation by an APHIS representative as stated in paragraph (f) of this
section, may request reexamination and testing of said horse within a
24-hour period: Provided, That:
[[Page 122]]
(1) Such request is made to the APHIS Show Veterinarian immediately
after the horse has been examined by APHIS representatives and before
such horse has been removed from the APHIS inspection facilities; and
(2) The APHIS Show Veterinarian determines that sufficient cause for
reexamination and testing exists; and
(3) The horse is maintained under APHIS supervisory custody as
prescribed in paragraph (d) of this section until such reexamination and
testing has been completed.
(i) The owner, exhibitor, trainer, or other person having custody
of, or responsibility for any horse being inspected shall render such
assistance as the APHIS representative may request for purposes of such
inspection.
(ii) [Reserved]
[44 FR 25179, Apr. 27, 1979, as amended at 56 FR 13750, Apr. 4, 1991]
Sec. 11.5 Access to premises and records.
Requirements regarding access to premises for inspection of horses
and records are as follows:
(a) Management. (1) The management of any horse show, horse
exhibition, or horse sale or auction shall, without fee, charge,
assessment, or other compensation, provide APHIS representatives with
unlimited access to the grandstands, sale ring, barns, stables, grounds,
offices, and all other areas of any horse show, horse exhibition, or
horse sale or auction, including any adjacent areas under their
direction, control, or supervision for the purpose of inspecting any
horses, or any records required to be kept by regulation or otherwise
maintained.
(2) The management of any horse show, horse exhibition, or horse
sale or auction shall, without fee, charge, assessment, or other
compensation, provide APHIS representatives with an adequate, safe, and
accessible area for the visual inspection and observation of horses
while such horses are competitively or otherwise performing at any horse
show or horse exhibition, or while such horses are being sold or
auctioned or offered for sale or auction at any horse sale or horse
auction.
(b) Exhibitors. (1) Each horse owner, exhibitor, or other person
having custody of or responsibility for any horse at any horse show,
horse exhibition, or horse sale or auction shall, without fee, charge,
assessment, or other compensation, admit any APHIS representative or
Designated Qualified Person appointed by management, to all areas of
barns, compounds, horse vans, horse trailers, stables, stalls, paddocks,
or other show, exhibition, or sale or auction grounds or related areas
at any horse show, horse exhibition, or horse sale or auction, for the
purpose of inspecting any such horse at any and all reasonable times.
(2) Each owner, trainer, exhibitor, or other person having custody
of or responsibility for, any horse at any horse show, horse exhibition,
or horse sale or auction shall promptly present his horse for inspection
upon notification, orally or in writing, by any APHIS representative or
Designated Qualified Person appointed by management, that said horse has
been selected for examination for the purpose of determining whether
such horse is in compliance with the Act and regulations.
[44 FR 25179, Apr. 27, 1979, as amended at 56 FR 13750, Apr. 4, 1991]
Sec. 11.6 Inspection space and facility requirements.
The management of every horse show, horse exhibition, or horse sale
or auction, containing Tennessee Walking Horses or racking horses, shall
provide, without fee, sufficient space and facilities for APHIS
representatives to carry out their duties under the Act and regulations
at every horse show, horse exhibition, or horse sale or auction,
containing Tennessee Walking Horses or racking horses, whether or not
management has received prior notification or otherwise knows that such
show may be inspected by APHIS. The management of every horse show,
horse exhibition, horse sale or auction which does not contain Tennessee
Walking Horses or racking horses shall provide, without fee, such
sufficient space and facilities when requested to do so by APHIS
representatives. With respect to such space and facilities, it shall be
the responsibility of management to provide at least the following:
(a) Sufficient space in a convenient location to the horse show,
horse exhibition, or horse sale or auction arena,
[[Page 123]]
acceptable to the APHIS Show Veterinarian, in which horses may be
physically, thermographically, or otherwise inspected.
(b) Protection from the elements of nature, such as rain, snow,
sleet, hail, windstorm, etc., if required by the APHIS Show
Veterinarian.
(c) A means to control crowds or onlookers in order that APHIS
personnel may carry out their duties without interference and with a
reasonable measure of safety, if requested by the APHIS Show
Veterinarian.
(d) An accessible, reliable, and convenient 110-volt electrical
power source, if electrical service is available at the show,
exhibition, or sale or auction site and is requested by the APHIS Show
Veterinarian.
(e) An appropriate area adjacent to the inspection area for
designated horses to wait for inspection, and an area to be used for
detention of horses.
[44 FR 25181, Apr. 27, 1979, as amended at 56 FR 13750, Apr. 4, 1991]
Sec. 11.7 Certification and licensing of designated qualified persons (DQP's).
(a) Basic qualifications of DQP applicants. DQP's holding a valid,
current DQP license issued in accordance with this part may be appointed
by the management of any horse show, horse exhibition, horse sale, or
horse auction, as qualified persons in accordance with section 4(c) of
the Act, to inspect horses to detect or diagnose soring and to otherwise
inspect horses, or any records pertaining to any horse for the purpose
of enforcing the Act. Individuals who may be licensed as DQP's under
this part shall be:
(1) Doctors of Veterinary Medicine who are accredited in any State
by the United States Department of Agriculture under part 161 of chapter
I, title 9 of the Code of Federal Regulations, and who are:
(i) Members of the American Association of Equine Practitioners, or
(ii) Large animal practitioners with substantial equine experience,
or
(iii) Knowledgeable in the area of equine lameness as related to
soring and soring practices (such as Doctors of Veterinary Medicine with
a small animal practice who own, train, judge, or show horses, or
Doctors of Veterinary Medicine who teach equine related subjects in an
accredited college or school of veterinary medicine). Accredited Doctors
of Veterinary Medicine who meet these criteria may be licensed as DQP's
by a horse industry organization or association whose DQP program has
been certified by the Department under this part without undergoing the
formal training requirements set forth in this section.
(2) Farriers, horse trainers, and other knowledgeable horsemen whose
past experience and training would qualify them for positions as horse
industry organization or association stewards or judges (or their
equivalent) and who have been formally trained and licensed as DQP's by
a horse industry organization or association whose DQP program has been
certified by the Department in accordance with this section.
(b) Certification requirements for DQP programs. The Department will
not license DQP's on an individual basis. Licensing of DQP's will be
accomplished only through DQP programs certified by the Department and
initiated and maintained by horse industry organizations or
associations. Any horse industry organization or association desiring
Department certification to train and license DQP's under the Act shall
submit to the Administrator \6\ a formal request in writing for
certification of its DQP program and a detailed outline of such program
for Department approval. Such outline shall include the organizational
structure of such organization or association and the names of the
officers or persons charged with the management of the organization or
association. The outline shall also contain at least the following:
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\6\ Animal and Plant Health Inspection Service, Regulatory
Enforcement and Animal Care, Animal Care, 4700 River Road, Unit 84,
Riverdale, Maryland 20737-1234.
---------------------------------------------------------------------------
(1) The criteria to be used in selecting DQP candidates and the
minimum qualifications and knowledge regarding horses each candidate
must have in order to be admitted to the program.
(2) A copy of the formal training program, classroom and practical,
required to be completed by each DQP
[[Page 124]]
candidate before being licensed by such horse industry organization or
association, including the minimum number of hours, classroom and
practical, and the subject matter of the training program. Such training
program must meet the following minimum standards in order to be
certified by the Department under the Act.
(i) Two hours of classroom instruction on the anatomy and physiology
of the limbs of a horse. The instructor teaching the course must be
specified, and a resume of said instructor's background, experience, and
qualifications to teach such course shall be provided to the
Administrator.\6\
(ii) Two hours of classroom instruction on the Horse Protection Act
and regulations and their interpretation. Instructors for this course
must be furnished or recommended by the Department. Requests for
instructors to be furnished or recommended must be made to the
Administrator \6\ in writing at least 30 days prior to such course.
(iii) Four hours of classroom instruction on the history of soring,
the physical examination procedures necessary to detect soring, the
detection and diagnosis of soring, and related subjects. The instructor
teaching the course must be specified and a summary of said instructor's
background, experience, and qualifications to teach such course must be
provided to the Administrator.\6\
(iv) Four hours of practical instruction in clinics and seminars
utilizing live horses with actual application of the knowledge gained in
the classroom subjects covered in paragraphs (b)(2)(i), (ii), and (iii)
of this section. Methods and procedures required to perform a thorough
and uniform examination of a horse shall be included. The names of the
instructors and a resume of their background, academic and practical
experience, and qualifications to present such instruction shall be
provided to the Administrator.\6\ Notification of the actual date, time,
duration, subject matter, and geographic location of such clinics or
seminars must be sent to the Administrator \6\ at least 10 days prior to
each such clinic or seminar.
(v) One hour of classroom instruction regarding the DQP standards of
conduct promulgated by the licensing organization or association
pursuant to paragraph (d)(7) of this section.
(vi) One hour of classroom instruction on recordkeeping and
reporting requirements and procedures.
(3) A sample of a written examination which must be passed by DQP
candidates for successful completion of the program along with sample
answers and the scoring thereof, and proposed passing and failing
standards.
(4) The criteria to be used to determine the qualifications and
performance abilities of DQP candidates selected for the training
program and the criteria used to indicate successful completion of the
training program, in addition to the written examination required in
paragraph (b)(3) of this section.
(5) The criteria and schedule for a continuing education program and
the criteria and methods of monitoring and appraising performance for
continued licensing of DQP's by such organization or association. A
continuing education program for DQP's shall consist of not less than 4
hours of instruction per year.
(6) Procedures for monitoring horses in the unloading, preparation,
warmup, and barn areas, or other such areas. Such monitoring may include
any horse that is stabled, loaded on a trailer, being prepared for show,
exhibition, sale, or auction, or exercised, or that is otherwise on the
grounds of, or present at, any horse show, horse exhibition, or horse
sale or auction.
(7) The methods to be used to insure uniform interpretation and
enforcement of the Horse Protection Act and regulations by DQP's and
uniform procedures for inspecting horses for compliance with the Act and
regulations;
(8) Standards of conduct for DQP's promulgated by the organization
or association in accordance with paragraph (d)(7) of this section; and
(9) A formal request for Department certification of the DQP
program.
The horse industry organizations or associations that have formally
requested Department certification of their DQP training, enforcement,
and maintenance program will receive a formal notice of certification
from the Department, or the reasons, in writing,
[[Page 125]]
why certification of such program cannot be approved. A current list of
certified DQP programs and licensed DQP's will be published in the
Federal Register at least once each year, and as may be further required
for the purpose of deleting programs and names of DQP's that are no
longer certified or licensed, and of adding the names of programs and
DQP's that have been certified or licensed subsequent to the publication
of the previous list.
(c) Licensing of DQP's. Each horse industry organization or
association receiving Department certification for the training and
licensing of DQP's under the Act shall:
(1) Issue each DQP licensed by such horse industry organization or
association a numbered identification card bearing the name and personal
signature of the DQP, a picture of the DQP, and the name and address,
including the street address or post office box and zip code, of the
licensing organization or association;
(2) Submit a list to the Administrator \6\ of names and addresses
including street address or post office box and zip code, of all DQP's
that have successfully completed the certified DQP program and have been
licensed under the Act and regulations by such horse industry
organization or association;
---------------------------------------------------------------------------
\7\ See footnote 6 to this section.
---------------------------------------------------------------------------
(3) Notify the Department of any additions or deletions of names of
licensed DQP's from the licensed DQP list submitted to the Department or
of any change in the address of any licensed DQP or any warnings and
license revocations issued to any DQP licensed by such horse industry
organization or association within 10 days of such change;
(4) Not license any person as a DQP if such person has been
convicted of any violation of the Act or regulations occurring after
July 13, 1976, or paid any fine or civil penalty in settlement of any
proceeding regarding a violation of the Act or regulations occurring
after July 13, 1976, for a period of at least 2 years following the
first such violation, and for a period of at least 5 years following the
second such violation and any subsequent violation;
(5) Not license any person as a DQP until such person has attended
and worked two recognized or affiliated horse shows, horse exhibitions,
horse sales, or horse auctions as an apprentice DQP and has demonstrated
the ability, qualifications, knowledge and integrity required to
satisfactorily execute the duties and responsibilities of a DQP;
(6) Not license any person as a DQP if such person has been
disqualified by the Secretary from making detection, diagnosis, or
inspection for the purpose of enforcing the Act, or if such person's DQP
license is canceled by another horse industry organization or
association.
(d) Requirements to be met by DQP's and Licensing Organizations or
Associations. (1) Any licensed DQP appointed by the management of any
horse show, horse exhibition, horse sale or auction to inspect horses
for the purpose of detecting and determining or diagnosing horses which
are sore and to otherwise inspect horses for the purpose of enforcing
the Act and regulations, shall keep and maintain the following
information and records concerning any horse which said DQP recommends
be disqualified or excused for any reason at such horse show, horse
exhibition, horse sale or auction, from being shown, exhibited, sold or
auctioned, in a uniform format required by the horse industry
organization or association that has licensed said DQP:
(i) The name and address, including street address or post office
box and zip code, of the show and the show manager.
(ii) The name and address, including street address or post office
box and zip code, of the horse owner.
(iii) The name and address, including street address or post office
box and zip code, of the horse trainer.
(iv) The name and address, including street address or post office
box and zip code, of the horse exhibitor.
(v) The exhibitors number and class number, or the sale or auction
tag number of said horse.
(vi) The date and time of the inspection.
(vii) A detailed description of all of the DQP's findings and the
nature of the alleged violation, or other reason
[[Page 126]]
for disqualifying or excusing the horse, including said DQP's statement
regarding the evidence or facts upon which the decision to disqualify or
excuse said horse was based.
(viii) The name, age, sex, color, and markings of the horse; and
(ix) The name or names of the show manager or other management
representative notified by the DQP that such horse should be excused or
disqualified and whether or not such manager or management
representative excused or disqualified such horse.
Copies of the above records shall be submitted by the involved DQP to
the horse industry organization or association that has licensed said
DQP within 72 hours after the horse show, horse exhibition, horse sale,
or horse auction is over.
(2) The DQP shall inform the custodian of each horse allegedly found
in violation of the Act or its regulations, or disqualified or excused
for any other reason, of such action and the specific reasons for such
action.
(3) Each horse industry organization or association having a
Department certified DQP program shall submit a report to the Department
containing the following information, from records required in paragraph
(d)(1) of this section and other available sources, to the Department on
a monthly basis:
(i) The identity of all horse shows, horse exhibitions, horse sales,
or horse auctions that have retained the services of DQP's licensed by
said organization or association during the month covered by the report.
Information concerning the identity of such horse shows, horse
exhibitions, horse sales, or horse auctions shall include:
(A) The name and location of the show, exhibition, sale, or auction.
(B) The name and address of the manager.
(C) The date or dates of the show, exhibition, sale, or auction.
(ii) The identity of all horses at each horse show, horse
exhibition, horse sale, or horse auction that the licensed DQP
recommended be disqualified or excused for any reason. The information
concerning the identity of such horses shall include:
(A) The registered name of each horse.
(B) The name and address of the owner, trainer, exhibitor, or other
person having custody of or responsibility for the care of each such
horse disqualified or excused.
(4) Each horse industry organization or association having a
Department certified DQP program shall provide, by certified mail if
personal service is not possible, to the trainer and owner of each horse
allegedly found in violation of the Act or its regulations or otherwise
disqualified or excused for any reason, the following information;
(i) The name and date of the show, exhibition, sale, or auction.
(ii) The name of the horse and the reason why said horse was
excused, disqualified, or alleged to be in violation of the Act or its
regulations.
(5) Each horse industry organization or association having a
Department certified DQP program shall provide each of its licensed
DQP's with a current list of all persons that have been disqualified by
order of the Secretary from showing or exhibiting any horse, or judging
or managing any horse show, horse exhibition, horse sale, or horse
auction. The Department will make such list available, on a current
basis, to organizations and associations maintaining a certified DQP
program.
(6) Each horse industry organization or association having a
Department certified DQP program shall develop and provide a continuing
education program for licensed DQP's which provides not less than 4
hours of instruction per year to each licensed DQP.
(7) Each horse industry organization or association having a
Department certified DQP program shall promulgate standards of conduct
for its DQP's, and shall provide administrative procedures within the
organization or association for initiating, maintaining, and enforcing
such standards. The procedures shall include the causes for and methods
to be utilized for canceling the license of any DQP who fails to
properly and adequately carry out his duties. Minimum standards of
conduct for DQP's shall include the following;
(i) A DQP shall not exhibit any horse at any horse show or horse
exhibition, or sell, auction, or pruchase any horse sold at a horse sale
or horse auction at
[[Page 127]]
which he or she has been appointed to inspect horses;
(ii) A DQP shall not inspect horses at any horse show, horse
exhibition, horse sale or horse auction in which a horse or horses owned
by a member of the DQP's immediate family or the DQP's employer are
competing or are being offered for sale;
(iii) A DQP shall follow the uniform inspection procedures of his
certified organization or association when inspecting horses; and
(iv) The DQP shall immediately inform management of each case
regarding any horse which, in his opinion, is in violation of the Act or
regulations.
(e) Prohibition of appointment of certain persons to perform duties
under the Act. The management of any horse show, horse exhibition, horse
sale, or horse auction shall not appoint any person to detect and
diagnose horses which are sore or to otherwise inspect horses for the
purpose of enforcing the Act, if that person:
(1) Does not hold a valid, current DQP license issued by a horse
industry organization or association having a DQP program certified by
the Department.
(2) Has had his DQP license canceled by the licensing organization
or association.
(3) Is disqualified by the Secretary from performing diagnosis,
detection, and inspection under the Act, after notice and opportunity
for a hearing,\7\ when the Secretary finds that such person is unfit to
perform such diagnosis, detection, or inspection because he has failed
to perform his duties in accordance with the Act or regulations, or
because he has been convicted of a violation of any provision of the Act
or regulations occurring after July 13, 1976, or has paid any fine or
civil penalty in settlement of any proceeding regarding a violation of
the Act or regulations occurring after July 13, 1976.
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\7\ Hearing would be in accordance with the Uniform Rules of
Practice for the Department of Agriculture in subpart H of part 1,
subtitle A, title 7, Code of Federal Regulations (7 CFR 1.130 et seq.)
---------------------------------------------------------------------------
(f) Cancellation of DQP license. (1) Each horse industry
organization or association having a DQP program certified by the
Department shall issue a written warning to any DQP whom it has licensed
who violates the rules, regulations, by-laws, or standards of conduct
promulgated by such horse industry organization or association pursuant
to this section, who fails to follow the procedures set forth in
Sec. 11.21 of this part, or who otherwise carries out his duties and
responsibilities in a less than satisfactory manner, and shall cancel
the license of any DQP after a second violation. Upon cancellation of
his DQP license, the DQP may, within 30 days thereafter, request a
hearing before a review committee of not less than three persons
appointed by the licensing horse industry organization or association.
If the review committee sustains the cancellation of the license, the
DQP may appeal the decision of such committee to the Administrator
within 30 days from the date of such decision, and the Administrator
shall make a final determination in the matter. If the Administrator
finds, after providing the DQP whose license has been canceled with a
notice and an opportunity for a hearing,\7\ that there is sufficient
cause for the committee's determination regarding license cancellation,
he shall issue a decision sustaining such determination. If he does not
find that there was sufficient cause to cancel the license, the
licensing organization or association shall reinstate the license.
(2) Each horse industry organization or association having a
Department certified DQP program shall cancel the license of any DQP
licensed under its program who has been convicted of any violation of
the Act or regulations or of any DQP who has paid a fine or civil
penalty in settlement of any alleged violation of the Act or regulations
if such alleged violation occurred after July 13, 1976.
(g) Revocation of DQP program certification of horse industry
organizations or associations. Any horse industry organization or
association having a Department certified DQP program that has not
received Department approval of the inspection procedures provided for
in paragraph (b)(6) of this section, or that otherwise fails to comply
with the requirements contained in this section, may have such
certification of its DQP program revoked, unless, upon written
[[Page 128]]
notification from the Department of such failure to comply with the
requirements in this section, such organization or association takes
immediate action to rectify such failure and takes appropriate steps to
prevent a recurrence of such noncompliance within the time period
specified in the Department notification, or otherwise adequately
explains such failure to comply to the satisfaction of the Department.
Any horse industry organization or association whose DQP program
certification has been revoked may appeal such revocation to the
Administrator\6\ in writing within 30 days after the date of such
revocation and, if requested, shall be afforded an opportunity for a
hearing.\7\ All DQP licenses issued by a horse industry organization or
association whose DQP program certification has been revoked shall
expire 30 days after the date of such revocation, or 15 days after the
date the revocation becomes final after appeal, unless they are
transferred to a horse industry organization or association having a
program currently certified by the Department.
---------------------------------------------------------------------------
\6-7\ See previous footnotes 6 and 7.
(Approved by the Office of Management and Budget under control number
---------------------------------------------------------------------------
0579-0056)
[44 FR 1563, Jan. 5, 1979, as amended at 44 FR 25182, Apr. 27, 1979; 48
FR 57471, Dec. 30, 1983; 55 FR 41993, Oct. 17, 1990; 56 FR 13750, Apr.
4, 1991; 59 FR 67612, Dec. 30, 1994]
Sec. 11.20 Responsibilities and liabilities of management.
(a) The management of any horse show, horse exhibition, or horse
sale or auction which does not appoint and retain a DQP shall be
responsible for identifying all horses that are sore or otherwise in
violation of the Act or regulations, and shall disqualify or disallow
any horses which are sore or otherwise in violation of the Act or
regulations from participating or competing in any horse show, horse
exhibition, horse sale, or horse auction. Horses entered for sale or
auction at a horse sale or horse auction must be identified as sore or
otherwise in violation of the Act or regulations prior to the sale or
auction and prohibited from entering the sale or auction ring. Sore
horses or horses otherwise in violation of the Act or regulations that
have been entered in a horse show or horse exhibition for the purpose of
show or exhibition must be identified and excused prior to the show or
exhibition. Any horses found to be sore or otherwise in violation of the
Act or regulations during actual participation in the show or
exhibition, must be removed from further participation prior to the
tyeing of the class or the completion of the exhibition. All horses tyed
first in each Tennessee Walking Horse or racking horse class or event at
any horse show or horse exhibition shall be inspected after being shown
or exhibited to determine if such horses are sore or otherwise in
violation of the Act or regulations.
(b)(1) The management of any horse show, horse exhibition, horse
sale or auction which designates and appoints a Designated Qualified
Person (or persons) to inspect horses shall accord said DQP access to
all records and areas of the grounds of such show, exhibition, sale, or
auction and the same right to inspect horses and records as is accorded
to any APHIS representative. Further, management shall not take any
action which would interfere with or influence said DQP in carrying out
his duties or making decisions concerning whether or not any horse is
sore or otherwise in violation of the Act or regulations. In the event
management is dissatisfied with the performance of a particular DQP,
including disagreement with decisions concerning violations, management
shall not dismiss or otherwise interfere with said DQP during the DQP's
appointed tour of duty.\8\ However, management should immediately
notify, in writing, the Department \6\ and the organization or
association that licensed the DQP, as to why the performance of said DQP
was inadequate or otherwise unsatisfactory. Management which designates
and appoints a DQP shall immediately disqualify or disallow from being
shown, exhibited, sold, or auctioned any horse identified by the DQP to
be sore or otherwise in violation of the
[[Page 129]]
Act or regulations or any horse otherwise known by management to be sore
or in violation of the Act or regulations. Should management fail to
disqualify or disallow from being shown, exhibited, sold or auctioned
any such horse, said management shall assume full responsibility for and
liabilities arising from the showing, exhibition, sale, or auction of
said horses.
---------------------------------------------------------------------------
\6\ See footnote 6 to Sec. 11.7.
\8\ The duration of the show, exhibition, or sale or auction.
---------------------------------------------------------------------------
(2) The DQP shall physically inspect: (i) All Tennessee Walking
Horses and racking horses entered for sale or auction, (ii) all
Tennessee Walking Horses and racking horses entered in any animated gait
class (whether under saddle, horse to cart, or otherwise), (iii) all
Tennessee Walking Horses and racking horses entered for exhibition
before they are admitted to be shown, exhibited, sold, or auctioned, and
(iv) all Tennessee Walking Horses and racking horses tyed first in their
class or event at any horse show, horse exhibition, horse sale, or horse
auction. Such inspection shall be for the purpose of determining whether
any such horses are in violation of the Act or regulations. Such
physical examination shall be conducted in accordance with the
inspection procedures provided for in Sec. 11.21 of this part. The DQP
shall observe horses in the warmup ring and during actual performances
whenever possible, and shall inspect any Tennessee Walking Horse or
racking horse at any time he deems necessary to determine whether any
such horse shown, exhibited, sold, or auctioned is in violation of the
Act or regulations. If present at other shows, he shall examine any
horse which he determines should be examined for compliance with the Act
and regulations.
(3) The DQP shall immediately report, to the management of any horse
show, horse exhibition, or horse sale or auction, any horse which, in
his opinion, is sore or otherwise in violation of the Act or
regulations. Such report shall be made, whenever possible, before the
show class or exhibitioin involving said horse has begun or before said
horse is offered for sale or auction.
(c) The management of any horse show, exhibition, sale, or auction
that designates and appoints a DQP to inspect horses shall appoint and
designate at least two DQP's when more than 150 horses are entered.
(Approved by the Office of Management and Budget under control number
0579-0056)
[44 FR 25182, Apr. 27, 1979, as amended at 48 FR 57471, Dec. 30, 1983;
55 FR 41993, Oct. 17, 1990; 56 FR 13750, Apr. 4, 1991; 57 FR 62175, Dec.
30, 1992]
Sec. 11.21 Inspection procedures for designated qualified persons (DQP's).
(a)(1) During the preshow inspection, the DQP shall direct the
custodian of the horse to walk and turn the horse in a manner that
allows the DQP to determine whether the horse exhibits signs of
soreness. The DQP shall determine whether the horse moves in a free and
easy manner and is free of any signs of soreness.
(2) The DQP shall digitally palpate the front limbs of the horse
from knee to hoof, with particular emphasis on the pasterns and
fetlocks. The DQP shall examine the posterior surface of the pastern by
picking up the foot and examining the posterior (flexor) surface. The
DQP shall apply digital pressure to the pocket (sulcus), including the
bulbs of the heel, and continue the palpation to the medial and lateral
surfaces of the pastern, being careful to observe for responses to pain
in the horse. While continuing to hold onto the pastern, the DQP shall
extend the foot and leg of the horse to examine the front (extensor)
surfaces, including the coronary band. The DQP may examine the rear
limbs of all horses inspected after showing, and may examine the rear
limbs of any horse examined preshow or on the showgrounds when he deems
it necessary, except that the DQP shall examine the rear limbs of all
horses exhibiting lesions on, or unusual movement of, the rear legs.
While carrying out the procedures set forth in this paragraph, the DQP
shall also inspect the horse to determine whether the provisions of
Sec. 11.3 of this part are being complied with, and particularly whether
there is any evidence of inflammation, edema, or proliferating granuloma
tissue.
(3) The DQP shall observe and inspect all horses for compliance with
the provisions set forth in Sec. 11.2(a) through Sec. 11.2(c) of this
part. All action devices,
[[Page 130]]
pads, and other equipment shall be observed and/or examined to assure
that they are in compliance with the regulations. All such equipment on
horses examined postshow, and on horses examined preshow that are not
clearly in compliance, shall be weighed and/or measured.
(4) The DQP shall instruct the custodian of the horse to control it
by holding the reins approximately 18 inches from the bit shank. The DQP
shall not be required to examine a horse if it is presented in a manner
that might cause the horse not to react to a DQP's examination, or if
whips, cigarette smoke, or other actions or paraphernalia are used to
distract a horse during examination. All such incidents shall be
reported to the show management and the DQP licensing organization.
(b) The DQP shall inspect horses no more than three classes ahead of
the time the inspected horses are to be shown, except that, in shows
with fewer than 150 horses, the DQP shall inspect horses no more than 2
classes ahead of the time the inspected horses are to be shown.
Inspected horses shall be held in a designated area that is under
observation by the DQP or APHIS representative. Horses shall not be
permitted to leave the designated area before showing. Only the horse,
the rider, the groom, the trainer, the DQP(s) and APHIS representatives
shall be allowed in the designated area.
(c) The DQP may carry out additional inspection procedures as he
deems necessary to determine whether the horse is sore.
(d) The certified DQP organization shall assess appropriate
penalties for violations, as set forth in the rule book of the certified
program under which the DQP is licensed, or as set forth by the
Department, and shall report all violations, in accordance with
Sec. 11.20(b)(3) of this part.
[55 FR 41993, Oct. 17, 1990; as amended at 56 FR 13750, Apr. 4, 1991; 57
FR 62175, Dec. 30, 1992]
Sec. 11.22 Records required and disposition thereof.
(a) The management of any horse show, horse exhibition, or horse
sale or auction, that contains Tennessee Walking Horses or racking
horses, shall maintain for a period of at least 90 days following the
closing date of said show, exhibition, or sale or auction, all pertinent
records containing:
(1) The dates and place of the horse show, horse exhibition, horse
sale, or horse auction.
(2) The name and address (including street address or post office
box number and ZIP code) of the sponsoring organization.
(3) The name and address of the horse show, exhibition, horse sale
or horse auction management.
(4) The name and address (including street address or post office
box number and ZIP code) of the DQP, if any, employed to conduct
inspections under Sec. 11.20; and, the name of the horse industry
organization or association certifying the DQP.
(5) The name and address (including street address or post office
box number, and ZIP code) of each show judge.
(6) A copy of each class or sale sheet containing the names of
horses, the names and addresses (including street address, post office
box and ZIP code) of horse owners, the exhibitor number and class
number, or sale number assigned to each horse, the show class or sale
lot number, and the name and address (including street address, post
office box, and ZIP code) of the person paying the entry fee and
entering the horse in a horse show, horse exhibition, or horse sale or
auction.
(7) A copy of the official horse show, horse exhibition, horse sale,
or horse auction program, if any such program has been prepared.
(8) The identification of each horse, including the name of the
horse, the name and address (including street address, post office box,
and ZIP code) of the owner, the trainer, the rider or other exhibitor,
and the location (including street address, post office box, and ZIP
code) of the home barn or other facility where the horse is stabled.
(b) The management of any horse show, horse exhibition, or horse
sale or auction containing Tennessee Walking Horses or racking horses
shall designate a person to maintain the records required in this
section.
(c) The management of any horse show, horse exhibition, or horse
sale or
[[Page 131]]
auction containing Tennessee Walking Horses or racking horses shall
furnish to any APHIS representative, upon request, the name and address
(including street address, or post office box, and ZIP code) of the
person designated by the sponsoring organization or manager to maintain
the records required by this section.
(d) The Administrator may, in specific cases, require that a horse
show, horse exhibition, or horse sale or auction records be maintained
by management for a period in excess of 90 days.
(Approved by the Office of Management and Budget under control numbers
0579-0056, and 0579-0058)
(44 U.S.C. 3506)
[44 FR 25179, Apr. 27, 1979, as amended at 48 FR 57471, Dec. 30, 1983.
Redesignated at 55 FR 41993, Oct. 17, 1990; 56 FR 13750, Apr. 4, 1991]
Sec. 11.23 Inspection of records.
(a) The management of any horse show, horse exhibition, or horse
sale or auction shall permit any APHIS representative, upon request, to
examine and make copies of any and all records pertaining to any horse,
either required in any part of the regulations, or otherwise maintained,
during ordinary business hours or such other times as may be mutually
agreed upon. A room, table, or other facilities necessary for proper
examination of such records shall be made available to the APHIS
representative.
(b) Horse industry organizations or associations who train,
maintain, and license DQP's under a certified DQP program shall permit
any APHIS representative, upon request, to examine and copy any and all
records relating to the DQP program which are required by any part of
the regulations. Such requests shall be made during ordinary business
hours or such other times as mutually agreed upon. A room, table or
other facilities necessary for proper examination shall be made
available upon the request of the APHIS representative.
[44 FR 25179, Apr. 27, 1979. Redesignated at 55 FR 41993, Oct. 17, 1990,
as amended at 56 FR 13750, Apr. 4, 1991]
Sec. 11.24 Reporting by management.
(a) Within 5 days following the conclusion of any horse show, horse
exhibition, or horse sale or auction, containing Tennessee Walking
Horses or racking horses, the managements of such show, exhibition, sale
or auction shall submit to the Sector Supervisor\1\ for the State in
which the show, exhibition, sale or auction was held, the information
required by Sec. 11.22(a)(1) through (6) for each horse excused or
disqualified by management or its representatives from being shown,
exhibited, sold or auctioned, and the reasons for such action. If no
horses are excused or disqualified, the management shall submit a report
so stating.
---------------------------------------------------------------------------
\1\ See footnote 1 to Sec. 11.1.
---------------------------------------------------------------------------
(b) Within 5 days following the conclusion of any horse show, horse
exhibition, or horse sale or auction which does not contain Tennessee
Walking Horses or racking horses, the management of such show,
exhibition, sale or auction shall inform the Sector Supervisor for the
State in which the show, exhibition, sale or auction was held, of any
case where a horse was excused or disqualified by management or its
representatives from being shown, exhibited, sold or auctioned because
it was found to be sore.
(Approved by the Office of Management and Budget under control number
0579-0056)
[44 FR 25179, Apr. 27, 1979, as amended at 48 FR 57471, Dec. 30, 1983;
55 FR 41994, Oct. 17, 1990; 56 FR 13750, Apr. 4, 1991]
Sec. 11.40 Prohibitions and requirements concerning persons involved in transportation of certain horses.
(a) Each person who ships, transports, or otherwise moves, or
delivers or receives for movement, any horse with reason to believe such
horse may be shown, exhibited, sold or auctioned at any horse show,
horse exhibition, or horse sale or auction, shall allow and assist in
the inspection of such horse at any such show, exhibition, sale, or
auction to determine compliance with the Act as provided in Sec. 11.4 of
the regulations and shall furnish to any APHIS representatives upon his
request the following information:
(1) Name and address (including street address, post office box, and
ZIP code) of the horse owner and of the shipper, if different from the
owner or trainer.
[[Page 132]]
(2) Name and address (including street address, post office box, and
ZIP code) of the horse trainer.
(3) Name and address (including street address, post office box, and
ZIP code) of the carrier transporting the horse, and of the driver of
the means of conveyance used.
(4) Origin of the shipment and date thereof, and,
(5) Destination of shipment.
(b) [Reserved]
(Approved by the Office of Management and Budget under control number
0579-0056)
[44 FR 25179, Apr. 27, 1979, as amended at 48 FR 57471, Dec. 30, 1983;
56 FR 13750, Apr. 4, 1991]
Sec. 11.41 Reporting required of horse industry organizations or associations.
Each horse industry organization or association which sponsors, or
which sanctions any horse show, horse exhibition, or horse sale or
auction, shall furnish the Department\6\ by March 1 of each year with
all such organization or association rulebooks, and disciplinary
procedures for the previous year pertaining to violations of the Horse
Protection Act or regulations, applicable to such horse show, horse
exhibition, or horse sale or auction. Rulebooks and information relating
to disciplinary procedures for violations of the Horse Protection Act or
regulations should be readily available to all exhibitors, trainers, and
owners of horses at such show, exhibition, sale, or auction. Each horse
industry organization or association shall furnish the Department\6\
with a quarterly report of all disciplinary actions taken against the
management or any horse show, horse exhibition, horse sale, or horse
auction, any exhibitor, or any licensed DQP, for violation of the Horse
Protection Act or regulations, and the results thereof.
---------------------------------------------------------------------------
\6\ See footnote 6 to Sec. 11.7.
(Approved by the Office of Management and Budget under control number
---------------------------------------------------------------------------
0579-0056)
[44 FR 25179, Apr. 27, 1979, as amended at 48 FR 57471, Dec. 30, 1983]
PART 12--RULES OF PRACTICE GOVERNING PROCEEDINGS UNDER THE HORSE PROTECTION ACT--Table of Contents
Subpart A--General
Sec.
12.1 Scope and applicability of rules of practice.
Subpart B--Supplemental Rules of Practice
12.10 Stipulations.
Subpart A--General
Sec. 12.1 Scope and applicability of rules of practice.
The Uniform Rules of Practice for the Department of Agriculture
promulgated in subpart H of part 1, subtitle A, title 7, Code of Federal
Regulations, are the Rules of Practice applicable to adjudicatory,
administrative proceedings under section 6(a) of the Horse Protection
Act of 1970 (15 U.S.C. 1825(a)) and sections 6 (b) and (c) of the Horse
Protection Act (15 U.S.C. 1825 (b) and (c)). In addition, the
Supplemental Rules of Practice set forth in subpart B of this part shall
be applicable to such proceedings.
(84 Stat. 1406; 15 U.S.C. 1828)
[42 FR 10959, Feb. 25, 1977]
Subpart B--Supplemental Rules of Practice
Sec. 12.10 Stipulations.
(a) At any time prior to the issuance of a complaint seeking a civil
penalty under the Act, the Administrator, in his discretion, may enter
into a stipulation with any person in which:
(1) The Administration gives notice of an apparent violation of the
Act or the regulations issued thereunder by such person and affords such
person an opportunity for a hearing regarding the matter as provided by
the Act;
(2) Such person expressly waives hearing and agrees to a specified
order including an agreement to pay a specified civil penalty within a
designated time; and
[[Page 133]]
(3) The Administrator agrees to accept the specified order including
a civil penalty in settlement of the particular matter involved if it is
paid within the designated time.
(b) If the specified penalty is not paid within the time designated
in such a stipulation, the amount of the stipulated penalty shall not be
relevant in any respect to the penalty which may be assessed after
issuance of a complaint.
(84 Stat. 1406; 15 U.S.C. 1828)
[42 FR 10960, Feb. 25, 1977]
[[Page 134]]
SUBCHAPTER B--COOPERATIVE CONTROL AND ERADICATION OF LIVESTOCK OR POULTRY DISEASES
PART 49--RULES OF PRACTICE GOVERNING PROCEEDINGS UNDER CERTAIN ACTS--Table of Contents
Subpart A--General
Sec.
49.1 Scope and applicability of rules of practice.
Subpart B--Supplemental Rules of Practice
49.10 Stipulations.
Authority: Secs. 3-7, 23 Stat. 32, as amended; secs. 2 and 3, 32
Stat. 792, as amended; secs. 1, 3, 4, and 6, 33 Stat. 1264, 1265, as
amended; sec. 11, 58 Stat. 734, as amended; sec. 2, 65 Stat. 693, as
amended; secs. 3 and 4, 76 Stat. 130; sec. 6, 76 Stat. 131, as amended;
sec. 11, 76 Stat. 132; 21 U.S.C. 111, 112, 114, 114a, 114a-1, 115, 117,
120, 122, 123, 125-127, 134b, 134c, 134e, 134f; 7 CFR 2.22, 2.80,
371.2(d).
Source: 48 FR 30094, June 30, 1983, unless otherwise noted.
Subpart A--General
Sec. 49.1 Scope and applicability of rules of practice.
The Uniform Rules of Practice for the Department of Agriculture
promulgated in subpart H of part 1, subtitle A, title 7, Code of Federal
Regulations, are the Rules of Practice applicable to adjudicatory,
administrative proceedings under the following statutory provisions:
Act of May 29, 1884, commonly known as the Animal Industry Act,
section 7, as amended (21 U.S.C. 117),
Act of February 2, 1903, commonly known as the Cattle Contagious
Diseases Act of 1903, section 3, as amended (21 U.S.C. 122),
Act of March 3, 1905, Section 6, as amended (21 U.S.C. 127),
Act of July 2, 1962, section 6(a), as amended (21 U.S.C. 134e).
In addition, the Supplemental Rules of Practice set forth in subpart B
of this part shall be applicable to such proceedings.
Subpart B--Supplemental Rules of Practice
Sec. 49.10 Stipulations.
(a) At any time prior to the issuance of a complaint seeking a civil
penalty under any of the Acts listed in Sec. 49.1, the Administrator, in
his discretion, may enter into a stipulation with any person in which:
(1) The Administrator or the Administrator's delegate gives notice
of an apparent violation of the applicable Act, or the regulations
issued thereunder, by such person and affords such person an opportunity
for a hearing regarding the matter as provided by such Act;
(2) Such person expressly waives hearing and agrees to pay a
specified penalty within a designated time; and
(3) The Administrator agrees to accept the penalty in settlement of
the particular matter involved if the penalty is paid within the
designated time.
(b) If the penalty is not paid within the time designated in such a
stipulation, the amount of the stipulated penalty shall not be relevant
in any respect to the penalty which may be assessed after issuance of a
complaint.
PART 50--ANIMALS DESTROYED BECAUSE OF TUBERCULOSIS--Table of Contents
Sec.
50.1 Definitions.
50.2 Cooperation with States.
50.3 Payment to owners for animals destroyed.
50.4 Determination of existence of or exposure to tuberculosis.
50.5 Record of tests.
50.6 Identification of animals to be destroyed because of tuberculosis.
50.7 Destruction of animals.
50.8 Payment of expenses for transportation and disposal of carcasses
of affected animals.
50.9 Appraisals.
50.10 Report of appraisals.
50.11 Report of salvage proceeds.
50.12 Claims for indemnity.
50.13 Disinfection of premises, conveyances, and materials.
50.14 Claims not allowed.
[[Page 135]]
50.15 Part 53 of this chapter not applicable.
50.16 Certain cattle on the Island of Molokai in Hawaii.
Authority: 21 U.S.C. 111-113, 114, 114a, 114a-1, 120, 121, 125, and
134b; 7 CFR 2.22, 2.80, and 371.2(d).
Source: 40 FR 27009, June 26, 1975, unless otherwise noted.
Sec. 50.1 Definitions.
For the purposes of this part, the following terms shall be
construed, respectively, to mean:
Accredited veterinarian: A veterinarian approved by the
Administrator in accordance with the provisions of part 161 of this
title to perform functions specified in parts 1, 2, 3, and 11 of
subchapter A, and subchapters B, C, and D of this chapter, and to
perform functions required by cooperative State-Federal disease control
and eradication programs.
Administrator: The Administrator, Animal and Plant Health Inspection
Service, or any person authorized to act for the Administrator.
Animal and Plant Health Inspection Service: The Animal and Plant
Health Inspection Service of the United States Department of Agriculture
(APHIS).
APHIS representative: A veterinarian or other person employed by
APHIS in animal health activities, who is authorized to perform the
function involved.
Approved herd plan. A herd management and testing plan based on the
disease history and movement patterns of an individual herd, designed by
the herd owner and a State representative or APHIS representative to
determine the disease status of livestock in the herd and to eradicate
tuberculosis within the herd. The plan must be jointly approved by the
State animal health official and the Veterinarian in Charge.
Cervid. All species of deer, elk, and moose raised or maintained in
captivity for the production of meat and other products, for sport, or
for exhibition.
Department: The United States Department of Agriculture.
Designated epidemiologist. An epidemiologist appointed by a
cooperating State animal health official and the Veterinarian in Charge
to perform functions specified by the ``Uniform Methods and Rules--
Bovine Tuberculosis Eradication.''
Destroyed: Condemned under State authority and destroyed by
slaughter or by death otherwise.
Herd. Any group of livestock maintained on common ground for any
purpose, or two or more groups of livestock under common ownership or
supervision, geographically separated but that have an interchange or
movement of livestock without regard to health status, as determined by
the Administrator.
Herd depopulation. Removal by slaughter or other means of
destruction of all cattle, bison, and cervids in a herd prior to
restocking with new cattle, bison, or cervids.
Livestock. Cattle, bison, cervids, swine, dairy goats, and other
hoofed animals (such as llamas, alpacas, and antelope) raised or
maintained in captivity for the production of meat and other products,
for sport, or for exhibition.
Mortgage: Any mortgage, lien or other security or interest that is
recorded under State law or identified in the indemnity claim form filed
under Sec. 50.12 and held by any person other than the one claiming
indemnity.
Owner: Any person who has a legal or rightful title to livestock
whether or not they are subject to a mortgage.
Permit: A permit for movement of cattle, bison, cervids, or swine
direct to slaughter listing the disease status and identification of the
animal, where consigned, cleaning and disinfecting requirements, and
proof of slaughter certification; Provided, however, a permit for
movement to a quarantined feedlot pursuant to Sec. 50.16 is the same
except that the permit is for movement to a quarantined feedlot instead
of to slaughter and the proof of slaughter certification is not
applicable.
Person: Any individual, corporation, company, association, firm,
partnership, society, or joint stock company, or any organized group of
any of the foregoing.
Quarantined feedlot: A confined area under the direct supervision
and control of a State livestock official who shall establish procedures
for the accounting of all livestock entering or
[[Page 136]]
leaving the area. The quarantined feedlot shall be maintained for finish
feeding of livestock in drylot with no provision for pasturing and
grazing. All livestock leaving such feedlot must only move directly to
slaughter in accordance with established procedures for handling
quarantined livestock.
Reactor cattle, bison, and cervids. Cattle and bison are classified
as reactors for tuberculosis in accordance with the ``Uniform Methods
and Rules--Bovine Tuberculosis Eradication,'' based on a positive
response to an official tuberculin test. Cervids are classified as
reactors for tuberculosis in the same manner as cattle and bison.
Registered cattle, bison, or cervids. Cattle, bison, or cervids for
which individual records of ancestry are maintained, and for which
individual registration certificates are issued and recorded by a
recognized breed association whose purpose is the improvement of the
breed.
State: Any State, territory, the District of Columbia, or Puerto
Rico.
Tuberculosis: The contagious, infectious, and communicable disease
caused by Mycobacterium bovis.
Veterinarian in Charge: The veterinary official of APHIS who is
assigned by the Administrator to supervise and perform official animal
health work of APHIS in the State concerned.
[40 FR 27009, June 26, 1975, as amended at 45 FR 32287, May 16, 1980; 51
FR 33735, Sept. 23, 1986; 52 FR 1317, Jan. 13, 1987; 52 FR 39614, Oct.
23, 1987; 56 FR 36998, Aug. 2, 1991; 58 FR 34698, June 29, 1993; 60 FR
37808, July 24, 1995]
Sec. 50.2 Cooperation with States.
The Administrator cooperates with the proper State authorities in
the eradication of tuberculosis and pays Federal indemnities for the
destruction of cattle, bison, cervids, or swine affected with or exposed
to tuberculosis.
[40 FR 27009, June 26, 1975, as amended at 52 FR 39614, Oct. 23, 1987;
56 FR 36998, Aug 2, 1991; 60 FR 37809, July 24, 1995]
Sec. 50.3 Payment to owners for animals destroyed.
(a) Affected cattle, bison, and cervids. The Department may pay
owners an indemnity for cattle, bison, and cervids affected with
tuberculosis not to exceed $750 for each animal, but any joint State-
Federal indemnity payments, plus salvage, must not exceed the appraised
value of each animal.
(b) Herd depopulation--cattle, bison, and cervids. The Administrator
may authorize the payment of Federal indemnity to owners of cattle,
bison, and cervids destroyed because of tuberculosis, not to exceed $450
for any animal which is a part of a known affected herd, when it has
been determined by the Administrator that the destruction of all the
exposed cattle, bison, and cervids in the herd will contribute to the
Tuberculosis Eradication Program; but, the joint State-Federal indemnity
payments, plus salvage, must not exceed the appraised value of each
animal.
(c) Exposed cattle, bison, and cervids. The Administrator may
authorize the payment of Federal indemnity to owners of cattle, bison,
and cervids destroyed because of tuberculosis not to exceed $450 for any
animal which has been classified as exposed to tuberculosis in
accordance with Sec. 50.4(b) when it has been determined by the
Administrator that the destruction of the exposed cattle, bison, or
cervids will contribute to the Tuberculosis Eradication Program; but,
the joint State-Federal indemnity payments, plus salvage, must not
exceed the appraised value of each animal.
(d) Exposed swine. The Administrator may authorize the payment of
Federal indemnity to owners of swine destroyed because of tuberculosis
not to exceed $200 for any animal, when such animals are found by APHIS
to be exposed to tuberculosis by reason of association with a herd
destroyed under Sec. 50.3(b); but, the joint State-Federal indemnity
payments, plus salvage, must not exceed the appraised value of each
animal.
(Secs. 3, 4, 5, 11, and 13, 23 Stat. 32, as amended; secs. 1 and 2, 32
Stat. 791-792, as amended; sec. 3, 33 Stat. 1265, as amended; sec. 3, 76
Stat. 130; 21 U.S.C. 111-113, 114, 114a, 114a-1, 120, 121, 125, 134b; 7
CFR 2.17, 2.51, and 371.2(d))
[45 FR 32287, May 16, 1980, as amended at 49 FR 28041, July 10, 1984; 49
FR 44273, Nov. 6, 1984; 52 FR 39614, Oct. 23, 1987; 56 FR 36998, Aug. 2,
1991; 60 FR 37809, July 24, 1995]
[[Page 137]]
Sec. 50.4 Determination of existence of or exposure to tuberculosis.
(a) Cattle, bison, and cervids are classified as affected with
tuberculosis on the basis of an intradermal tuberculin test applied by a
Federal, State, or an accredited veterinarian or by other diagnostic
procedure approved in advance by the Administrator.
(b) Cattle, bison, and cervids are classified as exposed to
tuberculosis when such cattle, bison, and cervids (1) are part of a
known infected herd, or (2) are found to have moved from an infected
herd before the time infection was disclosed in such herd and after the
time such herd had apparently become infected, or (3) are found to have
been exposed by virtue of nursing a reactor dam: Provided, That cattle,
bison, and cervids classified as exposed to tuberculosis shall be
removed direct to slaughter.
[40 FR 27009, June 26, 1975, as amended at 52 FR 39614, Oct. 23, 1987;
56 FR 36998, Aug. 2, 1991; 60 FR 37809, July 24, 1995]
Sec. 50.5 Record of tests.
When any cattle, bison, or cervid in a herd is classified by an
APHIS or State representative or accredited veterinarian as a reactor to
a test for tuberculosis, a complete test record shall be made for such
herd, including the reactor tag number of each reacting animal and the
registration name and number of each reacting registered animal. VS Form
6-22 or an equivalent State form shall be used for the record of any
herd having any reactor to a tuberculin test. A copy of the applicable
test record shall be given to the owner of any such herd, and one copy
of each such record shall be furnished to the appropriate State
veterinarian's office.
[40 FR 27009, June 26, 1975, as amended at 52 FR 39614, Oct. 23, 1987;
56 FR 36998, Aug. 2, 1991; 60 FR 37809, July 24, 1995]
Sec. 50.6 Identification of animals to be destroyed because of tuberculosis.
Cattle, bison, cervids, or swine to be destroyed because of
tuberculosis must be identified within 15 days after being classified as
reactors or otherwise condemned because of tuberculosis, except that the
appropriate Veterinarian in Charge, for reasons satisfactory to him, may
extend the time limit for identification to 30 days when a request for
such extension is received by him prior to the expiration date of the
original 15-day period allowed, and the Administrator may extend the
time limit for identification beyond 30 days, upon request in specific
cases and for reasons satisfactory to him.
(a) Reactor cattle and bison. Reactor cattle and bison shall be
identified by branding the letter ``T,'' at least 5 by 5 centimeters (2
by 2 inches) in size, high on the left hip near the tailhead and by
attaching to the left ear an approved metal eartag bearing a serial
number and the inscription ``U.S. Reactor'', or a similar State reactor
tag. Reactor cattle and bison may be moved interstate to slaughter
without branding if they are permanently identified by the letters
``TB'' tattooed legibly in the left ear, they are sprayed on the left
ear with yellow paint, and they are either accompanied by an APHIS or
State representative or moved directly to slaughter in vehicles closed
with official seals. Such official seals must be applied and removed by
an APHIS representative, State representative, accredited veterinarian,
or an individual authorized for this purpose by an APHIS representative.
(b) Exposed cattle and bison. Exposed cattle and bison shall be
identified by branding the letter ``S,'' at least 5 by 5 centimeters (2
by 2 inches) in size, high on the left hip near the tailhead and by
attaching to either ear an approved metal eartag bearing a serial
number. Exposed cattle and bison may be moved interstate to slaughter
without branding if they are either accompanied by an APHIS or State
representative or moved directly to slaughter in vehicles closed with
official seals. Such official seals must be applied and removed by an
APHIS representative, State representative, accredited veterinarian, or
an individual authorized for this purpose by an APHIS representative.
(c) Exposed swine. Swine destroyed under the provisions of
Sec. 50.3(d) shall be identified by tagging with a serially numbered
metal eartag attached to either ear. All such animals to be destroyed
shall be transported to the place of destruction in vehicles closed with
seals provided by APHIS or shall
[[Page 138]]
be accompanied to the place of destruction by an APHIS or State
representative: Provided, however, That animals destroyed and disposed
of under the direct supervision of an APHIS or State representative on
the premises where they were exposed do not require individual
identification.
(d) Reactor cervids. Reactor cervids shall be identified by branding
the letter ``T'' high on the left hip near the tailhead and at least 5
by 5 centimeters (2 by 2 inches) in size and by attaching to the left
ear an approved metal eartag bearing a serial number and the inscription
``U.S. Reactor'', or a similar State reactor tag. Reactor cervids may be
moved interstate to slaughter without branding if they are permanently
identified by the letters ``TB'' tattooed legibly on the left ear, they
are sprayed on the left ear with yellow paint, and they are either
accompanied by an APHIS or State representative or moved directly to
slaughter in vehicles closed with official seals. Such official seals
must be applied and removed by an APHIS representative, State
representative, accredited veterinarian, or an individual authorized for
this purpose by an APHIS representative.
(e) Exposed cervids. Exposed cervids shall be identified by branding
the letter ``S'' high on the left hip near the tailhead and at least 5
by 5 centimeters (2 by 2 inches) in size and by attaching to either ear
an approved metal eartag bearing a serial number. Exposed cervids may be
moved interstate to slaughter without branding if they are either
accompanied by an APHIS or State representative or moved directly to
slaughter in vehicles closed with official seals. Such official seals
must be applied and removed by an APHIS representative, State
representative, accredited veterinarian, or an individual authorized for
this purpose by an APHIS representative.
[40 FR 27009, June 26, 1975, as amended at 45 FR 32287, May 16, 1980; 50
FR 40963, Oct. 8, 1985; 51 FR 2346, Jan. 16, 1986; 52 FR 39614, Oct. 23,
1987; 56 FR 36998, Aug. 2, 1991; 60 FR 37809, July 24, 1995; 60 FR
48366, Sept. 19, 1995; 61 FR 25138, May 20, 1996]
Sec. 50.7 Destruction of animals.
(a) Slaughter or disposal. Cattle, bison, cervids, or swine to be
destroyed because of tuberculosis must be shipped direct to slaughter
under permit to a Federal or State inspected slaughtering establishment
or be disposed of by rendering, burial, or incinerating in an approved
manner under supervision of an APHIS or State employee.
(b) Time limit for destruction of animals. Cattle, bison, cervids,
or swine for which Federal indemnity may be paid because of tuberculosis
must be destroyed and carcass disposal completed within 15 days after
the date of appraisal, except that the appropriate Veterinarian in
Charge, for reasons satisfactory to him, may extend the time limit for
slaughter to 30 days when request for such extension is received by him
prior to the expiration of the original 15-day period allowed, and the
Administrator may extend the time limit for slaughter beyond 30 days,
upon request in specific cases and for reasons satisfactory to him.
(Approved by the Office of Management and Budget under control number
0579-0051)
[40 FR 27009, June 26, 1975, as amended at 45 FR 32287, May 16, 1980; 52
FR 39614, Oct. 23, 1987; 56 FR 36998, Aug. 2, 1991; 60 FR 37809, July
24, 1995]
Sec. 50.8 Payment of expenses for transportation and disposal of carcasses of affected animals.
The Department may pay, when approved in advance in writing by the
Veterinarian in Charge, one-half the expenses for destruction, burial,
incineration, rendering, or otherwise disposing of affected cattle,
bison, and cervids and one-half the expenses of transportation of
affected cattle, bison, and cervids to the point where disposal shall
take place. Claims for such payment shall be made on forms furnished by
APHIS and shall be signed by an APHIS or State representative or jointly
and by the owner certifying his acceptance of the amount claimed. No
portion of expenses of disposal or transportation provided by the owner
of affected animals shall be paid by the Department.
[45 FR 32288, May 16, 1980, as amended 52 FR 39614, Oct. 23, 1987; 56 FR
36998, Aug. 2, 1991; 60 FR 37809, July 24, 1995]
[[Page 139]]
Sec. 50.9 Appraisals.
Cattle, bison, cervids, or swine to be destroyed because of
tuberculosis under Sec. 50.3 shall be appraised within 15 days after
being classified as affected or after otherwise being condemned because
of tuberculosis, except that the appropriate Veterinarian in Charge, for
reasons satisfactory to him, may extend the time limit for appraisal to
30 days when a request for such extension is received by him prior to
the expiration date of the original 15-day period allowed, and the
Administrator may extend the time limit for appraisal beyond 30 days,
upon request in specific cases and for reasons satisfactory to him. The
appraisal shall be by an independent professional appraiser at the
expense of APHIS, except that the veterinarian in charge may waive the
requirement for independent professional appraiser for reasons
satisfactory to him. When cattle, bison, cervids, or swine are thus
appraised, due consideration shall be given to their breeding value as
well as to their dairy or meat value. Cattle, bison, cervids, or swine
presented for payment as registered shall be accompanied by their
registration papers. If the registration papers are temporarily not
available, or if the cattle, bison, cervids, or swine are less than 3
years old and unregistered, the appropriate Veterinarian in Charge may
grant a reasonable time for the presentation of their registration
papers. APHIS may decline to accept any appraisal that appears to be
unreasonable or out of proportion to the value of cattle, bison,
cervids, or swine of like quality.
[45 FR 32288, May 16, 1980, as amended at 50 FR 40963, Oct. 8, 1985; 51
FR 2346, Jan. 16, 1986; 52 FR 39614, Oct. 23, 1987; 56 FR 36998, Aug. 2,
1991; 60 FR 37809, July 24, 1995]
Sec. 50.10 Report of appraisals.
Appraisals of cattle, bison, cervids, and swine made in accordance
with Sec. 50.9 shall be recorded on forms furnished by APHIS. The
appraisal form shall be signed by the appraiser and by the owner
certifying his acceptance of the appraisal. The ``date of appraisal''
shall be the date that the owner signs the appraisal form. The original
of the appraisal form and as many copies thereof as may be required for
APHIS, the State, and the owner of the animals shall be sent to the
appropriate Veterinarian in Charge.
[40 FR 27009, June 26, 1975, as amended at 52 FR 39614, Oct. 23, 1987;
56 FR 36998, Aug. 2, 1991; 60 FR 37809, July 24, 1995]
Sec. 50.11 Report of salvage proceeds.
A report of the salvage derived from the sale of each animal on
which a claim for indemnity may be made under the provisions of
Sec. 50.3 shall be made on a salvage form acceptable to APHIS which
shall be signed by the purchaser or his agent or by the selling agent
handling the animals. If the cattle, bison, cervids, or swine are sold
by the pound, the salvage form shall show the weight, price per pound,
gross receipts, expenses if any, and net proceeds. If the cattle, bison,
cervids, or swine are not sold on a per pound basis, the net purchase
price of each animal must be stated on the salvage form and an
explanation showing how the amount was arrived at must be submitted. In
the event the animals are not disposed of through regular slaughterers
or through selling agents, the owner shall furnish, in lieu of the
salvage form, an affidavit showing the amount of salvage obtained by him
and shall certify that such amount is all that he has received or will
receive as salvage for said animals. In an emergency, a certificate
executed by the appropriate Veterinarian in Charge will be acceptable in
lieu of the owner's affidavit. The salvage shall be considered to be the
net amount received for an animal after deducting freight, truckage,
yardage, commission, slaughtering charges, and similar costs. The
original of the salvage form or the affidavit of the owner or
certificate of the appropriate Veterinarian in Charge, furnished in lieu
thereof, shall be furnished to the Veterinarian in charge if it is not
already in his possession. Additional copies may be furnished to the
State officials, if required. Destruction of cattle, bison, cervids, and
swine by burial, incineration or other disposal of carcasses shall be
supervised by an APHIS or State representative who
[[Page 140]]
shall prepare and transmit to the Veterinarian in Charge a report
identifying the animals and showing the disposition thereof.
(Approved by the Office of Management and Budget under control number
0579-0001)
[40 FR 27009, June 26, 1975, as amended at 48 FR FR 57471, Dec. 30,
1983; 52 FR 39614, Oct. 23, 1987; 56 FR 36998, Aug. 2, 1991; 60 FR
37809, July 24, 1995]
Sec. 50.12 Claims for indemnity.
Claims for Federal indemnity for cattle, bison, cervids, or swine
destroyed because of tuberculosis shall be presented on indemnity claim
forms furnished by APHIS on which the owner of the animals covered
thereby shall certify that the animals are or are not, subject to any
mortgage as defined in this Part. If the owner states there is a
mortgage, the APHIS indemnity claim form shall be signed by the owner
and by each person holding a mortgage on the animals consenting to the
payment of any indemnity allowed to the person specified thereon.
Payment will be made only if the APHIS indemnity claim form has been
approved by a proper State official and if payment of the claim has been
recommended by the appropriate Veterinarian in Charge or an official
designated by him. On claims for indemnity made under the provisions of
Sec. 50.3, the Veterinarian in Charge or official designated by him
shall record on the APHIS indemnity claim form the amount of Federal and
State indemnity payments that appear to be due to the owner of the
animals. The owner of the animals shall be furnished a copy of the APHIS
indemnity claim form. The Veterinarian in Charge or official designated
by him shall then forward the APHIS indemnity claim form to the
appropriate official for further action on the claim. No charges for
holding the cattle, bison, cervids, or swine on the farm pending
slaughter or for trucking by the owner shall be so deducted or otherwise
paid by the Department.
[40 FR 27009, June 26, 1975, as amended at 52 FR 39614, Oct. 23, 1987;
56 FR 36998, Aug. 2, 1991; 60 FR 37809, July 24, 1995]
Sec. 50.13 Disinfection of premises, conveyances, and materials.
All premises, including all structures, holding facilities,
conveyances, or materials which are determined by the appropriate
Veterinarian in Charge to constitute a health hazard to humans or
animals because of tuberculosis shall be properly cleaned and
disinfected, in accordance with procedures approved by the Department,
within 15 days after the removal of tuberculosis affected or exposed
livestock except that the Veterinarian in Charge, for reasons
satisfactory to him, may extend the time limit for disinfection to 30
days when request for such extension is received by him prior to the
expiration date of the original 15-day period allowed.
[40 FR 27009, June 26, 1975, as amended at 52 FR 39614, Oct. 23, 1987;
60 FR 37809, July 24, 1995]
Sec. 50.14 Claims not allowed.
Claims for compensation for cattle, bison, or cervids destroyed
because of tuberculosis shall not be allowed if any of the following
circumstances exist:
(a) If the claimant has failed to comply with any of the
requirements of this part.
(b) If all cattle, bison, and cervids 2 years of age or over in the
claimants herd have not been tested for tuberculosis under APHIS or
State supervision: Provided, however, That cattle, bison, and cervids
destroyed because of tuberculosis under Sec. 50.3(b) and Sec. 50.3(c)
are exempt from this requirement, if the cattle, bison, and cervids are
subjected to a post-mortem examination for tuberculosis by a Federal or
State veterinarian.
(c) If there is substantial evidence that the owner or his agent has
in any way been responsible for any attempt unlawfully or improperly to
obtain indemnity funds for such animals.
(d) If at the time of test or condemnation, the cattle, bison, or
cervids belonged to or were upon the premises of any person to whom they
had been sold, shipped, or delivered for slaughter unless or until all
of the cattle, bison, and cervids remaining on the premises or in the
herd from which the tested or condemned cattle, bison, or cervids
[[Page 141]]
originated are tested or otherwise examined for tuberculosis in a manner
satisfactory to the Administrator or his designated representative.
(e) If the cattle, bison, or cervids were added to the herd while
the herd was quarantined for tuberculosis, unless an approved herd plan
was in effect for the herd at the time the claim was filed. As part of
the approved herd plan, cattle, bison, or cervids added to a herd
quarantined for tuberculosis must:
(1) Be from an accredited herd, as defined in Sec. 77.1 of this
chapter; or
(2)(i) Be from a herd that tested negative to an official tuberculin
test (complete herd test), as defined in Sec. 77.1 of this chapter, no
more than 12 months before the cattle, bison, or cervids were added to
the claimant's herd; and
(ii) Have been found negative to an official tuberculin test, as
defined in Sec. 77.1 of this chapter, during the 60 days before the
cattle, bison, or cervids were added to the claimant's herd.
(f) For exposed cattle, bison, or cervids destroyed during herd
depopulation, if a designated epidemiologist has determined that exotic
bovidae (such as antelope) or other species of livestock in the herd
have been exposed to tuberculosis by reason of association with
tuberculous livestock, and those exotic bovidae or other species
determined to have been exposed to tuberculosis have not been destroyed.
[40 FR 27009, June 26, 1975, as amended at 45 FR 32288, May 16, 1980; 52
FR 39614, Oct. 23, 1987; 56 FR 36998, Aug. 2, 1991; 58 FR 34699, June
29, 1993; 60 FR 37809, July 24, 1995]
Sec. 50.15 Part 53 of this chapter not applicable.
No claim for Federal indemnity for cattle or bison destroyed because
of tuberculosis shall hereafter be paid under the regulations contained
in part 53 of this chapter, but all such claims shall be presented and
paid pursuant to and in compliance with the regulations contained in
this part.
[40 FR 27009, June 26, 1975, as amended at 52 FR 39614, Oct. 23, 1987]
Sec. 50.16 Certain cattle on the Island of Molokai in Hawaii.
(a) The provisions of this part relating to indemnity for exposed
cattle shall apply with respect to exposed cattle on the island of
Molokai in Hawaii, except that: The Administrator may authorize the
payment of Federal indemnity to owners of exposed cattle under two years
of age, not to exceed $450 for any animal which has been found by APHIS
to have been exposed by reason of association with tuberculous cattle,
(the joint State-Federal indemnity payments, plus salvage, must not
exceed the appraised value of each animal), if the exposed cattle
instead of being immediately destroyed are to be moved from the premises
of origin on the island of Molokai (intrastate or interstate) to a
quarantined feedlot and if the following conditions are met:
(1) The exposed cattle are sold for movement to the quarantined
feedlot prior to their movement from the premises of origin;
(2) The exposed cattle, prior to movement from the premises of
origin, are identified by tagging with an approval metal eartag bearing
a serial number attached to either ear of each animal and by branding
the letter ``S'' (or other brand approved by the Administrator based on
a determination that the brand would adequately identify the animal as
destined for slaughter) on the left jaw not less than 2 nor more than 3
inches high, Provided, however, such branding may be done upon arrival
at the quarantined feedlot if the cattle are accompanied to the feedlot
by an APHIS or State representative, or shipped in vehicles closed with
official seals;
(3) The owner of the exposed cattle on the island of Molokai prior
to sale for movement to the quarantined feedlot has entered into a
compliance agreement \1\ with APHIS whereby it is agreed that the
salvage for cattle moved to a quarantined feedlot shall be the amount
received from the sale of the animals and that such owner shall be
eligible for indemnity only if all cattle on the island of Molokai under
[[Page 142]]
his or her control are destroyed or moved under permit directly from the
premises of origin to a quarantined feedlot under paragraph (a) of this
section and if he or she otherwise agrees to comply with any other
provisions of this part applicable to him or her; and;
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\1\ Compliance Agreement forms are available without charge from the
Animal and Plant Health Inspection Service, Veterinary Services, Cattle
Diseases and Surveillance, 4700 River Road, Unit 36, Riverdale, Maryland
20737-1231, and from local offices of Veterinary Services. (Local
offices are listed in telephone directories.)
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(4) The purchaser of the exposed cattle has entered into a
compliance agreement \1\ with APHIS whereby it is agreed that the cattle
will be moved under permit directly from the premises of origin to the
quarantined feedlot; whereby it is agreed that at the time such cattle
are moved from the quarantined feedlot the cattle will be shipped under
permit directly to a Federal or State inspected slaughtering
establishment for slaughter or be disposed of by rendering, burial, or
incinerating in an approved manner under supervision of an APHIS or
State employee; whereby it is agreed that the exposed cattle shall not
be sold prior to destruction unless the purchaser enters into a
compliance agreement agreeing to the provisions contained in this
paragraph.
(b) After indemnity has been paid for exposed cattle under paragraph
(a) of this section, no additional indemnity shall be paid for such
exposed cattle.
[51 FR 33735, Sept. 23, 1986, as amended at 52 FR 1317, Jan. 13, 1987;
56 FR 36998, Aug. 2, 1991; 59 FR 67612, Dec. 30, 1994]
PART 51--ANIMALS DESTROYED BECAUSE OF BRUCELLOSIS--Table of Contents