[Title 9 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2008 Edition]
[From the U.S. Government Printing Office]



[[Page i]]

          

          9


          Parts 1 to 199

                         Revised as of January 1, 2008


          Animals and Animal Products
          



________________________

          Containing a codification of documents of general 
          applicability and future effect

          As of January 1, 2008
          With Ancillaries
                    Published by
                    Office of the Federal Register
                    National Archives and Records
                    Administration
                    A Special Edition of the Federal Register

[[Page ii]]

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                            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........     975
      Table of CFR Titles and Chapters........................     977
      Alphabetical List of Agencies Appearing in the CFR......     995
      List of CFR Sections Affected...........................    1005

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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.

                     ----------------------------

[[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, 2008), 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 202-741-6010.

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). 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.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

[[Page vii]]


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 202-741-6000 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, Washington, DC 20408 or e-mail 
fedreg.info@nara.gov.

SALES

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ELECTRONIC SERVICES

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CFR Sections Affected), The United States Government Manual, the Federal 
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    The Office of the Federal Register also offers a free service on the 
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register. The NARA site also contains links to GPO Access.

    Raymond A. Mosley,
    Director,
    Office of the Federal Register.
    January 1, 2008.







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                               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, 
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, 2008.

    For this volume, Cheryl E. Sirofchuck was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of 
Michael L. White, assisted by Ann Worley.


[[Page 1]]



                  TITLE 9--ANIMALS AND ANIMAL PRODUCTS




                   (This book contains parts 1 to 199)

  --------------------------------------------------------------------

  Editorial Note: Other regulations issued by the Department of 
Agriculture appear in title 7, title 36, chapter II, and title 41, 
chapter 4.
                                                                    Part

chapter i--Animal and Plant Health Inspection Service, 
  Department of Agriculture.................................           1

[[Page 3]]



  CHAPTER I--ANIMAL AND PLANT HEALTH INSPECTION SERVICE, DEPARTMENT OF 
                               AGRICULTURE




  --------------------------------------------------------------------

                      SUBCHAPTER A--ANIMAL WELFARE
Part                                                                Page
1               Definition of terms.........................           7
2               Regulations.................................          13
3               Standards...................................          45
4               Rules of practice governing proceedings 
                    under the Animal Welfare Act............         123
11              Horse protection regulations................         124
12              Rules of practice governing proceedings 
                    under the Horse Protection Act..........         141
   SUBCHAPTER B--COOPERATIVE CONTROL AND ERADICATION OF LIVESTOCK OR 
                            POULTRY DISEASES
49              Rules of practice governing proceedings 
                    under certain acts......................         143
50              Animals destroyed because of tuberculosis...         143
51              Animals destroyed because of brucellosis....         153
52              Swine destroyed because of pseudorabies.....         166
53              Foot-and-mouth disease, pleuropneumonia, 
                    rinderpest, and certain other 
                    communicable diseases of livestock or 
                    poultry.................................         170
54              Control of scrapie..........................         174
55              Control of chronic wasting disease..........         188
56              Control of H5/H7 low pathogenic avian 
                    influenza...............................         199
 SUBCHAPTER C--INTERSTATE TRANSPORTATION OF ANIMALS (INCLUDING POULTRY) 
                           AND ANIMAL PRODUCTS
70              Rules of practice governing proceedings 
                    under certain acts......................         208
71              General provisions..........................         208
72              Texas (splenetic) fever in cattle...........         229
73              Scabies in cattle...........................         235

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74              Prohibition of interstate movement of land 
                    tortoises...............................         241
75              Communicable diseases in horses, asses, 
                    ponies, mules, and zebras...............         241
76              [Reserved]

77              Tuberculosis................................         244
78              Brucellosis.................................         273
79              Scrapie in sheep and goats..................         311
80              Johne's disease in domestic animals.........         334
81              Chronic wasting disease in deer, elk, and 
                    moose...................................         336
82              Exotic Newcastle Disease (END) and 
                    chlamydiosis............................         339
85              Pseudorabies................................         352
88              Commercial transportation of equines for 
                    slaughter...............................         365
89              Statement of policy under the Twenty-Eight 
                    Hour Law................................         368
SUBCHAPTER D--EXPORTATION AND IMPORTATION OF ANIMALS (INCLUDING POULTRY) 
                           AND ANIMAL PRODUCTS
91              Inspection and handling of livestock for 
                    exportation.............................         370
92              Importation of animals and animal products: 
                    procedures for requesting recognition of 
                    regions.................................         387
93              Importation of certain animals, birds, fish, 
                    and poultry, and certain animal, bird, 
                    and poultry products; requirements for 
                    means of conveyance and shipping 
                    containers..............................         390
94              Rinderpest, foot-and-mouth disease, fowl 
                    pest (fowl plague), exotic newcastle 
                    disease, African swine fever, classical 
                    swine fever, and bovine spongiform 
                    encephalopathy: prohibited and 
                    restricted importations.................         517
95              Sanitary control of animal byproducts 
                    (except casings), and hay and straw, 
                    offered for entry into the United States         563
96              Restriction of importations of foreign 
                    animal casings offered for entry into 
                    the United States.......................         579
97              Overtime services relating to imports and 
                    exports.................................         586
98              Importation of certain animal embryos and 
                    animal semen............................         593
99              Rules of practice governing proceedings 
                    under certain acts......................         616
SUBCHAPTER E--VIRUSES, SERUMS, TOXINS, AND ANALOGOUS PRODUCTS; ORGANISMS 
                               AND VECTORS
101             Definitions.................................         618
102             Licenses for biological products............         623

[[Page 5]]

103             Experimental production, distribution, and 
                    evaluation of biological products prior 
                    to licensing............................         627
104             Permits for biological products.............         628
105             Suspension, revocation, or termination of 
                    biological licenses or permits..........         631
106             Exemption for biological products used in 
                    department programs or under department 
                    control or supervision..................         633
107             Exemptions from preparation pursuant to an 
                    unsuspended and unrevoked license.......         633
108             Facility requirements for licensed 
                    establishments..........................         634
109             Sterilization and pasteurization at licensed 
                    establishments..........................         637
112             Packaging and labeling......................         638
113             Standard requirements.......................         647
114             Production requirements for biological 
                    products................................         779
115             Inspections.................................         789
116             Records and reports.........................         790
117             Animals at licensed establishments..........         792
118             Detention; seizure and condemnation.........         794
121             Possession, use, and transfer of select 
                    agents and toxins.......................         796
122             Organisms and vectors.......................         811
123             Rules of practice governing proceedings 
                    under the Virus-Serum-Toxin Act.........         812
124             Patent term restoration.....................         813
                         SUBCHAPTER F--USER FEES
130             User fees...................................         818
                    SUBCHAPTER G--POULTRY IMPROVEMENT
145             National Poultry Improvement Plan for 
                    Breeding Poultry........................         843
146             National Poultry Improvement Plan for 
                    Commercial Poultry......................         891
147             Auxiliary provisions on National Poultry 
                    Improvement Plan........................         900
                       SUBCHAPTER H--ANIMAL BREEDS
151             Recognition of breeds and books of record of 
                    purebred animals........................         941

[[Page 6]]

147
      SUBCHAPTER I--VOLUNTARY INSPECTION AND CERTIFICATION SERVICE
156             Voluntary inspection and certification 
                    service.................................         952
     SUBCHAPTER J--ACCREDITATION OF VETERINARIANS AND SUSPENSION OR 
                    REVOCATION OF SUCH ACCREDITATION
160             Definition of terms.........................         955
161             Requirements and standards for accredited 
                    veterinarians and suspension or 
                    revocation of such accreditation........         956
162             Rules of practice governing revocation or 
                    suspension of veterinarians' 
                    accreditation...........................         961
                    SUBCHAPTER K--PUBLIC INFORMATION
165             Availability of information.................         963
                  SUBCHAPTER L--SWINE HEALTH PROTECTION
166             Swine health protection.....................         964
167             Rules of practice governing proceedings 
                    under the Swine Health Protection Act...         970
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 371.7.



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.
    AC Regional Director 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 AC Regional Director 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.
    Act means the Act of August 24, 1966 (Pub. L. 89-544), (commonly 
known as the Laboratory Animal Welfare Act), as amended by the Act of 
December 24, 1970 (Pub. L. 91-579), (the Animal Welfare Act of 1970), 
the Act of April 22, 1976 (Pub. L. 94-279), (the Animal Welfare Act of 
1976), and the Act of December 23, 1985 (Pub. L. 99-198), (the Food 
Security Act of 1985), and as it may be subsequently amended.
    Activity means, for purposes of part 2, subpart C of this 
subchapter, those elements of research, testing, or teaching procedures 
that involve the care and use of animals.
    Administrative unit means the organizational or management unit at 
the departmental level of a research facility.
    Administrator. The Administrator, Animal and Plant Health Inspection 
Service, or any person authorized to act for the Administrator.
    Ambient temperature means the air temperature surrounding the 
animal.
    Animal means any live or dead dog, cat, nonhuman primate, guinea 
pig, hamster, rabbit, or any other warmblooded animal, which is being 
used, or is intended for use for research, teaching, testing, 
experimentation, or exhibition purposes, or as a pet. This term excludes 
birds, rats of the genus Rattus, and mice of the genus Mus, bred for use 
in research; horses not used for research purposes; and other farm 
animals, such as, but not limited to, livestock or poultry 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 official means any person employed by the Department who is 
authorized to perform a function under the Act and the regulations in 9 
CFR parts 1, 2, and 3.
    Attending veterinarian means a person who has graduated from a 
veterinary school accredited by the American Veterinary Medical 
Association's Council on Education, or has a certificate issued by the 
American Veterinary Medical Association's Education Commission for 
Foreign Veterinary Graduates, or has received equivalent formal 
education as determined by the Administrator; has received training and/
or experience in the care and management of the species being attended; 
and who has direct or delegated authority for activities involving 
animals at a facility subject to the jurisdiction of the Secretary.
    Buffer area means that area in a primary enclosure for a swim-with-
the-dolphin program that is off-limits to members of the public and that 
directly abuts the interactive area.

[[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 at the 
wholesale level 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 animal to a research facility, an exhibitor, or a 
dealer (wholesale); any retail outlet where dogs are sold for hunting, 
breeding, or security purposes; 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 Animal Care 
(AC) or any other official of AC to whom authority has been delegated to 
act in his stead.

[[Page 9]]

    Dog means any live or dead dog (Canis familiaris) or any dog-hybrid 
cross.
    Dwarf hamster means any species of hamster such as the Chinese and 
Armenian species whose adult body size is substantially less than that 
attained by the Syrian or Golden species of hamsters.
    Endangered species means those species defined in the Endangered 
Species Act (16 U.S.C. 1531 et seq.) and as it may be subsequently 
amended.
    Euthanasia means the humane destruction of an animal accomplished by 
a method that produces rapid unconsciousness and subsequent death 
without evidence of pain or distress, or a method that utilizes 
anesthesia produced by an agent that causes painless loss of 
consciousness and subsequent death
    Exhibitor means any person (public or private) exhibiting any 
animals, which were purchased in commerce or the intended distribution 
of which affects commerce, or will affect commerce, to the public for 
compensation, as determined by the Secretary. This term includes 
carnivals, circuses, animal acts, 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 a study conducted on free-living wild animals in 
their natural habitat. However, this term excludes any study that 
involves an invasive procedure, harms, or materially alters the behavior 
of an animal under study.
    Handling means petting, feeding, watering, cleaning, manipulating, 
loading, crating, shifting, transferring, immobilizing, restraining, 
treating, training, working and moving, or any similar activity with 
respect to any animal.
    Housing facility means any land, premises, shed, barn, building, 
trailer, or other structure or area housing or intended to house 
animals.
    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).
    Interactive area means that area in a primary enclosure for a swim-
with-the-dolphin program where an interactive session takes place.
    Interactive session means a swim-with-the-dolphin program session 
where members of the public enter a primary enclosure to interact with 
cetaceans.
    Intermediate handler means any person, including a department, 
agency, or instrumentality of the United States or of any State or local 
government (other than a dealer, research facility, exhibitor, any 
person excluded from the definition of a dealer, research facility, or 
exhibitor, an operator of an auction sale, or a carrier), who is engaged 
in any business in which he receives custody of animals in connection 
with their transportation in commerce.
    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.

[[Page 11]]

    Operator of an auction sale means any person who is engaged in 
operating an auction at which animals are purchased or sold in commerce.
    Outdoor housing facility means any structure, building, land, or 
premise, housing or intended to house animals, which does not meet the 
definition of any other type of housing facility provided in the 
regulations, and in which temperatures cannot be controlled within set 
limits.
    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, or hutch.
    Principal investigator means an employee of a research facility, or 
other person associated with a research facility, responsible for a 
proposal to conduct research and for the design and implementation of 
research involving animals.
    Quorum means a majority of the Committee members.
    Random source means dogs and cats obtained from animal pounds or 
shelters, auction sales, or from any person who did not breed and raise 
them on his or her premises.
    Registrant means any research facility, carrier, intermediate 
handler, or exhibitor not required to be licensed under section 3 of the 
Act, 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--

[[Page 12]]

    (1) Establishments or persons who deal in dogs used for hunting, 
security, or breeding purposes;
    (2) Establishments or persons exhibiting, selling, or offering to 
exhibit or sell any wild or exotic or other nonpet species of 
warmblooded animals (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.
    Sanctuary area means that area in a primary enclosure for a swim-
with-the-dolphin program that is off-limits to the public and that 
directly abuts the buffer area.
    Sanitize means to make physically clean and to remove and destroy, 
to the maximum degree that is practical, agents injurious to health.
    Secretary means the Secretary of Agriculture of the United States or 
his representative who shall be an employee of the Department.
    Sheltered housing facility means a housing facility which provides 
the animals with shelter; protection from the elements; and protection 
from temperature extremes at all times. A sheltered housing facility may 
consist of runs or pens totally enclosed in a barn or building, or of 
connecting inside/outside runs or pens with the inside pens in a totally 
enclosed building.
    Standards means the requirements with respect to the humane housing, 
exhibition, handling, care, treatment, temperature, and transportation 
of animals by dealers, exhibitors research facilities, carriers, 
intermediate handlers, and operators of auction sales as set forth in 
part 3 of this subchapter.
    State means a State of the United States, the District of Columbia, 
Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, 
or any other territory or possession of the United States.
    Study area means any building room, area, enclosure, or other 
containment outside of a core facility or centrally designated or 
managed area in which animals are housed for more than 12 hours.
    Swim-with-the-dolphin (SWTD) program means any human-cetacean 
interactive program in which a member of the public enters the primary 
enclosure in which an SWTD designated cetacean is housed to interact 
with the animal. This interaction includes, but such inclusions are not 
limited to, wading, swimming, snorkeling, or scuba diving in the 
enclosure. This interaction excludes, but such exclusions are not 
limited to, feeding and petting pools, and the participation of any 
member(s) of the public audience as a minor segment of an educational 
presentation or performance of a show.
    Transporting device means an interim vehicle or device, other than 
man, used to transport an animal between the primary conveyance and the 
terminal facility or in and around the terminal facility of a carrier or 
intermediate handler.
    Transporting vehicle means any truck, car, trailer, airplane, ship, 
or railroad car used for transporting animals.
    Weaned means that 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

[[Page 13]]

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; 62 FR 43275, Aug. 13, 1997; 63 FR 47148, Sept. 
4, 1998; 63 FR 62926, Nov. 10, 1998; 65 FR 6314, Feb. 9, 2000; 68 FR 
12285, Mar. 14, 2003; 69 FR 31514, June 4, 2004; 69 FR 42099, July 14, 
2004]

    Effective Date Note: At 64 FR 15920, Apr. 2, 1999, the definitions 
of buffer area, interactive area, interactive session, sanctuary area, 
and swim-with-the-dolphin (SWTD) program were suspended, effective Apr. 
2, 1999.



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.
2.12 Termination of a license.

                         Subpart B_Registration

2.25 Requirements and procedures.
2.26 Acknowledgement of regulations and standards.
2.27 Notification of change of operation.

                      Subpart C_Research Facilities

2.30 Registration.
2.31 Institutional Animal Care and Use Committee (IACUC).
2.32 Personnel qualifications.
2.33 Attending veterinarian and adequate veterinary care.
2.34 [Reserved]
2.35 Recordkeeping requirements.
2.36 Annual report.
2.37 Federal research facilities.
2.38 Miscellaneous.

      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 dogs, cats, and other animals; dealers.
2.133 Certification for random source dogs and cats.

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

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

[[Page 14]]



                           Subpart A_Licensing



Sec. 2.1  Requirements and application.

    (a)(1) Any person operating or intending 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 AC Regional Director 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 AC Regional 
Director.
    (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 (c) of this section, and the annual license fee 
indicated in table 1 or 2 of Sec. 2.6 shall be filed with the AC 
Regional Director.
    (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 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, cats, and/or small exotic or wild mammals, such as 
hedgehogs, degus, spiny mice, prairie dogs, flying squirrels, and 
jerboas, and who sells only the offspring of these dogs, cats, or small 
exotic or wild mammals, which were born and raised on his or her 
premises, for pets or exhibition, and is not otherwise required to 
obtain a license. This exemption does not extend to any person residing 
in a household that collectively maintains a total of more than three 
breeding female dogs, cats, and/or small exotic or wild mammals, 
regardless of ownership, nor to any person maintaining breeding female 
dogs, cats, and/or small exotic or wild mammals on premises on which 
more than three breeding female dogs, cats, and/or small exotic or wild 
mammals are maintained, nor to any person acting in concert with others 
where they collectively maintain a total of more than three breeding 
female dogs, cats, and/or small exotic or wild mammals regardless of 
ownership;
    (iv) Any person who sells fewer than 25 dogs and/or cats per year, 
which were born and raised on his or her premises, for research, 
teaching, or testing purposes or to any research facility and is not 
otherwise required to obtain a license. This exemption does not extend 
to any person residing in a household that collectively sells 25 or more 
dogs and/or cats, regardless of ownership, nor to any person acting in 
concert with others where they collectively sell 25 or more dogs and/or 
cats, regardless of ownership. The sale of any dog or cat not born and 
raised on the premises for research purposes requires a license;
    (v) Any person who arranges for transportation or transports animals 
solely for the purpose of breeding, exhibiting in purebred shows, 
boarding (not in association with commercial transportation), grooming, 
or medical treatment, and is not otherwise required to obtain a license;

[[Page 15]]

    (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) No person shall have more than one license.
    (c) A license will be issued to any applicant, except as provided in 
Sec. Sec. 2.10 and 2.11, when:
    (1) The applicant has met the requirements of this section and 
Sec. Sec. 2.2 and 2.3; and
    (2) The applicant has paid the application fee of $10 and the annual 
license fee indicated in Sec. 2.6 to the appropriate Animal Care 
regional office for an initial license, and, in the case of a license 
renewal, the annual license fee has been received by the appropriate 
Animal Care regional office on or before the expiration date of the 
license.
    (d)(1) A licensee who wishes a renewal must submit to the 
appropriate Animal Care regional office a completed application form and 
the annual license fee indicated in Sec. 2.6 by certified check, 
cashier's check, personal check, money order, or credit card. The 
application form and the annual license fee must be received by the 
appropriate Animal Care regional office on or before the expiration date 
of the license. An applicant whose check is returned by the bank will be 
charged a fee of $20 for each returned check. A returned check will be 
deemed nonpayment of fee and will result in the denial of the license. 
If an applicant's check is returned, subsequent fees must be paid by 
certified check, cashier's check, or money order.
    (2) A license fee indicated in Sec. 2.6 must also be paid if an 
applicant is applying for a changed class of license. The applicant may 
pay the fee by certified check, cashier's check, personal check, money 
order, or credit card. An applicant whose check is returned by a bank 
will be charged a fee of $20 for each returned check. If an applicant's 
check is returned, subsequent fees must be paid by certified check, 
cashier's check, or money order.
    (e) The failure of any person to comply with any provision of the 
Act, or any of the provisions of the regulations or standards in this 
subchapter, shall constitute grounds for denial of a license; or for its 
suspension or revocation by the Secretary, as provided in the Act.

(Approved by the Office of Management and Budget under control number 
0579-0254)

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998; 
69 FR 42099, July 14, 2004]



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 renew a license 
after the applicant certifies by signing the application 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. APHIS will supply a copy of 
the applicable regulations and standards to the applicant upon request.

(Approved by the Office of Management and Budget under control number 
0579-0254)

[60 FR 13895, Mar. 15, 1995, as amended at 69 FR 42100, July 14, 2004]



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

[[Page 16]]

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) Each applicant for an initial license must be inspected by APHIS 
and demonstrate compliance with the regulations and standards, as 
required in paragraph (a) of this section, before APHIS will issue a 
license. If the first inspection reveals that the applicant's animals, 
premises, facilities, vehicles, equipment, 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. 
An applicant who fails the first inspection will have two additional 
chances to demonstrate his or her compliance with the regulations and 
standards through a second inspection by APHIS. The applicant must 
request the second inspection, and if applicable, the third inspection, 
within 90 days following the first inspection. If the applicant fails 
inspection or fails to request reinspections within the 90-day period, 
he or she will forfeit the application fee and cannot reapply for a 
license for a period of 6 months from the date of the failed third 
inspection or the expiration of the time to request a third inspection. 
Issuance of a 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.

(Approved by the Office of Management and Budget under control number 
0579-0254)

[54 FR 36147, Aug. 31, 1989, as amended at 69 FR 42100, July 14, 2004]



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 AC Regional Director.
    (3) The license has expired or been terminated under this part.
    (4) The annual license fee has not been paid to the appropriate 
Animal Care regional office as required. There will not be a refund of 
the annual license fee 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), as required 
by Sec. 2.7 of this part, and pay the required annual license fee. The 
required annual license fee must be received in the appropriate Animal 
Care regional office on or before the expiration date of the license or 
the license will expire and automatically terminate. Failure to comply 
with the annual reporting requirements or pay the required annual 
license fee on or before the expiration date of the license will result 
in automatic termination of the license.
    (c) 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.
    (d) 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.
    (e) A license which is invalid under this part shall be surrendered 
to the AC Regional Director. If the license cannot be found, the 
licensee shall provide a written statement so stating to the AC Regional 
Director.

[54 FR 36147, Aug. 31, 1989, as amended at 60 FR 13895, Mar. 15, 1995; 
63 FR 62926, Nov. 10, 1998; 69 FR 42100, July 14, 2004]

[[Page 17]]



Sec. 2.6  Annual license fees.

    (a) For an initial license, the applicant must submit a $10 
application fee in addition to the initial license fee prescribed in 
this section. Licensees applying for license renewal or changed class of 
license must submit only the license fee prescribed in this section. The 
license fee for an initial license, license renewal, or changed class of 
license is determined from table 1 or 2 in paragraph (c) of this 
section. Paragraph (b) of this section indicates the method used to 
calculate the license fee. All initial license and changed class of 
license fees must be submitted to the appropriate Animal Care regional 
office, and, in the case of license renewals, all fees must be received 
by the appropriate Animal Care regional office on or before the 
expiration date of the license.
    (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).
    (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:

[[Page 18]]



Table 1--Dealers, Brokers, and Operators of an Auction Sale--Class ``A''
                            and ``B'' License
------------------------------------------------------------------------
                                                              Annual or
                                          But not   Initial    changed
                  Over                     over     license    class of
                                                      fee    license fee
------------------------------------------------------------------------
$0.....................................      $500       $30          $40
500....................................     2,000        60           70
2,000..................................    10,000       120          130
10,000.................................    25,000       225          235
25,000.................................    50,000       350          360
50,000.................................   100,000       475          485
100,000................................  ........       750          760
------------------------------------------------------------------------


                Table 2--Exhibitors--Class ``C'' License
------------------------------------------------------------------------
                                                              Annual or
                                                  Initial      changed
               Number of animals                  license      class of
                                                    fee      license fee
------------------------------------------------------------------------
1 to 5........................................          $30          $40
6 to 25.......................................           75           85
26 to 50......................................          175          185
51 to 500.....................................          225          235
501 and up....................................          300          310
------------------------------------------------------------------------

    (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.

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998; 
69 FR 42101, July 14, 2004]



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 AC Regional Director an 
application for license renewal and annual report upon a form which the 
AC Regional Director 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 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.

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998]



Sec. 2.8  Notification of change of name, address, control, or ownership of 

business.

    A licensee shall promptly notify the AC Regional Director 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.

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998]

[[Page 19]]



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 AC Regional Director, in writing, for 
reinstatement of his or her license. No license will be renewed during 
the period that it is suspended. Renewal of the license may be initiated 
during the suspension in accordance with Sec. Sec. 2.2(b) and 2.12.
    (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.

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998; 
69 FR 42101, July 14, 2004]



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 requirements of Sec. Sec. 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 pled nolo contendere (no contest) or has been found to have 
violated any Federal, State, or local laws or regulations pertaining to 
animal cruelty within 1 year of application, or after 1 year if the 
Administrator determines that the circumstances render the applicant 
unfit to be licensed;
    (5) Is or would be operating in violation or circumvention of any 
Federal, State, or local laws; or
    (6) Has made any false or fraudulent statements or provided any 
false or fraudulent records to the Department or other government 
agencies, or has pled nolo contendere (no contest) or has been found to 
have violated any Federal, State, or local laws or regulations 
pertaining to the transportation, ownership, neglect, or welfare of 
animals, or is otherwise unfit to be licensed and the Administrator 
determines that the issuance of a license would be contrary to the 
purposes of the Act.
    (b) 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 1 year from the date of the 
final order denying the application, unless the order provides 
otherwise.
    (c) No partnership, firm, corporation, or other legal entity in 
which a person whose license application has been denied has a 
substantial interest, financial or otherwise, will be licensed within 1 
year of the license denial.
    (d) No license will be issued under circumstances that the 
Administrator determines would circumvent any order suspending, 
revoking, terminating, or denying a license under the Act.

[54 FR 36147, Aug. 31, 1989, as amended at 69 FR 42101, July 14, 2004]

[[Page 20]]



Sec. 2.12  Termination of a license.

    A license may be terminated during the license renewal process or at 
any other time for any reason that an initial license application may be 
denied pursuant to Sec. 2.11 after a hearing in accordance with the 
applicable rules of practice.

[69 FR 42101, July 14, 2004]



                         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 AC Regional Director. The registration form shall be filed with 
the AC Regional Director 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 AC Regional Director.
    (b) A subsidiary of a business corporation, rather than the parent 
corporation, will be registered as an exhibitor unless the subsidiary is 
under such direct control of the parent corporation that the Secretary 
determines that it is necessary that the parent corporation be 
registered to effectuate the purposes of the Act.
    (c) No registrant or person required to be registered shall 
interfere with, threaten, abuse (including verbally abuse), or harass 
any APHIS official who is in the course of carrying out his or her 
duties.

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998; 
69 FR 42101, July 14, 2004]



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 AC Regional Director.

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998]



Sec. 2.27  Notification of change of operation.

    (a) A registrant shall notify the AC Regional Director 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 AC Regional Director a 
registrant shall notify the AC Regional Director 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 AC Regional Director. The 
former registrant is responsible for reregistering and demonstrating its 
compliance with the Act and regulations should it start using, handling, 
or transporting animals at any time after its registration is canceled.

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998]



                      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 AC Regional Director. The registration form shall 
be filed with the AC Regional Director for the State in which the 
research facility has its principal

[[Page 21]]

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 AC 
Regional Director. Except as provided in paragraph (a)(2) of this 
section, where a school or department of a university or college uses or 
intends to use live animals for research, tests, experiments, or 
teaching, the university or college rather than the school or department 
will be considered the research facility and will be required to 
register with the Secretary. An official who has the legal authority to 
bind the parent organization shall sign the registration form.
    (2) In any situation in which a school or department of a university 
or college demonstrates to the Secretary that it is a separate legal 
entity and its operations and administration are independent of those of 
the university or college, the school or department will be registered 
rather than the university or college.
    (3) A subsidiary of a business corporation, rather than the parent 
corporation, will be registered as a research facility unless the 
subsidiary is under such direct control of the parent corporation that 
the Secretary determines that it is necessary that the parent 
corporation be registered to effectuate the purposes of the Act.
    (b) Acknowledgment of regulations and standards. APHIS will supply a 
copy of the regulations and standards in this subchapter with each 
registration form. The research facility shall acknowledge receipt of 
and shall agree to comply with the regulations and standards by signing 
a form provided for this purpose by APHIS, and by filing it with the AC 
Regional Director.
    (c) Notification of change of operation. (1) A research facility 
shall notify the AC Regional Director 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 AC Regional Director. A 
research facility shall file an annual report of its status (active or 
inactive). A research facility shall notify the AC Regional Director 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 AC Regional Director. 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.
    (d) No research facility shall interfere with, threaten, abuse 
(including verbally abuse), or harass any APHIS official who is in the 
course of carrying out his or her duties.

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998; 
69 FR 42101, July 14, 2004]



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

[[Page 22]]

delegated program responsibility for activities involving animals at the 
research facility;
    (ii) At least one shall not be affiliated in any way with the 
facility other than as a member of the Committee, and shall not be a 
member of the immediate family of a person who is affiliated with the 
facility. The Secretary intends that such person will provide 
representation for general community interests in the proper care and 
treatment of animals;
    (4) If the Committee consists of more than three members, not more 
than three members shall be from the same administrative unit of the 
facility.
    (c) IACUC functions. With respect to activities involving animals, 
the IACUC, as an agent of the research facility, shall:
    (1) Review, at least once every six months, the research facility's 
program for humane care and use of animals, using title 9, chapter I, 
subchapter A--Animal Welfare, as a basis for evaluation;
    (2) Inspect, at least once every six months, all of the research 
facility's animal facilities, including animal study areas, using title 
9, chapter I, subchapter A-Animal Welfare, as a basis for evaluation; 
Provided, however, That animal areas containing free-living wild animals 
in their natural habitat need not be included in such inspection;
    (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

[[Page 23]]

    (8) Be authorized to suspend an activity involving animals in 
accordance with the specifications set forth in paragraph (d)(6) of this 
section.
    (d) IACUC review of activities involving animals. (1) In order to 
approve proposed activities or proposed significant changes in ongoing 
activities, the IACUC shall conduct a review of those components of the 
activities related to the care and use of animals and determine that the 
proposed activities are in accordance with this subchapter unless 
acceptable justification for a departure is presented in writing; 
Provided, however, That field studies as defined in part 1 of this 
subchapter are exempt from this requirement. Further, the IACUC shall 
determine that the proposed activities or significant changes in ongoing 
activities meet the following requirements:
    (i) Procedures involving animals will avoid or minimize discomfort, 
distress, and pain to the animals;
    (ii) The principal investigator has considered alternatives to 
procedures that may cause more than momentary or slight pain or distress 
to the animals, and has provided a written narrative description of the 
methods and sources, e. g., the Animal Welfare Information Center, used 
to determine that alternatives were not available;
    (iii) The principal investigator has provided written assurance that 
the activities do not unnecessarily duplicate previous experiments;
    (iv) Procedures that may cause more than momentary or slight pain or 
distress to the animals will:
    (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 Service, 
Animal Care, 4700 River Road, Unit 84, Riverdale, Maryland 20737-1234;
    (xi) Methods of euthanasia used must be in accordance with the 
definition of

[[Page 24]]

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 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

[[Page 25]]

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; 
63 FR 62926, Nov. 10, 1998]



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.
    (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;

[[Page 26]]

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:
    (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 (or photographic identification card for nondrivers issued by a 
State) and State of the person, if he or she is not licensed or 
registered under the Act;
    (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;
    (8) If dogs or cats are acquired from any person not licensed or 
registered under the Act and not a pound or shelter, the research 
facility must obtain a certification that the animals were born and 
raised on the person's premises and that the person has sold fewer than 
25 dogs and/or cats that year.
    (c) In addition to the information required to be kept and 
maintained by every research facility concerning each live dog or cat 
under paragraph (a) of this section, every research facility 
transporting, selling, or otherwise disposing of any live dog or cat to 
another person, shall make and maintain records or forms which fully and 
correctly disclose the following information:
    (1) The name and address of the person to whom a live dog or cat is 
transported, sold, or otherwise disposed of;
    (2) The date of transportation, sale, euthanasia, or other 
disposition of the animal; and
    (3) The method of transportation, including the name of the initial 
carrier or intermediate handler, or if a privately owned vehicle is used 
to transport the dog or cat, the name of the owner of the privately 
owned vehicle.

[[Page 27]]

    (d)(1) The USDA Interstate and International Certificate of Health 
Examination for Small Animals (APHIS Form 7001) and Record of Aquisition 
and Dogs and Cats on Hand (APHIS Form 7005) are forms which may be used 
by research facilities to keep and maintain the information required by 
paragraph (b) of this section.
    (2) The USDA Interstate and International Certificate of Health 
Examination for Small Animals (APHIS Form 7001) and Record of 
Disposition of Dogs and Cats (APHIS Form 7006) are forms which may be 
used by research facilities to keep and maintain the information 
required by paragraph (c) of this section.
    (e) One copy of the record containing the information required by 
paragraphs (b) and (c) of this section shall accompany each shipment of 
any live dog or cat sold or otherwise disposed of by a research 
facility; Provided, however, That, except as provided in 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.
    (f) All records and reports shall be maintained for at least three 
years. Records that relate directly to proposed activities and proposed 
significant changes in ongoing activities reviewed and approved by the 
IACUC shall be maintained for the duration of the activity and for an 
additional three years after completion of the activity. All records 
shall be available for inspection and copying by authorized APHIS or 
funding Federal agency representatives at reasonable times. APHIS 
inspectors will maintain the confidentiality of the information and will 
not remove the materials from the research facilities' premises unless 
there has been an alleged violation, they are needed to investigate a 
possible violation, or for other enforcement purposes. Release of any 
such materials, including reports, summaries, and photographs that 
contain trade secrets or commercial or financial information that is 
privileged or confidential will be governed by applicable sections of 
the Freedom of Information Act. Whenever the Administrator notifies a 
research facility in writing that specified records shall be retained 
pending completion of an investigation or proceeding under the Act, the 
research facility shall hold those records until their disposition is 
authorized in writing by the Administrator.

(Approved by the Office of Management and Budget under control number 
0579-0254)

[54 FR 36147, Aug. 31, 1989, as amended at 58 FR 39129, July 22, 1993; 
60 FR 13895, Mar. 15, 1995; 69 FR 42101, July 14, 2004]



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 AC Regional Director 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;

[[Page 28]]

    (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 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.

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 62926, Nov. 10, 1998]



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 AC 
Regional Director.
    (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)

[[Page 29]]

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 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

[[Page 30]]

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, 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 AC Regional 
Director. 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, Animal Care, 4700 River Road, Unit 84, Riverdale, Maryland 
20737-1234.
    (3) The U.S. Interstate and International Certificate of Health 
Examination for Small Animals (APHIS Form 7001) may be used for health 
certification by a licensed veterinarian as required by this section.

[[Page 31]]

    (i) Holding of animals. If any research facility obtains prior 
approval of the AC Regional Director, it may arrange to have another 
person hold animals: Provided, That:
    (1) The other person agrees, in writing, to comply with the 
regulations in this part and the standards in part 3 of this subchapter, 
and to allow inspection of the premises by an APHIS official during 
business hours;
    (2) The animals remain under the total control and responsibility of 
the research facility; and
    (3) The Institutional Official agrees, in writing, that the other 
person or premises is a recognized animal site under its research 
facility registration. APHIS Form 7009 shall be used for approval.
    (j) Holding period. Research facilities that obtain dogs and cats 
from sources other than dealers, exhibitors, and exempt persons shall 
hold the animals for 5 full days, not including the day of acquisition, 
after acquiring the animal, excluding time in transit, before they may 
be used by the facility. Research facilities shall comply with the 
identification of animals requirements set forth in 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 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; 63 FR 62926, 
Nov. 10, 1998; 69 FR 42101, July 14, 2004]



      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;

[[Page 32]]

    (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 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 Sec. Sec. 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

[[Page 33]]

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 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 Sec. Sec. 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

[[Page 34]]

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 AC Regional 
Director. Any manufacturer who desires to be included in the list should 
notify the Administrator.

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



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 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 (or photographic identification card for nondrivers issued by a 
State) and State of the person, if he or she is not licensed or 
registered under the Act;
    (iv) The name and address of the person to whom 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 Sec. Sec. 2.50 and 2.54;
    (vii) A description of each dog or cat which shall include:

[[Page 35]]

    (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) and Record of Disposition of 
Dogs and Cats (APHIS Form 7006) to make, keep, and maintain the 
information required by paragraph (a)(1) of this section: Provided, that 
if a dealer or exhibitor who uses a computerized recordkeeping system 
believes that APHIS Form 7005 and APHIS Form 7006 are unsuitable for him 
or her to make, keep, and maintain the information required by paragraph 
(a)(1) of this section, the dealer or exhibitor may request a variance 
from the requirement to use APHIS Form 7005 and APHIS Form 7006.
    (i) The request for a variance must consist of a written statement 
describing why APHIS Form 7005 and APHIS Form 7006 are unsuitable for 
the dealer or exhibitor to make, keep, and maintain the information 
required by paragraph (a)(1) of this section, and a description of the 
computerized recordkeeping system the person would use in lieu of APHIS 
Form 7005 and APHIS Form 7006 to make, keep, and maintain the 
information required by paragraph (a)(1) of this section. APHIS will 
advise the person as to the disposition of his or her request for a 
variance from the requirement to use APHIS Form 7005 and APHIS Form 
7006.
    (ii) A dealer or exhibitor whose request for a variance has been 
denied may request a hearing in accordance with the applicable rules of 
practice for the purpose of showing why the request for a variance 
should not be denied. The denial of the variance shall remain in effect 
until the final legal decision has been rendered.
    (3) The USDA Interstate and International Certificate of Health 
Examination for Small Animals (APHIS Form 7001) may be used by dealers 
and exhibitors to make, keep, and maintain the information required by 
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 (or photographic identification card for nondrivers issued by a 
State) and State of the person, if he or she is not licensed or 
registered under the Act;
    (iv) The name and address of the person to whom an animal was sold 
or given;

[[Page 36]]

    (v) The date of purchase, acquisition, sale, or disposal of the 
animal(s);
    (vi) The species of the animal(s); and
    (vii) The number of animals in the shipment.
    (2) Record of Animals on Hand (other than dogs and cats) (APHIS Form 
7019) and Record of Acquisition, Disposition, or Transport of Animals 
(other than dogs and cats) (APHIS Form 7020) are 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 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; 69 FR 42102, 
July 14, 2004]



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 (or photographic identification card for nondrivers issued by a 
State) and State of the person, if he or she is not licensed or 
registered under the Act;
    (5) The date of the consignment;
    (6) The official USDA tag number or tattoo assigned to the animal 
under Sec. Sec. 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.

[54 FR 36147, Aug. 31, 1989, as amended at 69 FR 42102, July 14, 2004]



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,

[[Page 37]]

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, 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, Animal Care, 4700 River Road, Unit 84, Riverdale, Maryland 
20737-1234.
    (c) No intermediate handler or carrier to whom any live dog, cat, or 
nonhuman primate is delivered for transportation by any dealer, research 
facility, exhibitor, broker, operator of an auction sale, or department, 
agency, or instrumentality of the United States or any State or local 
government shall receive a live dog, cat, or nonhuman primate for 
transportation, in commerce, unless and until it is accompanied by a 
health certificate issued by a licensed veterinarian in accordance with 
paragraph (a) of this section, or an exemption issued by the Secretary 
in accordance with paragraph (b) of this section.
    (d) The U.S. Interstate and International Certificate of Health 
Examination for Small Animals (APHIS Form 7001) may be used for health 
certification by a licensed veterinarian as required by this section.

[54 FR 36147, August 31, 1989, as amended at 59 FR 67612, Dec. 30, 1994; 
60 FR 13896, Mar. 15, 1995; 63 FR 62927, Nov. 10, 1998; 69 FR 42102, 
July 14, 2004]



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

[[Page 38]]

money is to be paid and collected upon delivery of the animal to the 
consignee shall attempt to notify the consignee at least once every 6 
hours for a period of 24 hours after arrival of the animal at the animal 
holding area of the terminal cargo facility. The carrier or intermediate 
handler shall record the time, date, and method of each attempted 
notification and the final notification to the consignee, and the name 
of the person notifying the consignee, on the shipping document and on 
the copy of the shipping document accompanying the C.O.D. shipment. If 
the consignee cannot be notified of the C.O.D. shipment within 24 hours 
after its arrival, the carrier or intermediate handler shall return the 
animal to the consignor, or to whomever the consignor has designated, on 
the next practical available transportation, in accordance with the 
written agreement required in paragraph (a) of this section and shall 
notify the consignor. Any carrier or intermediate handler which has 
notified a consignee of the arrival of a C.O.D. or other shipment of an 
animal, where any money is to be paid and collected upon delivery of the 
animal to the consignee, which is not claimed by the consignee within 48 
hours from the time of notification, shall return the animal to the 
consignor, or to whomever the consignor has designated, on the next 
practical available transportation, in accordance with the written 
agreement required in paragraph (a) of this section and shall notify the 
consignor.
    (c) It is the responsibility of any carrier or intermediate handler 
to hold, feed, and care for any animal accepted for transportation, in 
commerce, under a C.O.D. or other arrangement where any money is to be 
paid and collected upon delivery of the animal until the consignee 
accepts shipment at destination or until returned to the consignor or 
his or her designee should the consignee fail to accept delivery of the 
animal or if the consignee could not be notified as prescribed in 
paragraph (b) of this section.
    (d) Nothing in this section shall be construed as prohibiting any 
carrier or intermediate handler from requiring any guarantee in addition 
to that required in paragraph (a) of this section for the payment of the 
cost of any transportation or out-of-pocket 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.

[[Page 39]]



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:
---------------------------------------------------------------------------

    \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;
    (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 AC 
Regional Director, 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 
shall be used for approval.
    (b) If any intermediate handler obtains prior approval of the AC 
Regional Director, 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; 
63 FR 62927, Nov. 10, 1998; 69 FR 42102, July 14, 2004]



                         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

[[Page 40]]

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 must be extended to APHIS officials by the dealer, exhibitor, 
intermediate handler or carrier, and a responsible adult shall be made 
available to accompany APHIS officials during the inspection process.

[54 FR 36147, Aug. 31, 1989, as amended at 69 FR 42102, July 14, 2004]



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 AC Regional Director.

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



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

[[Page 41]]

provide for adequate care when necessary to alleviate the animal's 
suffering. If in the opinion of the Administrator, the condition of the 
animal(s) cannot be corrected by this temporary care, the APHIS official 
shall confiscate the animals.
    (c) Confiscated animals may be:
    (1) Placed, by sale or donation, with other licensees or registrants 
that comply with the standards and regulations and can provide proper 
care; or
    (2) Placed with persons or facilities that can offer a level of care 
equal to or exceeding the standards and regulations, as determined by 
APHIS, even if the persons or facilities are not licensed by or 
registered with APHIS; or
    (3) Euthanized.
    (d) The dealer, exhibitor, intermediate handler, or carrier from 
whom the animals were confiscated must bear all costs incurred in 
performing the placement or euthanasia activities authorized by this 
section.

[54 FR 36147, Aug. 31, 1989, as amended at 66 FR 239, Jan. 3, 2001]



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) All licensees who maintain wild or exotic animals must 
demonstrate adequate experience and knowledge of the species they 
maintain.
    (b)(1) Handling of all animals shall be done as expeditiously and 
carefully as possible in a manner that does not cause trauma, 
overheating, excessive cooling, behavioral stress, physical harm, or 
unnecessary discomfort.
    (2)(i) Physical abuse shall not be used to train, work, or otherwise 
handle animals.
    (ii) Deprivation of food or water shall not be used to train, work, 
or otherwise handle animals; Provided, however, That the short-term 
withholding of food or water from animals by exhibitors is allowed by 
these regulations as long as each of the animals affected receives its 
full dietary and nutrition requirements each day.
    (c)(1) During public exhibition, any animal must be handled so there 
is minimal risk of harm to the animal and to the public, with sufficient 
distance and/or barriers between the animal and the general viewing 
public so as to assure the safety of animals and the public.
    (2) Performing animals shall be allowed a rest period between 
performances at least equal to the time for one performance.
    (3) Young or immature animals shall not be exposed to rough or 
excessive public handling or exhibited for periods of time which would 
be detrimental to their health or well-being.
    (4) Drugs, such as tranquilizers, shall not be used to facilitate, 
allow, or provide for public handling of the animals.
    (d)(1) Animals shall be exhibited only for periods of time and under 
conditions consistent with their good health and well-being.
    (2) A responsible, knowledgeable, and readily identifiable employee 
or attendant must be present at all times during periods of public 
contact.
    (3) During public exhibition, dangerous animals such as lions, 
tigers, wolves, bears, or elephants must be under the direct control and 
supervision of a knowledgeable and experienced animal handler.
    (4) If public feeding of animals is allowed, the food must be 
provided by the animal facility and shall be appropriate to the type of 
animal and its nutritional needs and diet.
    (e) When climatic conditions present a threat to an animal's health 
or well-being, appropriate measures must be taken to alleviate the 
impact of those conditions. An animal may never be subjected to any 
combination of temperature, humidity, and time that is detrimental to 
the animal's health or well-being, taking into consideration such 
factors as the animal's age, species, breed, overall health status, and 
acclimation.

[54 FR 36147, Aug. 31, 1989, as amended at 63 FR 10498, Mar. 4, 1998; 69 
FR 42102, July 14, 2004]

[[Page 42]]



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

    (a) A class ``B'' dealer may obtain live random source dogs and cats 
only from:
    (1) Other dealers who are licensed under the Act and in accordance 
with the regulations in part 2;
    (2) State, county, or city owned and operated animal pounds or 
shelters; and
    (3) A legal entity organized and operated under the laws of the 
State in which it is located as an animal pound or shelter, such as a 
humane shelter or contract pound.
    (b) No person shall obtain live dogs, cats, or other animals by use 
of false pretenses, misrepresentation, or deception.
    (c) Any dealer, exhibitor, research facility, carrier, or 
intermediate handler who also operates a private or contract animal 
pound or shelter shall comply with the following:
    (1) The animal pound or shelter shall be located on premises that 
are physically separated from the licensed or registered facility. The 
animal housing facility of the pound or shelter shall not be adjacent to 
the licensed or registered facility.
    (2) Accurate and complete records shall be separately maintained by 
the licensee or registrant and by the pound or shelter. The records 
shall be in accordance with Sec. Sec. 2.75 and 2.76, unless the animals 
are lost or stray. If the animals are lost or stray, the pound or 
shelter records shall provide:
    (i) An accurate description of the animal;
    (ii) How, where, from whom, and when the dog or cat was obtained;
    (iii) How long the dog or cat was held by the pound or shelter 
before being transferred to the dealer; and
    (iv) The date the dog or cat was transferred to the dealer.
    (3) Any dealer who obtains or acquires a live dog or cat from a 
private or contract pound or shelter, including a pound or shelter he or 
she operates, shall hold the dog or cat for a period of at least 10 full 
days, not including the day of acquisition, excluding time in transit, 
after acquiring the animal, and otherwise in accordance with Sec. 
2.101.
    (d) No dealer or exhibitor shall knowingly obtain any dog, cat, or 
other animal from any person who is required to be licensed but who does 
not hold a current, valid, and unsuspended license. No dealer or 
exhibitor shall knowingly obtain any dog or cat from any person who is 
not licensed, other than a pound or shelter, without obtaining a 
certification that the animals were born and raised on that person's 
premises and, if the animals are for research purposes, that the person 
has sold fewer than 25 dogs and/or cats that year, or, if the animals 
are for use as pets, that the person does not maintain more than three 
breeding female dogs and/or cats.

(Approved by the Office of Management and Budget under control number 
0579-0254)

[54 FR 36147, Aug. 31, 1989, as amended at 69 FR 42102, July 14, 2004]



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

[[Page 43]]

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.
    (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.

[[Page 44]]

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.

                  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 Swim-with-the-dolphin programs.

[[Page 45]]

                        Transportation Standards

3.112 Consignments to carriers and intermediate handlers.
3.113 Primary enclosures used to transport marine mammals.
3.114 Primary conveyances (motor vehicle, rail, air, and marine).
3.115 Food and drinking water requirements.
3.116 Care in transit.
3.117 Terminal facilities.
3.118 Handling.

 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. 2131-2159; 7 CFR 2.22, 2.80, and 371.7.

    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.
---------------------------------------------------------------------------

    \1\ These minimum standards apply only to live dogs and cats, 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, and stored material, but may 
contain materials actually used and necessary for cleaning the area, and 
fixtures or equipment necessary for proper husbandry practices and 
research needs. Housing facilities other than those maintained by 
research facilities and Federal research facilities must be physically 
separated from any other business. If a housing facility is located on 
the same premises as another business, it must be physically separated 
from the other business so that animals the size of dogs, skunks, and 
raccoons are prevented from entering it.
    (c) Surfaces--(1) General requirements. The surfaces of housing 
facilities--including houses, dens, and other furniture-type fixtures 
and objects within the facility--must be constructed in a manner 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,

[[Page 46]]

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 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 or humidity extremes and to 
provide for their health and well-being. When dogs

[[Page 47]]

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. The 
preceding requirements are in addition to, not in place of, all other 
requirements pertaining to climatic conditions in parts 2 and 3 of this 
chapter.
    (b) Ventilation. Indoor housing facilities for dogs and cats must be 
sufficiently ventilated at all times when dogs or cats are present to 
provide for their health and well-being, and to minimize odors, drafts, 
ammonia levels, and moisture condensation. Ventilation must be provided 
by windows, vents, fans, or air conditioning. Auxiliary ventilation, 
such as fans, blowers, or air conditioning must be provided when the 
ambient temperature is 85 [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).

[56 FR 6486, Feb. 15, 1991, as amended at 63 FR 10498, Mar. 4, 1998]



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 or humidity extremes and to provide for their health and 
well-being. The ambient temperature in the sheltered part of the 
facility must not fall below 50 [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 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. The preceding requirements are in addition to, not in place of, 
all other requirements pertaining to climatic conditions in parts 2 and 
3 of this chapter.
    (b) Ventilation. The enclosed or sheltered part of sheltered housing 
facilities for dogs and cats must be sufficiently ventilated when 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.

[[Page 48]]

    (c) Lighting. Sheltered housing facilities for dogs and cats must be 
lighted well enough to permit routine inspection and cleaning of the 
facility, and observation of the dogs and cats. Animal areas must be 
provided a regular diurnal lighting cycle of either natural or 
artificial light. Lighting must be uniformly diffused throughout animal 
facilities and provide sufficient illumination to aid in maintaining 
good housekeeping practices, adequate cleaning, adequate inspection of 
animals, and for the well-being of the animals. Primary enclosures must 
be placed so as to protect the dogs and cats from excessive light.
    (d) Shelter from the elements. Dogs and cats must be provided with 
adequate shelter from the elements at all times to protect their health 
and well-being. The shelter structures must be large enough to allow 
each animal to sit, stand, and lie in a normal manner and to turn about 
freely.
    (e) Surfaces. (1) The following areas in sheltered housing 
facilities must be impervious to moisture:
    (i) Indoor floor areas in contact with the animals;
    (ii) Outdoor floor areas in contact with the animals, when the floor 
areas are not exposed to the direct sun, or are made of a hard material 
such as wire, wood, metal, or concrete; and
    (iii) All walls, boxes, houses, dens, and other surfaces in contact 
with the animals.
    (2) Outside floor areas in contact with the animals and exposed to 
the direct sun may consist of compacted earth, absorbent bedding, sand, 
gravel, or grass.

[56 FR 6486, Feb. 15, 1991, as amended at 63 FR 10498, Mar. 4, 1998]



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 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.

[[Page 49]]



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 or humidity 
extremes and to provide for their health and well-being. The ambient 
temperature in the mobile or traveling housing facility must not fall 
below 50 [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. 
The preceding requirements are in addition to, not in place of, all 
other requirements pertaining to climatic conditions in parts 2 and 3 of 
this chapter.
    (b) Ventilation. Mobile or traveling housing facilities for dogs and 
cats must be sufficiently ventilated at all times when dogs or cats are 
present to provide for the health and well-being of the animals, and to 
minimize odors, drafts, ammonia levels, moisture condensation, and 
exhaust fumes. Ventilation must be provided by means of windows, doors, 
vents, fans, or air conditioning. Auxiliary ventilation, such as fans, 
blowers, or air conditioning, must be provided when the ambient 
temperature within the animal housing area is 85 [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.

[32 FR 3273, Feb. 24, 1967, as amended at 63 FR 10498, Mar. 4, 1998]



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 the floor;
    (xi) Provide sufficient space to allow each dog and cat to turn 
about freely, to stand, sit, and lie in a comfortable, normal position, 
and to walk in a normal manner; and
    (xii) Primary enclosures constructed on or after February 20, 1998 
and floors replaced on or after that date, must

[[Page 50]]

comply with the requirements in this paragraph (a)(2). On or after 
January 21, 2000, all primary enclosures must be in compliance with the 
requirements in this paragraph (a)(2). If the suspended floor of a 
primary enclosure is constructed of metal strands, the strands must 
either be greater than \1/8\ of an inch in diameter (9 gauge) or coated 
with a material such as plastic or fiberglass. The suspended floor of 
any primary enclosure must be strong enough so that the floor does not 
sag or bend between the structural supports.
    (b) Additional requirements for cats.--(1)Space. Each cat, including 
weaned kittens, that is housed in any primary enclosure must be provided 
minimum vertical space and floor space as follows:
    (i) 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.

[[Page 51]]

    (ii) Each bitch with nursing puppies must be provided with an 
additional amount of floor space, based on her breed and behavioral 
characteristics, and in accordance with generally accepted husbandry 
practices as determined by the attending veterinarian. If the additional 
amount of floor space for each nursing puppy is less than 5 percent of 
the minimum requirement for the bitch, such housing must be approved by 
the attending veterinarian in the case of a research facility, and, in 
the case of dealers and exhibitors, such housing must be approved by the 
Administrator.
    (iii) The interior height of a primary enclosure must be at least 6 
inches higher than the head of the tallest dog in the enclosure when it 
is in a normal standing position: Provided That, prior to February 15, 
1994, each dog must be able to stand in a comfortable normal position.
    (2) Compatibility. All dogs housed in the same primary enclosure 
must be compatible, as determined by observation. Not more than 12 adult 
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.
    (3) Dogs in mobile or traveling shows or acts. Dogs that are part of 
a mobile or traveling show or act may be kept, while the show or act is 
traveling from one temporary location to another, in transport 
containers that comply with all requirements of 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.
    (4) Prohibited means of primary enclosure. Permanent tethering of 
dogs is prohibited for use as primary enclosure. Temporary tethering of 
dogs is prohibited for use as primary enclosure unless approval is 
obtained from APHIS.
    (d) Innovative primary enclosures not precisely meeting the floor 
area and height requirements provided in paragraphs (b)(1) and (c)(1) of 
this section, but that provide the dogs or cats with a sufficient volume 
of space and the opportunity to express species-typical behavior, may be 
used at research facilities when approved by the Committee, and by 
dealers and exhibitors when approved by the Administrator.

(Approved by the Office of Management and Budget under control number 
0579-0093)

[56 FR 6486, Feb. 15, 1991, as amended at 62 FR 43275, Aug. 13, 1997; 63 
FR 3023, Jan. 21, 1998; 63 FR 37482, July 13, 1998]

                  Animal Health and Husbandry Standards



Sec. 3.7  Compatible grouping.

    Dogs and cats that are housed in the same primary enclosure must be 
compatible, with the following restrictions:
    (a) Females in heat (estrus) may not be housed in the same primary 
enclosure with males, except for breeding purposes;
    (b) Any dog or cat exhibiting a vicious or overly aggressive 
disposition must be housed separately;
    (c) Puppies or kittens 4 months of age or less may not be housed in 
the same primary enclosure with adult dogs or cats other than their dams 
or foster dams, except when permanently maintained in breeding colonies;
    (d) Dogs or cats may not be housed in the same primary enclosure 
with any other species of animals, unless they are compatible; and
    (e) Dogs and cats that have or are suspected of having a contagious 
disease must be isolated from healthy animals in the colony, as 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

[[Page 52]]

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 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

[[Page 53]]

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 mesh 
or slatted floors must be cleaned as often as necessary to prevent 
accumulation of feces and food waste and to reduce disease hazards 
pests, insects and odors.
    (b) Sanitization of primary enclosures and food and water 
receptacles. (1) Used primary enclosures and food and water receptacles 
must be cleaned and sanitized in accordance with this section before 
they can be used to house, feed, or water another dog or cat, or social 
grouping of dogs or cats.
    (2) Used primary enclosures and food and water receptacles for dogs 
and cats must be sanitized at least once every 2 weeks using one of the 
methods prescribed in paragraph (b)(3) of this section, and more often 
if necessary to prevent an 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

[[Page 54]]

to remove all organic material and mineral buildup, and to provide 
sanitization followed by a clean water rinse.
    (4) Pens, runs, and outdoor housing areas using material that cannot 
be sanitized using the methods provided in paragraph (b)(3) of this 
section, such as gravel, sand, grass, earth, or absorbent bedding, must 
be sanitized by removing the contaminated material as necessary to 
prevent odors, diseases, pests, insects, and vermin infestation.
    (c) Housekeeping for premises. Premises where housing facilities are 
located, including buildings and surrounding grounds, must be kept clean 
and in good repair to protect the animals from injury, to facilitate the 
husbandry practices required in this subpart, and to reduce or eliminate 
breeding and living areas for rodents and other pests and vermin. 
Premises must be kept free of accumulations of trash, junk, waste 
products, and discarded matter. Weeds, grasses, and bushes must be 
controlled so as to facilitate cleaning of the premises and pest 
control, and to protect the health and well-being of the animals.
    (d) Pest control. An effective program for the control of insects, 
external parasites affecting dogs and cats, and birds and mammals that 
are pests, must be established and maintained so as to promote the 
health and well-being of the animals and reduce contamination by pests 
in animal areas.

[56 FR 6486, Feb. 15, 1991, as amended at 63 FR 3023, Jan. 21, 1998]



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 
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 
Sec. Sec. 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

[[Page 55]]

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 Sec. Sec. 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 Sec. Sec. 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 
Sec. Sec. 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 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:

[[Page 56]]

    (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 mesh floor that 
prevents seepage of waste products, such as excreta and body fluids, 
outside of the enclosure. If a slatted or mesh floor is used in the 
enclosure, it must be designed and constructed so that the animal cannot 
put any part of its body between the slats or through the holes in the 
mesh. Unless the dogs and cats are on raised slatted floors or raised 
floors made of mesh, the primary enclosure must contain enough 
previously unused litter to absorb and cover excreta. The litter must be 
of a suitably absorbent material that is safe and nontoxic to the dogs 
and cats.
    (b) Cleaning of primary enclosures. A primary enclosure used to hold 
or transport dogs or cats in commerce must be cleaned and sanitized 
before each use in accordance with the methods provided in 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 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

[[Page 57]]

    (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 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

[[Page 58]]

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)

[56 FR 6486, Feb. 15, 1991, as amended at 63 FR 3023, Jan. 21, 1998]



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 and humidity that ensures the health and well-being of the 
dogs or cats. The cargo areas must be pressurized when the primary 
conveyance used for air transportation is not on the ground, unless 
flying under 8,000 ft. Dogs and cats must have adequate air for 
breathing at all times when being transported.
    (e) During surface transportation, auxiliary ventilation, such as 
fans, blowers or air conditioning, must be used in any animal cargo 
space containing live dogs or cats when the ambient temperature within 
the animal cargo space reaches 85 [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. The preceding requirements are in addition to, not 
in place of, all other requirements pertaining to climatic conditions in 
parts 2 and 3 of this chapter.
    (f) Primary enclosures must be positioned in the primary conveyance 
in a manner that allows the dogs and cats to be quickly and easily 
removed from the primary conveyance in an emergency.
    (g) The interior of the animal cargo space must be kept clean.
    (h) Live dogs and cats may not be transported with any material, 
substance (e.g., dry ice) or device in a manner that may reasonably be 
expected to harm the dogs and cats or cause inhumane conditions.

[56 FR 6486, Feb. 15, 1991, as amended at 63 FR 10498, 10499, Mar. 4, 
1998]



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 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.

[[Page 59]]

    (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 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

[[Page 60]]

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. The preceding 
requirements are in addition to, not in place of, all other requirements 
pertaining to climatic conditions in parts 2 and 3 of this chapter.
    (e) Shelter. Any person subject to the Animal Welfare regulations (9 
CFR parts 1, 2, and 3) holding a live dog or cat in an animal holding 
area of a terminal facility must provide the following:
    (1) Shelter from sunlight and extreme heat. Shade must be provided 
that is sufficient to protect the dog or cat from the direct rays of the 
sun.
    (2) Shelter from rain or snow. Sufficient protection must be 
provided to allow the dogs and cats to remain dry during rain, snow, and 
other precipitation.
    (f) Duration. The length of time any person subject to the Animal 
Welfare regulations (9 CFR parts 1, 2, and 3) can hold dogs and cats in 
animal holding areas of terminal facilities upon arrival is the same as 
that provided in Sec. 3.13(f) of this subpart.

[56 FR 6486, Feb. 15, 1991, as amended at 63 FR 10499, Mar. 4, 1998]



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. The preceding requirements are in addition to, not in 
place of, all other requirements pertaining to climatic conditions in 
parts 2 and 3 of this chapter.
    (2) Shelter from rain and snow. Sufficient protection must be 
provided to allow the dogs and cats to remain dry during rain, snow, and 
other precipitation.
    (3) Shelter from cold temperatures. Transporting devices on which 
live dogs or cats are placed to move them must be covered to protect the 
animals when the outdoor temperature falls below 50 [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. The preceding 
requirements are in addition to, not in place of, all other requirements 
pertaining to climatic conditions in parts 2 and 3 of this chapter.
    (b) Any person handling a primary enclosure containing a dog or cat 
must use care and must avoid causing physical harm or distress to the 
dog or cat.
    (1) A primary enclosure containing a live dog or cat must not be 
placed on unattended conveyor belts, or on elevated conveyor belts, such 
as baggage

[[Page 61]]

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 dog or cat must not be tossed, 
dropped, or needlessly tilted, and must not be stacked in a manner that 
may reasonably be expected to result in its falling. It must be handled 
and positioned in the manner that written instructions and arrows on the 
outside of the primary enclosure indicate.
    (c) This section applies to movement of a dog or cat from primary 
conveyance to primary conveyance, within a primary conveyance or 
terminal facility, and to or from a terminal facility or a primary 
conveyance.

(Approved by the Office of Management and Budget under control number 
0579-0093)

[56 FR 6486, Feb. 15, 1991, as amended at 63 FR 10499, Mar. 4, 1998]



 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.

[[Page 62]]

    (b) Guinea pigs shall not be housed in outdoor facilities unless 
such facilities are located in an appropriate climate and prior approval 
for such outdoor housing is obtained from the Deputy Administrator.



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 63]]



------------------------------------------------------------------------
                                                           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              -----------------
                                                         in\2\    cm\2\
------------------------------------------------------------------------
<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 care. Open containers used for dispensing water to guinea 
pigs or hamsters shall be so placed in or attached

[[Page 64]]

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 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

[[Page 65]]

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 Sec. Sec. 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]



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

[[Page 66]]

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 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:

[[Page 67]]



                                         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-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

[[Page 68]]

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 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

[[Page 69]]

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.
    (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.

[[Page 70]]

    (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 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:

[[Page 71]]



------------------------------------------------------------------------
                                                                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          m\2\        ft\2\          cm           in
----------------------------------------------------------------------------------------------------------------
Individual rabbits (weaned).......           <2         <4.4         0.14          1.5        35.56           14
                                            2-4      4.4-8.8         0.28          3.0        35.56           14
                                          4-5.4     8.8-11.9         0.37          4.0        35.56           14
                                               0.46          5.0        35.56           14
                                            5.4         11.9
----------------------------------------------------------------------------------------------------------------


----------------------------------------------------------------------------------------------------------------
                                    Weight of nursing female    Minimum floor space/     Minimum interior height
                                   --------------------------      female & litter     -------------------------
                                                             --------------------------
                                         kg          lbs          m\2\        ft\2\          cm           in
----------------------------------------------------------------------------------------------------------------
Females with litters..............           <2         <4.4         0.37          4.0        35.56           14
                                            2-4      4.4-8.8         0.46          5.0        35.56           14
                                          4-5.4     8.8-11.9         0.56          6.0        35.56           14
                                               0.70          7.5        35.56           14
                                            5.4         11.9
----------------------------------------------------------------------------------------------------------------

    (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.



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.

[[Page 72]]

    (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 
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

[[Page 73]]

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 Sec. Sec. 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 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

[[Page 74]]

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 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

[[Page 75]]

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 the responsibility of 
the driver or other employee to visually observe the live rabbits as 
frequently as circumstances may dictate, but not less than once every 4 
hours, to assure that they are receiving sufficient air for normal 
breathing, their ambient temperatures are within the prescribed limits, 
all other applicable standards are being complied with and to determine 
whether any of the live rabbits are in obvious physical 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. 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.

[[Page 76]]



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).
    (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.

[[Page 77]]

                   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 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.

[[Page 78]]

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 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

[[Page 79]]

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 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

[[Page 80]]

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 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

[[Page 81]]

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 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.

[[Page 82]]



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 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.

[[Page 83]]



----------------------------------------------------------------------------------------------------------------
                                                 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 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

[[Page 84]]

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 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

[[Page 85]]

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 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

[[Page 86]]

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 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.

[[Page 87]]

    (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 
Sec. Sec. 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 Sec. Sec. 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 
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

[[Page 88]]

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 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

[[Page 89]]

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.
    (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

[[Page 90]]

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. 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

[[Page 91]]

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.



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

[[Page 92]]

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 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

[[Page 93]]

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

    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,\6\ 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.
---------------------------------------------------------------------------

    \6\ Written permission from the Deputy Administrator to operate as a 
licensee or registrant under the Act without being in full compliance 
with one or more specified provisions of 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 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

[[Page 94]]

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; 63 FR 2, Jan. 2, 1998]



Sec. 3.101  Facilities, general.

    (a) Construction requirements. (1) Indoor and outdoor housing 
facilities for marine mammals must be structurally sound and must be 
maintained in good repair to protect the animals from injury, to contain 
the animals within the facility, and to restrict the entrance of 
unwanted animals. Lagoon and similar natural seawater facilities must 
maintain effective barrier fences extending above the high tide water 
level, or other appropriate measures, on all sides of the enclosure not 
contained by dry land to fulfill the requirements of this section.
    (2) All marine mammals must be provided with protection from abuse 
and harassment by the viewing public by the use of a sufficient number 
of uniformed or readily identifiable employees or attendants to 
supervise the viewing public, or by physical barriers, such as fences, 
walls, glass partitions, or distance, or any combination of these.
    (3) All surfaces in a primary enclosure must be constructed of 
durable, nontoxic materials that facilitate cleaning, and disinfection 
as appropriate, sufficient to maintain water quality parameters as 
designated in Sec. 3.106. All surfaces must be maintained in good 
repair as part of a regular, ongoing maintenance program. All facilities 
must implement a written protocol on cleaning so that surfaces do not 
constitute a health hazard to animals.
    (4) Facilities that utilize natural water areas, such as tidal 
basins, bays, or estuaries (subject to natural tidewater action), for 
housing marine mammals are exempt from the drainage requirements of 
paragraph (c)(1) of this section.
    (b) Water and power supply. Reliable and adequate sources of water 
and electric power must be provided by the facility housing marine 
mammals. Written contingency plans must be submitted to and approved by 
the Deputy Administrator regarding emergency sources of water and 
electric power in the event of failure of the primary sources, when such 
failure could reasonably be expected to be detrimental to the good 
health and well-being of the marine mammals housed in the facility. 
Contingency plans must include, but not be limited to, specific animal 
evacuation plans in the event of a disaster and should describe back-up 
systems and/or arrangements for relocating marine mammals requiring 
artificially cooled or heated water. If the emergency contingency plan 
includes release of marine mammals, the plan must include provision for 
recall training and retrieval of such animals.
    (c) Drainage. (1) Adequate drainage must be provided for all primary 
enclosure pools and must be located so that all of the water contained 
in such pools may be effectively eliminated when necessary for cleaning 
the pool or for other purposes. Drainage effluent from primary enclosure 
pools must be disposed of in a manner that complies with all applicable 
Federal, State, and local pollution control laws.

[[Page 95]]

    (2) Drainage must be provided for primary enclosures and areas 
immediately surrounding pools. All drain covers and strainers must be 
securely fastened in order to minimize the potential risk of animal 
entrapment. Drains must be located so as to rapidly eliminate excess 
water (except in pools). Drainage effluent must be disposed of in a 
manner that complies with all applicable Federal, State, and local 
pollution control laws.
    (d) Storage. Supplies of food must be stored in facilities that 
adequately protect such supplies from deterioration, spoilage (harmful 
microbial growth), and vermin or other contamination. Refrigerators and 
freezers (or chilled and/or iced coolers for under 12 hours) must be 
used for perishable food. No substances that are known to be or may be 
toxic or harmful to marine mammals may be stored or maintained in the 
marine mammal food storage or preparation areas, except that cleaning 
agents may be kept in secured cabinets designed and located to prevent 
food contamination. Food, supplements, and medications may not be used 
beyond commonly accepted shelf life or date listed on the label.
    (e) Waste disposal. Provision must be made for the removal and 
disposal of animal and food wastes, dead animals, trash, and debris. 
Disposal facilities must be provided and operated in a manner that will 
minimize odors and the risk of vermin infestation and disease hazards. 
All waste disposal procedures must comply with all applicable Federal, 
State, and local laws pertaining to pollution control, protection of the 
environment, and public health.
    (f) Employee washroom facilities. Washroom facilities containing 
basins, sinks, and, as appropriate, showers, must be provided and 
conveniently located to maintain cleanliness among employees, 
attendants, and volunteers. These facilities must be cleaned and 
sanitized daily.
    (g) Enclosure or pool environmental enhancements. Any nonfood 
objects provided for the entertainment or stimulation of marine mammals 
must be of sufficient size and strength to not be ingestible, readily 
breakable, or likely to cause injury to marine mammals, and be able to 
be cleaned, sanitized, and/or replaced effectively.

[66 FR 251, Jan. 3, 2001]



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.\7\
---------------------------------------------------------------------------

    \7\ Lighting intensity and duration must be consistent with the 
general well-being and comfort of the animal involved. When possible, it 
should approximate the lighting conditions encountered by the animal in 
its natural environment. At no time shall the lighting be such that it 
will cause the animal discomfort or trauma.

[44 FR 36874, June 22, 1979; 63 FR 2, Jan. 2, 1998]

[[Page 96]]



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.
    (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.
    (c) Perimeter fence. On and after May 17, 2000, all outdoor housing 
facilities (i.e., facilities not entirely indoors) must be enclosed by a 
perimeter fence that is of sufficient height to keep animals and 
unauthorized persons out. Fences less than 8 feet high for polar bears 
or less than 6 feet high for other marine mammals must be approved in 
writing by the Administrator. The fence must be constructed so that it 
protects marine mammals by restricting animals and unauthorized persons 
from going through it or under it and having contact with the marine 
mammals, and so that it can function as a secondary containment system 
for the animals in the facility when appropriate. The fence must be of 
sufficient distance from the outside of the primary enclosure to prevent 
physical contact between animals inside the enclosure and animals or 
persons outside the perimeter fence. Such fences less than 3 feet in 
distance from the primary enclosure must be approved in writing by the 
Administrator. For natural seawater facilities, such as lagoons, the 
perimeter fence must prevent access by animals and unauthorized persons 
to the natural seawater facility from the abutting land, and must 
encompass the land portion of the facility from one end of the natural 
seawater facility shoreline as defined by low tide to the other end of 
the natural seawater facility shoreline defined by low tide. A perimeter 
fence is not required:
    (1) Where the outside walls of the primary enclosure are made of 
sturdy, durable material, which may include certain types of concrete, 
wood, plastic, metal, or glass, and are high enough and constructed in a 
manner that restricts entry by animals and unauthorized persons and the 
Administrator gives written approval; or
    (2) Where the outdoor housing facility is protected by an effective 
natural barrier that restricts the marine mammals to the facility and 
restricts entry by animals and unauthorized persons and the 
Administrator gives written approval; or
    (3) Where appropriate alternative security measures are employed and 
the Administrator gives written approval; or
    (4) For traveling facilities where appropriate alternative security 
measures are employed.

[44 FR 36874, June 22, 1979, as amended at 64 FR 56147, Oct. 18, 1999]



Sec. 3.104  Space requirements.

    (a) General. Marine mammals must be housed in primary enclosures 
that comply with the minimum space requirements prescribed by this part. 
These enclosures must be constructed and maintained so that the animals 
contained within are provided sufficient space, both horizontally and 
vertically, to be able to make normal postural and social adjustments 
with adequate freedom of movement, in or out of the water. (An exception 
to these requirements is provided in Sec. 3.110(b) for isolation or 
separation for

[[Page 97]]

medical treatment and/or medical training.) Enclosures smaller than 
required by the standards may be temporarily used for nonmedical 
training, breeding, holding, and transfer purposes. If maintenance in 
such enclosures for nonmedical training, breeding, or holding is to last 
longer than 2 weeks, such extension must be justified in writing by the 
attending veterinarian on a weekly basis. If maintenance in such 
enclosures for transfer is to last longer than 1 week, such extension 
must be justified in writing by the attending veterinarian on a weekly 
basis. Any enclosure that does not meet the minimum space requirement 
for primary enclosures (including, but not limited to, medical pools or 
enclosures, holding pools or enclosures, and gated side pools smaller 
than the minimum space requirements) may not be used for permanent 
housing purposes. Rotating animals between enclosures that meet the 
minimum space requirements and enclosures that do not is not an 
acceptable means of complying with the minimum space requirements for 
primary enclosures.
    (b) Cetaceans. Primary enclosures housing cetaceans shall 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 \8\ ), 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.
---------------------------------------------------------------------------

    \8\ 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.
    (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.

[[Page 98]]



                                         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 adult      Minimum horizontal        Minimum required depth     Volume of water required
           length                   dimension (MHD)      ---------------------------     for 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
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.

[[Page 99]]

 
    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
    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
------------------------------------------------------------------------


[[Page 100]]

    (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:
[GRAPHIC] [TIFF OMITTED] TC14NO91.010


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:
[GRAPHIC] [TIFF OMITTED] TC14NO91.011


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:
[GRAPHIC] [TIFF OMITTED] TC14NO91.012


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
[GRAPHIC] [TIFF OMITTED] TC14NO91.013


Then the volume necessary for the cetaceans to be housed in the pool 
must be calculated (by obtaining the sum of the volumes required for 
each animal). If this volume is greater than that obtained by using the 
MHD and depth figures, then the additional volume required may be added 
by enlarging the pool in its lateral dimensions or by increasing its 
depth, or both. The minimum surface area requirements discussed next 
must also be satisfied.
    (4)(i) The minimum surface area requirements for each cetacean 
housed in a pool, regardless of Group I or Group II classification, are 
calculated as follows:

[[Page 101]]

[GRAPHIC] [TIFF OMITTED] TC14NO91.014


In a pool containing more than two Group I cetaceans or more than four 
Group II cetaceans,\9\ the additional surface area which may be required 
when animals are added must be calculated for each such animal.
---------------------------------------------------------------------------

    \9\ A pool containing up to two Group I cetaceans or up to four 
Group II cetaceans which meets the required MHD and depth will have the 
necessary surface area and volume required for the animals contained 
therein.
---------------------------------------------------------------------------

    (ii) When a mixture of Group I and Group II cetaceans are to be 
housed in a pool, the required MHD, depth, and volume must be met. Then 
the required surface area must be determined for each animal in the 
pool. The sum of these surface areas must then be compared to the 
surface area which is obtained by a computation based on the required 
MHD of the pool.\10\ The larger of the two figures represents the 
surface area which is required for a pool housing a mixture of Group I 
and Group II cetaceans. Pool surfaces where the depth does not meet the 
minimum requirements cannot be used in determining the required surface 
area.
---------------------------------------------------------------------------

    \10\ Since the MHD represents the diameter of a circle, the surface 
area based on the MHD is calculated by use of the following formula:
    SA = [pi] x (MHD / 2)\2\.
---------------------------------------------------------------------------

    (iii) Surface area requirements are given in Table IV.

        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/9x0.8361.

    (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 of water and a dry resting or social activity area that 
must be close enough to the surface of the water to allow

[[Page 102]]

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=2x(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\x1.5=social and DRA required
2nd pinniped (avg. adult length)\2\x1.4=social and DRA required
3rd pinniped (avg. adult length)\1\x1.3=social and DRA required
4th pinniped (avg. adult length)\2\x1.2=social and DRA required
5th pinniped (avg. adult length)\2\x1.1=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\x1.5] + [(8.5)\2\x1.4] 
+[(6.6)\2\x1.3] + [(6.6)\2\x1.2].

If two or more sexually mature males are maintained together in a 
primary enclosure, the dry resting or social activity area shall be 
divided into two or more separate areas with sufficient visual barriers 
(such as fences, rocks, or foliage) to provide relief from aggressive 
animals.
    (iii) Mixture of Group I and Group II pinnipeds. In a primary 
enclosure where a mixture of Group I and Group II pinnipeds is to be 
housed, the dry resting or social activity area shall be calculated as 
for Group II pinnipeds. The dry resting or social activity area shall be 
divided into two or more separate areas with sufficient visual barriers 
(such as fences, rocks, or foliage) to provide relief from aggressive 
animals.
    (3)(i) The minimum surface area of a pool of water for pinnipeds 
shall be at least equal to the dry resting or social activity area 
required.
    (ii) The MHD of the pool shall be at least one and one-half (1.5) 
times the average adult length of the largest species of pinniped to be 
housed in the enclosure; except that such MHD measurement may be reduced 
by up to 20

[[Page 103]]

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 104]]



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; 63 FR 2, 
Jan. 2, 1998; 63 FR 47148, Sept. 4, 1998; 66 FR 252, Jan. 3, 2001]

                  Animal Health and Husbandry Standards



Sec. 3.105  Feeding.

    (a) The food for marine mammals must be wholesome, palatable, and 
free from contamination and must be of sufficient quantity and nutritive 
value to maintain marine mammals in a state of good health. The diet 
must be prepared with consideration for factors such as age, species, 
condition, and size of the marine mammal being fed. Marine mammals must 
be offered food at least once a day, except as directed by the attending 
veterinarian.
    (b) Food receptacles, if used, must be located so as to be 
accessible to all marine mammals in the same primary enclosure and must 
be placed so as to minimize contamination of the food they contain. Such 
food receptacles must be cleaned and sanitized after each use.
    (c) Food, when given to each marine mammal individually, must be 
given by an employee or attendant responsible to management who has the 
necessary knowledge to assure that each marine mammal receives an 
adequate quantity of food to maintain it in good health. Such employee 
or attendant is required to have the ability to recognize deviations 
from a normal state of good health in each marine mammal so that the 
food intake can be adjusted accordingly. Inappetence exceeding 24 hours 
must be reported immediately to the attending veterinarian. Public 
feeding may be permitted only in the presence and under the supervision 
of a sufficient number of knowledgeable, uniformed employees or 
attendants. Such employees or attendants must assure that the marine 
mammals are receiving the proper amount and type of food. Only food 
supplied by the facility where the marine mammals are kept may be fed to 
the marine mammals by the public. Marine mammal feeding records noting 
the estimated individual daily consumption must be maintained at the 
facility for a period of 1 year and must be made available for APHIS 
inspection. For marine mammals that are individually fed and not subject 
to public feeding, the feeding records should reflect an accurate 
account of food intake; for animals fed, in part, by the public, and for 
large, group-fed colonies of marine mammals where individual rations are 
not practical or feasible to maintain, the daily food consumption should 
be estimated as precisely as possible.
    (d) Food preparation and handling must be conducted so as to assure 
the wholesomeness and nutritive value of the food. Frozen fish or other 
frozen food must be stored in freezers that are maintained at a maximum 
temperature of -18 [deg]C (0 [deg]F). The length of time food is stored 
and the method of storage, the thawing of frozen food, and the 
maintenance of thawed food must be conducted in a manner that will 
minimize contamination and that will assure that the food retains 
nutritive value and wholesome quality until the time of feeding. When 
food is thawed in standing or running water, cold water must be used. 
All foods must be fed to the marine mammals within 24 hours following 
the removal of such foods from the freezers for thawing, or if the food 
has been thawed under refrigeration, it must be fed to the marine 
mammals within 24 hours of thawing.

[66 FR 252, Jan. 3, 2001]



Sec. 3.106  Water quality.

    (a) General. The primary enclosure shall not contain water which 
would be

[[Page 105]]

detrimental to the health of the marine mammal contained therein.
    (b) Bacterial standards. (1) The coliform bacteria count of the 
primary enclosure pool shall not exceed 1,000 MPN (most probable number) 
per 100 ml. of water. Should a coliform bacterial count exceed 1,000 
MPN, two subsequent samples may be taken at 48-hour intervals and 
averaged with the first sample. If such average count does not fall 
below 1,000 MPN, then the water in the pool shall be deemed 
unsatisfactory, and the condition must be corrected immediately.
    (2) When the water is chemically treated, the chemicals shall be 
added so as not to cause harm or discomfort to the marine mammals.
    (3) Water samples shall be taken and tested at least weekly for 
coliform count and at least daily for pH and any chemical additives 
(e.g. chlorine and copper) that are added to the water to maintain water 
quality standards. Facilities using natural seawater shall be exempt 
from pH and chemical testing unless chemicals are added to maintain 
water quality. However, they are required to test for coliforms. Records 
must be kept documenting the time when all such samples were taken and 
the results of the sampling. Records of all such test results shall be 
maintained by management for a 1-year period and must be made available 
for inspection purposes on request.
    (c) Salinity. Primary enclosure pools of water shall be salinized 
for marine cetaceans as well as for those other marine mammals which 
require salinized water for their good health and 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 must be removed from the primary enclosures at 
least daily, and more often when necessary, in order to provide a clean 
environment and minimize health and disease hazards.
    (2) Particulate animal and food waste, trash, or debris that enters 
the primary enclosure pools of water must be removed at least daily, or 
as often as necessary, to maintain the required water quality and to 
minimize health and disease hazards to the marine mammals.
    (3) The wall and bottom surfaces of the primary enclosure pools of 
water must be cleaned as often as necessary to maintain proper water 
quality. Natural organisms (such as algae, coelenterates, or molluscs, 
for example) that do not degrade water quality as defined in Sec. 
3.106, prevent proper maintenance, or pose a health or disease hazard to 
the animals are not considered contaminants.
    (b) Food preparation. Equipment and utensils used in food 
preparation must be cleaned and sanitized after each use. Kitchens and 
other food handling areas where animal food is prepared must be cleaned 
at least once daily and sanitized at least once every week. Sanitizing 
must be accomplished by washing with hot water (8 [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 in secured cabinets designed and located to prevent 
contamination of food storage preparation surfaces.
    (c) Housekeeping. Buildings and grounds, as well as exhibit areas, 
must be kept clean and in good repair. Fences must be maintained in good 
repair. Primary enclosures housing marine mammals must not have any 
loose objects or sharp projections and/or edges which may cause injury 
or trauma to the marine mammals contained therein.
    (d) Pest control. A safe and effective program for the control of 
insects, ectoparasites, and avian and mammalian pests must be 
established and maintained. Insecticides or other such chemical agents 
must not be applied in

[[Page 106]]

primary enclosures housing marine mammals except when deemed essential 
by an attending veterinarian.

[66 FR 253, Jan. 3, 2001]



Sec. 3.108  Employees or attendants.

    (a) A sufficient number of adequately trained employees or 
attendants, responsible to management and working in concert with the 
attending veterinarian, must be utilized to maintain the prescribed 
level of husbandry practices set forth in this subpart. Such practices 
must be conducted under the supervision of a marine mammal caretaker who 
has demonstrable experience in marine mammal husbandry and care.
    (b) The facility will provide and document participation in and 
successful completion of a facility training course for such employees. 
This training course will include, but is not limited to, species 
appropriate husbandry techniques, animal handling techniques, and 
information on proper reporting protocols, such as recordkeeping and 
notification of veterinary staff for medical concerns.
    (c) Any training of marine mammals must be done by or under the 
direct supervision of experienced trainers.
    (d) Trainers and handlers must meet professionally recognized 
standards for experience and training.

[66 FR 253, Jan. 3, 2001]



Sec. 3.109  Separation.

    Marine mammals, whenever known to be primarily social in the wild, 
must be housed in their primary enclosure with at least one compatible 
animal of the same or biologically related species, except when the 
attending veterinarian, in consultation with the husbandry/training 
staff, determines that such housing is not in the best interest of the 
marine mammal's health or well-being. However, marine mammals that are 
not compatible must not be housed in the same enclosure. Marine mammals 
must not be housed near other animals that cause them unreasonable 
stress or discomfort or interfere with their good health. Animals housed 
separately must have a written plan, approved by the attending 
veterinarian, developed in consultation with the husbandry/training 
staff, that includes the justification for the length of time the animal 
will be kept separated or isolated, information on the type and 
frequency of enrichment and interaction, if appropriate, and provisions 
for periodic review of the plan by the attending veterinarian. Marine 
mammals that are separated for nonmedical purposes must be held in 
facilities that meet minimum space requirements as outlined in Sec. 
3.104.

[66 FR 253, Jan. 3, 2001]



Sec. 3.110  Veterinary care.

    (a) Newly acquired marine mammals must be isolated from resident 
marine mammals. Animals with a known medical history must be isolated 
unless or until the newly acquired animals can be reasonably determined 
to be in good health by the attending veterinarian. Animals without a 
known medical history must be isolated until it is determined that the 
newly acquired animals are determined to be in good health by the 
attending veterinarian. Any communicable disease condition in a newly 
acquired marine mammal must be remedied before it is placed with 
resident marine mammals, unless, in the judgment of the attending 
veterinarian, the potential benefits of a resident animal as a companion 
to the newly acquired animal outweigh the risks to the resident animal.
    (b) Holding facilities must be in place and available to meet the 
needs for isolation, separation, medical treatment, and medical training 
of marine mammals. Marine mammals that are isolated or separated for 
nonmedical purposes must be held in facilities that meet minimum space 
requirements as outlined in Sec. 3.104. Holding facilities used only 
for medical treatment and medical training need not meet the minimum 
space requirements as outlined in Sec. 3.104. Holding of a marine 
mammal in a medical treatment or medical training enclosure that does 
not meet minimum space requirements for periods longer than 2 weeks must 
be noted in the animal's medical record and the attending veterinarian 
must provide a justification in the animal's medical record. If holding 
in such enclosures for medical treatment and/or medical training is to 
last longer than

[[Page 107]]

2 weeks, such extension must be justified in writing by the attending 
veterinarian on a weekly basis. In natural lagoon or coastal enclosures 
where isolation cannot be accomplished, since water circulation cannot 
be controlled or isolated, separation of newly acquired marine mammals 
must be accomplished using separate enclosures situated within the 
facility to prevent direct contact and to minimize the risk of potential 
airborne and water cross-contamination between newly acquired and 
resident animals.
    (c) Any holding facility used for medical purposes that has 
contained a marine mammal with an infectious or contagious disease must 
be cleaned and/or sanitized in a manner prescribed by the attending 
veterinarian. No healthy animals may be introduced into this holding 
facility prior to such cleaning and/or sanitizing procedures. Any marine 
mammal exposed to a contagious animal must be evaluated by the attending 
veterinarian and monitored and/or isolated for an appropriate period of 
time as determined by the attending veterinarian.
    (d) Individual animal medical records must be kept and made 
available for APHIS inspection. These medical records must include at 
least the following information:
    (1) Animal identification/name, a physical description, including 
any identifying markings, scars, etc., age, and sex; and
    (2) Physical examination information, including but not limited to 
length, weight, physical examination results by body system, 
identification of all medical and physical problems with proposed plan 
of action, all diagnostic test results, and documentation of treatment.
    (e) A copy of the individual animal medical record must accompany 
any marine mammal upon its transfer to another facility, including 
contract or satellite facilities.
    (f) All marine mammals must be visually examined by the attending 
veterinarian at least semiannually and must be physically examined under 
the supervision of and when determined to be necessary by the attending 
veterinarian. All cetaceans and sirenians must be physically examined by 
the attending veterinarian at least annually, unless APHIS grants an 
exception from this requirement based on considerations related to the 
health and safety of the cetacean or sirenian. These examinations must 
include, but are not limited to, a hands-on physical examination, 
hematology and blood chemistry, and other diagnostic tests as determined 
by the attending veterinarian.
    (g)(1) A complete necropsy, including histopathology samples, 
microbiological cultures, and other testing as appropriate, must be 
conducted by or under the supervision of the attending veterinarian on 
all marine mammals that die in captivity. A preliminary necropsy report 
must be prepared by the veterinarian listing all pathologic lesions 
observed. The final necropsy report must include all gross and 
histopathological findings, the results of all laboratory tests 
performed, and a pathological diagnosis.
    (2) Necropsy records will be maintained at the marine mammal's home 
facility and at the facility at which it died, if different, for a 
period of 3 years and must be presented to APHIS inspectors when 
requested.

[66 FR 253, Jan. 3, 2001]



Sec. 3.111  Swim-with-the-dolphin programs.

    Swim-with-the-dolphin programs shall comply with the requirements in 
this section, as well as with all other applicable requirements of the 
regulations pertaining to marine mammals.
    (a) Space requirements. The primary enclosure for SWTD cetaceans 
shall contain an interactive area, a buffer area, and a sanctuary area. 
None of these areas shall be made uninviting to the animals. Movement of 
cetaceans into the buffer or sanctuary area shall not be restricted in 
any way. Notwithstanding the space requirements set forth in Sec. 
3.104, each of the three areas required for SWTD programs shall meet the 
following space requirements:
    (1) The horizontal dimension for each area must be at least three 
times the average adult body length of the species of cetacean used in 
the program;
    (2) The minimum surface area required for each area is calculated as 
follows:

[[Page 108]]

    (i) Up to two cetaceans:
    [GRAPHIC] [TIFF OMITTED] TR04SE98.022
    
    (ii) Three cetaceans:
    [GRAPHIC] [TIFF OMITTED] TR04SE98.023
    
    (iii) Additional SA for each animal in excess of three:
    [GRAPHIC] [TIFF OMITTED] TR04SE98.024
    
    (3) The average depth for sea pens, lagoons, and similar natural 
enclosures at low tide shall be at least 9 feet. The average depth for 
any manmade enclosure or other structure not subject to tidal action 
shall be at least 9 feet. A portion of each area may be excluded when 
calculating the average depth, but the excluded portion may not be used 
in calculating whether the interactive, buffer, and sanctuary area meet 
the requirements of paragraphs (a)(1), (a)(2), and (a)(4) of this 
section.
    (4) The minimum volume required for each animal is calculated as 
follows:

Volume = SA x 9

    (b) Water clarity. Sufficient water clarity shall be maintained so 
that attendants are able to observe cetaceans and humans at all times 
while within the interactive area. If water clarity does not allow these 
observations, the interactive sessions shall be canceled until the 
required clarity is provided.
    (c) Employees and attendants. Each SWTD program shall have, at the 
minimum, the following personnel, with the following minimum backgrounds 
(each position shall be held by a separate individual, with a sufficient 
number of attendants to comply with Sec. 3.111(e)(4)):
    (1) Licensee or manager--at least one full-time staff member with at 
least 6 years experience in a professional or managerial position 
dealing with captive cetaceans;
    (2) Head trainer/behaviorist--at least one full-time staff member 
with at least 6 years experience in training cetaceans for SWTD 
behaviors in the past 10 years, or an equivalent amount of experience 
involving in-water training of cetaceans, who serves as the head trainer 
for the SWTD program;
    (3) Trainer/supervising attendant--at least one full-time staff 
member with at least 3 years training and/or handling experience 
involving human/cetacean interaction programs;
    (4) Attendant--an adequate number of staff members who are 
adequately trained in the care, behavior, and training of the program 
animals. Attendants shall be designated by the trainer, in consultation 
with the head trainer/behaviorist and licensee/manager, to conduct and 
monitor interactive sessions in accordance with Sec. 3.111(e); and
    (5) Attending veterinarian--at least one staff or consultant 
veterinarian who has at least the equivalent of 2 years full-time 
experience (4,160 or more hours) with cetacean medicine within the past 
10 years, and who is licensed to practice veterinary medicine.
    (d) Program animals. Only cetaceans that meet the requirements of 
Sec. 3.111(e)(2) and (3) may be used in SWTD programs.
    (e) Handling. (1) Interaction time (i.e., designated interactive 
swim sessions) for each cetacean shall not exceed 2 hours per day. Each 
program cetacean shall have at least one period in each 24 hours of at 
least 10 continuous hours without public interaction.
    (2) All cetaceans used in an interactive session shall be adequately 
trained and conditioned in human interaction so that they respond in the 
session to the attendants with appropriate behavior for safe 
interaction. The head trainer/behaviorist, trainer/supervising 
attendant, or attendant shall, at all times, control the nature

[[Page 109]]

and extent of the cetacean interaction with the public during a session, 
using the trained responses of the program animal.
    (3) All cetaceans used in interactive sessions shall be in good 
health, including, but not limited to, not being infectious. Cetaceans 
undergoing veterinary treatment may be used in interactive sessions only 
with the approval of the attending veterinarian.
    (4) The ratio of human participants to cetaceans shall not exceed 
3:1. The ratio of human participants to attendants or other authorized 
SWTD personnel (i.e., head trainer/behaviorist or trainer/supervising 
attendant) shall not exceed 3:1.
    (5) Prior to participating in an SWTD interactive session, members 
of the public shall be provided with oral and written rules and 
instructions for the session, to include the telephone and FAX numbers 
for APHIS, Animal Care, for reporting injuries or complaints. Members of 
the public shall agree, in writing, to abide by the rules and 
instructions before being allowed to participate in the session. Any 
participant who fails to follow the rules or instructions shall be 
removed from the session by the facility.
    (6) All interactive sessions shall have at least two attendants or 
other authorized SWTD personnel (i.e., head trainer/behaviorist or 
trainer/supervising attendant). At least one attendant shall be 
positioned out of the water. One or more attendants or other authorized 
SWTD personnel may be positioned in the water. If a facility has more 
than two incidents during interactive sessions within a year's time span 
that have been dangerous or harmful to either a cetacean or a human, 
APHIS, in consultation with the head trainer/behaviorist, will determine 
if changes in attendant positions are needed.
    (7) All SWTD programs shall limit interaction between cetaceans and 
humans so that the interaction does not harm the cetaceans, does not 
remove the element of choice from the cetaceans by actions such as, but 
not limited to, recalling the animal from the sanctuary area, and does 
not elicit unsatisfactory, undesirable, or unsafe behaviors from the 
cetaceans. All SWTD programs shall prohibit grasping or holding of the 
cetacean's body, unless under the direct and explicit instruction of an 
attendant eliciting a specific cetacean behavior, and shall prevent the 
chasing or other harassment of the cetaceans.
    (8) In cases where cetaceans used in an interactive session exhibit 
unsatisfactory, undesirable, or unsafe behaviors, including, but not 
limited to, charging, biting, mouthing, or sexual contact with humans, 
such cetaceans shall either be removed from the interactive area or the 
session shall be terminated. Written criteria shall be developed by each 
SWTD program, and shall be submitted to and approved by APHIS \11\ 
regarding conditions and procedures for maintaining compliance with 
paragraph (e)(4) of this section; for the termination of a session when 
removal of a cetacean is not possible; and regarding criteria and 
protocols for handling program animal(s) exhibiting unsatisfactory, 
undesirable, or unsafe behaviors, including retraining time and 
techniques, and removal from the program and/or facility, if 
appropriate. The head trainer/behaviorist shall determine when 
operations will be terminated, and when they may resume. In the absence 
of the head trainer/behaviorist, the determination to terminate a 
session shall be made by the trainer/supervising attendant. Only the 
head trainer/behaviorist may determine when a session may be resumed.
---------------------------------------------------------------------------

    \11\ Send to Administrator, c/o Animal and Plant Health Inspection 
Service, Animal Care, 4700 River Road Unit 84, Riverdale, Maryland 
20737-1234.
---------------------------------------------------------------------------

    (f) Recordkeeping. (1) Each facility shall provide APHIS \12\ with a 
description of its program at least 30 days prior to initiation of the 
program, or in the case of any program in place before September 4, 
1998, not later than October 5, 1998. The description shall include at 
least the following:
---------------------------------------------------------------------------

    \12\ See footnote 11 in Sec. 3.111(e)(8).
---------------------------------------------------------------------------

    (i) Identification of each cetacean in the program, by means of name 
and/or number, sex, age, and any other means the Administrator 
determines to be necessary to adequately identify the cetacean;

[[Page 110]]

    (ii) A description of the educational content and agenda of planned 
interactive sessions, and the anticipated average and maximum frequency 
and duration of encounters per cetacean per day;
    (iii) The content and method of pre-encounter orientation, rules, 
and instructions, including restrictions on types of physical contact 
with the cetaceans;
    (iv) A description of the SWTD facility, including the primary 
enclosure and other SWTD animal housing or holding enclosures at the 
facility;
    (v) A description of the training, including actual or expected 
number of hours each cetacean has undergone or will undergo prior to 
participation in the program;
    (vi) The resume of the licensee and/or manager, the head trainer/
behaviorist, the trainer/supervising attendant, any other attendants, 
and the attending veterinarian;
    (vii) The current behavior patterns and health of each cetacean, to 
be assessed and submitted by the attending veterinarian;
    (viii) For facilities that employ a part-time attending veterinarian 
or consultant arrangements, a written program of veterinary care (APHIS 
form 7002), including protocols and schedules of professional visits; 
and
    (ix) A detailed description of the monitoring program to be used to 
detect and identify changes in the behavior and health of the cetaceans.
    (2) All SWTD programs shall comply in all respects with the 
regulations and standards set forth in parts 2 and 3 of this subchapter.
    (3) Individual animal veterinary records, including all 
examinations, laboratory reports, treatments, and necropsy reports shall 
be kept at the SWTD site for at least 3 years and shall be made 
available to an APHIS official upon request during inspection.
    (4) The following records shall be kept at the SWTD site for at 
least 3 years and shall be made available to an APHIS official upon 
request during inspection:
    (i) Individual cetacean feeding records; and
    (ii) Individual cetacean behavioral records.
    (5) The following reports shall be kept at the SWTD site for at 
least 3 years and shall be made available to an APHIS official upon 
request during inspection:
    (i) Statistical summaries of the number of minutes per day that each 
animal participated in an interactive session;
    (ii) A statistical summary of the number of human participants per 
month in the SWTD program; and
    (6) A description of any changes made in the SWTD program, which 
shall be submitted to APHIS \13\ on a semi-annual basis.
---------------------------------------------------------------------------

    \13\ See footnote 11 in Sec. 3.111(e)(8).
---------------------------------------------------------------------------

    (7) All incidents resulting in injury to either cetaceans or humans 
participating in an interactive session, which shall be reported to 
APHIS within 24 hours of the incident.\14\ Within 7 days of any such 
incident, a written report shall be submitted to the Administrator.\15\ 
The report shall provide a detailed description of the incident and 
shall establish a plan of action for the prevention of further 
occurrences.
---------------------------------------------------------------------------

    \14\ Telephone numbers for APHIS, Animal Care, regional offices can 
be found in local telephone books.
    \15\ See footnote 11 in Sec. 3.111(e)(8).
---------------------------------------------------------------------------

    (g) Veterinary care. (1) The attending veterinarian shall conduct 
on-site evaluations of each cetacean at least once a month. The 
evaluation shall include a visual inspection of the animal; examination 
of the behavioral, feeding, and medical records of the animal; and a 
discussion of each animal with an animal care staff member familiar with 
the animal.
    (2) The attending veterinarian shall observe an interactive swim 
session at the SWTD site at least once each month.
    (3) The attending veterinarian shall conduct a complete physical 
examination of each cetacean at least once every 6 months. The 
examination shall include a profile of the cetacean, including the 
cetacean's identification (name and/or number, sex, and age), 
weight,\16\ length, axillary girth, appetite, and behavior. The 
attending veterinarian shall also conduct a general

[[Page 111]]

examination to evaluate body condition, skin, eyes, mouth, blow hole and 
cardio-respiratory system, genitalia, and feces (gastrointestinal 
status). The examination shall also include a complete blood count and 
serum chemistry analysis. Fecal and blow hole smears shall be obtained 
for cytology and parasite evaluation.
---------------------------------------------------------------------------

    \16\ Weight may be measured either by scale or calculated using the 
following formulae:
    Females: Natural log of body mass = -8.44 + 1.34(natural log of 
girth) + 1.28(natural log of standard length).
    Males: Natural log of body mass= -10.3 + 1.62(natural log of girth) 
+ 1.38(natural log of standard length).
---------------------------------------------------------------------------

    (4) The attending veterinarian, during the monthly site visit, shall 
record the nutritional and reproductive status of each cetacean (i.e., 
whether in an active breeding program, pregnant, or nursing).
    (5) The attending veterinarian shall examine water quality records 
and provide a written assessment, to remain at the SWTD site for at 
least 3 years, of the overall water quality during the preceding month. 
Such records shall be made available to an APHIS official upon request 
during inspection.
    (6) In the event that a cetacean dies, complete necropsy results, 
including all appropriate histopathology, shall be recorded in the 
cetacean's individual file and shall be made available to APHIS 
officials during facility inspections, or as requested by APHIS. The 
necropsy shall be performed within 48 hours of the cetacean's death, by 
a veterinarian experienced in marine mammal necropsies. If the necropsy 
is not to be performed within 3 hours of the discovery of the cetacean's 
death, the cetacean shall be refrigerated until necropsy. Written 
results of the necropsy shall be available in the cetacean's individual 
file within 7 days after death for gross pathology and within 45 days 
after death for histopathology.

(Approved by the Office of Management and Budget under control numbers 
0579-0036 and 0579-0115)

[63 FR 47148, Sept. 4, 1998]

    Effective Date Note: At 64 FR 15920, Apr. 2, 1999, Sec. 3.111 was 
suspended, effective Apr. 2, 1999.

                        Transportation Standards



Sec. 3.112  Consignments to carriers and intermediate handlers.

    (a) Carriers and intermediate handlers shall not accept any marine 
mammal that is presented by any dealer, research facility, exhibitor, 
operator of an auction sale, or other person, or any department, agency, 
or instrumentality of the United States or any State or local government 
for shipment, in commerce, more than 4 hours prior to the scheduled 
departure of the primary conveyance on which it is to be transported, 
and that is not accompanied by a health certificate signed by the 
attending veterinarian stating that the animal was examined within the 
prior 10 days and found to be in acceptable health for transport: 
Provided, however, That the carrier or intermediate handler and any 
dealer, research facility, exhibitor, operator of an auction sale, or 
other person, or any department, agency, or instrumentality of the 
United States or any State or local government may mutually agree to 
extend the time of acceptance to not more than 6 hours if specific prior 
scheduling of the animal shipment to destination has been made.
    (b) Any carrier or intermediate handler shall only accept for 
transportation or transport, in commerce, any marine mammal in a primary 
transport enclosure that conforms to the requirements in Sec. 3.113 of 
this subpart: Provided, however, That any carrier or intermediate 
handler may accept for transportation or transport, in commerce, any 
marine mammal consigned by any department, agency, or instrumentality of 
the United States having laboratory animal facilities or exhibiting 
animals or any licensed or registered dealer, research facility, 
exhibitor, or operator of an auction sale if the consignor furnishes to 
the carrier or intermediate handler a certificate, signed by the 
consignor, stating that the primary transport enclosure complies with 
Sec. 3.113 of this subpart, unless such primary transport enclosure is 
obviously defective or damaged and it is apparent that it cannot 
reasonably be expected to contain the marine mammal without causing 
suffering or injury

[[Page 112]]

to the marine mammal. A copy of any such certificate must accompany the 
shipment to destination. The certificate must include at least the 
following information:
    (1) Name and address of the consignor;
    (2) The number, age, and sex of animals in the primary transport 
enclosure(s);
    (3) A certifying statement (e.g., ``I hereby certify that the--
(number) primary transport enclosure(s) that are used to transport the 
animal(s) in this shipment complies (comply) with USDA standards for 
primary transport enclosures (9 CFR part 3).''); and
    (4) The signature of the consignor, and date.
    (c) Carriers or intermediate handlers whose facilities fail to 
maintain a temperature within the range of 7.2 [deg]C (45 [deg]F) to 
23.9 [deg]C (75 [deg]F) allowed by Sec. 3.117 of this subpart may 
accept for transportation or transport, in commerce, any marine mammal 
consigned by any department, agency, or instrumentality of the United 
States or of any State or local government, or by any person (including 
any licensee or registrant under the Act, as well as any private 
individual) if the consignor furnishes to the carrier or intermediate 
handler a certificate executed by the attending veterinarian on a 
specified date that is not more than 10 days prior to delivery of the 
animal for transportation in commerce, stating that the marine mammal is 
acclimated to a specific air temperature range lower or higher than 
those prescribed in Sec. Sec. 3.117 and 3.118. A copy of the 
certificate must accompany the shipment to destination. The certificate 
must include at least the following information:
    (1) Name and address of the consignor;
    (2) The number, age, and sex of animals in the shipment;
    (3) A certifying statement (e.g., ``I hereby certify that the 
animal(s) in this shipment is (are), to the best of my knowledge, 
acclimated to an air temperature range of --------''); and
    (4) The signature of the attending veterinarian and the date.
    (d) Carriers and intermediate handlers must attempt to notify the 
consignee (receiving party) at least once in every 6-hour period 
following the arrival of any marine mammals at the animal holding area 
of the terminal cargo facility. The time, date, and method of each 
attempted notification and the final notification to the consignee and 
the name of the person notifying the consignee must be recorded on the 
copy of the shipping document retained by the carrier or intermediate 
handler and on a copy of the shipping document accompanying the animal 
shipment.

[66 FR 254, Jan. 3, 2001]



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 that does not conform to the 
following requirements:
    (a) Primary enclosures that are used to transport marine mammals 
other than cetaceans and sirenians must:
    (1) Be constructed from materials of sufficient structural strength 
to contain the marine mammals;
    (2) Be constructed from material that is durable, nontoxic, and 
cannot be chewed and/or swallowed;
    (3) Be able to withstand the normal rigors of transportation;
    (4) Have interiors that are free from any protrusions or hazardous 
openings that could be injurious to the marine mammals contained within;
    (5) Be constructed so that no parts of the contained marine mammals 
are exposed to the outside of the enclosures in any way that may cause 
injury to the animals or to persons who are nearby or who handle the 
enclosures;
    (6) Have openings that provide access into the enclosures and are 
secured with locking devices of a type that cannot be accidentally 
opened;
    (7) Have such openings located in a manner that makes them easily 
accessible at all times for emergency removal and potential treatment of 
any live marine mammal contained within;
    (8) Have air inlets at heights that will provide cross ventilation 
at all levels (particularly when the marine mammals are in a prone 
position), are

[[Page 113]]

located on all four sides of the enclosures, and cover not less than 20 
percent of the total surface area of each side of the enclosures;
    (9) Have projecting rims or other devices placed on any ends and 
sides of the enclosures that have ventilation openings so that there is 
a minimum air circulation space of 7.6 centimeters (3.0 inches) between 
the enclosures and any adjacent cargo or conveyance wall;
    (10) Be constructed so as to provide sufficient air circulation 
space to maintain the temperature limits set forth in this subpart; and
    (11) Be equipped with adequate handholds or other devices on the 
exterior of the enclosures to enable them to be lifted without 
unnecessary tilting and to ensure that the persons handling the 
enclosures will not come in contact with any marine mammal contained 
inside.
    (b) Straps, slings, harnesses, or other devices used for body 
support or restraint, when transporting marine mammals such as cetaceans 
and sirenians must:
    (1) Be designed so as not to prevent access to the marine mammals by 
attendants for the purpose of administering 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 marine mammals must be 
large enough to assure that:
    (1) In the case of pinnipeds, polar bears, and sea otters, each 
animal has sufficient space to turn about freely in a stance whereby all 
four feet or flippers are on the floor and the animal can sit in an 
upright position and lie in a natural position;
    (2) In the case of cetaceans and sirenians, each animal has 
sufficient space for support of its body in slings, harnesses, or other 
supporting devices, if used (as prescribed in paragraph (b) of this 
section), without causing injury to such cetaceans or sirenians due to 
contact with the primary transport enclosure: Provided, however, That 
animals may be restricted in their movements according to professionally 
accepted standards when such freedom of movement would constitute a 
danger to the animals, their handlers, or other persons.
    (d) Marine mammals transported in the same primary enclosure must be 
of the same species and maintained in compatible groups. Marine mammals 
that have not reached puberty may not be transported in the same primary 
enclosure with adult marine mammals other than their dams. Socially 
dependent animals (e.g., sibling, dam, and other members of a family 
group) must be allowed visual and olfactory contact whenever reasonable. 
Female marine mammals may not be transported in the same primary 
enclosure with any mature male marine mammals.
    (e) Primary enclosures used to transport marine mammals as provided 
in this section must have solid bottoms to prevent leakage in shipment 
and must be cleaned and sanitized in a manner prescribed in Sec. 3.107 
of this subpart, if previously used. Within the primary enclosures used 
to transport marine mammals, the animals will be maintained on sturdy, 
rigid, solid floors with adequate drainage.
    (f) Primary enclosures used to transport marine mammals, except 
where such primary enclosures are permanently affixed in the animal 
cargo space of the primary conveyance, must be clearly marked on top 
(when present) and on at least one side, or on all sides whenever 
possible, with the words ``Live Animal'' or ``Wild Animal'' in letters 
not less than 2.5 centimeters (1 inch) in height, and with arrows or 
other markings to indicate the correct upright position of the 
container.
    (g) Documents accompanying the shipment must be attached in an 
easily accessible manner to the outside of a primary enclosure that is 
part of such shipment or be in the possession of the shipping attendant.
    (h) When a primary transport enclosure is permanently affixed within 
the animal cargo space of the primary conveyance so that the front 
opening is the only source of ventilation for such primary enclosure, 
the front opening

[[Page 114]]

must open directly to the outside or to an unobstructed aisle or 
passageway within the primary conveyance. Such front ventilation opening 
must be at least 90 percent of the total surface area of the front wall 
of the primary enclosure and covered with bars, wire mesh, or smooth 
expanded metal.

[66 FR 255, Jan. 3, 2001]



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 must be constructed in a manner that 
will protect the health and assure the safety and comfort of the marine 
mammals contained within at all times. All primary conveyances used must 
be sufficiently temperature-controlled to provide an appropriate 
environmental temperature for the species involved and to provide for 
the safety and comfort of the marine mammal, or other appropriate 
safeguards (such as, but not limited to, cooling the animal with cold 
water, adding ice to water-filled enclosures, and use of fans) must be 
employed to maintain the animal at an appropriate temperature.
    (b) The animal cargo space must be constructed and maintained in a 
manner that will prevent the ingress of engine exhaust fumes and gases 
in excess of that ordinarily contained in the passenger compartments.
    (c) Marine mammals must only be placed in animal cargo spaces that 
have a supply of air sufficient for each live animal contained within. 
Primary transport enclosures must be positioned in the animal cargo 
spaces of primary conveyances in such a manner that each marine mammal 
contained within will have access to sufficient air.
    (d) Primary transport enclosures must be positioned in primary 
conveyances in such a manner that, in an emergency, the live marine 
mammals can be removed from the conveyances as soon as possible.
    (e) The interiors of animal cargo spaces in primary conveyances must 
be kept clean.
    (f) Live marine mammals must not knowingly be transported with any 
material, substance, or device that may be injurious to the health and 
well-being of the marine mammals unless proper precaution is taken to 
prevent such injury.
    (g) Adequate lighting must be available for marine mammal attendants 
to properly inspect the animals at any time. If such lighting is not 
provided by the carrier, provisions must be made by the shipper to 
supply such lighting.

[66 FR 255, Jan. 3, 2001]



Sec. 3.115  Food and drinking water requirements.

    (a) Those marine mammals that require drinking water must be offered 
potable water within 4 hours of being placed in the primary transport 
enclosure for transport in commerce. Marine mammals must be provided 
water as often as necessary and appropriate for the species involved to 
prevent dehydration, which would jeopardize the good health and well-
being of the animals.
    (b) Marine mammals being transported in commerce must be offered 
food as often as necessary and appropriate for the species involved or 
as determined by the attending veterinarian.

[66 FR 256, Jan. 3, 2001]



Sec. 3.116  Care in transit.

    (a) A licensed veterinarian, employee, and/or attendant of the 
shipper or receiver of any marine mammal being transported, in commerce, 
knowledgeable and experienced in the area of marine mammal care and 
transport, must accompany all marine mammals during periods of 
transportation to provide for their good health and well-being, to 
observe such marine mammals to determine whether they need veterinary 
care, and to obtain any needed veterinary care as soon as possible. Any 
transport of greater than 2 hours duration requires a transport plan 
approved by the attending veterinarian that will include the 
specification of the necessity of the presence of a veterinarian during 
the transport. If the attending veterinarian does not accompany the 
animal, communication

[[Page 115]]

with the veterinarian must be maintained in accordance with Sec. Sec. 
2.33(b)(3) and 2.40(b)(3) of this chapter.
    (b) The following marine mammals may be transported in commerce only 
when the transport of such marine mammals has been determined to be 
appropriate by the attending veterinarian:
    (1) A pregnant animal in the last half of pregnancy;
    (2) A dependent unweaned young animal;
    (3) A nursing mother with young; or
    (4) An animal with a medical condition requiring veterinary care, 
that would be compromised by transport. The attending veterinarian must 
note on the accompanying health certificate the existence of any of the 
above conditions. The attending veterinarian must also determine whether 
a veterinarian should accompany such marine mammals during transport.
    (c) Carriers must inform the crew as to the presence of the marine 
mammals on board the craft, inform the individual accompanying the 
marine mammals of any unexpected delays as soon as they become known, 
and accommodate, except as precluded by safety considerations, requests 
by the shipper or his agent to provide access to the animals or take 
other necessary actions for the welfare of the animals if a delay 
occurs.
    (d) A sufficient number of employees or attendants of the shipper or 
receiver of cetaceans or sirenians being transported, in commerce, must 
provide for such cetaceans and sirenians during periods of transport by:
    (1) Keeping the skin moist or preventing the drying of the skin by 
such methods as intermittent spraying of water or application of a 
nontoxic emollient;
    (2) Assuring that the pectoral flippers are allowed freedom of 
movement at all times;
    (3) Making adjustments in the position of the marine mammals when 
necessary to prevent necrosis of the skin at weight pressure points;
    (4) Keeping the animal cooled and/or warmed sufficiently to prevent 
overheating, hypothermia, or temperature related stress; and
    (5) Calming the marine mammals to avoid struggling, thrashing, and 
other unnecessary activity that may cause overheating or physical 
trauma.
    (e) A sufficient number of employees or attendants of the shipper or 
receiver of pinnipeds or polar bears being transported, in commerce, 
must provide for such pinnipeds and polar bears during periods of 
transport by:
    (1) Keeping the animal cooled and/or warmed sufficiently to prevent 
overheating, hypothermia, or temperature related stress; and
    (2) Calming the marine mammals to avoid struggling, thrashing, and 
other unnecessary activity that may cause overheating or physical 
trauma.
    (f) Sea otters must be transported in primary enclosures that 
contain false floors through which water and waste freely pass to keep 
the interior of the transport unit free from waste materials. Moisture 
must be provided by water sprayers or ice during transport.
    (g) Marine mammals may be removed from their primary transport 
enclosures only by the attendants or other persons capable of handling 
such mammals safely.

[66 FR 256, Jan. 3, 2001]



Sec. 3.117  Terminal facilities.

    Carriers and intermediate handlers must not commingle marine mammal 
shipments with inanimate cargo. All animal holding areas of a terminal 
facility of any carrier or intermediate handler where marine mammal 
shipments are maintained must be cleaned and sanitized in a manner 
prescribed in Sec. 3.107 of this subpart to minimize health and disease 
hazards. An effective program for the control of insects, ectoparasites, 
and avian and mammalian pests must be established and maintained for all 
animal holding areas. Any animal holding area containing marine mammals 
must be ventilated with fresh air or air circulated by means of fans, 
blowers, or an air conditioning system so as to minimize drafts, odors, 
and moisture condensation. Auxiliary ventilation, such as exhaust fans 
and vents or fans or blowers or air conditioning must be used for any 
animal holding area containing marine mammals when the air temperature 
within such animal holding

[[Page 116]]

area is 23.9 [deg]C (75 [deg]F) or higher. The air temperature around 
any marine mammal in any animal holding area must not be allowed to fall 
below 7.2 [deg]C (45 [deg]F). The air temperature around any polar bear 
must not be allowed to exceed 29.5 [deg]C (85 [deg]F) at any time and no 
polar bear may be subjected to surrounding air temperatures that exceed 
23.9 [deg]C (75 [deg]F) for more than 4 hours at any time. The ambient 
temperature must be measured in the animal holding area upon arrival of 
the shipment by the attendant, carrier, or intermediate handler. The 
ambient temperature must be measured halfway up the outside of the 
primary transport enclosure at a distance from the external wall of the 
primary transport enclosure not to exceed 0.91 meters (3 feet).

[66 FR 256, Jan. 3, 2001]



Sec. 3.118  Handling.

    (a) Carriers and intermediate handlers moving marine mammals from 
the animal holding area of the terminal facility to the primary 
conveyance or from the primary conveyance to the animal holding area of 
the terminal facility must provide the following:
    (1) Movement of animals as expeditiously as possible.
    (2) Shelter from overheating and direct sunlight. When sunlight is 
likely to cause overheating, sunburn, or discomfort, sufficient shade 
must be provided to protect the marine mammals. Marine mammals must not 
be subjected to surrounding air temperatures that exceed 23.9 [deg]C (75 
[deg]F) unless accompanied by an acclimation certificate in accordance 
with Sec. 3.112 of this subpart. The temperature must be measured and 
read within or immediately adjacent to the primary transport enclosure.
    (3) Shelter from cold weather. Marine mammals must be provided with 
species appropriate protection against cold weather, and such marine 
mammals must not be subjected to surrounding air temperatures that fall 
below 7.2 [deg]C (45 [deg]F) unless accompanied by an acclimation 
certificate in accordance with Sec. 3.112 of this subpart. The 
temperature must be measured and read within or immediately adjacent to 
the primary transport enclosure.
    (b) Care must be exercised to avoid handling of the primary 
transport enclosure in a manner that may cause physical harm or distress 
to the marine mammal contained within.
    (c) Enclosures used to transport any marine mammal must not be 
tossed, dropped, or needlessly tilted and must not be stacked unless 
properly secured.

[66 FR 257, Jan. 3, 2001]



 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

    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

[[Page 117]]

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 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.
    (d) Perimeter fence. On or after May 17, 2000, all outdoor housing 
facilities (i.e., facilities not entirely indoors) must be enclosed by a 
perimeter fence that is of sufficient height to keep animals and 
unauthorized persons out. Fences less than 8 feet high for potentially 
dangerous animals, such as, but not limited to, large felines (e.g., 
lions, tigers, leopards, cougars, etc.), bears, wolves, rhinoceros, and 
elephants, or less than 6 feet high for other animals must be approved 
in writing by the Administrator. The fence must be constructed so that 
it protects the animals in the facility by restricting animals and 
unauthorized persons from going through it or under it and having 
contact with the animals in the facility, and so that it can function as 
a secondary containment system for the animals in the facility. It must 
be of sufficient distance from the outside of the primary enclosure to 
prevent physical contact between animals inside the enclosure and 
animals or persons outside the perimeter fence. Such fences less than 3 
feet in distance from

[[Page 118]]

the primary enclosure must be approved in writing by the Administrator. 
A perimeter fence is not required:
    (1) Where the outside walls of the primary enclosure are made of 
sturdy, durable material, which may include certain types of concrete, 
wood, plastic, metal, or glass, and are high enough and constructed in a 
manner that restricts entry by animals and unauthorized persons and the 
Administrator gives written approval; or
    (2) Where the outdoor housing facility is protected by an effective 
natural barrier that restricts the animals to the facility and restricts 
entry by animals and unauthorized persons and the Administrator gives 
written approval; or
    (3) Where appropriate alternative security measures are employed and 
the Administrator gives written approval; or
    (4) For traveling facilities where appropriate alternative security 
measures are employed; or
    (5) Where the outdoor housing facility houses only farm animals, 
such as, but not limited to, cows, sheep, goats, pigs, horses (for 
regulated purposes), or donkeys, and the facility has in place effective 
and customary containment and security measures.

[36 FR 24925, Dec. 24, 1971. Redesignated at 44 FR 36874, July 22, 1979, 
as amended at 64 FR 56147, Oct. 18, 1999; 65 FR 70770, Nov. 28, 2000]



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 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

[[Page 119]]

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.



Sec. Sec. 3.134-3.135  [Reserved]

                        Transportation Standards

    Source: Sections 3.136 through 3.142 appear at 42 FR 31569, June 21, 
1977, unless otherwise noted. Redesignated at 44 FR 36874, July 22, 
1979.



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 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

[[Page 120]]

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 Sec. Sec. 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 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

[[Page 121]]

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 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

[[Page 122]]

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.
    (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

[[Page 123]]

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 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: 7 U.S.C. 2149 and 2151; 7 CFR 2.22, 2.80, and 371.7.

    Source: 42 FR 10959, Feb. 25, 1977, unless otherwise noted.

[[Page 124]]



                            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 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. 1823-1825 and 1828; 7 CFR 2.22, 2.80, and 
371.7.

    Source: 44 FR 25179, Apr. 27, 1979, unless otherwise noted.

[[Page 125]]



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 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

[[Page 126]]

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.
    Regional Director 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\
---------------------------------------------------------------------------

    \1\ Information as to the name and address of the Regional Director 
for the State or States concerned can be obtained by writing to the 
Animal and Plant Health Inspection Service, Animal Care, 4700 River Road 
Unit 84, Riverdale, MD 20737-1234.
---------------------------------------------------------------------------

    Secretary means the Secretary of Agriculture or anyone who has 
heretofore or may hereafter be delegated authority to act in his stead.
    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 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; 63 FR 62927, Nov. 10, 1998]

[[Page 127]]



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 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\
---------------------------------------------------------------------------

    \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.

---------------------------------------------------------------------------

[[Page 128]]

    (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.
    (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

[[Page 129]]

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 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,

[[Page 130]]

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:
    (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:

[[Page 131]]

    (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, 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

[[Page 132]]

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:
---------------------------------------------------------------------------

    \6\ Animal and Plant Health Inspection Service, 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 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

[[Page 133]]

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, 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

[[Page 134]]

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;
---------------------------------------------------------------------------

    \6\ 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 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

[[Page 135]]

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 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

[[Page 136]]

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.
---------------------------------------------------------------------------

    \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 
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

[[Page 137]]

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; 63 FR 62927, Nov. 10, 1998]



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 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.
---------------------------------------------------------------------------

    \8\ The duration of the show, exhibition, or sale or auction.
    \6\ See footnote 6 to Sec. 11.7.
---------------------------------------------------------------------------

    (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

[[Page 138]]

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, 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

[[Page 139]]

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 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,

[[Page 140]]

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 Regional Director\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 Regional Director 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; 63 FR 62927, Nov. 
10, 1998]



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.
    (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.

[[Page 141]]

    (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.

    Authority: 15 U.S.C. 1825 and 1828; 7 CFR 2.22, 2.80, and 371.7.



                            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.

[42 FR 10959, Feb. 25, 1977, as amended at 68 FR 6342, Feb. 7, 2003]



                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
    (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

[[Page 142]]

be assessed after issuance of a complaint.

[42 FR 10960, Feb. 25, 1977, as amended at 68 FR 6342, Feb. 7, 2003]

[[Page 143]]



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: 7 U.S.C. 8301-8317; 7 CFR 2.22, 2.80, and 371.4.

    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).
The Animal Health Protection Act (7 U.S.C. 8301 et seq.)


In addition, the Supplemental Rules of Practice set forth in subpart B 
of this part shall be applicable to such proceedings.

[48 FR 30094, June 30, 1983, as amended at 68 FR 6342, Feb. 7, 2003]



                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.

                       Subpart A_General Indemnity

50.2 Applicability of this subpart; cooperation with States.
50.3 Payment to owners for animals destroyed.
50.4 Classification of cattle, bison, captive cervids, and other 
          livestock as infected, exposed, or suspect.
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 transporting and disposing of infected, 
          exposed, and suspect animals.
50.9 Appraisals.
50.10 Report of appraisals.

[[Page 144]]

50.11 Report of salvage proceeds.
50.12 Claims for indemnity.
50.13 Disinfection of premises, conveyances, and materials.
50.14 Claims not allowed.
50.15-50.16 [Reserved]

   Subpart B_Dairy Cattle and Facilities in the El Paso, Texas, Region

50.17 Payment.
50.18 Identification and disposal of cattle.
50.19 Report of salvage proceeds.
50.20 Claims for payment.
50.21 Schedule of payments.
50.22 Claims not allowed.

    Authority: 7 U.S.C. 8301-8317; 7 CFR 2.22, 2.80, and 371.4.

    Source: 40 FR 27009, June 26, 1975, unless otherwise noted.



Sec. 50.1  Definitions.

    For the purposes of this part, the following terms 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.
    Captive cervid. All species of deer, elk, moose, and all other 
members of the family Cervidae raised or maintained in captivity for the 
production of meat and other agricultural products, for sport, or for 
exhibition, including time such animals are moved interstate; or any 
wild cervid that is moved interstate, during the period of time from 
capture until release into the wild. A captive cervid that escapes will 
continue to be considered a captive cervid as long as it bears an 
official eartag or other identification approved by the Administrator as 
unique and traceable with which to trace the animal back to its herd of 
origin.
    Department. The United States Department of Agriculture.
    Designated tuberculosis epidemiologist (DTE). A State or Federal 
epidemiologist designated by the Administrator to make decisions 
concerning the use and interpretation of diagnostic tests for 
tuberculosis and the management of tuberculosis affected herds. A DTE 
has the responsibility to determine the scope of epidemiologic 
investigations, determine the status of animals and herds, assist in the 
development of individual herd plans, and coordinate disease 
surveillance and eradication programs within the geographic area of the 
DTE's responsibility.
    Destroyed. Condemned under State authority and destroyed by 
slaughter or by death otherwise.
    Heifer. A female dairy cow that has not given birth.
    Herd. Except for livestock assembled at feedlots, any group of 
livestock maintained for at least 4 months 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 captive cervids in a herd, as well 
as any other exposed livestock in the herd, prior to restocking with new 
livestock.
    Livestock. Cattle, bison, captive cervids, swine, dairy goats, and 
other hoofed animals (such as llamas, alpacas, and antelope) raised or 
maintained in captivity for the production

[[Page 145]]

of meat and other products, for sport, or for exhibition.
    Milking cow. A female dairy cow that has given birth and is being 
used for milk production.
    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.
    Net salvage. The amount received for animals destroyed because of 
tuberculosis, after deducting freight, trucking, yardage, commission, 
slaughtering charges, and similar costs to the owner.
    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 livestock directly to slaughter, 
listing the disease status and identification of the animal, where 
consigned, cleaning and disinfection requirements, and proof of 
slaughter certification.
    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 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 captive cervids. Cattle, bison, and 
captive cervids 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.
    Registered livestock. Livestock 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.
    State animal health official. The individual employed by a State who 
is responsible for livestock and poultry disease control and eradication 
programs in that State.
    State representative. A veterinarian or other person who is employed 
in livestock sanitary work of a State or a political subdivision of a 
State and who is authorized by the State or political subdivision to 
perform the function involved under a memorandum of understanding with 
the Department.
    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; 63 FR 34263, June 24, 1998; 63 FR 72122, Dec. 31, 
1998; 67 FR 7590, Feb. 20, 2002; 67 FR 48750, July 26, 2002]



                       Subpart A_General Indemnity



Sec. 50.2  Applicability of this subpart; cooperation with States.

    (a) The provisions of this subpart apply to all payments made by the 
Department for the destruction of animals because of tuberculosis, 
except as specifically provided in subpart B of this part.
    (b) The Administrator cooperates with the proper State authorities 
in the eradication of tuberculosis and pays Federal indemnities for the 
destruction of cattle, bison, captive cervids, or swine affected with or 
exposed to tuberculosis.

[67 FR 48751, July 26, 2002]



Sec. 50.3  Payment to owners for animals destroyed.

    (a) The Administrator is authorized to agree on the part of the 
Department to pay indemnity to owners of the following animals:

[[Page 146]]

    (1) Cattle, bison, or captive cervids destroyed because the animals 
are infected with or exposed to tuberculosis;
    (2) Cattle, bison, or captive cervids that have been classified as 
suspect for tuberculosis, except that the payment of indemnity for the 
destruction of suspect cattle, bison, and captive cervids will be 
withheld until the tuberculosis status of the suspect animal has been 
determined and, if the cattle, bison, or captive cervid is found to be 
infected with tuberculosis, until all cattle, bison, and captive cervids 
12 months of age or older in the claimant's herd have been tested for 
tuberculosis under APHIS or State supervision; and
    (3) Other livestock destroyed because they are classified as exposed 
to tuberculosis by the designated tuberculosis epidemiologist by reason 
of an association with an affected herd of cattle, bison, or captive 
cervids.
    (b) In each case, the joint State-Federal indemnity paid, together 
with the amount for net salvage the owner receives, may not exceed the 
appraised value of the animal, as determined in accordance with Sec. 
50.9. Additionally, the Department will in no case pay more than $3,000 
for an animal that is destroyed.

[67 FR 7591, Feb. 20, 2002]



Sec. 50.4  Classification of cattle, bison, captive cervids, and other 

livestock as infected, exposed, or suspect.

    (a) Cattle, bison, and captive cervids are classified as infected 
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 captive cervids are classified as exposed to 
tuberculosis when such cattle, bison, and captive 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 captive cervids classified as exposed to 
tuberculosis shall be removed direct to slaughter.
    (c) Cattle and bison are classified as suspects for tuberculosis 
based on a positive response to an official tuberculin test, in 
accordance with the ``Uniform Methods and Rules--Bovine Tuberculosis 
Eradication'' (incorporated into the regulations by reference in part 
77). Captive cervids are classified as suspects for tuberculosis in the 
same manner as cattle and bison.
    (d) The designated tuberculosis epidemiologist will determine 
whether livestock other than cattle, bison, or captive cervids are 
classified as exposed to tuberculosis by reason of association with an 
affected herd of cattle, bison, or captive cervids.

[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; 63 FR 34264, June 
24, 1998; 67 FR 7591, Feb. 20, 2002]



Sec. 50.5  Record of tests.

    When any cattle, bison, or captive 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; 63 FR 34264, June 
24, 1998]



Sec. 50.6  Identification of animals to be destroyed because of tuberculosis.

    (a) Livestock to be destroyed because of tuberculosis must be 
identified as follows:
    (1) Livestock classified as reactors for tuberculosis must be 
identified within 15 days after being classified as reactors, except 
that the veterinarian in charge may extend the time limit for 
identification to 30 days when he or

[[Page 147]]

she receives a request for such an extension prior to the expiration 
date of the original 15-day period allowed and circumstances beyond the 
control of the owner warrant such an extension, and the Administrator 
may extend the time limit for identification beyond 30 days upon request 
in specific cases when circumstances beyond the control of the owner 
warrant such an extension.
    (2) Livestock other than reactors for tuberculosis that are to be 
destroyed because of tuberculosis must be identified prior to movement 
from the premises of origin to the place of destruction.
    (b) Reactor cattle, bison, and captive cervids. Reactor cattle, 
bison, and captive cervids must 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, bison, and 
captive cervids 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. The 
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 cattle, bison, and captive cervids. Exposed cattle, 
bison, and captive cervids must 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, bison, and captive 
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. The 
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.
    (d) Other exposed livestock. Livestock other than cattle, bison, or 
captive cervids that are destroyed under the provisions of Sec. 50.3 
must be identified by tagging with a serially numbered metal eartag 
attached to either ear. All such animals to be destroyed must be 
transported to the place of destruction in vehicles closed with seals 
provided by APHIS or shall 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.

[67 FR 7591, Feb. 20, 2002]



Sec. 50.7  Destruction of animals.

    (a) Slaughter or disposal. Livestock 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. Livestock 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; 63 FR 34264, June 24, 1998; 67 FR 7591, Feb. 20, 2002]

[[Page 148]]



Sec. 50.8  Payment of expenses for transporting and disposing of infected, 

exposed, and suspect animals.

    The Department may pay, when approved in advance in writing by the 
Veterinarian in Charge, one half the expenses of transporting infected, 
exposed, or suspect livestock to slaughter or to the point where 
disposal will take place, and one half the expenses of destroying, 
burying, incinerating, rendering, or otherwise disposing of infected, 
exposed, or suspect livestock; Provided that, the Department may pay 
more than one-half of the expenses when the Administrator determines 
that doing so will contribute to the tuberculosis eradication program. 
For reimbursement to be made, the owner of the animals must present the 
Veterinarian in Charge with a copy of either a receipt for expenses paid 
or a bill for services rendered. Any bill for services rendered by the 
owner must not be greater than the normal fee for similar services 
provided by a commercial hauler or renderer.

[62 FR 49592, Sept. 23, 1997; as amended at 63 FR 34264, June 24, 1998; 
67 FR 7591, Feb. 20, 2002]



Sec. 50.9  Appraisals.

    (a) Livestock to be destroyed because of tuberculosis under Sec. 
50.3 must be appraised within 15 days after being classified as infected 
with tuberculosis, except that the veterinarian in charge may extend the 
time limit for appraisal to 30 days when he or she receives a request 
for such an extension before the end of the expiration date of the 
original 15-day period allowed and circumstances beyond the control of 
the owner warrant such an extension, and the Administrator may extend 
the time limit for appraisal beyond 30 days upon request in specific 
cases when circumstances beyond the control of the owner warrant such an 
extension.
    (b) Animals for which indemnity is to be paid under this part must 
be appraised at their fair market value by an appraiser selected by 
APHIS. APHIS may decline to accept any appraisal that appears to it to 
be unreasonable or out of proportion to the value of like animals of a 
like quality. Should the appraisal made by the appraiser selected by 
APHIS be deemed inadequate by the owner of the animals, the owner will 
have 15 days from the receipt of the appraisal to submit to the 
Administrator a request for a review of the appraisal, along with the 
reasons why the animals should be appraised at a higher value. The 
decision by the Administrator regarding the value of the animals is 
final.
    (c) When livestock to be destroyed because of tuberculosis are 
appraised, due consideration will be given to their breeding value as 
well as to their dairy or meat value. Livestock presented for payment as 
registered must be accompanied by their registration papers. If the 
registration papers are temporarily not available, or if the livestock 
are less than 3 years old and unregistered, the veterinarian in charge 
may grant a reasonable time for the presentation of their registration 
papers.

[67 FR 7591, Feb. 20, 2002]



Sec. 50.10  Report of appraisals.

    Appraisals of livestock 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; 63 FR 34264, June 
24, 1998; 67 FR 7592, Feb. 20, 2002]



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 livestock 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 livestock are not sold on a per pound basis, 
the net purchase price of each animal must

[[Page 149]]

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 livestock by burial, incineration or other disposal of 
carcasses shall be supervised by an APHIS or State representative who 
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; 63 FR 34264, June 24, 1998; 67 FR 7592, Feb. 20, 
2002]



Sec. 50.12  Claims for indemnity.

    Claims for Federal indemnity for livestock 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 livestock 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; 63 FR 34264, June 
24, 1998; 67 FR 7592, Feb. 20, 2002]



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 infected 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; 67 FR 7592, Feb. 20, 2002]



Sec. 50.14  Claims not allowed.

    Claims for compensation for livestock destroyed because of 
tuberculosis will not be allowed in any of the following cases:

[[Page 150]]

    (a) The claimant has failed to comply with any of the requirements 
of this part:
    (b) All cattle, bison, and captive cervids 12 months of age or over 
in the claimant's herd have not been tested for tuberculosis under APHIS 
or State supervision: Provided, however, that cattle, bison, and captive 
cervids destroyed because of tuberculosis are exempt from this testing 
requirement if the cattle, bison, and captive cervids are subjected to a 
postmortem examination for tuberculosis by a Federal or State 
veterinarian.
    (c) There is substantial evidence that the owner of the animals or 
the agent of the owner has in any way been responsible for any attempt 
to obtain indemnity funds for the animals unlawfully or improperly.
    (d) At the time the cattle, bison, or captive cervids in the 
claimant's herd were tested for tuberculosis, the cattle, bison, captive 
cervids, or other livestock in the herd belonged to or were on the 
premises of any person to whom they had been sold, shipped, or delivered 
for slaughter unless or until all of the cattle, bison, captive cervids, 
and other livestock remaining on the premises or in the herd from which 
the tested cattle, bison, or captive cervids originated are tested or 
otherwise examined for tuberculosis in a manner satisfactory to the 
Administrator or his or her designated representative.
    (e) If the cattle, bison, or captive cervids were added to a herd 
while the herd was quarantined for tuberculosis, unless an approved herd 
plan was in effect at the time the claim was filed. As part of the 
approved herd plan, cattle, bison, or captive 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, as defined in Sec. 77.1 of this chapter, during the 60 days 
before the cattle, bison, or captive 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 captive cervids were added to the claimant's herd.
    (f) For exposed cattle, bison, or captive cervids destroyed during 
herd depopulation, if a designated tuberculosis epidemiologist has 
determined that other livestock in the herd have been exposed to 
tuberculosis by reason of association with tuberculous livestock, and 
those other livestock determined to have been exposed to tuberculosis 
have not been destroyed.
    (g) For livestock other than cattle, bison, and captive cervids that 
are destroyed because of association with herds of affected cattle, 
bison, or captive cervids:
    (1) If the livestock did not reside among the herd for a period of 4 
months or more;
    (2) If the livestock have not received a postmortem examination for 
tuberculosis; or
    (3) If the livestock were added to a herd that was under quarantine 
for tuberculosis at the time the livestock were added to the herd, 
unless an approved herd plan was in effect at that time.

[67 FR 7592, Feb. 20, 2002]



Sec. Sec. 50.15-50.16  [Reserved]



   Subpart B_Dairy Cattle and Facilities in the El Paso, Texas, Region

    Source: 67 FR 48751, July 26, 2002, unless otherwise noted.



Sec. 50.17  Payment.

    (a) Eligibility for payment. Owners of dairy operations, including 
owners of dairy cattle and other property used in connection with a 
dairy business or fluid milk processing plant, are eligible to receive 
payment from the Department under this subpart in connection with a 
buffer zone depopulation program due to tuberculosis, provided the 
owners meet all applicable requirements of this subpart and the dairy 
cattle herd is within the area circumscribed by the following 
boundaries: Beginning at the point where the Hudspeth-El Paso County 
line intersects U.S. Highway 62; then west along U.S. Highway 62 to the 
El Paso Toll

[[Page 151]]

Bridge; then southeast along the Rio Grande River to the Fort Hancock-El 
Porvenir Bridge; then northeast along spur 148 to Interstate 10; then 
northwest along Interstate 10 to the Hudspeth-El Paso County line; then 
north along the Hudspeth-El Paso County line to the point of beginning.
    (b) To be eligible for payment, each of the owners of dairy cattle 
and other property within the area described in paragraph (a) of this 
section must sign and adhere to an agreement with APHIS to do the 
following:
    (1) Cease all dairy cattle operations within the described area and 
dispose of all sexually intact cattle on the dairy operation premises no 
later than 3 years after all eligible owners have signed their 
respective agreements;
    (2) Conduct no dairy farming or other dairy activity, including the 
rearing of breeding cattle, but not including the grazing or feeding of 
steers and spayed heifers intended for terminal market, within the area 
described in paragraph (a) of this section until the described area and 
the adjoining area of Mexico have been declared free of bovine 
tuberculosis, as determined epidemiologically by APHIS, but in any event 
for a period of not less than 20 years after all eligible owners have 
signed their respective agreements.
    (3) Allow a covenant to be placed on their properties where dairy 
operations have been conducted that will prevent the establishment of 
any breeding cattle operations (not including the grazing or feeding of 
steers and spayed heifers intended for terminal market) on the premises 
until the described area and the adjoining area of Mexico have been 
declared free of bovine tuberculosis, as determined epidemiologically by 
APHIS, but in any event for a period of not less than 20 years after all 
eligible owners have signed their respective agreements.
    (4) Maintain responsibility for all cattle on the premises used in 
the dairy operation until those animals are removed from the premises;
    (5) Make all arrangements for the removal of sexually intact cattle 
from the premises;
    (6) Notify APHIS officials of the intended removal of all sexually 
intact cattle from the premises and provide APHIS officials with the 
opportunity to monitor and evaluate the removal operations; and
    (7) Such other terms, provisions, and conditions as agreed by each 
owner and APHIS.
    (c) Amount of payment for cattle and other property. Upon approval 
of a claim submitted in accordance with Sec. 50.20 of this subpart, 
owners eligible for payments under paragraph (a) of this section will 
receive payments for cattle and other property, the amount of which is 
determined by the following rates:
    (1) For milking cows, an amount not to exceed $2,922 per animal; and
    (2) For heifers, an amount not to exceed $834 per animal.
    (d) Any dairy cattle added to a premises after the date an owner has 
signed the agreement required under paragraph (b) of this section will 
not be included in the rate calculation in paragraph (c) of this section 
and must be disposed of within 3 years after all eligible owners have 
signed their respective agreements.
    (e) Amount of payment for certain other property. In addition to the 
amounts paid under paragraph (c) of this section, amounts will be paid 
as follows:
    (1) For expenses in relocating equipment of a reverse osmosis plant 
in El Paso County, TX, an amount equal to the costs of relocating the 
plant's equipment, not to exceed $675,000.
    (2) In conjunction with the permanent closure of a fluid milk 
processing plant in El Paso County, TX, an amount not to exceed 
$950,000, with payment to be made in the same manner and at the same 
times, on a pro rata basis, as payments are made to such owners for 
their dairy cattle and other property.

(Approved by the Office of Management and Budget under control number 
0579-0193)

[67 FR 48751, July 26, 2002, as amended at 68 FR 10361, Apr. 4, 2003]



Sec. 50.18  Identification and disposal of cattle.

    (a) All dairy cattle disposed of under this subpart must travel from 
the premises of origin to their final destination with an approved metal 
eartag, supplied by APHIS or the State

[[Page 152]]

representative, bearing a serial number and attached to each animal's 
left ear.
    (b) Dairy cattle disposed of under this subpart must be shipped 
under permit either:
    (1) Directly to slaughter at a Federal or State inspected 
slaughtering establishment; or
    (2) Under permit directly to a livestock market and, under the 
supervision of an APHIS representative or State representative, through 
a livestock market pen that is dedicated to and marked exclusively for 
use for animals moved to slaughter, and then directly to slaughter at a 
Federal or State inspected slaughtering establishment.

(Approved by the Office of Management and Budget under control number 
0579-0193)



Sec. 50.19  Report of salvage proceeds.

    A report of the salvage derived from the sale of each animal for 
which a claim for payment is made under this subpart must be made on a 
salvage form acceptable to APHIS that must be signed by the purchaser or 
by the selling agent handling the animals. If the cattle are sold by the 
pound, the salvage form must show the weight, price per pound, gross 
receipts, expenses if any, and net proceeds. If the cattle 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 
must furnish, in lieu of the salvage form, an affidavit showing the 
amount of salvage obtained by him or her and must certify that such 
amount is all he or she has received or will receive as salvage for the 
animals. The original of the salvage form or the affidavit of the owner 
must be furnished to the veterinarian in charge within 3 months of 
destruction of the animals, if such document is not already in his or 
her possession. Disposal of cattle by burial, incineration, or other 
means must be supervised by an APHIS or State representative, who will 
prepare and transmit to the veterinarian in charge a report identifying 
the animals and showing their disposition, or be documented by an 
affidavit of the owner that identifies the animals and describes their 
disposition. The owner must provide a copy of the affidavit to the 
veterinarian in charge within 3 months of destruction of the animals. 
The salvage form, disposal certificate, or affidavit will be for 
information purposes only and will have no effect on the amount of any 
payment due.

(Approved by the Office of Management and Budget under control number 
0579-0193)



Sec. 50.20  Claims for payment.

    Claims for payment, other than for reimbursement of relocation 
expenses of the reverse osmosis dairy plant, must be presented on 
payment claim forms furnished by APHIS.\3\ On the claim form, the owner 
must certify that the animals or other property are, or are not, subject 
to any mortgage. If the owner states that there is a mortgage, the claim 
form must be signed by the owner and by each person holding a mortgage 
on the cattle or other property, who must agree that the person 
specified on the claim form may receive any payment due. The APHIS 
veterinarian in charge or the official designated by him or her will 
record on the claim form the amount of payment that appears to be due to 
the owner, and the owner will be furnished a copy of the APHIS payment 
claim form. The veterinarian in charge or official designated by him or 
her will then forward the APHIS payment claim form to the appropriate 
APHIS official for further action on the claim. The Department will not 
pay any costs arising from the holding of the cattle pending slaughter, 
or for trucking and other transportation costs, yardage, commission, 
slaughtering charges, or for any other costs related to having the 
cattle slaughtered. The owner of the reverse osmosis plant must submit 
copies of

[[Page 153]]

the relevant documentation for relocation of equipment to the 
veterinarian in charge.

(Approved by the Office of Management and Budget under control number 
0579-0193)



Sec. 50.21  Schedule of payments.
---------------------------------------------------------------------------

    \3\ Claim forms may obtained from the veterinarian in charge. The 
location of the veterinarian in charge may be obtained by writing to 
National Animal Health Program VS, APHIS, 4700 River Road Unit 43, 
Riverdale, MD 20737, or by referring to the local telephone book.
---------------------------------------------------------------------------

    (a) The Department will make payment, other than for reimbursement 
of relocation expenses of the equipment of the reverse osmosis plant, at 
90-day intervals. The first payment will be made no earlier than 30 days 
after all owners eligible for payment have signed their agreements 
required under Sec. 50.17(b). The Department will determine the amount 
to be paid to each owner in each payment by multiplying the total 
agreement amount for that owner by a fraction that is arrived at by 
dividing the initial census number of dairy cattle for the respective 
owner into the number of dairy cattle that have been removed from the 
owner's herd during that payment period. From this amount, 10 percent 
will be withheld until all animals in the herd have been disposed of and 
the requirements of this subpart have been met. The payments to other 
property owners will be determined by multiplying the total agreement 
amount for that other property times the same ratio as for the herd 
related to that other property, minus 10 percent. The Department will 
make payment for reimbursement of relocation expenses of the reverse 
osmosis plant within 30 days after the relocation of the plant is 
completed and the owner of the plant has submitted to APHIS all 
documentation of the costs of the relocation.
    (b) The Department will not make final payments until the premises 
used for dairy operations have been without sexually intact cattle for 
at least 30 days and until APHIS has inspected the premises and has 
found them to be free of manure, except for non-solid areas such as 
lagoons, and free of all feedstuffs that are not in barns, containers or 
feeders.



Sec. 50.22  Claims not allowed.

    The Department will not allow claims for payment if the claimant has 
failed to comply with any of the requirements of this subpart, or there 
is substantial evidence, as determined by the Administrator, that the 
claimant has been responsible for any attempt to obtain payment funds 
for such cattle or other dairy property unlawfully or improperly.



PART 51_ANIMALS DESTROYED BECAUSE OF BRUCELLOSIS--Table of Contents




            Subpart A_Indemnity for Cattle, Bison, and Swine

Sec.
51.1 Definitions.
51.2 Cooperation with States.
51.3 Payment to owners for animals destroyed.
51.4 Record of tests.
51.5 Identification of animals to be destroyed because of brucellosis.
51.6 Destruction of animals; time limit for destruction of animals.
51.7 Claims for indemnity.
51.8 Disinfection of premises, conveyances, and materials.
51.9 Claims not allowed.
51.10 Part 53 of this chapter not applicable.

            Subpart B_Indemnity for Sheep, Goats, and Horses

51.20 Definitions.
51.21 Cooperation with States.
51.22 Payment to owners for goats, sheep, and horses destroyed.
51.23 Eligibility for indemnity.
51.24 Maximum per-head indemnity amounts.
51.25 Proof of destruction.
51.26 Record of tests.
51.27 Identification of goats, sheep, and horses to be destroyed.
51.28 Moving goats, sheep, and horses to be destroyed.
51.29 Destruction of animals; time limit.
51.30 Claims for indemnity.
51.31 Disinfecting premises, conveyances, and materials.
51.32 Claims not allowed.
51.33 Multiple indemnity payments.

    Authority: 7 U.S.C. 8301-8317; 7 CFR 2.22, 2.80, and 371.4.



            Subpart A_Indemnity for Cattle, Bison, and Swine



Sec. 51.1  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

[[Page 154]]

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 or Service).
    Animals. Cattle, bison, and breeding swine.
    APHIS representative. An individual employed by APHIS who is 
authorized to perform the function involved.
    Appraisal. An estimate of the fair market value of an animal to be 
destroyed because of brucellosis. The estimate shall be based upon the 
meat, dairy, or breeding value of the animal.
    Brucellosis exposed animal. Except for a brucellosis reactor animal, 
any animal that: (1) Is part of or has been in contact with a herd known 
to be affected; or (2) has been in contact with a brucellosis reactor 
animal for a period of 24 hours or longer; or (3) has been in contact 
with a brucellosis reactor animal which has aborted, calved or farrowed 
within the past 30 days, or has a vaginal or uterine discharge.
    Brucellosis reactor animal. Any animal classified as a brucellosis 
reactor as provided in the definition of official test in Sec. 78.1 of 
this chapter.
    Claimant. A person who files a claim for indemnity under Sec. 51.7 
for animals destroyed under this part.
    Complete herd test. An official test for brucellosis (as defined in 
9 CFR 78.1) performed under APHIS supervision in a cattle or bison herd 
on all cattle or bison that are (1) 6 months of age or more and not 
official vaccinates, except steers and spayed heifers; or (2) Official 
calfhood vaccinates of any age that are parturient or postparturient; or 
(3) Official calfhood vaccinates of beef breeds or bison with the first 
pair of permanent incisors fully erupted (2 years of age or more); or 
(4) Official calfhood vaccinates of dairy breeds with partial eruption 
of the first pair of permanent incisors (20 months of age or more).
    Condemn. The determination made by an APHIS representative, State 
representative, or accredited veterinarian that animals for which 
indemnity is sought under this Part shall be destroyed.
    Dairy cattle. A female bovine of a recognized dairy breed over 20 
months of age, which has calved or is within 90 days of parturition and 
which is a member of a dairy herd used to produce milk for commercial 
use.
    Destroyed. Condemned under State authority and slaughtered or 
otherwise dies.
    Herd. Any group of animals of the same species maintained on common 
ground for any purpose, or two or more groups of animals (of the same 
species) under common ownership or supervision, geographically separated 
but which have an interchange or movement of animals without regard to 
health status.
    Herd Depopulation. Removal by slaughter or other means of 
destruction of all cattle, bison, or swine in a herd or from a specific 
premises or under common ownership prior to restocking such premises 
with new animals, except that steers and spayed heifers or barrows and 
gilts maintained for feeding purposes may be retained on the premises if 
the Veterinarian in Charge finds such retention to be compatible with 
eradication efforts. The Veterinarian in Charge may also permit removal 
of nonpregnant heifers, without payment of indemnity, to Quarantined 
Feedlots in lieu of immediate slaughter.
    Herd known to be affected. Any herd in which any animal has been 
classified as a brucellosis reactor and which has not been released from 
quarantine.
    Inbred or hybrid swine. Any breeding swine which are the progeny of 
two or more breeds of registered swine and which are maintained to 
produce inbred or hybrid swine, and for which records of ancestry exist 
through which such swine can be individually identified as progeny of 
said registered swine.
    Mortgage. Any mortgage, lien, or other security or interest that is 
recorded under State law or identified in

[[Page 155]]

the indemnity claim form filed under Sec. 51.7 and held by any person 
other than the one claiming indemnity.
    Official seal. A serially numbered metal strip consisting of a self-
locking device on one end and a slot on the other end, which forms a 
loop when the ends are engaged, which cannot be reused if opened, and is 
applied by a representative of the Veterinarian in Charge or the State 
animal health official.
    Owner. Any person who has a legal or rightful title to animals 
whether or not they are subject to a mortgage.
    Permit. An official document for movement of animals under this 
subpart issued by an APHIS representative, state representative, or 
accredited veterinarian listing the disease status and identification of 
the animal, where consigned, cleaning and disinfecting requirements, and 
proof of slaughter certification.
    Person. Any individual, corporation, company, association, firm, 
partnership, society, or joint stock company, or other legal entity.
    Recognized slaughtering establishment. Any slaughtering 
establishment operating under the Federal Meat Inspection Act (21 U.S.C. 
601 et seq.)or a State meat inspection act.\1\
---------------------------------------------------------------------------

    \1\ A list of recognized slaughtering establishments is available 
upon request from the Animal and Plant Health Inspection Service, 4700 
River Road Unit 37, Riverdale, MD 20737-1231.
---------------------------------------------------------------------------

    Registered breed association. An association formed and perpetuated 
for the maintenance of records of purebreeding of animal species for a 
specific breed whose characteristics are set forth in Constitutions, By-
Laws, and other rules of the association. The records maintained by such 
an association shall include an Official Herd Book or other 
recordkeeping format and Certificates of Registration or Recordation 
which identify an animal as a registered animal of that registered breed 
association. Known registered breed associations are: American Angus 
Association, American Beefalo Association, Inc., The American Black 
Maine-Anjou Association, American Blonde d'Aquitaine Association, 
American Brahman Breeders Association, American Brahmental Association, 
American Breed Association, Inc., American Chianina Association, 
American Dexter Cattle Association, American Galloway Breeders 
Association, American Gelbvieh Association, American Guernsey Cattle 
Club, American Hereford Association, American International Charolais 
Association, American (International Marchigiana Society, American 
Jersey Cattle Club, American Maine-Anjou Association, American Milking 
Shorthorn Society, American Murray Grey Association, American Normande 
Association, American Pinzgauer Association, American Polled Hereford 
Association, American Red Brangus Association, American Red Poll 
Association, American Salers Association, American Scotch Highland 
Breeders Association, American Shorthorn Association, American Simmental 
Association, Inc., American Tarentaise Asssociation, Ankina Breeders, 
Inc., Ayrshire Breeders Association, Barzona Breed Association of 
America, Beefmaster Breeders Universal, Belted Galloway Society, 
Brahmanstein Breeders Association, Brown Swiss Beef International, Inc., 
Brown Swiss Cattle Breeders Association of U.S.A., Char-Swiss Breeders 
Association, Devon Cattle Association, Inc., Dutch Belted Cattle 
Association of America, Inc., Foundation Beefmaster Association, 
Galloway Cattle Society of America, Inc., Galloway Performance 
International, Holstein-Friesian Association of America, International 
Braford Association, International Brangus Breeders Association, Inc., 
International Maine-Anjou Association, Marky Cattle Association, Mid 
America RX\3\ Cattle Company, National Beefmaster Association, North 
American Limousin Foundation, Pan American Zebu Association, Red and 
White Dairy Cattle Association, Red Angus Association of America, Red 
Poll Beef Breeders International, Red Poll Cattle Club of America, Santa 
Gertrudis Breeders International, Simbrah Association, South Devon Breed 
Society, Sussex Cattle Association of America, Texas Longhorn Breeders 
Association of America, and White Park Cattle Association of America.

[[Page 156]]

    Registered cattle. Cattle for which individual records of ancestry 
are recorded and maintained by a breed association whose purpose is the 
improvement of the bovine species, and for which individual registration 
certificates are issued and recorded by such breed association.
    Registered swine. Any breeding swine for which a certificate of pure 
breeding has been issued by a purebred swine association.
    Sexually intact exposed female calf. A female bovine less than 6 
months of age that is nursed by a brucellosis reactor at the time such 
reactor is condemned, and that has not been altered to make it incapable 
of reproduction.
    Specifically approved stockyard. Premises approved by the 
Administrator, in accordance with Sec. 71.20 of this chapter, for 
assembling cattle or bison for sale.\2\
---------------------------------------------------------------------------

    \2\ Notices containing lists of specifically approved stockyards are 
published in the Federal Register. Lists of specifically approved 
stockyards also may be obtained from the State animal health official, 
State representatives, or APHIS representatives.
---------------------------------------------------------------------------

    State. Any State, the District of Columbia, Puerto Rico, the Virgin 
Islands of the United States, Guam, the Northern Mariana Islands, or any 
other territory or possession of the United States.
    State animal health official. The individual employed by a State who 
is responsible for livestock and poultry disease control and eradication 
programs in that State.
    State representative. An individual employed in animal health 
activities by a State or a political subdivision thereof, and who is 
authorized by such State or political subdivision to perform the 
function involved under a cooperative agreement with the United States 
Department of Agriculture.
    Unofficial vaccinate. Any cattle or bison which have been vaccinated 
for brucellosis other than in accordance with the provisions for 
official vaccinates set forth in Sec. 78.1 of this chapter.
    Veterinarian in Charge. The veterinary official of the Animal and 
Plant Health Inspection Service, United States Department of 
Agriculture, who is assigned by the Administrator to supervise and 
perform offical animal health work of the Animal and Plant Health 
Inspection Service, in the State concerned.

[42 FR 64336, Dec. 23, 1977]

    Editorial Note: For Federal Register citations affecting Sec. 51.1, 
see the List of CFR Sections Affected, which appears in the Finding Aids 
section of the printed volume and on GPO Access.



Sec. 51.2  Cooperation with States.

    The Administrator has been delegated the authority to cooperate with 
the proper State authorities in the eradication of brucellosis and to 
pay indemnities for the destruction of brucellosis-reactor animals or 
brucellosis-exposed animals.

[42 FR 64336, Dec. 23, 1977, as amended at 54 FR 32435, Aug. 8, 1989]



Sec. 51.3  Payment to owners for animals destroyed.

    (a) Cattle and bison. The Administrator may authorize the payment of 
Federal indemnity by the U.S. Department of Agriculture to any owner 
whose cattle or bison are destroyed after having been approved for 
destruction by APHIS under the brucellosis eradication program.\3\ In 
all cases, the amount of Federal indemnity will be determined in 
accordance with the regulations in this part that were in effect on the 
date that reactors were found or the date that whole-herd depopulation 
or destruction of individual animals was approved. Prior to payment of 
indemnity, proof of destruction \4\ must be

[[Page 157]]

furnished to the Veterinarian in Charge.
---------------------------------------------------------------------------

    \3\ The Administrator shall authorize payment of Federal indemnity 
by the U.S. Department of Agriculture at the maximum per-head rates in 
Sec. 51.3: (a) As long as sufficient funds appropriated by Congress 
appear to be available for this purpose for the remainder of the fiscal 
year; (b) in States or areas not under Federal quarantine; (c) in States 
requesting payment of Federal indemnity; and (d) in States not 
requesting a lower rate.
    \4\ The Veterinarian in Charge shall accept any of the following 
documents as proof of destruction: (a) A postmortem report; (b) a meat 
inspection certification of slaughter; (c) a written statement by a 
State representative, APHIS representative, or accredited veterinarian 
attesting to the destruction of the animal; (d) a written, sworn 
statement by the owner or caretaker of the animal attesting to the 
destruction of the animal; (e) a permit (VS Form 1-27) consigning the 
animal from a farm or livestock market directly to a recognized 
slaughtering establishment; or (f) in unique situations where the 
documents listed above are not available, other similarly reliable forms 
of proof of destruction.
---------------------------------------------------------------------------

    (1) Eligibility for indemnity. Owners of the following types of 
animals destroyed because of brucellosis are eligible to receive Federal 
indemnity for their animals:
    (i) Cattle and bison identified as reactors as a result of a 
complete herd test and any sexually intact exposed female calves;
    (ii) Cattle and bison in a herd that has been approved for 
depopulation; and
    (iii) Brucellosis-exposed cattle and brucellosis-exposed bison that 
were previously sold or traded from any herd that was, subsequent to the 
sale or trade, found to be affected with brucellosis. Epidemiological 
information such as test results, herd history, and related evidence 
will be used to establish a probable date when the herd was first 
affected with brucellosis. Animals sold after that date will be 
considered to be exposed; those sold before that date will not.
    (2) Maximum per-head indemnity amounts. Owners of the types of 
animals described in Sec. 51.3(a)(1) are eligible to receive Federal 
indemnity for their animals in the following amounts:
    (i) Brucellosis reactors and sexually intact exposed female calves. 
Except for brucellosis reactors and sexually intact exposed female 
calves destroyed as part of a whole-herd depopulation, the indemnity for 
cattle and bison that are brucellosis reactors shall not exceed $250 for 
any registered cattle and nonregistered dairy cattle or $50 for any 
bison or nonregistered cattle other than dairy cattle, and the indemnity 
for sexually intact exposed female calves shall not exceed $50.
    (ii) Herd depopulations and individual exposed animals. Owners of 
herds that have been approved for depopulation and owners of 
brucellosis-exposed cattle and brucellosis-exposed bison that meet the 
conditions of Sec. 51.3 (a)(1)(iii) may choose either of the two 
methods described in paragraphs (a)(2)(ii)(A) and (a)(2)(ii)(B) of this 
section, involving fair market value of the animal to be destroyed or a 
fixed rate, for determining the maximum amounts of indemnity they may 
receive.\3\ The method chosen must be used for all animals to be 
destroyed. Owners have the option of having an appraisal done prior to 
choosing the method used. Appraisals will be conducted by an independent 
appraiser selected by the Administrator. The cost of the appraisals will 
be borne by APHIS.
    (A) Appraisal method. Each eligible animal will be appraised to 
determine its fair market value. The indemnity shall be the appraised 
value, minus the salvage value.
    (B) Fixed-rate method. The indemnity shall not exceed $250 per 
animal for bison and nonregistered cattle other than dairy cattle and 
$750 per animal for registered cattle and nonregistered dairy cattle.
    (b) Swine--(1) Brucellosis reactor swine. The Administrator may 
authorize \3\ the payment of Federal indemnity by the United States 
Department of Agriculture to an owner whose breeding swine are destroyed 
as brucellosis reactors. The indemnity shall not exceed $25 per head for 
registered, inbred, or hybrid swine, or $10 per head for all other 
breeding swine. Prior to payment of indemnity, proof of destruction \4\ 
shall be furnished to the Veterinarian in Charge.
    (2) Herd depopulation. The Administrator may authorize \3\ the 
payment of Federal indemnity by the United States Department of 
Agriculture to an owner whose herd of breeding swine or whose whole herd 
is destroyed because of brucellosis. The indemnity shall not exceed $150 
per head for registered, inbred, or hybrid breeding swine, and $65 per 
head for all other breeding swine, except that in the case of whole herd 
depopulation, indemnity payments shall be paid on all swine in the herd 
at fair market value, as determined by the Administrator, based on an 
appraisal conducted by an independent appraiser assigned by the 
Administrator. In cases where indemnity is paid for whole herd 
depopulation, indemnity payments, plus any salvage, must not exceed the 
appraised value of

[[Page 158]]

each animal. Indemnity payment shall be made only for brucellosis 
exposed swine or for swine from a herd known to be affected and only 
when the Administrator determines that the destruction of all swine in 
the herd will contribute to the Brucellosis Eradication Program. Prior 
to payment of indemnity, proof of destruction \4\ shall be furnished to 
the Veterinarian in Charge.
    (3) Exposed swine. The Administrator may authorize \3\ the payment 
of Federal indemnity by the United States Department of Agriculture to 
an owner whose breeding swine are destroyed because of brucellosis. The 
indemnity shall not exceed $150 per head for registered, inbred, or 
hybrid swine, or $65 per head for all other breeding swine. Indemnity 
payment shall be made only for such brucellosis exposed swine and only 
when the Administrator determines that the destruction of such swine 
will contribute to the Brucellosis Eradication Program. Prior to payment 
of indemnity, proof of destruction \4\ shall be furnished to the 
Veterinarian in Charge.

(Approved by the Office of Management and Budget under control number 
0579-0047)

[42 FR 64336, Dec. 23, 1977, as amended at 45 FR 43679, June 27, 1980; 
46 FR 13673, Feb. 23, 1981; 46 FR 57027, Nov. 20, 1981; 47 FR 53323, 
Nov. 26, 1982; 48 FR 57472, Dec. 30, 1983; 50 FR 11993, Mar. 27, 1985; 
51 FR 11300, Apr. 2, 1986; 54 FR 32435, Aug. 8, 1989; 56 FR 18505, 
18506, Apr. 23, 1991; 57 FR 49376, Nov. 2, 1992; 57 FR 60086, Dec. 18, 
1992; 59 FR 12533, Mar. 17, 1994, 59 FR 21635, Apr. 26, 1994; 59 FR 
52235, Oct. 17, 1994; 63 FR 15284, Mar. 31, 1998; 63 FR 47423, Sept. 8, 
1998]



Sec. 51.4  Record of tests.

    The claimant shall be responsible for providing information to an 
APHIS representative, State representative, or accredited veterinarian 
so that a complete test record may be made by such person on an APHIS 
approved form for each herd known to be affected, including the reactor 
tag number of each brucellosis reactor animal and the registration name 
and number of each brucellosis reactor registered animal. 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 by such person who completes the test record.

(Approved by the Office of Management and Budget under control number 
0579-0047)

[42 FR 64336, Dec. 23, 1977, as amended at 48 FR 57472, Dec. 30, 1983; 
54 FR 32435, Aug. 8, 1989; 56 FR 18506, Apr. 23, 1991]



Sec. 51.5  Identification of animals to be destroyed because of brucellosis.

    (a) The claimant shall be responsible for insuring that any animal 
for which indemnity is claimed shall be identified in accordance with 
the provisions of this section within 15 days after having been 
classified as a reactor or for any other animal subject to this part 
within 15 days after having been condemned. The veterinarian in charge 
may extend the time limit 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 when he determines that the extension will not 
adversely affect the brucellosis eradication program; and except 
further, that the Administrator shall upon request in specific cases, 
extend the time limit beyond the 30-day period when unusual or 
unforeseen circumstances occur which prevent or hinder the 
identification of the animals within the 30-day period, such as, but not 
limited to, floods, storms, or other Acts of God which are beyond the 
control of the owner, or when identification is delayed due to 
requirements of another Federal Agency.
    (b) Except as provided in paragraph (b)(4) of this section, cattle 
and bison to be destroyed because of brucellosis shall be individually 
identified prior to moving interstate by attaching to the left ear a 
metal tag bearing a serial number and the inscription ``U.S. Reactor,'' 
or a similar State reactor tag, and must be:
    (1) ``B'' branded (as defined in Sec. 78.1); or
    (2) Accompanied directly to slaughter by an APHIS or State 
representative; or
    (3) Moved in vehicles closed with official seals applied and removed 
by an APHIS representative, State representative, accredited 
veterinarian, or an individual authorized for this purpose by an APHIS 
representative. The official

[[Page 159]]

seal numbers must be recorded on the accompanying permit.
    (4) Reactor and exposed cattle and bison in herds scheduled for herd 
depopulation may be moved interstate without eartagging or branding if 
they are identified by USDA approved backtags and either accompanied 
directly to slaughter 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) Swine shall be individually identified by tagging with a metal 
tag bearing a serial number and inscription ``U.S. Reactor'' or a 
similar State reactor tag or other identification approved by the 
Administrator, upon request in specific cases, attached to the left ear 
of each animal.

(Approved by the Office of Management and Budget under control number 
0579-0047)

[42 FR 64336, Dec. 23, 1977, as amended at 47 FR 53324, Nov. 26, 1982; 
48 FR 57472, Dec. 30, 1983; 50 FR 11993, Mar. 27, 1985; 54 FR 32435, 
Aug. 8, 1989; 56 FR 18506, Apr. 23, 1991; 60 FR 48367, Sept. 19, 1995]



Sec. 51.6  Destruction of animals; time limit for destruction of animals.

    (a) Cattle. The claimant shall be responsible for ensuring that 
cattle subject to this part shall be sold under permit to a recognized 
slaughtering establishment or to a specifically approved stockyard for 
sale to a recognized slaughtering establishment.
    (b) Bison. The claimant shall be responsible for insuring that bison 
subject to this part shall be sold under permit to a State or Federal 
slaughtering establishment approved by the Administrator for this 
purpose or to a stockyard approved by the Administrator for sale to such 
a slaughtering establishment, Provided, However, That the Administrator 
may approve such other bison slaughtering establishments as may be 
deemed necessary to accomplish destruction of bison subject to this 
part.
    (c) Swine. The claimant shall be responsible for insuring that swine 
subject to this part shall be sold under permit to a slaughtering 
establishment where State or Federal Meat inspection is available, or to 
a market approved by the State Animal Health Official, or to a market 
approved by the Administrator, for sale to such slaughtering 
establishment; \5\ except that in the case of indemnity for whole herd 
depopulation, as provided for in Sec. 51.3, swine shall be destroyed, 
if possible, on the premises where the animals are held or penned at the 
time the indemnity is approved, or may be moved for destruction to 
another location when movement to the location is approved in advance by 
an APHIS representative. In cases where the swine are destroyed other 
than at a slaughtering establishment, the carcasses of the swine shall 
be disposed of by burial, incineration, or other disposal means 
authorized by applicable State law. The destruction and disposition of 
animals destroyed in accordance with this section other than at a 
slaughtering establishment shall be performed in the presence of an 
APHIS representative.
---------------------------------------------------------------------------

    \5\ Markets are approved by the Administrator in accordance with 
Sec. 76.18 of this chapter.
---------------------------------------------------------------------------

    (d) Time limit for destruction of animals. Payment of indemnity 
shall be made under this part only if the animals are destroyed within 
15 days after the date of identification, pursuant to Sec. 51.5 of the 
regulations in this part, except that the appropriate Veterinarian in 
Charge may extend the time limit to 30 days when request for such 
extension is received from the owner prior to the expiration date of the 
original 15-day period allowed, or when the animals were sold for 
slaughter prior to the expiration date of the original 15-day period, 
and when the Veterinarian in Charge determines that such extension will 
not adversely affect the Brucellosis Eradication Program; and except 
further, that the Administrator shall, upon request in specific cases, 
extend the time limit beyond the 30-day period when unusual and 
unforeseen circumstances occur which prevent or hinder the destruction 
of the animals within the 30-day period, such as, but not limited to, 
floods, storms, or other Acts of God which are beyond

[[Page 160]]

the control of the owner, or when destruction is delayed due to 
---------------------------------------------------------------------------
requirements of another Federal Agency.

(Approved by the Office of Management and Budget under control number 
0579-0047)

[42 FR 64336, Dec. 23, 1977, as amended at 45 FR 43680, June 27, 1980; 
45 FR 86410, Dec. 31, 1980; 46 FR 5861, Jan. 21, 1981; 47 FR 53324, Nov. 
26, 1982; 48 FR 57472, Dec. 30, 1983; 50 FR 11993, Mar. 27, 1985; 51 FR 
11300, Apr. 2, 1986; 51 FR 32599, Sept. 12, 1986; 54 FR 32435, Aug. 8, 
1989; 56 FR 18506, Apr. 23, 1991; 59 FR 12533, Mar. 17, 1994]



Sec. 51.7  Claims for indemnity.

    (a) Claims for indemnity for animals destroyed because of 
brucellosis 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 claimant has submitted a complete indemnity claim form to, and such 
claim has been approved by the Veterinarian in Charge or by an APHIS 
representative designated by him. On claims for indemnity made under the 
provisions of Sec. 51.3, the Veterinarian in Charge or an APHIS 
representative 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 completed APHIS indemnity claim form. 
The Veterinarian in Charge or an APHIS representative designated by him 
shall then forward the completed APHIS indemnity claim form to the 
Administrator for further action on the claim. No charges for holding 
the animals on the farm pending slaughter or for trucking by the owner 
shall be so deducted or otherwise paid by the United States Department 
of Agriculture.
    (b) Claims for indemnity for registered cattle shall be accompanied 
by the cattle's registration papers issued in the name of the owner. If 
the registration papers are unavailable or if the cattle are less than 1 
year old and are not registered at the time the claim for indemnity is 
submitted, the Veterinarian in Charge may grant a 60-day extension or 
the Administrator may grant an extension longer than 60 days for the 
presentation of registration papers.

(Approved by the Office of Management and Budget under control number 
0579-0047)

[42 FR 64336, Dec. 23, 1977. Redesignated at 46 FR 13674, Feb. 23, 1981, 
and 47 FR 53324, Nov. 26, 1982, and amended at 47 FR 53324, Nov. 26, 
1982; 48 FR 57472, Dec. 30, 1983; 50 FR 11993, Mar. 27, 1985; 54 FR 
32435, Aug. 8, 1989; 56 FR 18506, Apr. 23, 1991]



Sec. 51.8  Disinfection of premises, conveyances, and materials.

    All premises, including all structures, holding facilities, 
conveyances, and materials, contaminated because of occupation or use by 
brucellosis reactor or exposed animals shall be properly cleaned and 
disinfected with a disinfectant permitted by APHIS in accordance with 
recommendations of the APHIS or State representative within 15 days from 
the date reactors were removed from the premises, except that the 
appropriate Veterinarian in Charge 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, 
and when he determines that such extension will not adversely affect the 
Brucellosis Eradication Program; and except further, that the 
Administrator may, upon request in specific cases, extend the time limit 
beyond the 30-day period when unusual and unforeseen circumstances 
occur, such as but not limited to floods, storms, or other Acts of God, 
which are beyond the control of the owner, preventing or hindering the 
disinfection of premises, conveyances, and materials. Certain premises 
may be exempted from such cleaning and disinfecting requirements by 
approval of the appropriate Veterinarian in Charge on written 
recommendations by the APHIS or State representative or when a written 
report by the APHIS or State representative determines that there are no 
buildings, holding facilities, conveyances, or other materials on the

[[Page 161]]

premises that would require such cleaning and disinfection.

(Approved by the Office of Management and Budget under control number 
0579-0047)

[42 FR 64336, Dec. 23, 1977. Redesignated at 46 FR 13674, Feb. 23, 1981, 
and 47 FR 53324, Nov. 26, 1982; 48 FR 57472, Dec. 30, 1983; 50 FR 11993, 
Mar. 27, 1985; 54 FR 32435, Aug. 8, 1989; 56 FR 18506, Apr. 23, 1991]



Sec. 51.9  Claims not allowed.

    Claims for compensation for animals destroyed because of brucellosis 
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 the existence of brucellosis in the animal was determined 
based on the results of an official test, as defined in Sec. 78.1 of 
this chapter, and specific instructions for the administration of the 
official test had not previously been issued to the individual 
performing the test by APHIS and the State animal health official.
    (c) If all cattle, bison, and swine eligible for testing in the 
claimant's herd have not been tested for brucellosis under APHIS or 
State supervision.
    (d) If the animals are:
    (1) Barrows or gilts maintained for feeding purposes; or
    (2) Spayed heifers or steers, unless the steers are work oxen, or 
unless the spayed heifers or steers are unweaned animals in a herd 
approved for depopulation in accordance with Sec. 51.3 of this part.
    (e) If the animals are classified as reactors and are unofficial 
vaccinates, unless there is either a record of a negative official test 
made not less than 30 days following the date of unofficial vaccination 
or unless other APHIS approved tests show the unofficial vaccinates are 
affected with virulent Brucella.
    (f) If there is substantial evidence that the owner or his agent has 
in any way been responsible for any unlawful or improper attempt to 
obtain indemnity funds for such animal.
    (g) If, at the time of test or condemnation, the animals belonged to 
or were upon the premises of any person to whom they had been sold for 
slaughter; shipped for slaugher, or delivered for slaughter.
    (h) If any known brucellosis reactor animal remains in the herd, 
unless, in the opinion of the Veterinarian in Charge, a reasonable 
search has been made for the brucellosis reactor animal and the 
brucellosis reactor animal could not be found and removed.
    (i) If the animals are brucellosis reactor animals which are 
slaughtered other than as part of a herd depopulation, and which are 
from a herd: (1) That was already classified as a ``herd known to be 
affected'' at the time the animals were identified as brucellosis 
reactor animals and (2) for which an approved action plan or approved 
individual herd plan (as defined in Sec. 78.1 of this chapter) was not 
in effect at the time the claim was filed.

(Approved by the Office of Management and Budget under control number 
0579-0047)

[42 FR 64336, Dec. 23, 1977. Redesignated at 46 FR 13674, Feb. 23, 1981, 
and 47 FR 53324, Nov. 26, 1982, and amended at 47 FR 53324, Nov. 26, 
1982; 48 FR 57472, Dec. 30, 1983; 50 FR 11993, Mar. 27, 1985; 50 FR 
47036, Nov. 14, 1985; 51 FR 11300, Apr. 2, 1986; 54 FR 32435, Aug. 8, 
1989; 56 FR 18506, Apr. 23, 1991; 63 FR 47423, Sept. 8, 1998]



Sec. 51.10  Part 53 of this chapter not applicable.

    No claim for indemnity for animals destroyed because of brucellosis 
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 regulations contained in this part.

[42 FR 64336, Dec. 23, 1977. Redesignated at 46 FR 13674, Feb. 23, 1981, 
and 47 FR 53324, Nov. 26, 1982; 50 FR 11993, Mar. 27, 1985]



            Subpart B_Indemnity for Sheep, Goats, and Horses

    Source: 69 FR 41912, July 13, 2004, unless otherwise noted.



Sec. 51.20  Definitions.

    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

[[Page 162]]

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.
    Affected herd/flock. Any herd or flock in which any cattle, bison, 
breeding swine, sheep, or goat has been classified as a brucellosis 
reactor and which has not been released from quarantine.
    Animal. Sheep, goats, and horses.
    Animal and Plant Health Inspection Service (APHIS). The Animal and 
Plant Health Inspection Service of the United States Department of 
Agriculture.
    APHIS representative. An individual employed by APHIS who is 
authorized to perform the function involved.
    Appraisal. An estimate of the fair market value of an animal to be 
destroyed because of brucellosis.
    Brucellosis exposed. Except for brucellosis reactors, animals that 
are part of a herd known to be affected, or are in a quarantined feedlot 
or a quarantined pasture, or are brucellosis suspects, or that have been 
in contact with a brucellosis reactor for a period of 24 hours or more, 
or for a period of less than 24 hours if the brucellosis reactor has 
aborted, calved, or farrowed within the past 30 days or has a vaginal or 
uterine discharge.
    Brucellosis reactor animal. (1) Any sheep or goat that has been 
determined by a designated brucellosis epidemiologist \1\ to be affected 
with brucellosis, based on test results, herd/flock history, and/or 
culture results. Any test used for cattle and bison under the APHIS 
official brucellosis eradication program (see part 78 of this chapter) 
may be used, but test results must be interpreted by a designated 
brucellosis epidemiologist.
---------------------------------------------------------------------------

    \1\ Requirements for designated brucellosis epidemiologists are 
contained in Veterinary Services Memorandum No. 551.10. A copy of this 
memorandum may be obtained from an APHIS representative, the State 
animal health official, or a State representative.
---------------------------------------------------------------------------

    (2) Any horse that has been determined by a designated brucellosis 
epidemiologist to be affected with brucellosis, based on epidemiological 
information or culture results, or positive results for brucellosis in 
accordance with one of the following tests:

------------------------------------------------------------------------
                   Test                           Positive results
------------------------------------------------------------------------
Standard plate test (SPT).................  If antibody titer positive
                                             at 1:100 dilution or
                                             higher.
Standard tube test (STT)..................  If antibody titer positive
                                             at 1:100 dilution or
                                             higher.
Rivanol test..............................  If antibody titer positive
                                             at 1:50 dilution or higher.
Particle concentration fluorescence         If reading is 0.3 or lower.
 immunoassay (PCFIA).
Complement fixation test (CF).............  If reading is 2+:20
                                             dilution.
------------------------------------------------------------------------

    (3) Any cattle, bison, or swine classified as a brucellosis reactor 
as provided in the definition of official test in Sec. 78.1 of this 
chapter.
    Condemn. The determination made by an APHIS representative, State 
representative, or accredited veterinarian that animals for which 
indemnity is sought under this subpart will be destroyed.
    Designated brucellosis epidemiologist. An epidemiologist selected by 
the State animal health official and the Veterinarian in Charge to 
perform the functions required. The regional epidemiologist and the 
APHIS brucellosis staff must concur in the selection and appointment of 
the designated epidemiologist.
    Destroyed. Condemned under State authority and slaughtered or 
otherwise dies.
    Flock. Any group of sheep maintained on common ground for any 
purpose, or two or more groups of sheep under common ownership or 
supervision, geographically separated but which have an interchange or 
movement of animals without regard to health status.
    Herd. Any group of goats, or mixed sheep and goats, maintained on 
common ground for any purpose, or two or more groups of goats, or two or 
more groups of mixed sheep and goats, under common ownership or 
supervision, geographically separated but which have an interchange or 
movement of animals without regard to health status.
    Herd/flock depopulation. Removal by slaughter or other means of 
destruction of all sheep or goats in a flock or herd, or from a specific 
premises or under common ownership prior to restocking such premises 
with new animals.

[[Page 163]]

    Mortgage. Any mortgage, lien, or interest that is recorded under 
State law or identified in the indemnity claim form filed in accordance 
with this subpart, and held by any person other than the one claiming 
indemnity.
    Official seal. A serially numbered metal strip consisting of a self-
locking device on one end and a slot on the other end, which forms a 
loop when the ends are engaged and which cannot be reused if opened, and 
is applied by a representative of the Veterinarian in Charge or the 
State animal health official.
    Owner. Any person who has legal or rightful title to sheep, goats, 
and horses, whether or not the animals are subject to a mortgage.
    Permit. An official document for movement of animals under this 
subpart issued by an APHIS representative, State representative, or 
accredited veterinarian listing the disease status and identification of 
the animal, where consigned, cleaning and disinfecting requirements, and 
proof of slaughter certification.
    Person. Any individual, corporation, company, association, firm, 
partnership, society, or joint stock company, or other legal entity.
    Registered sheep and goats. Sheep and goats for which individual 
records of ancestry are recorded and maintained by a breed association 
whose purpose is the improvement of the species, and for which 
individual registration certificates are issued and recorded by such 
breed association.
    State. Any State, the District of Columbia, Puerto Rico, the Virgin 
Islands of the United States, Guam, the Northern Mariana Islands, or any 
other territory or possession of the United States.
    State representative. An individual employed in animal health 
activities by a State or a political subdivision thereof, and who is 
authorized by such State or political subdivision to perform the 
function involved under a cooperative agreement with the United States 
Department of Agriculture.
    Veterinarian in Charge. The APHIS veterinary official who is 
assigned by the Administrator to supervise and perform the official 
animal health work of APHIS in the State or area concerned, or any 
person authorized to act for the Veterinarian in Charge.



Sec. 51.21  Cooperation with States.

    The Administrator has been delegated the authority to cooperate with 
the proper State authorities in the eradication of brucellosis and to 
pay indemnities for the destruction of brucellosis-reactor animals or 
brucellosis-exposed animals.



Sec. 51.22  Payment to owners for goats, sheep, and horses destroyed.

    (a) The Administrator may authorize the payment of Federal indemnity 
by the U.S. Department of Agriculture to any owner whose goats, sheep, 
or horses are destroyed after having been approved for destruction by 
APHIS.\1\ Goats or sheep must be destroyed as part of a whole herd/flock 
depopulation to be eligible for Federal indemnity.
---------------------------------------------------------------------------

    \1\ The Administrator will authorize payment of Federal indemnity by 
the U.S. Department of Agriculture as provided in Sec. 51.24: (a) As 
long as sufficient funds appropriated by Congress appear to be available 
for this purpose for the remainder of the fiscal year; (b) in States or 
areas not under Federal quarantine; (c) in States requesting payment of 
Federal indemnity; and (d) in States not requesting a lower rate.
---------------------------------------------------------------------------

    (b) The amount of Federal indemnity will be determined in accordance 
with the regulations in this part that were in effect on the date 
infected animals were found, or the date that the whole-herd/flock 
depopulation or destruction of individual animals was approved.
    (c) Prior to payment of indemnity, proof of destruction must be 
furnished to the Veterinarian in Charge.



Sec. 51.23  Eligibility for indemnity.

    Owners of animals destroyed because of brucellosis are eligible to 
receive Federal indemnity for their animals if the animals are:
    (a) Sheep and goats in an affected herd or flock;
    (b) Sheep and goats that were obtained from a herd or flock that was 
subsequently found to be an affected herd or flock. Epidemiological 
information such as test results, herd/flock history, and related 
evidence will be used to establish a probable date when the herd or 
flock was first affected with

[[Page 164]]

brucellosis. Animals removed from the herd or flock after that date will 
be considered exposed to the disease and eligible for indemnity; those 
removed before that date will not;
    (c) Individual horses that have been found to be brucellosis reactor 
animals.



Sec. 51.24  Maximum per-head indemnity amounts.

    Owners of the types of animals listed in Sec. 51.22 of this subpart 
are eligible to receive Federal indemnity for their animals. All animals 
must be individually appraised to determine their fair market value. The 
indemnity amount will be the appraised value minus the salvage value of 
the animal, up to a maximum of $20,000 per animal in the case of horses. 
An independent appraiser selected by the Administrator will conduct 
appraisals. APHIS will pay the cost of appraisals.



Sec. 51.25  Proof of destruction.

    The Veterinarian in Charge will accept any of the following 
documents as proof of destruction:
    (a) A postmortem report;
    (b) A meat inspection certification of slaughter;
    (c) A written statement by a State representative, APHIS 
representative, or accredited veterinarian attesting to the destruction 
of the animals;
    (d) A written, sworn statement by the owner or caretaker of the 
animal attesting to the destruction of the animals;
    (e) A permit (VS Form 1-27) consigning the animal from a farm or 
livestock market directly to a slaughter establishment; or
    (f) In unique situations where none of the documents listed above 
are available, other similarly reliable forms of proof of destruction.

(Approved by the Office of Management and Budget under control number 
0579-0185)



Sec. 51.26  Record of tests.

    An APHIS representative, State representative, or accredited 
veterinarian will compile, on an APHIS-approved form, a complete test 
record for each animal. The claimant must provide any information 
necessary to complete the form. The test record must include the type of 
test and the test results for each animal. It must also include the 
individual identification of each tested animal. Any unique, 
individually numbered identification is acceptable. The animal's owner 
and the appropriate State veterinarian's office will each receive a copy 
of the test record.

(Approved by the Office of Management and Budget under control number 
0579-0185)



Sec. 51.27  Identification of goats, sheep, and horses to be destroyed.

    The claimant must ensure that any goats, sheep, and horses for which 
indemnity is claimed are marked with unique, individually numbered 
identification showing they are to be destroyed. This must be done 
within 15 days after the animals are condemned. The Veterinarian in 
Charge may extend the time limit to 30 days when the Veterinarian in 
Charge receives a request for extension prior to the expiration date of 
the original 15-day period, and when the Veterinarian in Charge 
determines that the extension will not adversely affect the brucellosis 
eradication program. However, the Administrator may extend the time 
limit beyond 30 days when unusual or unforeseen circumstances occur that 
prevent or hinder the identification of the animal within 30 days, such 
as, but not limited to, floods, storms, or other Acts of God, which are 
beyond the control of the owner, or when identification is delayed due 
to requirements of another Federal agency.

(Approved by the Office of Management and Budget under control number 
0579-0185)



Sec. 51.28  Moving goats, sheep, and horses to be destroyed.

    Goats, sheep, and horses to be destroyed because of brucellosis must 
be accompanied by a permit and either:
    (a) Accompanied directly to slaughter by an APHIS or State 
representative; or
    (b) Moved in vehicles closed with official seals applied and removed 
by an APHIS representative, State representative, accredited 
veterinarian, or an individual authorized for this purpose by an APHIS 
representative. The official

[[Page 165]]

seal numbers must be recorded on the accompanying permit.

(Approved by the Office of Management and Budget under control number 
0579-0185)



Sec. 51.29  Destruction of animals; time limit.

    (a) The claimant must ensure that goats, sheep, and horses infected 
with or exposed to B. abortus are either:
    (1) Sold under permit to a recognized slaughtering establishment;
    (2) Moved to an approved stockyard for sale to a recognized 
slaughtering establishment; or
    (3) Destroyed and buried, incinerated, or rendered in accordance 
with applicable State law.
    (b) The claimant must ensure that goats and sheep destroyed because 
of B. melitensis are destroyed and buried, incinerated, or rendered in 
accordance with applicable State law.
    (c) Indemnity will be paid under this part only if the animals are 
destroyed within 15 days after the date they are marked with 
identification showing they are to be destroyed. However, the 
Veterinarian in Charge may extend the time limit to 30 days if:
    (1) The animals' owner asks the Veterinarian in Charge for an 
extension before the initial 15-day period expires, or the animals were 
sold for slaughter before the original 15-day period expires; and
    (2) The Veterinarian in Charge determines that extending the time 
limit will not adversely affect the Brucellosis Eradication Program.
    (d) The Administrator may extend the time limit beyond 30 days when 
unusual and unforeseen circumstances occur that prevent or hinder the 
destruction of the animals within 30 days, such as, but not limited to, 
floods, storms, or other Acts of God, which are beyond the control of 
the owner, or when destruction is delayed due to requirements of another 
Federal agency.

(Approved by the Office of Management and Budget under control number 
0579-0185)



Sec. 51.30  Claims for indemnity.

    (a) Claims for indemnity for goats, sheep, and horses destroyed 
because of brucellosis must be made using an indemnity claim form 
furnished by APHIS. On the form, the owner of the animals must certify 
whether the animals are subject to a mortgage. If the owner states there 
is a mortgage, the claim form must be signed by the owner and by each 
mortgage holder, consenting to the payment of any indemnity allowed to 
the owner. Payment will be made only if the claimant has submitted a 
complete indemnity claim form to the Veterinarian in Charge and the 
claim has been approved by the Veterinarian in Charge or by an APHIS 
representative designated by him or her. The Veterinarian in Charge or 
an APHIS representative designated by the Veterinarian in Charge will 
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 will receive a copy of the completed APHIS 
indemnity claim form. The owner is responsible for paying all fees for 
holding the animals on the farm pending disposal and for all trucking 
fees.
    (b) Claims for indemnity for registered sheep and registered goats 
must be accompanied by the animal's registration papers, issued in the 
name of the owner. If the registration papers are unavailable or if the 
animal is less than 1 year old and not registered at the time the claim 
for indemnity is submitted, the Veterinarian in Charge may grant a 60-
day extension or the Administrator may grant an extension longer than 60 
days for the presentation of registration papers. Any animal that is not 
registered but is eligible for registration at the time the claim is 
submitted will be considered unregistered unless the animal has been in 
the flock for less than 12 months.

(Approved by the Office of Management and Budget under control number 
0579-0185)



Sec. 51.31  Disinfecting premises, conveyances, and materials.

    All premises, including all structures, holding facilities, 
conveyances, and materials contaminated because they have been used by 
animals destroyed because of brucellosis, must be properly cleaned and 
disinfected in accordance with recommendations of the

[[Page 166]]

APHIS or State representative. Cleaning and disinfecting must be 
completed within 15 days from the date the animals were removed from the 
premises, except that the Veterinarian in Charge may extend the time 
limit for disinfection to 30 days when he or she receives a request 
prior the expiration date of the original 15 days, and when the 
Veterinarian in Charge determines that an extension will not adversely 
affect the Brucellosis Eradication Program. The Administrator may extend 
the time limit beyond 30 days when unusual and unforeseen circumstances 
occur that prevent or hinder disinfection of the premises, conveyances, 
and materials within 30 days, such as, but not limited to floods, 
storms, or other Acts of God, which are beyond the control of the owner. 
A premises may be exempted from such cleaning and disinfecting 
requirements if the APHIS or State representative recommends it in 
writing and the Veterinarian in Charge approves.

(Approved by the Office of Management and Budget under control number 
0579-0185)



Sec. 51.32  Claims not allowed.

    Claims for indemnity for goats, sheep, and horses destroyed because 
of brucellosis will not be allowed if any of the following circumstances 
exist:
    (a) The claimant has failed to comply with any of the requirements 
of this part;
    (b) The claim is based on a brucellosis test, and the person who 
administered the test was not properly trained, authorized, or certified 
at the time of the test;
    (c) Testing of goats, sheep, and horses in the herd or flock for 
brucellosis was not done under APHIS or State supervision, or by an 
accredited veterinarian;
    (d) There is substantial evidence that the claim is an unlawful or 
improper attempt to obtain indemnity; or
    (e) If, at the time of test or condemnation, the animals belonged to 
or were upon the premises of any person to whom they had been sold for 
slaughter, shipped for slaughter, or delivered for slaughter.



Sec. 51.33  Multiple indemnity payments.

    APHIS has indemnity programs for several other livestock diseases. 
However, if a claim is paid for indemnity for animals destroyed because 
of brucellosis, no other claims for indemnity will be paid for the same 
animals.



PART 52_SWINE DESTROYED BECAUSE OF PSEUDORABIES--Table of Contents




Sec.
52.1 Definitions.
52.2 Payment of indemnity.
52.3 Appraisal of swine.
52.4 Presentation of claims.
52.5 Report of net salvage proceeds.
52.6 Claims not allowed.
52.7 Disinfection of premises, conveyances, and materials.

    Authority: 7 U.S.C. 8301-8317; 7 CFR 2.22, 2.80, and 371.4.

    Source: 64 FR 2549, Jan. 15, 1999, unless otherwise noted.



Sec. 52.1  Definitions.

    Accredited veterinarian. A veterinarian approved by the 
Administrator in accordance with the provisions of part 161 of this 
chapter to perform functions specified in subchapters B, C, and D of 
this chapter.
    Administrator. The Administrator, Animal and Plant Health Inspection 
Service, or any other employee of the Animal and Plant Health Inspection 
Service, United States Department of Agriculture, delegated to act in 
the Administrator's stead.
    Animal and Plant Health Inspection Service (APHIS). The Animal and 
Plant Health Inspection Service of the United States Department of 
Agriculture.
    APHIS employee. Any individual employed by the Animal and Plant 
Health Inspection Service who is authorized by the Administrator to do 
any work or perform any duty in connection with the control and 
eradication of disease.
    Approved differential pseudorabies test. Any test for the diagnosis 
of pseudorabies that can distinguish vaccinated swine from infected 
swine; is produced under license from the Secretary of Agriculture under 
the Virus-Serum-Toxin Act of March 4, 1913, and subsequent amendments 
(21 U.S.C. 151 et seq.) with indications for use in the Cooperative 
State-Federal

[[Page 167]]

Pseudorabies Eradication Program; and is conducted in a laboratory 
approved by the Administrator.\1\
---------------------------------------------------------------------------

    \1\ The names and addresses of laboratories approved by the 
Administrator to conduct approved differential pseudorabies tests are 
published in the Notices Section of the Federal Register. A list of 
approved laboratories is also available upon request from the Animal and 
Plant Health Inspection Service, 4700 River Road Unit 37, Riverdale, 
Maryland 20737-1231. State, Federal, and university laboratories will be 
approved by the Administrator when he or she determines that the 
laboratory: employs personnel trained at the National Veterinary 
Services Laboratories assigned to supervise the testing; follows 
standard test protocols; meets check test proficiency requirements; and 
will report all test results to State and Federal animal health 
officials. Before the Administrator may withdraw approval of any 
laboratory for failure to meet any of these conditions, the 
Administrator must give written notice of the proposed withdrawal to the 
director of the laboratory, and must give the director an opportunity to 
respond. If there are conflicts as to any material fact, a hearing will 
be held to resolve the conflict.
---------------------------------------------------------------------------

    Department. The United States Department of Agriculture.
    Herd. Any group of swine maintained on common ground for any 
purpose, or two or more groups of swine under common ownership or 
supervision that are geographically separated but that are determined by 
an official pseudorabies epidemiologist to have an interchange or 
movement of animals that could cause the transmission of pseudorabies 
from one group to another.
    Inspector in charge. An APHIS employee who is designated by the 
Administrator to take charge of work in connection with the control and 
eradication of disease.
    Known infected breeding sow. Any breeding sow that has been 
determined to be infected with pseudorabies based on an official 
pseudorabies test or an approved differential pseudorabies test, or as 
diagnosed by an official pseudorabies epidemiologist as having 
pseudorabies.
    Known infected herd. Any herd in which swine have been determined to 
be infected with pseudorabies based on an official pseudorabies test or 
an approved differential pseudorabies test, or based on a diagnosis by 
an official pseudorabies epidemiologist.
    Materials. Parts of barns or other structures, straw, hay, and other 
feed for animals, farm products or equipment, clothing, and articles 
stored in or adjacent to barns or other structures.
    Mortgage. Any mortgage, lien, or other security or beneficial 
interest held by any person other than the one claiming indemnity.
    Net salvage. The amount received for swine destroyed because of 
pseudorabies, after deducting freight, trucking, yardage, commission, 
slaughtering charges, and similar costs to the owner.
    Official pseudorabies epidemiologist. A State or Federally employed 
veterinarian designated by the State animal health official and the 
veterinarian in charge to investigate and diagnose pseudorabies in 
livestock.
    Official pseudorabies test. Any test for the diagnosis of 
pseudorabies approved by the Administrator and conducted in a laboratory 
approved by the Administrator. The following tests for the diagnosis of 
pseudorabies have been approved by the Administrator: Microtitration 
Serum-Virus Neutralization Test; Virus Isolation and Identification 
Test; Fluorescent Antibody Tissue Section Test; Enzyme-Linked 
Immunosorbent Assay (ELISA) Test, except for approved differential 
pseudorabies tests other than the glycoprotein I (gpI) ELISA test; Latex 
Agglutination Test (LAT); and Particle Concentration Fluorescence 
Immunoassay (PCFIA) Test. \2\ State, Federal, and university 
laboratories will be approved by the Administrator following his 
determination that the laboratory: has personnel trained at the 
Veterinary Services Diagnostic Laboratory at Ames, Iowa, assigned to 
supervise the test; follows standard test protocol; meets check test 
proficiency requirements; and will report

[[Page 168]]

all test results to State and Federal animal health officials.\3\
---------------------------------------------------------------------------

    \2\ Copies of the test protocols (Recommended Minimum Standards for 
Diagnostic Tests Employed in the Diagnosis of Pseudorabies (Aujeszky's 
Disease) are available upon request from the Animal and Plant Health 
Inspection Service, Veterinary Services, Operational Support, 4700 River 
Road Unit 33, Riverdale, MD 20737-1231.
    \3\ Before the Administrator withdraws the approval of any 
laboratory, the Director of the laboratory will be given a notice by the 
Administrator of the proposed disapproval and the reasons for it, and 
the Director will have the opportunity to respond. In those instances 
where there are conflicts as to the facts, a hearing will be held to 
resolve such conflicts.
---------------------------------------------------------------------------

    Official seal. A serially numbered metal or plastic strip, 
consisting of a self-locking device on one end and a slot on the other 
end, that forms a loop when the ends are engaged and that cannot be 
reused if opened, or a serially numbered, self-locking button that can 
be used for this purpose.
    Permit. An official document for movement of swine under this part 
that is issued by an APHIS employee, State representative, or accredited 
veterinarian and that lists the disease status and individual 
identification of the animal, where consigned, cleaning and disinfection 
requirements, and proof of slaughter certification by a recognized 
slaughtering establishment.
    Person. Any individual, corporation, company, association, firm, 
partnership, society, joint stock company, or other legal entity.
    Pseudorabies. The contagious, infectious, and communicable disease 
of livestock and other animals, also known as Aujeszky's disease, mad 
itch, or infectious bulbar paralysis.
    Recognized slaughtering establishment. A slaughtering establishment 
operating under the Federal Meat Inspection Act (21 U.S.C. 601 et seq.) 
or a State meat inspection act. \4\
---------------------------------------------------------------------------

    \4\ A list of recognized slaughtering establishments is available 
upon request from the Animal and Plant Health Inspection Service, 4700 
River Road Unit 37, Riverdale, Maryland 20737-1231.
---------------------------------------------------------------------------

    Secretary. The Secretary of Agriculture of the United States, or any 
officer or employee of the Department delegated to act in the 
Secretary's stead.
    State. Each of the States of the United States, the District of 
Columbia, Puerto Rico, the Northern Mariana Islands, Guam, the Virgin 
Islands of the United States, or any other territory or possession of 
the United States.
    State representative. A person regularly employed in the animal 
health work of a State and who is authorized by that State to perform 
the function involved under a cooperative agreement with the United 
States Department of Agriculture.
    Veterinarian in charge. The veterinary official of Veterinary 
Services, APHIS, who is assigned by the Administrator to supervise and 
perform official animal health work for APHIS in the State concerned.

[64 FR 2549, Jan. 15, 1999, as amended at 65 FR 20711, Apr. 18, 2000; 68 
FR 6342, Feb. 7, 2003]



Sec. 52.2  Payment of indemnity.

    (a) Except as provided in paragraph (b) of this section, the 
Administrator is authorized to agree on the part of the Department to 
pay indemnity to the owner of herds of swine destroyed because the herds 
are known to be infected with pseudorabies, or individual breeding sows 
destroyed because they are known to be infected with pseudorabies. The 
amount of indemnity paid, together with the amount for net salvage the 
owner receives when the animals are slaughtered, shall not exceed the 
fair market value of the swine. Such swine must be sent directly to 
slaughter under permit in a conveyance closed with an official seal 
applied and removed by either an APHIS employee, a State representative, 
an accredited veterinarian, or an individual authorized for this purpose 
by an APHIS employee. The swine must be sent to a recognized 
slaughtering establishment.
    (b) If swine from herds that are destroyed because the herds are 
known to be infected with pseudorabies are not accepted at a recognized 
slaughtering establishment, or the owner and an APHIS employee or State 
representative agree they will not be accepted by a recognized 
slaughtering establishment, the Administrator is authorized to pay 100 
percent of the expenses of the purchase, destruction, and disposition of 
such swine.

(Approved by the Office of Management and Budget under control number 
0579-0151)

[65 FR 20711, Apr. 18, 2000]

[[Page 169]]



Sec. 52.3  Appraisal of swine.

    (a) Herds of swine and individual breeding sows to be destroyed 
because they are known to be infected with pseudorabies will be 
appraised by an APHIS employee and a representative of the State 
jointly, a representative of the State alone, or, if the State 
authorities approve, by an APHIS employee alone.
    (b) The appraisal of swine will be based on the fair market value as 
determined by the meat or breeding value of the animals. Animals may be 
appraised in groups, provided that where appraisal is by the head, each 
animal in the group is the same value per head, and where appraisal is 
by the pound, each animal in the group is the same value per pound.
    (c) Appraisals of swine must be reported on forms furnished by APHIS 
and signed by the owner of the swine. Reports of appraisals must show 
the number of swine and the value per head or the weight and value by 
pound.

(Approved by the Office of Management and Budget under control number 
0579-0137)

[64 FR 2549, Jan. 15, 1999, as amended at 65 FR 20711, Apr. 18, 2000]



Sec. 52.4  Presentation of claims.

    (a) When swine have been destroyed under Sec. 52.2(a), any claim 
for indemnity must be presented, along with the report of net salvage 
proceeds required under Sec. 52.5, to the veterinarian in charge on a 
form furnished by APHIS.
    (b) When swine have been destroyed under Sec. 52.2(b), any claim 
for indemnity must be presented, through the inspector in charge, to 
APHIS on a form furnished by APHIS.
    (c) For all claims for indemnity, the owner of the swine must 
certify on the claim form that the swine covered are, or are not, 
subject to any mortgage as defined in this part. If the owner states 
there is a mortgage, the owner and each person holding a mortgage on the 
swine must sign, consenting to the payment of indemnity to the person 
specified on the form.

(Approved by the Office of Management and Budget under control number 
0579-0137)

[65 FR 20711, Apr. 18, 2000]



Sec. 52.5  Report of net salvage proceeds.

    A report of the amount for net salvage derived from the sale of each 
animal for which a claim for indemnity is made under Sec. 52.2(a) must 
be made on a salvage form that shows the gross receipts, expenses if 
any, and net proceeds. The original or a copy of the salvage form must 
be furnished by the owner to the veterinarian in charge.

(Approved by the Office of Management and Budget under control number 
0579-0151)

[65 FR 20712, Apr. 18, 2000]



Sec. 52.6  Claims not allowed.

    (a) The Department will not allow claims arising out of the 
destruction of swine unless the swine have been appraised as prescribed 
in this part and the owners have signed a written agreement to the 
appraisals.
    (b) The Department will not allow claims arising out of the 
destruction of swine that have been moved or handled by the owner or a 
representative of the owner in violation of a law or regulation 
administered by the Secretary regarding animal disease, or in violation 
of a law or regulation for which the Secretary has entered into a 
cooperative agreement.

(Approved by the Office of Management and Budget under control number 
0579-0137)

[64 FR 2549, Jan. 15, 1999. Redesignated at 65 FR 20711, Apr. 18, 2000]



Sec. 52.7  Disinfection of premises, conveyances, and materials.

    All premises, including barns, stockyards and pens, and all cars and 
other conveyances, and the materials on any premises or conveyances used 
to house or transport swine for which indemnity is paid under this part 
must be cleaned and disinfected under the supervision of an APHIS 
employee after removal of the swine from the known infected herd. 
Premises may be restocked with swine 30 days following an approved 
cleaning and disinfection, unless an official pseudorabies 
epidemiologist determines that a shorter or longer period of time is 
adequate or necessary to protect new animals against infection. The 
owner to whom the indemnity is paid will be responsible for expenses 
incurred in connection with the cleaning

[[Page 170]]

and disinfection, except for cleaning and disinfection of the 
conveyances used to transport the swine to the location of disposal.

[64 FR 13065, Mar. 17, 1999. Redesignated at 65 FR 20711, Apr. 18, 2000]



PART 53_FOOT-AND-MOUTH DISEASE, PLEUROPNEUMONIA, RINDERPEST, AND CERTAIN OTHER 

COMMUNICABLE DISEASES OF LIVESTOCK OR POULTRY--Table of Contents




Sec.
53.1 Definitions.
53.2 Determination of existence of disease; agreements with States.
53.3 Appraisal of animals or materials.
53.4 Destruction of animals.
53.5 Disinfection or destruction of materials.
53.6 Disinfection of animals.
53.7 Disinfection of premises, conveyances, and materials.
53.8 Presentation of claims.
53.9 Mortgage against animals or materials.
53.10 Claims not allowed.

    Authority: 7 U.S.C. 8301-8317; 7 CFR 2.22, 2.80, and 371.4.

    Cross Reference: For non-applicability of part 53 with respect to 
certain claims for indemnity, see Sec. 51.10 of this chapter.



Sec. 53.1  Definitions.

    Accredited veterinarian. A veterinarian approved by the 
Administrator in accordance with part 161 of this chapter to perform 
functions specified in parts 1, 2, 3, and 11 of subchapter A of this 
chapter 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).
    Animals. Livestock, poultry, and all other members of the animal 
kingdom, including birds whether domesticated or wild, but not including 
man.
    APHIS employee. Any individual employed by the Animal and Plant 
Health Inspection Service who is authorized by the Administrator to do 
any work or perform any duty in connection with the control and 
eradication of disease.
    Bird. Any member of the class aves other than poultry.
    Department. The United States Department of Agriculture.
    Disease. Foot-and-mouth disease, rinderpest, contagious 
pleuropneumonia, exotic Newcastle disease, highly pathogenic avian 
influenza, infectious salmon anemia, spring viremia of carp, or any 
other communicable disease of livestock or poultry that in the opinion 
of the Secretary constitutes an emergency and threatens the livestock or 
poultry of the United States.
    Exotic Newcastle Disease (END). Any velogenic Newcastle disease. 
Exotic Newcastle disease is an acute, rapidly spreading, and usually 
fatal viral disease of birds and poultry.
    Highly pathogenic avian influenza. (1) Any influenza virus that 
kills at least 75 percent of eight 4- to 6-week-old susceptible chickens 
within 10 days following intravenous inoculation with 0.2 ml of a 1:10 
dilution of a bacteria-free, infectious allantoic fluid;
    (2) Any H5 or H7 virus that does not meet the criteria in paragraph 
(1) of this definition, but has an amino acid sequence at the 
hemagglutinin cleavage site that is compatible with highly pathogenic 
avian influenza viruses; or
    (3) Any influenza virus that is not an H5 or H7 subtype and that 
kills one to five chickens and grows in cell culture in the absence of 
trypsin.
    Inspector in charge. An APHIS employee who is designated by the 
Administrator to take charge of work in connection with the control and 
eradication of disease.
    ISA Program veterinarian. The APHIS veterinarian assigned to manage 
the infectious salmon anemia program for APHIS in the State of Maine and 
who reports to the Area Veterinarian in Charge.
    Materials. Parts of barns or other structures, straw, hay, and other 
feed for animals, farm products or equipment, clothing, and articles 
stored in or adjacent to barns or other structures.
    Mortgage. Any mortgage, lien, or other security or beneficial 
interest

[[Page 171]]

held by any person other than the one claiming indemnity.
    Person. Any individual, corporation, company, association, firm, 
partnership, society, joint stock company, or other legal entity.
    Pet bird. Any bird that is kept for personal pleasure and is not for 
sale.
    Poultry. Chickens, ducks, geese, swans, turkeys, pigeons, doves, 
pheasants, grouse, partridges, quail, guinea fowl, and pea fowl.
    Secretary. The Secretary of Agriculture of the United States, or any 
officer or employee of the Department to whom authority has been or may 
be delegated to act in the Secretary's stead.
    State. Each of the States of the United States, the District of 
Columbia, Puerto Rico, the Northern Mariana Islands, Guam, the Virgin 
Islands of the United States, or any other territory or possession of 
the United States.

[61 FR 56882, Nov. 5, 1996, as amended at 67 FR 17610, Apr. 11, 2002; 69 
FR 27827, May 17, 2004]



Sec. 53.2  Determination of existence of disease; agreements with States.

    (a) The Administrator is hereby authorized to invite the proper 
State authorities to cooperate with the Department in the control and 
eradication of any disease within the meaning of Sec. 53.1.
    (b) Upon agreement of the authorities of the State to enforce 
quarantine restrictions and orders and directives properly issued in the 
control and eradication of such a disease, the Administrator is hereby 
authorized to agree, on the part of the Department, to cooperate with 
the State in the control and eradication of the disease, and, except as 
provided in Sec. 53.11, to pay 50 percent (and in the case of exotic 
Newcastle disease or highly pathogenic avian influenza, up to 100 
percent, and in the case of infectious salmon anemia, up to 60 percent) 
of the expenses of purchase, destruction and disposition of animals and 
materials required to be destroyed because of being contaminated by or 
exposed to such disease: Provided, however, That if the animals were 
exposed to such disease prior to or during interstate movement and are 
not eligible to receive indemnity from any State, the Department may pay 
up to 100 percent of the purchase, destruction, and disposition of 
animals and materials required to be destroyed: Provided, further, That 
the cooperative program for the purchase, destruction, and disposition 
of birds shall be limited to birds which are identified in documentation 
pursuant to Cooperative Agreements,\1\ as constituting a threat to the 
poultry industry of the United States: And provided further, That the 
Secretary may authorize other arrangements for the payment of such 
expenses upon finding that an extraordinary emergency exists.
---------------------------------------------------------------------------

    \1\ Agreements between the Departments and the particular State 
involved relating to cooperative animal (including poultry) disease 
prevention, control, and eradication.

[37 FR 5689, Mar. 18, 1972, as amended at 49 FR 3448, Jan. 27, 1984; 49 
FR 26712, June 29, 1984; 61 FR 56883, Nov. 5, 1996; 67 FR 17610, Apr. 
11, 2002; 67 FR 67095, Nov. 4, 2002]



Sec. 53.3  Appraisal of animals or materials.

    (a) Animals affected by or exposed to disease, and materials 
required to be destroyed because of being contaminated by or exposed to 
disease shall be appraised by an APHIS employee and a representative of 
the State jointly, or, if the State authorities approve, by an APHIS 
employee alone.
    (b) The appraisal of animals shall be based on the fair market value 
and shall be determined by the meat, egg production, dairy or breeding 
value of such animals. Animals may be appraised in groups providing they 
are the same species and type and providing that where appraisal is by 
the head each animal in the group is the same value per head or where 
appraisal is by the pound each animal in the group is the same value per 
pound.
    (c) Appraisals of animals shall be reported on forms furnished by 
APHIS. Reports of appraisals shall show the number of animals of each 
species and the value per head or the weight and value by pound.
    (d) Appraisals of materials shall be reported on forms furnished by 
APHIS. Reports of appraisals of materials shall, when practicable, show 
the number, size or quantity, unit price, and

[[Page 172]]

total value of each kind of material appraised.

[28 FR 5935, June 13, 1963, as amended at 35 FR 13981, Sept. 3, 1970; 36 
FR 25217, Dec. 30, 1971; 56 FR 51974, Oct. 17, 1991; 68 FR 6343, Feb. 7, 
2003]



Sec. 53.4  Destruction of animals.

    (a) Except as provided in paragraph (b) of this section, animals 
infected with or exposed to disease shall be killed promptly after 
appraisal and disposed of by burial or burning, unless otherwise 
specifically provided by the Administrator, at his or her discretion. In 
the case of animals depopulated due to spring viremia of carp or 
infectious salmon anemia, salvageable fish may be sold for rendering, 
processing, or any other purpose approved by the Administrator. The 
proceeds gained from the sale of the fish will be subtracted from any 
payment from APHIS for which the producer or owner is eligible under 
Sec. 53.2(b) or Sec. 53.11.
    (b) [Reserved]
    (c) The killing of animals and the burial, burning, or other 
disposal of carcasses of animals pursuant to the regulations in this 
part shall be supervised by an APHIS employee who shall prepare and 
transmit to the Administrator a report identifying the animals and 
showing the disposition thereof.

[28 FR 5935, June 13, 1963, as amended at 56 FR 51974, Oct. 17, 1991; 67 
FR 67095, Nov. 4, 2002; 68 FR 42569, July 18, 2003; 69 FR 27827, May 17, 
2004; 71 FR 56323, Sept. 26, 2006]



Sec. 53.5  Disinfection or destruction of materials.

    (a) In order to prevent the spread of disease, materials 
contaminated by or exposed to disease shall be disinfected: Provided, 
however, That in all cases in which the cost of disinfection would 
exceed the value of the materials or disinfection would be impracticable 
for any reason, the materials shall be destroyed, after appraisal as 
provided in Sec. 53.3.
    (b) The disinfection or destruction of materials under this section 
shall be under the supervision of an APHIS employee who shall prepare 
and transmit to the Administrator a certificate identifying all 
materials which are destroyed, showing the disposition thereof.

[28 FR 5935, June 13, 1963, as amended at 56 FR 51974, Oct. 17, 1991]



Sec. 53.6  Disinfection of animals.

    Animals of species not susceptible to the disease for which a 
quarantine has been established, but which have been exposed to the 
disease, shall be disinfected when necessary by such methods as the 
Administrator shall prescribe from time to time.

[28 FR 5935, June 13, 1963, as amended at 56 FR 51974, Oct. 17, 1991]



Sec. 53.7  Disinfection of premises, conveyances, and materials.

    All premises, including barns, corrals, stockyards and pens, and all 
cars, vessels, aircraft, and other conveyances, and the materials 
thereon, shall be cleaned and disinfected under supervision of an APHIS 
employee whenever necessary for the control and eradication of disease. 
Expenses incurred in connection with such cleaning and disinfection 
shall be shared according to the agreement reached under Sec. 53.2 with 
the State in which the work is done. In the case of low pathogenic avian 
influenza related to the 2002 disease situations in Virginia and Texas 
associated with the H5 or H7 virus, premises may not be restocked with 
poultry until at least 7 days following such cleaning and disinfection, 
unless the Administrator determines that a shorter or longer period of 
time is adequate or necessary to protect new poultry against infection.

[68 FR 42569, July 18, 2003]



Sec. 53.8  Presentation of claims.

    (a) Claims for the following must be presented to APHIS, through the 
inspector in charge, on a form approved by the Administrator:
    (1) Compensation for the value of animals;
    (2) The cost of burial, burning, or other disposition of animals;
    (3) The value of material destroyed; and
    (4) The expenses of destruction.

[[Page 173]]

    (b) [Reserved]

(Approved by the Office of Management and Budget under control number 
0579-0208)

[67 FR 67095, Nov. 4, 2002, as amended at 68 FR 42570, July 18, 2003; 71 
FR 56323, Sept. 26, 2006]



Sec. 53.9  Mortgage against animals or materials.

    When animals or materials have been destroyed pursuant to the 
requirements contained in this part, any claim for indemnity shall be 
presented on forms furnished by APHIS on which the owner of the animals 
or materials shall certify that the animals or materials covered 
thereby, are, or are not, subject to any mortgage as defined in this 
part. If the owner states there is a mortgage, forms furnished by APHIS 
shall be signed by the owner and by each person holding a mortgage on 
the animals or materials, consenting to the payment of any indemnity 
allowed to the person specified thereon.

[28 FR 5935, June 13, 1963, as amended at 56 FR 51974, Oct. 17, 1991]



Sec. 53.10  Claims not allowed.

    (a) The Department will not allow claims arising under the terms of 
this part if the payee has not complied with all quarantine 
requirements.
    (b) Expenses for the care and feeding of animals held for 
destruction will not be paid by the Department, unless the payment of 
such expense is specifically authorized or approved by the 
Administrator.
    (c) The Department will not allow claims arising out of the 
destruction of animals or materials unless they shall have been 
appraised as prescribed in this part and the owners thereof shall have 
executed a written agreement to the appraisals.
    (d) The Department will not allow claims arising out of the 
destruction of animals or materials which have been moved or handled by 
the owner thereof or its officer, employee, or agent, acting within the 
scope of his or its office, employment or agency, in violation of a law 
or regulation administered by the Secretary for the prevention of the 
introduction into or the dissemination within the United States of any 
communicable disease of livestock or poultry for which the animal or 
material was destroyed, or in violation of a law or regulation for the 
enforcement of which the Secretary enters or has entered into a 
cooperative agreement for the control and eradication of such disease.
    (e) The Department will not allow claims arising out of the 
destruction of fish due to infectious salmon anemia (ISA) unless the 
claimants have agreed in writing to participate fully in the cooperative 
ISA control program administered by APHIS and the State of Maine. 
Participants in the ISA control program must:
    (1) Establish and maintain a veterinary client-patient relationship 
with an APHIS accredited veterinarian and inform the ISA Program 
Veterinarian in writing of the name of their accredited veterinarian at 
the time the participant enrolls in the ISA program and within 15 days 
of any change in accredited veterinarians.
    (2) Cooperate with and assist in periodic on-site disease 
surveillance, testing, and reporting activities for ISA, which will be 
conducted by their APHIS accredited veterinarian or a State or Federal 
official as directed by the ISA Program Veterinarian.
    (3) Develop and implement biosecurity protocols for use at all 
participant-leased finfish sites and participant-operated vessels 
engaged in aquaculture operations throughout Maine. A copy of these 
protocols shall be submitted to the ISA Program Veterinarian at the time 
the participant enrolls in the ISA program and within 15 days of any 
change in the protocols.
    (4) Develop, with the involvement of the participant's accredited 
veterinarian and the fish site health manager, a site-specific ISA 
action plan for the control and management of ISA. A copy of the action 
plan shall be submitted to APHIS for review at the time the participant 
enrolls in the ISA program and within 15 days of any change in the 
action plan.
    (5) Participate in the State of Maine's integrated pest management 
(IPM) program for the control of sea lice on salmonids. A copy of the 
management plan developed by the participant for the State IPM program 
shall be submitted to APHIS for review at

[[Page 174]]

the time the participant enrolls in the ISA program and within 15 days 
of any change in the management plan.
    (6) Submit to the ISA Program Veterinarian at the time the 
participant enrolls in the ISA program a complete and current fish 
inventory information for each participant-leased finfish site with site 
and cage identifiers. Fish inventory information must include the 
numbers, age, date of saltwater transfer, vaccination status, and 
previous therapeutant history for all fish in each participant-leased 
finfish site.
    (7) Maintain, and make available to the ISA Program Veterinarian 
upon request, mortality data for each participant-leased finfish site 
and pen in production.
    (8) Cooperate with and assist APHIS in the completion of biosecurity 
audits at all participant-leased finfish sites and participant-operated 
vessels involved in salmonid aquaculture.
    (f) The Department will not allow claims arising out of the 
destruction of fish due to spring viremia of carp (SVC) unless the 
claimants have done the following:
    (1) Depopulated all SVC-infected and SVC-exposed fish on their 
property under the supervision of USDA or State officials;
    (2) Thoroughly cleaned and disinfected all affected sites and all 
affected equipment under the supervision of USDA or State officials;
    (3) If an affected site is to be restocked after cleaning and 
disinfection, the claimant must have done the following:
    (i) Restocked with fish certified free of SVC by an APHIS-approved 
laboratory or in accordance with the diagnostic procedures described in 
the Office of International des Epizooties Manual of Diagnostic Tests 
For Aquatic Animals;
    (ii) Demonstrated that their water sources are from first-use spring 
water, spring water without fish, well water, ozone or ultraviolet 
treated surface water, or bore-hole water and are free of wild carp and 
any other SVC-susceptible species; and
    (iii) Prevented the migration of wild carp and any other wild SVC-
susceptible species into their farming establishment.

(Approved by the Office of Management and Budget under control number 
0579-0192)

[28 FR 5935, June 13, 1963, as amended at 45 FR 86411, Dec. 31, 1980; 56 
FR 51974; 67 FR 17611, Apr. 11, 2002; 69 FR 27827, May 17, 2004]



PART 54_CONTROL OF SCRAPIE--Table of Contents




Sec.
54.1 Definitions.
54.2 Cooperative agreements and memoranda of understanding with States.

                Subpart A_Scrapie Indemnification Program

54.3 Animals eligible for indemnity payments.
54.4 Application by owners for indemnity payments.
54.5 Certification by owners.
54.6 Amount of indemnity payments.
54.7 Procedures for destruction of animals.
54.8 Requirements for flock plans and post-exposure management and 
          monitoring plans.
54.9 Waiver of requirements for scrapie control pilot projects.
54.10 Tests for scrapie.
54.11 Approval of laboratories to run official scrapie tests and 
          official genotype tests.

              Subpart B_Scrapie Flock Certification Program

54.20 Administration.
54.21 Participation.
54.22 State scrapie certification boards.

    Authority: 7 U.S.C. 8301-8317; 7 CFR 2.22, 2.80, and 371.4.

    Source: 66 FR 43982, Aug. 21, 2001, unless otherwise noted.



Sec. 54.1  Definitions.

    Accredited veterinarian. A veterinarian approved by the 
Administrator in accordance with part 161 of this chapter to perform 
functions specified in subchapters B, C, and D of this chapter.
    Administrator. The Administrator of the Animal and Plant Health 
Inspection Service or any employee of the United States Department of 
Agriculture authorized to act for the Administrator.
    Animal. A sheep or goat.
    Animal and Plant Health Inspection Service (APHIS). The Animal and 
Plant

[[Page 175]]

Health Inspection Service of the United States Department of 
Agriculture.
    APHIS representative. An individual employed by APHIS in animal 
health activities who is authorized by the Administrator to perform the 
function involved.
    Approved laboratory. A laboratory approved by the Administrator in 
accordance with Sec. 54.11 to conduct one or more scrapie tests, or 
genotype tests, on one or more tissues.
    Approved test. A test for the diagnosis of scrapie approved by the 
Administrator for use in the scrapie eradication or certification 
program in accordance with Sec. 54.10.
    Area veterinarian in charge. The veterinary official of APHIS who is 
assigned by the Administrator to supervise and perform the official 
animal health work of APHIS in the State concerned.
    Breed association and registries. Organizations listed in Sec. 
151.9 of this chapter that maintain the permanent records of ancestry or 
pedigrees of animals (including the animal's sire and dam), individual 
identification of animals, and ownership of animals.
    Certificate. An official document issued in accordance with Sec. 
79.5 of this chapter by an APHIS representative, State representative, 
or accredited veterinarian at the point of origin of an interstate 
movement of animals.
    Commingle, commingled, commingling. Animals grouped together and 
having physical contact with each other, including contact through a 
fence, but not limited contacts. Commingling also includes sharing the 
same section in a transportation unit where there is physical contact.
    Designated scrapie epidemiologist. An epidemiologist who has 
demonstrated the knowledge and ability to perform the functions required 
and who has been selected by the State animal health official and the 
area veterinarian in charge. The regional epidemiologist and the APHIS 
National Scrapie Program Coordinator must concur in the selection and 
appointment of the designated scrapie epidemiologist. The designated 
scrapie epidemiologist must satisfactorily complete training designated 
by APHIS.
    Destroyed. (1) Euthanized by means other than slaughter, and the 
carcass disposed of, by means authorized by the Administrator; or
    (2) In the case of exposed or high-risk animals that are not known 
to be infected, either euthanized or disposed of by slaughter; or
    (3) Moved to a quarantined research facility if the movement has 
been approved by the Administrator.
    Electronic implant. Any radio frequency identification implant 
device approved for use in the scrapie program by the Administrator. The 
Administrator will approve an electronic implant after determining that 
it is tamper resistant, not harmful to the animal, and readable by 
equipment available to APHIS and State representatives.
    Exposed animal. (1) Any animal that has been in the same flock at 
the same time as a scrapie-positive female animal, excluding limited 
contacts; or
    (2) Any animal born in a flock after a scrapie-positive animal was 
born into that flock or lambed in that flock, if born before that flock 
completes the requirements of a flock plan; or
    (3) Any animal that was commingled with a scrapie-positive female 
animal during or up to 30 days after she lambed, kidded, or aborted, or 
while a visible vaginal discharge was present, or that was commingled 
with any other scrapie-positive female animal for 24 hours or more, 
including during activities such as shows and sales or while in 
marketing channels; or
    (4) Any animal in a noncompliant flock.
    Exposed flock. Any flock in which a scrapie-positive animal was born 
or lambed. Any flock that currently contains a female high-risk, 
exposed, or suspect animal, or that once contained a female high-risk, 
exposed, or suspect animal that lambed in the flock and from which 
tissues were not submitted for official testing and found negative. A 
flock that has completed a post-exposure management and monitoring plan 
following the exposure will no longer be an exposed flock.
    Flock. All animals that are maintained on a single premises and all 
animals under common ownership or supervision on two or more premises 
with

[[Page 176]]

animal interchange between the premises. Changes in ownership of part or 
all of a flock do not change the identity of the flock or the regulatory 
requirements applicable to the flock. Animals maintained temporarily on 
a premises for activities such as shows and sales or while in marketing 
channels are not a flock. More than one flock may be maintained on a 
single premises if:
    (1) The flocks are enrolled as separate flocks in the SFCP; or
    (2) A State or APHIS representative determines, based upon 
examination of flock records, that:
    (i) There is no interchange of animals between the flocks;
    (ii) The flocks never commingle and are kept at least 30 feet apart 
at all times or are separated by a solid wall through, over, or under 
which fluids cannot pass and through which contact cannot occur;
    (iii) The flocks have separate flock records and identification;
    (iv) The flocks have separate lambing facilities, including 
buildings and pastures, and a pasture or building used for lambing by 
one flock is not used by the other flock at any time; and
    (v) The flocks do not share equipment without cleaning and 
disinfection in accordance with Sec. 54.7(e). Additional guidance on 
acceptable means of cleaning and disinfection is also available in the 
Scrapie Flock Certification Program standards and the Scrapie 
Eradication Uniform Methods and Rules.
    Flock of origin. The flock in which an animal most recently resided 
in which it either was born, gave birth, or was used for breeding 
purposes. The determination of an animal's flock of origin may be based 
either on the physical presence of the animal in the flock, the presence 
of official identification on the animal traceable to the flock, the 
presence of other identification on the animal that is listed on the 
bill of sale, or other evidence, such as registry records.
    Flock plan. A written flock management agreement signed by the owner 
of a flock, the accredited veterinarian, if one is employed by the 
owner, and a State or APHIS representative in which each participant 
agrees to undertake actions specified in the flock plan to control the 
spread of scrapie from, and eradicate scrapie in, an infected flock or 
source flock or to reduce the risk of the occurrence of scrapie in a 
flock that contains a high-risk or an exposed animal. As part of a flock 
plan, the flock owner must provide the facilities and personnel needed 
to carry out the requirements of the flock plan. The flock plan must 
include the requirements in Sec. 54.8(a) through (f).
    Flock sire. A sexually intact male animal that has ever been used 
for breeding in a flock.
    High-risk animal. A sexually intact animal, excluding male sheep 
that have tested RR at codon 171 and AA at codon 136 using an official 
genotype test, that is:
    (1) The progeny of a scrapie-positive dam; or
    (2) Born in the same flock during the same lambing season as progeny 
of a scrapie-positive dam, unless the progeny of the scrapie-positive 
dam are from separate contemporary lambing groups; or
    (3) Born in the same flock during the same lambing season that a 
scrapie-positive animal was born, or during any subsequent lambing 
season, if born before that flock completes the requirements of a flock 
plan; or
    (4) An exposed female sheep that has not tested QR, HR, or RR at 
codon 171 using an official genotype test.
    Infected flock. The flock of origin of a female animal that a State 
or APHIS representative has determined to be a scrapie-positive animal; 
or any flock in which a State or APHIS representative has determined 
that a scrapie-positive female animal has resided unless an 
epidemiologic investigation conducted by a State or APHIS representative 
shows that the animal did not lamb or abort in the flock. A flock will 
no longer be considered an infected flock after it has completed the 
requirements of a flock plan.
    Limited contacts. Incidental contacts between animals from different 
flocks off the flock's premises such as at fairs, shows, exhibitions and 
sales; between ewes being inseminated, flushed, or implanted; or between 
rams at ram test or collection stations. Embryo transfer and artificial 
insemination equipment

[[Page 177]]

and surgical tools must be sterilized between animals for these contacts 
to be considered limited contacts. Limited contacts do not include any 
contact, incidental or otherwise, with animals in the same flock or with 
a female animal during or up to 30 days after she lambed, kidded or 
aborted or when there is any visible vaginal discharge. Limited contacts 
do not include any activity where uninhibited contact occurs, such as 
sharing an enclosure, sharing a section of a transport vehicle, or 
residing in other flocks for breeding or other purposes. Examples of 
limited contacts may be found in the Scrapie Flock Certification Program 
standards.
    Live-animal screening test. Any test for the diagnosis of scrapie in 
a live animal that is approved by the Administrator as usually reliable 
but not definitive for diagnosing scrapie, and that is conducted in a 
laboratory approved by the Administrator.\1\
---------------------------------------------------------------------------

    \1\ The names and addresses of laboratories approved by the 
Administrator to conduct live-animal screening tests will be published 
in the Notices Section of the Federal Register. A list of approved 
laboratories is also available upon request from the Animal and Plant 
Health Inspection Service, Veterinary Services, National Animal Health 
Programs Staff, 4700 River Road Unit 43, Riverdale, MD 20737-1235. 
State, Federal, and university laboratories will be approved by the 
Administrator when he or she determines that the laboratory: (a) Employs 
personnel trained by the National Veterinary Services Laboratories 
assigned to supervise the testing; (b) follows standard test protocols; 
(c) meets check test proficiency requirements; and (d) will report all 
test results to State and Federal animal health officials. Before the 
Administrator may withdraw approval of any laboratory for failure to 
meet any of these conditions, the Administrator must give written notice 
of the proposed withdrawal to the director of the laboratory and must 
give the director an opportunity to respond. If there are conflicts as 
to any material fact, a hearing will be held to resolve the conflicts.
---------------------------------------------------------------------------

    Mortgage. Any mortgage, lien, or other security or interest held by 
any person other than the one claiming indemnity.
    National Scrapie Database. A database designated by the 
Administrator in which APHIS and State animal health agencies 
cooperatively enter data concerning scrapie outbreaks, flocks and 
premises affected by scrapie, individual animal identification and 
premises identification data, and other data to support the Scrapie 
Eradication Program and the Scrapie Flock Certification Program.
    National Veterinary Services Laboratories (NVSL). The National 
Veterinary Services Laboratories, APHIS, U.S. Department of Agriculture, 
or an NVSL cooperating or contract laboratory.
    Noncompliant flock. (1) Any source or infected flock whose owner 
declines to enter into a flock plan or post-exposure management and 
monitoring plan agreement within 30 days of being so designated, or 
whose owner is not in compliance with either agreement;
    (2) Any exposed flock whose owner fails to make animals available 
for testing within 60 days of notification, or as mutually agreed, or 
whose owner fails to submit required postmortem samples;
    (3) Any flock whose owner has misrepresented, or who employs a 
person who has misrepresented, the scrapie status of an animal or any 
other information on a certificate, permit, owner statement, or other 
official document within the last 5 years; or
    (4) Any flock whose owner or manager has moved, or who employs a 
person who has moved, an animal in violation of this chapter within the 
last 5 years.
    Official genotype test. Any test to determine the genotype of a live 
or dead animal that is conducted at either an approved laboratory or at 
the National Veterinary Services Laboratories, when the animal is 
officially identified and the samples used for the test are collected 
and shipped to the laboratory by either an accredited veterinarian or a 
State or APHIS representative
    Official test. Any test for the diagnosis of scrapie in a live or 
dead animal that is approved by the Administrator for that use and 
conducted either at an approved laboratory or at the National Veterinary 
Services Laboratories.
    Owner. A person, partnership, company, corporation, or any other 
legal entity who has legal or rightful title to animals, whether or not 
they are subject to a mortgage.
    Post-exposure management and monitoring plan. A written agreement 
signed

[[Page 178]]

by the owner of a flock, any accredited veterinarian employed by the 
owner, and a State or APHIS representative in which each participant 
agrees to undertake actions specified in the agreement to monitor for 
the occurrence of scrapie in the flock for at least 5 years after the 
last high-risk or scrapie-positive animal is removed from the flock or 
after the last exposure of the flock to a scrapie-positive animal, 
unless otherwise specified by a State or APHIS representative. As part 
of a post-exposure management and monitoring plan, the flock owner must 
provide the facilities and personnel needed to carry out the 
requirements of the plan. The plan must include the requirements in 
Sec. 54.8.
    Scrapie control pilot project. A pilot project authorized by the 
Administrator in writing, designed to test or improve program procedures 
or to facilitate research, in order to control and eradicate scrapie. In 
addition to APHIS, participants may include State animal health 
agencies, flock owners, and other parties as necessary.
    Scrapie Eradication Program. The cooperative State-Federal program 
administered by APHIS and Consistent States to control and eradicate 
scrapie.
    Scrapie Eradication Uniform Methods and Rules (UM&R). Cooperative 
procedures and standards adopted by APHIS and Consistent States for 
controlling and eradicating scrapie. The UM&R will be reviewed at least 
annually by representatives of the livestock industry and appropriate 
State and Federal agencies and the public and will be revised, and 
published as needed by APHIS.
    Scrapie Flock Certification Program (SFCP). The cooperative Federal-
State-industry voluntary program for the control of scrapie conducted in 
accordance with this subpart.
    Scrapie Flock Certification Program standards. Cooperative 
procedures and standards adopted by APHIS and State scrapie 
certification boards for reducing the incidence and controlling the 
spread of scrapie through flock certification.\2\
---------------------------------------------------------------------------

    \2\ Individual copies of the Scrapie Flock Certification Program 
standards may be obtained on the World Wide Web at URL http://
www.aphis.usda.gov/vs/scrapie, or from the Animal and Plant Health 
Inspection Service, National Animal Health Programs Staff, 4700 River 
Road Unit 43, Riverdale, MD 20737-1235.
---------------------------------------------------------------------------

    Scrapie-positive animal. An animal for which a diagnosis of scrapie 
has been made by the National Veterinary Services Laboratories or 
another laboratory authorized by the Administrator to conduct scrapie 
tests in accordance with this part, through:
    (1) Histopathological examination of central nervous system (CNS) 
tissues from the animal for characteristic microscopic lesions of 
scrapie;
    (2) The use of proteinase-resistant protein analysis methods 
including but not limited to immunohistochemistry and/or western 
blotting on CNS and/or peripheral tissue samples from a live or a dead 
animal for which a given method has been approved by the Administrator 
for use on that tissue;
    (3) Bioassay;
    (4) Scrapie associated fibrils (SAF) detected by electron 
microscopy; or
    (5) Any other test method approved by the Administrator in 
accordance with Sec. 54.10.\3\
---------------------------------------------------------------------------

    \3\ The names and addresses of laboratories approved by the 
Administrator to conduct tests are published in the Notices Section of 
the Federal Register. A list of approved laboratories is also available 
upon request from the Animal and Plant Health Inspection Service, 
Veterinary Services, National Animal Health Programs Staff, 4700 River 
Road Unit 43, Riverdale, MD 20737-1235. State, Federal, and university 
laboratories will be approved by the Administrator when he or she 
determines that the laboratory: (a) Employs personnel trained by the 
National Veterinary Services Laboratories assigned to supervise the 
testing; (b) follows standard test protocols; (c) meets check test 
proficiency requirements; and (d) will report all test results to State 
and Federal animal health officials. Before the Administrator may 
withdraw approval of any laboratory for failure to meet any of these 
conditions, the Administratr must give written notice of the proposed 
withdrawal to the director of the laboratory and must give the director 
an opportunity to respond. If there are conflicts as to any material 
fact, a hearing will be held to resolve the conflict.
---------------------------------------------------------------------------

    Separate contemporary lambing groups. To be a separate contemporary 
lambing group, the group must be maintained separately such that the 
animals cannot come into physical contact with other lambs, kids, ewes 
or

[[Page 179]]

does or birth fluids or placenta from other ewes or does. This separate 
maintenance must preclude contact through a fence, during lambing and 
for 60 days following the date the last lamb or kid is born in a lambing 
season, and must preclude using the same lambing facility as other ewes 
or does, unless the lambing facility is cleaned and disinfected under 
supervision by an APHIS representative, State representative, or an 
accredited veterinarian between lambings in accordance with Sec. 
54.7(e). Additional guidance on acceptable means of cleaning and 
disinfection is also available in the Scrapie Flock Certification 
Program standards and the Scrapie Eradication Uniform Methods and Rules. 
The flock owner must maintain adequate records to document which animals 
were maintained in each contemporary lambing group and to document when 
cleaning and disinfection was performed and who supervised it.
    Slaughter channels. Animals in slaughter channels include any animal 
that is sold, transferred, or moved either directly to a slaughter 
facility, to an individual for custom slaughter, or for feeding for the 
express purpose of improving the animals' condition for movement to 
slaughter. Any sexually intact animal that is commingled with breeding 
animals or that has been bred is not in slaughter channels. When selling 
animals for slaughter, owners should note on the bill of sale that the 
animals are sold only for slaughter.
    Source flock. A flock in which a State or APHIS representative has 
determined that at least one animal was born that was diagnosed as a 
scrapie-positive animal at an age of 72 months or less. The 
determination that an animal was born in a flock will be based on such 
information as the presence of official identification on the animal 
traceable to the flock, the presence of other identification on the 
animal that is listed on the bill of sale, or other evidence, such as 
registry records, to show that a scrapie-positive animal was born in the 
flock, combined with the absence of records indicating that the animal 
was purchased from outside and added to the flock. If DNA from the 
animal was previously collected by an accredited veterinarian and stored 
at an approved genotyping laboratory, or if DNA collection and storage 
are required for breed registration and the breed registration has 
appropriate safeguards in place to ensure the integrity of the banking 
process, the owner may request verification of the animal's identity 
based on DNA comparison if adequate records and identification have been 
maintained by the owner and the repository to show that the archived DNA 
is that of the animal that has been traced to the flock. The owner will 
be responsible for all costs for the DNA comparison. A flock will no 
longer be a source flock after it has completed the requirements of a 
flock plan.
    State. Each of the 50 States, the District of Columbia, the Northern 
Mariana Islands, Puerto Rico, and all territories or possessions of the 
United States.
    State representative. An individual employed in animal health 
activities by a State or a political subdivision of a State and who is 
authorized by the State or political subdivision to perform the function 
involved.
    Suspect animal. An animal will be designated a suspect animal in 
accordance with Sec. 79.4 of this chapter if it is:
    (1) A sheep or goat that exhibits any of the following possible 
signs of scrapie and that has been determined to be suspicious for 
scrapie by an accredited veterinarian or a State or APHIS 
representative: Weight loss despite retention of appetite; behavioral 
abnormalities; pruritus (itching); wool pulling; biting at legs or side; 
lip smacking; motor abnormalities such as incoordination, high stepping 
gait of forelimbs, bunny hop movement of rear legs, or swaying of back 
end; increased sensitivity to noise and sudden movement; tremor, ``star 
gazing,'' head pressing, recumbency, or other signs of neurological 
disease or chronic wasting.
    (2) A sheep or goat that has tested positive for scrapie or for the 
proteinase resistant protein associated with scrapie on a live-animal 
screening test or any other test, unless the animal is designated a 
scrapie-positive animal.

[[Page 180]]

    (3) A sheep or goat that has tested inconclusive or suggestive on an 
official test for scrapie.
    Unofficial test. Any test for the diagnosis of scrapie or for the 
detection of the proteinase resistant protein associated with scrapie in 
a live or dead animal that either has not been approved by the 
Administrator or that was not conducted at an approved laboratory or at 
the National Veterinary Services Laboratories.



Sec. 54.2  Cooperative agreements and memoranda of understanding with States.

    APHIS will execute cooperative agreements and/or memoranda of 
understanding with the animal health agency of any State in order to 
cooperatively administer the Scrapie Eradication Program and the Scrapie 
Flock Certification Program within that State. These agreements will 
describe the respective roles of APHIS and State personnel in 
implementing the Scrapie Eradication Program and the Scrapie Flock 
Certification Program. Each agreement may specify the financial, 
material, and personnel resources to be committed to these programs and 
other scrapie control measures by APHIS and the State; assign specific 
activities related to the control of scrapie within a State to APHIS or 
State personnel; establish schedules for APHIS representatives or State 
representatives to visit flocks; establish procedures for maintaining 
and sharing program records specified in this part, and specify other 
responsibilities of State representatives and APHIS representatives in 
support of the Scrapie Eradication Program and the Scrapie Flock 
Certification Program.

(Approved by the Office of Management and Budget under control number 
0579-0101)



                Subpart A_Scrapie Indemnification Program



Sec. 54.3  Animals eligible for indemnity payments.

    (a) Indemnity may be paid for an animal only after the owner of the 
animal has applied for indemnification and been approved in accordance 
with Sec. 54.4. Indemnity may be paid only for the following:
    (1) Destruction of high-risk animals;
    (2) Destruction of animals based on an epidemiologic investigation, 
when the Administrator determines that the destruction of these animals 
will contribute to the eradication of scrapie;
    (3) Destruction of live scrapie-positive animals;
    (4) Destruction of animals that test positive on a live-animal 
screening test; and
    (5) Destruction of suspect animals that are destroyed at the request 
of an APHIS representative.
    (b) No indemnity will be paid for an animal if the owner of the 
animal fails to provide APHIS, within 30 days of request, animal 
registration certificates, sale and movement records, or other records 
requested in accordance with Sec. 54.5. No indemnity will be paid until 
the premises, including all structures, holding facilities, conveyances, 
and materials contaminated because of occupation or use by the 
depopulated animals, have been properly cleaned and disinfected in 
accordance with Sec. 54.7(e). Additional guidance on acceptable means 
of cleaning and disinfection is also available in the Scrapie Flock 
Certification Program standards and the Scrapie Eradication Uniform 
Methods and Rules. Premises or portions of premises may be exempted from 
the cleaning and disinfecting requirements if a designated scrapie 
epidemiologist determines, based on epidemiologic investigation, that 
cleaning and disinfection of such buildings, holding facilities, 
conveyances, or other materials on the premises will not significantly 
reduce the risk of the spread of scrapie, either because effective 
disinfection is not possible or because the normal operations on the 
premises prevent transmission of scrapie. No indemnity will be paid to 
an owner if the owner assembled or increased his flock for the purpose 
of collecting or increasing indemnity.



Sec. 54.4  Application by owners for indemnity payments.

    (a) Normally, an application for indemnification will be initiated 
by a State or APHIS representative who is working with the owner of a 
flock that has already been determined to be an infected flock or source 
flock, or that

[[Page 181]]

is already under a State movement restriction. In such cases, the flock 
owner will confirm information about the flock's eligibility for 
indemnity that is contained in the application submitted by the State or 
APHIS representative. However, the owner of any flock may apply directly 
to receive indemnification by submitting to the Administrator a written 
request containing the following information:
    (1) Name, address, and social security number of the flock owner;
    (2) Number and breed(s) of animals in the flock, including a current 
inventory;
    (3) Location of flock premises;
    (4) Reasons the owner believes animals in his or her flock may be 
eligible for indemnification, including any diagnosis of scrapie made 
for animals in the flock; any signs of scrapie observed in the flock by 
the owner; and any movement of animals into the flock from flocks 
infected with or exposed to scrapie;
    (5) A copy of the registration papers issued in the name of the 
owner for any registered animals in the flock (registration papers are 
not required for the payment of indemnity for animals that are not 
registered). If the registration papers are unavailable, the owner may 
choose to accept a lesser indemnity in accordance with Sec. 54.6(b)(2) 
or the area veterinarian in charge may grant a 60-day extension or the 
Administrator may grant an extension longer than 60 days for the 
presentation of registration papers; and
    (6) Signed release letters addressed to any sheep or goat registry 
associations that maintain records of the owner's sheep or goats 
requesting the associations to release to APHIS all records maintained 
by the association on sheep or goats currently or formerly owned by the 
applicant.
    (b) APHIS will evaluate each application to determine whether the 
owner's flock contains animals eligible for indemnity in accordance with 
Sec. 54.3.



Sec. 54.5  Certification by owners.

    Before any indemnity is paid to an owner, the owner must sign a 
written agreement with APHIS, certifying the following:
    (a) The owner will make available for review upon request by a State 
or APHIS representative all bills of sale, pedigree registration 
certificates, and other records regarding movement of animals into and 
from the flock;
    (b) If the owner maintains any flock after the payment of indemnity 
or acquires a new flock that is housed on the same premises within 5 
years after the last high-risk or scrapie-positive animal is removed, 
the owner will maintain the flock in accordance with a post-exposure 
management and monitoring plan for 5 years;
    (c) If the animal for which indemnity is paid is subject to any 
mortgage, the owner consents to the payment of the indemnity, up to the 
value of the mortgage, to the person(s) holding the mortgage;
    (d) That the animal may be removed to a U.S. Department of 
Agriculture facility or a quarantined research facility, slaughtered, or 
euthanized and necropsied and tissues removed for diagnostic or other 
purposes.



Sec. 54.6  Amount of indemnity payments.

    (a) Indemnity paid for sheep in accordance with Sec. 54.3 will be 
set based on the following price reports published by the Agricultural 
Marketing Service (AMS). If pricing information is unavailable from 
these markets during a given week or month or if the numbers of animals 
sold are too low to give an accurate market value, the preceding week or 
month's value will be used. The AMS reports from the most recent week or 
month prior to the date APHIS offers to pay an owner indemnity shall be 
used to calculate the indemnity for that owner's sheep:
    (1) The weekly weighted average Choice/Prime slaughter lamb price 
per pound at Greeley, CO;
    (2) The weekly weighted average Utility slaughter ewe price per 
pound at San Angelo, TX;
    (3) The monthly weighted average commercial western ewe lamb 
replacement price per head;
    (4) The monthly weighted average commercial western yearling ewe 
replacement price per head;
    (5) The monthly weighted average commercial western running age ewe 
price per head.

[[Page 182]]

    (6) The monthly weighted average commercial western aged ewe price 
per head.
    (b) For animals under 1 year of age, the basic indemnity shall equal 
the price per pound from paragraph (a)(1) of this section times the 
greater of 50 lbs or the actual weight of the animal; except that, for 
ewe lambs under 1 year of age, the indemnity shall equal the per-head 
price from paragraph (a)(3) of this section if that price is higher. For 
sexually intact sheep 8 years of age or older and castrated animals 1 
year of age or older, the basic indemnity shall equal the price per 
pound from paragraph (a)(2) of this section times 150, based on an 
average weight of 150 lbs. For sexually intact sheep at least 1 year of 
age and under 2 years of age, the indemnity shall equal the greater of 
the price per head from paragraph (a)(4) of this section, or the price 
per pound from paragraph (a)(2) of this section times 150, based on an 
average weight of 150 lbs. For sexually intact sheep at least 2 years of 
age and under 6 years of age, the basic indemnity shall equal the 
greater of the price per head from paragraph (a)(5) of this section or 
the price per pound from paragraph (a)(2) of this section times 150, 
based on an average weight of 150 lbs. For sexually intact sheep at 
least 6 years of age and under 8 years of age, the basic indemnity will 
equal the greater of the price per head from paragraph (a)(6) of this 
section or the price per pound from paragraph (a)(2) of this section 
times 150, based on an average weight of 150 lbs. A premium shall be 
added to the basic indemnity for each registered animal, equal to $100 
for each registered animal under 1 year of age, $200 for each registered 
animal at least 1 year of age and under 4 years of age, and $100 for 
each registered animal at least 4 years of age and under 8 years of age. 
An additional premium of $50 will be added to the basic indemnity for 
each flock sire. The owner must provide adequate records to qualify for 
these premiums. When the animals to be indemnified are goats, or are 
sheep that fall outside the classes covered previously in this 
paragraph, the Administrator may take into consideration the producer's 
purchase records and sales records for the preceding 12 to 24 months in 
determining the indemnity amount, but the indemnity shall not exceed the 
maximum indemnity calculated for registered sheep in accordance with 
this section.
    (1) If records and identification are inadequate to determine the 
actual age of animals, an APHIS or State representative will count all 
sexually intact animals that are apparently under 1 year of age, and 
those that are apparently at least 1 and under 2 years of age, based on 
examination of their teeth, and the indemnity for these animals will be 
calculated. The total number of these animals will be subtracted from 
the total number of sexually intact animals in the group to be 
indemnified, and indemnity for the remainder will be calculated based on 
the assumption that the remainder of the flock is 80 percent aged 2 to 6 
years and 20 percent aged 6 to 8 years.
    (2) Any animal that is not registered at the time indemnity is first 
offered, but is eligible to be registered, will receive the registered 
animal premium reduced by $50.
    (c) For animals destroyed by slaughter, the owner will retain the 
salvage value (the amount paid by a slaughter plant for the animal) of 
the animals in lieu of receiving the base indemnity. If the salvage 
value, less transport costs, is less than the base indemnity, APHIS will 
pay the owner the difference. APHIS will also indemnify the owner in the 
amount of any registered animal or flock sire premiums for which the 
animal qualifies.
    (d) If the owner disagrees with the average weight estimate, he may 
have the sheep weighed at a public scale at his own expense, provided 
that the sheep may not come in contact with other sheep or goats during 
movement to the public scales, and will be paid based on the actual 
weight times the AMS weekly average price.
    (e) Indemnity will be paid to an owner only for animals actually in 
a flock at the time indemnity is first offered. Animals removed from the 
flock as part of a post-exposure management and monitoring plan will be 
paid indemnity based on the AMS average prices at the time an APHIS 
representative designates the animals for removal.

[[Page 183]]



Sec. 54.7  Procedures for destruction of animals.

    (a) Scrapie-positive and suspect animals for which indemnification 
is sought must be destroyed on the premises where they are held, 
pastured, or penned at the time indemnity is approved or moved to an 
approved research facility, unless the APHIS representative involved 
approves in advance of destruction moving the animals to another 
location for destruction. Animals that are not scrapie-positive or 
suspect animals for which indemnification is sought may be:
    (1) Slaughtered when moved in accordance with part 79 of this 
chapter and with the prior written approval of the APHIS representative 
involved;
    (2) Destroyed on the premises where they are held, pastured, or 
penned at the time indemnity is approved;
    (3) Moved to an approved research facility; or
    (4) Moved to another location for destruction if an APHIS 
representative approves the movement in advance.
    (b) The carcasses of animals destroyed in accordance with this 
section are authorized by the Administrator to be buried, incinerated, 
or disposed of by other methods in accordance with local, State, and 
Federal laws. The carcasses of scrapie-positive and suspect animals may 
not be processed for human or animal food.
    (c) The destruction of animals and disposition of their carcasses in 
accordance with this part must be monitored by an APHIS representative 
who will prepare and transmit to the Administrator a report identifying 
the animals and showing their disposition.
    (d) APHIS may pay the reasonable costs of disposal for scrapie-
positive and suspect animals that are indemnified. To obtain 
reimbursement for disposal costs, animal owners must obtain written 
approval of the disposal costs from APHIS, prior to disposal. The 
Administrator may also authorize payment of up to half the reasonable 
disposal costs for animals that are eligible to be destroyed by 
slaughter under this section but for which slaughter is not a practical 
or cost efficient means of disposal; Provided that, APHIS may pay more 
than one-half of the expenses when the Administrator determines that 
doing so will contribute to scrapie eradication. For reimbursement to be 
made, the owner of the animals must present the area veterinarian in 
charge with a copy of either a receipt for expenses paid or a bill for 
services rendered. Any bill for services rendered by the owner must not 
be greater than the normal fee for similar services provided by a 
commercial hauler or disposal facility.
    (e) Cleaning and disinfection of premises and equipment. When 
required, cleaning and disinfection shall be conducted under the 
supervision of a State or APHIS representative as follows. Additional 
guidance on acceptable means of cleaning and disinfection is also 
available in the Scrapie Flock Certification Program standards and the 
Scrapie Eradication Uniform Methods and Rules:
    (1) Drylot areas. When required, remove the manure and top 1-2 
inches of soil to reduce contamination. Bury, till under, or compost the 
removed material in areas not accessed by domestic animals or wildlife.
    (2) Cement, wood, metal, and other non-earth surfaces, tools, 
equipment, instruments, feed, hay, bedding, and other materials. Remove 
all organic material and compost or incinerate. Clean and wash all 
surfaces, tools, equipment, and instruments using hot water and 
detergent. Allow all surfaces, tools, equipment, and instruments to dry 
completely before disinfecting and sanitizing using the following 
methods:
    (i) Incinerate items by high-temperature incineration methods;
    (ii) Autoclave instruments, small tools, and other items at 136 
[deg]C for 1 hour;
    (iii) To clean dry surfaces, apply a 2-percent chlorine bleach 
solution at room temperature (at least 18.3 [deg]C for 1 hour, or apply 
a 1-molar solution of sodium hydroxide (approximately 5 oz. of sodium 
hydroxide dissolved in l gallon water) at room temperature for at least 
1 hour. Note: A 2-molar solution is more effective than a 1-molar 
solution and should be used when circumstances permit.

[[Page 184]]



Sec. 54.8  Requirements for flock plans and post-exposure management and 

monitoring plans.

    (a) The owner of the flock or his or her agent must identify all 
animals 1 year of age or over within the flock. All animals less than 1 
year of age must be identified when a change of ownership occurs, with 
the exception of those animals under 1 year of age moving within 
slaughter channels that must be identified in accordance with Sec. Sec. 
79.2 and 79.3 of this chapter. The form of identification must be an 
electronic implant, flank tattoo, ear tattoo, or tamper-resistant ear 
tag approved for this use by APHIS. In the case of goats, the form of 
identification may alternatively be a tail fold tattoo. The official 
identification must provide a unique identification number that is 
applied by the owner of the flock or his or her agent and must be linked 
to that flock in the National Scrapie Database.
    (b) Upon request by a State or APHIS representative, the owner of 
the flock or his or her agent must have an accredited veterinarian 
collect tissues from animals for scrapie diagnostic purposes and submit 
them to a laboratory designated by a State or APHIS representative.
    (c) Upon request by a State or APHIS representative, the owner of 
the flock or his or her agent must make animals in the flock and the 
records required to be kept as a part of these plans available for 
inspection.
    (d) The owner of the flock or his or her agent must meet 
requirements found necessary by a State or APHIS representative to 
monitor for scrapie and to prevent the recurrence of scrapie in the 
flock and to prevent the spread of scrapie from the flock. These other 
requirements may include, but are not limited to: Utilization of a live-
animal screening test; restrictions on the animals that may be moved 
from the flock; segregated lambing; cleaning and disinfection of lambing 
facilities; and/or education of the owner of the flock and personnel 
working with the flock in techniques to recognize clinical signs of 
scrapie and to control the spread of scrapie.
    (e) The owner of the flock or his or her agent must immediately 
report the following animals to a State representative, APHIS 
representative, or an accredited veterinarian, and not remove them from 
a flock without written permission of a State or APHIS representative:
    (1) Any sheep or goat exhibiting weight loss despite retention of 
appetite; behavioral abnormalities; pruritus (itching); wool pulling; 
biting at legs or side; lip smacking; motor abnormalities such as 
incoordination, high stepping gait of forelimbs, bunny hop movement of 
rear legs, swaying of back end; increased sensitivity to noise and 
sudden movement; tremor, ``star gazing,'' head pressing, recumbency, or 
other signs of neurological disease or chronic wasting illness; and
    (2) Any sheep or goat in the flock that has tested positive for 
scrapie or for the proteinase resistant protein associated with scrapie 
on a live-animal screening test or any other test.
    (f) Requirements for flock plans only. (1) An epidemiologic 
investigation must be conducted to identify high-risk and exposed 
animals that currently reside in the flock or that previously resided in 
the flock, and all high-risk animals, scrapie-positive animals, and 
suspect animals must be removed from the flock. The animals must be 
removed either by movement to an approved research facility or by 
euthanization and disposal of the carcasses by burial, incineration, or 
other methods in accordance with local, State, and Federal laws, or, in 
the case of high-risk animals, by movement to slaughter in accordance 
with the provisions of part 79 of this chapter, or upon request in 
individual cases by another means determined by the Administrator to be 
sufficient to prevent the spread of scrapie;
    (2) The premises of a flock under a flock plan must be cleaned and 
disinfected in accordance with Sec. 54.7(e). Additional guidance on 
acceptable means of cleaning and disinfection is also available in the 
Scrapie Flock Certification Program standards and the Scrapie 
Eradication Uniform Methods and Rules. Premises or portions of premises 
may be exempted from the cleaning and disinfecting requirements if a 
designated scrapie epidemiologist

[[Page 185]]

determines, based on epidemiologic investigation, that cleaning and 
disinfection of such buildings, holding facilities, conveyances, or 
other materials on the premises will not significantly reduce the risk 
of the spread of scrapie, either because effective disinfection is not 
possible or because the normal operations on the premises prevent 
transmission of scrapie. No area where a scrapie-positive animal lambed 
or aborted may be exempted;
    (3) The owner of the flock, or his or her agent, must request breed 
associations and registries, livestock markets, and packers to disclose 
records to APHIS representatives or State representatives, to be used to 
identify source flocks and trace exposed animals, including high-risk 
animals; and
    (4) The flock owner must agree to conduct post-exposure management 
and monitoring.
    (g) Requirements for post-exposure management and monitoring plans 
only: The plan must require that a State or APHIS representative inspect 
the flock and flock records at least once every 12 months. The owner of 
the flock or his or her agent must maintain, and keep for a minimum of 5 
years after an animal dies or is otherwise removed from a flock, the 
following records for each animal in the flock:
    (1) Any identifying marks or tags present on the animal, including 
the animal's individual official identification number from its 
electronic implant, flank tattoo, ear tattoo, tamper resistant ear tag, 
or, in the case of goats, tail fold tattoo, and any secondary form of 
identification the owner of the flock may choose to maintain;
    (2) Sex, year of birth, breed, and when possible to determine, the 
following: sire, dam, and offspring of the animal;
    (3) Date of acquisition and previous flock, if the animal was not 
born in the flock; and
    (4) Disposition of the animal, including the date and cause of 
death, if known, or date of removal from the flock and name and address 
of the person to whom the animal was transferred.
    (h) Modification of flock plans and post-exposure management and 
monitoring plans. A designated scrapie epidemiologist may modify the 
requirements of a flock plan or post-exposure management and monitoring 
plan to accommodate the situation of a particular flock if the modified 
plan requires:
    (1) That a State or APHIS representative inspect the flock and flock 
records at least once every 12 months;
    (2) The testing of animals at a level that will result in 99 percent 
confidence of detecting a 1 percent prevalence in the flock (for flock 
plans only);
    (3) The official identification of all animals upon leaving the 
premises of the flock for purposes other than slaughter and of all 
animals over 18 months of age (as evidenced by the eruption of the 
second incisor) in slaughter channels; and
    (4) Recordkeeping including:
    (i) For acquired animals, the date of acquisition, name and address 
of the person from whom the animal was acquired, any identifying marks 
or tags present on the animal including the animal's individual official 
identification number from its electronic implant, flank tattoo, ear 
tattoo, tamper resistant ear tag, or, in the case of goats, tail fold 
tattoo, and any secondary form of identification the owner of the flock 
may choose to maintain.
    (ii) For animals leaving the premises of the flock, the disposition 
of the animal, including, for those animals that are required to be 
identified, any identifying marks or tags present on the animal, 
including the animal's individual official identification number from 
its electronic implant, flank tattoo, ear tattoo, tamper resistant ear 
tag, or, in the case of goats, a tail fold tattoo, and any secondary 
form of identification the owner of the flock may choose to maintain, 
the date and cause of death, if known, or date of removal from the flock 
and name and address of the person to whom the animal was transferred.
    (iii) Maintenance of these records for 5 years.
    (5) Requirements equivalent to those contained in paragraphs (b), 
(c), (d), and (e) of this section.

[[Page 186]]

    (i) Post-exposure management and monitoring plans for exposed flocks 
that were not source flocks and in which a scrapie infected animal did 
not lamb. A designated scrapie epidemiologist shall determine the 
testing and monitoring requirements for these flocks based on the 
exposure risk of the individual flock.



Sec. 54.9  Waiver of requirements for scrapie control pilot projects.

    The Administrator may waive the following requirements of this part 
for participants in a scrapie control pilot project by recording the 
requirements waived in the scrapie control pilot project plan:
    (a) The determination that an animal is a high-risk animal, if the 
scrapie control pilot project plan contains testing or other procedures 
that indicate that an animal, despite meeting the definition of high-
risk animal, is unlikely to spread scrapie; and
    (b) The requirement that high-risk animals must be removed from a 
flock if the scrapie control pilot project plan contains alternative 
procedures to prevent the further spread of scrapie without removing 
high-risk animals from the flock.



Sec. 54.10  Tests for scrapie.

    (a) The Administrator may approve new tests for the diagnosis of 
scrapie conducted on live or dead animals for use in the Scrapie 
Eradication Program. The Administrator will base the approval or 
disapproval of a test on the evaluation by APHIS and, when appropriate, 
outside scientists, of:
    (1) A standardized test protocol that must include a description of 
the test, a description of the reagents, materials, and equipment used 
for the test, the test methodology, and any control or quality assurance 
procedures;
    (2) Data to support reproducibility, that is, the ability to 
reproduce the same result repeatedly on a given sample;
    (3) Data to support suitability, that is, data to show that similar 
results can be produced when the test is run at other laboratories;
    (4) Data to support the sensitivity and specificity of the test; and
    (5) Any other data requested by the Administrator to determine the 
suitability of the test for program use.
    (b) To be approved, a scrapie test must be able to be replicated at 
the National Veterinary Services Laboratories, or another reliable, 
timely, and cost effective method of check testing must be available to 
APHIS.
    (c) A test or combination of tests may be approved for the 
identification of suspect animals, for the identification of scrapie-
positive animals, or for other purposes such as flock certification. For 
a test to be approved for the identification of scrapie-positive 
animals, the test must have a specificity comparable to the specificity 
of the currently approved tests. For a test to be approved as a live 
animal screening test for the identification of suspect animals, the 
test must be usually reliable but need not be definitive for diagnosing 
scrapie.
    (d) Specific guidelines for use of approved scrapie tests within the 
Scrapie Eradication Program or Scrapie Flock Certification Program will 
be added to this part as tests are approved and will also be contained 
in the Scrapie Eradication UM&R and the Scrapie Flock Certification 
Program standards based on the characteristics of the test, including 
specificity, sensitivity, and predictive value.
    (e) If an owner elects to have an unofficial test conducted on an 
animal for scrapie, or for the proteinase resistant protein associated 
with scrapie, and that animal tests positive to such a test, the animal 
will be designated a suspect animal, unless:
    (1) The test was run as part of a bona fide research protocol 
designed to evaluate an unapproved test in which the owner is not 
informed of the test result; or
    (2) The test protocol includes appropriate measures to prevent the 
spread of scrapie.



Sec. 54.11  Approval of laboratories to run official scrapie tests and 

official genotype tests.

    (a) State, Federal, and university laboratories, or in the case of 
genotype tests, private laboratories will be approved by the 
Administrator when he or she determines that the laboratory:

[[Page 187]]

    (1) Employs personnel assigned to supervise the testing who are 
qualified to conduct the test based on education, training, and 
experience and who have been trained by the National Veterinary Services 
Laboratories (NVSL) or who have completed equivalent training approved 
by NVSL;
    (2) Has adequate facilities and equipment to conduct the test;
    (3) Follows standard test protocols;
    (4) Meets check test proficiency requirements;
    (5) Meets recordkeeping requirements;
    (6) Will retain records, slides, blocks, and other specimens from 
all cases for at least 1 year and from positive cases for 5 years;
    (7) Will allow APHIS to inspect the laboratory without notice during 
normal business hours; and
    (8) Will report all test results to State and Federal animal health 
officials within agreed timeframes. An inspection may include, but is 
not limited to, review and copying of records, examination of slides, 
observation of the test being conducted, and interviewing of personnel.
    (b) A laboratory may request approval to conduct one or more types 
of scrapie test or genotype test on one or more types of tissue. To be 
approved, a laboratory must meet the requirements in paragraph (a) of 
this section for each type of test and for each type of tissue for which 
they request approval.
    (c) The Administrator may withdraw approval of any laboratory for 
failure to meet any of the conditions required by paragraph (a) of this 
section. The Administrator shall give written notice of the proposed 
withdrawal to the director of the laboratory and shall give the director 
an opportunity to respond. If there are conflicts as to any material 
fact concerning the reason for withdrawal, a hearing will be held to 
resolve the conflicts.



              Subpart B_Scrapie Flock Certification Program



Sec. 54.20  Administration.

    The Scrapie Flock Certification Program is a cooperative effort 
between APHIS; members of the sheep and goat industry, including owners 
of flocks, slaughtering and rendering establishments, and breed 
associations and registries; accredited veterinarians; and State 
governments. APHIS coordinates with State scrapie certification boards 
and State animal health agencies to encourage flock owners to certify 
their flocks as free of scrapie by being in continuous compliance with 
the Scrapie Flock Certification Program standards.



Sec. 54.21  Participation.

    Any owner of a sheep or goat flock may apply to enter the Scrapie 
Flock Certification Program by sending a written request to a State 
scrapie certification board or to the area veterinarian in charge. A 
notice containing a current list of flocks participating in the Scrapie 
Flock Certification Program, and the certification status of each flock, 
may be obtained from the APHIS web site at URL http://
www.aphis.usda.gov/vs/scrapie. A list of noncompliant flocks may also be 
obtained from this site, and either list may be obtained by writing to 
the Animal and Plant Health Inspection Service, National Animal Health 
Programs Staff, VS, APHIS, 4700 River Road Unit 43, Riverdale, MD 20737-
1235.

(Approved by the Office of Management and Budget under control number 
0579-0101)



Sec. 54.22  State scrapie certification boards.

    An area veterinarian in charge, after consulting with a State 
representative and industry representatives, may appoint a State scrapie 
certification board for the purpose of coordinating activities for the 
Scrapie Flock Certification Program, including making decisions to admit 
flocks to the Scrapie Flock Certification Program and to change flock 
status in accordance with the Scrapie Flock Certification Program 
standards. These boards are not appointed for the purpose of providing 
APHIS with consensus advice or policy recommendations. No more than one 
State scrapie certification board may be formed in each State. Each 
State scrapie certification board shall include as members the area 
veterinarian

[[Page 188]]

in charge, one or more State representatives, one or more accredited 
veterinarians, when possible, and one or more owners of flocks, and, at 
the discretion of the area veterinarian in charge, may include other 
members.



PART 55_CONTROL OF CHRONIC WASTING DISEASE--Table of Contents




Sec.
55.1 Definitions.

        Subpart A_Chronic Wasting Disease Indemnification Program

55.2 Payment of indemnity.
55.3 Appraisal and destruction of captive cervids.
55.4 Disinfection of premises, conveyances, and materials.
55.5 Presentation of claims for indemnity.
55.6 Mortgage against animals.
55.7 Claims not allowed.
55.8 Official CWD tests and approval of laboratories to conduct official 
          CWD tests.

      Subpart B_Chronic Wasting Disease Herd Certification Program

55.21 Administration.
55.22 Participation and enrollment.
55.23 Responsibilities of States and enrolled herd owners.
55.24 Herd status.
55.25 Animal identification.

    Authority: 21 U.S.C. 111-113, 114, 114a, 114a-1, 120, 121, 125, and 
134b; 7 CFR 2.22, 2.80, and 371.4.

    Effective Date Note: At 71 FR 41701, July 21, 2006, the authority 
citation for part 55 was revised, effective Oct. 19, 2006. At 71 FR 
52983, Sept. 8, 2006, the effective date was delayed until further 
notice. For the convenience of the user, the revised text is set forth 
as follows:
    Authority: 7 U.S.C. 8301-8317; 7 CFR 2.22, 2.80, and 371.4.

    Source: 67 FR 5931, Feb. 8, 2002, unless otherwise noted.



Sec. 55.1  Definitions.

    Administrator. The Administrator, Animal and Plant Health Inspection 
Service, or any other employee of the Animal and Plant Health Inspection 
Service, United States Department of Agriculture, delegated to act in 
the Administrator's stead.
    Animal. Any captive cervid.
    Animal and Plant Health Inspection Service (APHIS). The Animal and 
Plant Health Inspection Service of the United States Department of 
Agriculture.
    APHIS employee. Any individual employed by the Animal and Plant 
Health Inspection Service who is authorized by the Administrator to do 
any work or perform any duty in connection with the control and 
eradication of disease.
    Captive. Animals that are privately or publicly maintained or held 
for economic or other purposes within a perimeter fence or confined 
space. Animals that are held for research purposes are not included.
    Cervid. All members of the family Cervidae and hybrids, including 
deer, elk, moose, caribou, reindeer, and related species.
    Chronic wasting disease, CWD. A transmissible spongiform 
encephalopathy of cervids.
    CWD exposed animal. An animal that is part of a CWD positive herd, 
or that was part of a herd within 5 years prior to that herd's 
designation as CWD positive, or an animal that has been housed with or 
been in direct contact with a positive animal, or an animal that has 
been on a contaminated premises.
    CWD positive animal. An animal that has had a diagnosis of CWD 
confirmed by means of an official CWD test.
    CWD positive herd. A herd in which a CWD positive animal resided at 
the time it was diagnosed and which has not been released from 
quarantine.
    CWD suspect animal. An animal for which an APHIS employee has 
determined that laboratory evidence or clinical signs suggest a 
diagnosis of CWD.
    Department. The United States Department of Agriculture.
    Herd. A group of animals that are:
    (1) Under common ownership or supervision and are grouped on one or 
more parts of any single premises (lot, farm, or ranch) or
    (2) All animals under common ownership or supervision on two or more 
premises which are geographically separated but on which animals have 
been interchanged or had direct or indirect contact with one another.
    Herd plan. A written herd management agreement developed by APHIS 
with input from the herd owner, State representatives, and other 
affected parties. A herd plan sets out the steps to be taken to 
eradicate CWD from a CWD

[[Page 189]]

positive herd, or to prevent introduction of CWD into another herd. A 
herd plan will require: specified means of identification for each 
animal in the herd; regular examination of animals in the herd by a 
veterinarian for signs of disease; reporting to a State or APHIS 
representative of any signs of central nervous system disease in herd 
animals; maintaining records of the acquisition and disposition of all 
animals entering or leaving the herd, including the date of acquisition 
or removal, name and address of the person from whom the animal was 
acquired or to whom it was disposed, cause of death, if the animal died 
while in the herd. A herd plan may also contain additional requirements 
to prevent or control the possible spread of CWD, depending on the 
particular condition of the herd and its premises, including but not 
limited to: specifying the time for which a premises must not contain 
cervids after CWD positive, exposed, or suspect animals are removed from 
the premises; fencing requirements; depopulation or selective culling of 
animals; restrictions on sharing and movement of possibly contaminated 
livestock equipment; cleaning and disinfection requirements, or other 
requirements. APHIS may review and revise a herd plan at any time in 
response to changes in the situation of the herd or premises or 
improvements in understanding of the nature of CWD epidemiology or 
techniques to prevent its spread.
    Materials. Parts of barns or other structures, straw, hay, and other 
feed for animals, farm products or equipment, clothing, and any other 
articles on the premises that have been in contact with captive cervids.
    Mortgage. Any mortgage, lien, or other security or beneficial 
interest held by any person other than the one claiming indemnity.
    Official appraiser (APHIS official appraiser, State official 
appraiser). A person authorized by APHIS (an APHIS official appraiser) 
or a State (a State official appraiser) to appraise animals for the 
purposes of this part. An official appraiser may be an APHIS employee, a 
State employee, or a professional livestock appraiser working under 
contract to APHIS or a State.
    Official CWD test. Any test for the diagnosis of CWD approved by the 
Administrator and conducted in a laboratory approved by the 
Administrator in accordance with Sec. 55.8 of this part.
    Person. Any individual, corporation, company, association, firm, 
partnership, society, joint stock company, or other legal entity.
    Secretary. The Secretary of Agriculture of the United States, or any 
officer or employee of the Department delegated to act in the 
Secretary's stead.
    State. Each of the States of the United States, the District of 
Columbia, Puerto Rico, the Northern Mariana Islands, Guam, the Virgin 
Islands of the United States, or any other territory or possession of 
the United States.
    State representative. A person regularly employed in the animal 
health work of a State and who is authorized by that State to perform 
the function involved under a cooperative agreement with the United 
States Department of Agriculture.
    Veterinarian in charge. The veterinary official of Veterinary 
Services, APHIS, who is assigned by the Administrator to supervise and 
perform official animal health work for APHIS in the State concerned.

    Effective Date Note: At 71 FR 41701, July 21, 2006, Sec. 55.1 was 
amended by removing the definition of captive; in the definition of 
herd, by removing the words ``A group of animals'' and adding in their 
place the words ``One or more animals''; by revising the definitions of 
animal, CWD-exposed animal, CWD-positive animal, CWD-suspect animal, and 
herd plan; and by adding definitions for animal identification, animal 
identification number (AIN), Approved State CWD Herd Certification 
Program, commingled, commingling, CWD-exposed herd, CWD Herd 
Certification Program, CWD-source herd, CWD-suspect herd, deer, elk, and 
moose, farmed or captive, herd status, official animal identification, 
premises identification number (PIN), trace back herd, and trace forward 
herd, in alphabetical order, effective Oct. 19, 2006. At 71 FR 52983, 
Sept. 8, 2006, the effective date was delayed until further notice. For 
the convenience of the user, the revised and added text is set forth as 
follows:



Sec. 55.1  Definitions.

                                * * * * *

[[Page 190]]

    Animal. Any farmed or captive cervid.

                                * * * * *

    Animal identification. A device or means of animal identification 
approved for use under this part by APHIS. Examples of animal 
identification devices that APHIS has approved are listed in Sec. 
55.25.
    Animal identification number (AIN). A numbering system for the 
official identification of individual animals in the United States. The 
AIN contains 15 digits, with the first 3 being the country code (840 for 
the United States), the alpha characters USA, or the numeric code 
assigned to the manufacturer of the identification device by the 
International Committee on Animal Recording.

                                * * * * *

    Approved State CWD Herd Certification Program. A program operated by 
a State government for certification of cervid herds with respect to CWD 
that the Administrator has determined to meet the requirements of Sec. 
55.23(a).

                                * * * * *

    Commingled, commingling. Animals are commingled if they have direct 
contact with each other, have less than 10 feet of physical separation, 
or share equipment, pasture, or water sources/watershed. Animals are 
considered to have commingled if they have had such contact with a 
positive animal or contaminated premises within the last 5 years.
    CWD-exposed animal. An animal that is part of a CWD-positive herd, 
or that has been exposed to a CWD-positive animal or contaminated 
premises within the previous 5 years.
    CWD-exposed herd. A herd in which a CWD-positive animal has resided 
within 5 years prior to that animal's diagnosis as CWD-positive, as 
determined by an APHIS employee or State representative.
    CWD Herd Certification Program. The Chronic Wasting Disease Herd 
Certification Program established by this part. This program includes 
both herds that are directly enrolled in the CWD Herd Certification 
Program and herds that are included based on their participation in 
Approved State CWD Herd Certification Programs.
    CWD-positive animal. An animal that has had a diagnosis of CWD 
confirmed by means of two official CWD tests.

                                * * * * *

    CWD-source herd. A herd that is identified through testing, 
tracebacks, and/or epidemiological evaluations to be the source of CWD-
positive animals identified in other herds.
    CWD-suspect animal. An animal for which an APHIS employee or State 
representative has determined that unofficial CWD test results, 
laboratory evidence or clinical signs suggest a diagnosis of CWD, but 
for which official laboratory results have been inconclusive or not yet 
conducted.
    CWD-suspect herd. A herd for which unofficial CWD test results, 
laboratory evidence, or clinical signs suggest a diagnosis of CWD, as 
determined by an APHIS employee or State representative, but for which 
official laboratory results have been inconclusive or not yet conducted.
    Deer, elk, and moose. All animals in the genera Odocoileus, Cervus, 
and Alces and their hybrids.

                                * * * * *

    Farmed or captive. Privately or publicly maintained or held for 
economic or other purposes within a perimeter fence or confined area, or 
captured from a free-ranging population for interstate movement and 
release.

                                * * * * *

    Herd plan. A written herd and/or premises management agreement 
developed by APHIS in collaboration with the herd owner, State 
representatives, and other affected parties. The herd plan will not be 
valid until it has been reviewed and signed by the Administrator, the 
State representative, and the herd owner. A herd plan sets out the steps 
to be taken to eradicate CWD from a CWD-positive herd, to control the 
risk of CWD in a CWD-exposed or CWD-suspect herd, or to prevent 
introduction of CWD into that herd or any other herd. A herd plan will 
require specified means of identification for each animal in the herd; 
regular examination of animals in the herd by a veterinarian for 
clinical signs of disease; reporting to a State or APHIS representative 
of any clinical signs of a central nervous system disease or chronic 
wasting condition in the herd; maintaining records of the acquisition 
and disposition of all animals entering or leaving the herd, including 
the date of acquisition or removal, name and address of the person from 
whom the animal was acquired or to whom it was disposed; and the cause 
of death, if the animal died while in the herd. A herd plan may also 
contain additional requirements to prevent or control the possible 
spread of CWD, depending on the particular circumstances of the herd and 
its premises, including but not limited to depopulation of the herd, 
specifying the time for which a premises must not contain cervids after 
CWD-positive, -exposed, or -suspect animals are removed from the 
premises; fencing requirements; selective culling of animals; 
restrictions on sharing and movement of possibly contaminated

[[Page 191]]

livestock equipment; premises cleaning and disinfection requirements; or 
other requirements. A herd plan may be reviewed and changes to it 
suggested at any time by any party signatory to it, in response to 
changes in the situation of the herd or premises or improvements in 
understanding of the nature of CWD epidemiology or techniques to prevent 
its spread. The revised herd plan will become effective after it is 
reviewed by the Administrator and signed by the Administrator, the State 
representative, and the herd owner.
    Herd status. The status of a herd assigned under the CWD Herd 
Certification Program in accordance with Sec. 55.24, indicating a 
herd's relative risk for CWD. Herd status is based on the number of 
years of monitoring without evidence of the disease and any specific 
determinations that the herd has contained or has been exposed to a CWD-
positive, -exposed or -suspect animal.

                                * * * * *

    Official animal identification. A device or means of animal 
identification approved for use under this part by APHIS to uniquely 
identify individual animals. Examples of approved official animal 
identification devices are listed in Sec. 55.25. The official animal 
identification must include a nationally unique animal identification 
number that adheres to one of the following numbering systems:
    (1) National Uniform Eartagging System.
    (2) Animal identification number (AIN).
    (3) Premises-based number system. The premises-based number system 
combines an official premises identification number (PIN), as defined in 
this section, with a producer's livestock production numbering system to 
provide a unique identification number. The PIN and the production 
number must both appear on the official tag.
    (4) Any other numbering system approved by the Administrator for the 
identification of animals in commerce.

                                * * * * *

    Premises identification number (PIN). A unique number assigned by a 
State or Federal animal health authority to a premises that is, in the 
judgment of the State or Federal animal health authority, a 
geographically distinct location from other livestock production units. 
The premises identification number is associated with an address or 
legal land description and may be used in conjunction with a producer's 
own livestock production numbering system to provide a unique 
identification number for an animal. The premises identification number 
may consist of:
    (1) The State's two-letter postal abbreviation followed by the 
premises' assigned number; or
    (2) A seven-character alphanumeric code, with the right-most 
character being a check digit. The check digit number is based upon the 
ISO 7064 Mod 36/37 check digit algorithm.

                                * * * * *

    Trace back herd. A herd in which a CWD-positive animal formerly 
resided.
    Trace forward herd. A herd that has received exposed animals from a 
CWD-positive herd within 5 years prior to the diagnosis of CWD in the 
positive herd or from the identified date of entry of CWD into the 
positive herd.

                                * * * * *



        Subpart A_Chronic Wasting Disease Indemnification Program



Sec. 55.2  Payment of indemnity.

    The Administrator is authorized to pay for the purchase and 
destruction of CWD positive animals, CWD exposed animals, and CWD 
suspect animals. Subject to available funding, the amount of the Federal 
payment for any such animals will be 95 percent of the appraised value 
established in accordance with Sec. 55.3 of this part, but the Federal 
payment shall not exceed $3,000 per animal. If a non-Federal source 
makes a payment for an animal for which a Federal indemnity is paid, and 
the non-Federal payment exceeds 5 percent of the appraised value 
established in accordance with Sec. 55.3 of this part, the amount of 
the Federal payment for any such animals will be reduced by the amount 
by which the non-Federal payment exceeds 5 percent of the appraised 
value. The Administrator is also authorized to reimburse State 
governments or State animal health agencies for payments they make for 
the purchase and destruction, on or after October 1, 2001, of CWD 
positive animals, CWD exposed animals, and CWD suspect animals, and for 
State expenditures for associated carcass disposal and cleaning and 
disinfection costs resulting from such purchase and destruction, in 
accordance with cooperative agreements signed by the Administrator and 
the duly authorized agent of the State.

[[Page 192]]



Sec. 55.3  Appraisal and destruction of captive cervids.

    (a) CWD positive herds, or individual CWD suspect animals or exposed 
animals removed by APHIS from a herd for testing, will be appraised by 
an APHIS official appraiser and a State official appraiser jointly, or, 
if APHIS and State authorities agree, by either a State official 
appraiser or an APHIS official appraiser alone.
    (b) The appraisal of cervids will be the fair market value as 
determined by the meat or breeding value of the animals. Animals may be 
appraised in groups, provided that where appraisal is by the head, each 
animal in the group is the same value per head, and where appraisal is 
by the pound, each animal in the group is the same value per pound.
    (c) Appraisals of cervids must be reported on forms furnished by 
APHIS and signed by the appraisers, and signed by the owner of the 
cervids to indicate agreement with the appraisal amount. Reports of 
appraisals must show the number of cervids and the value per head or the 
weight and value by pound.
    (d) In accordance with instructions from an APHIS employee, cervids 
for which indemnification is sought must be:
    (1) Destroyed on the premises where they are held, pastured, or 
penned at the time indemnity is approved;
    (2) Moved to another location for destruction under conditions 
specified by the APHIS employee; or
    (3) Moved to an approved research facility under conditions 
specified by the APHIS employee.
    (e) The carcasses of any cervids destroyed in accordance with this 
part are authorized by the Administrator to be incinerated, destroyed in 
an alkaline hydrolysis tissue digestor, or disposed of by any other 
method authorized by an APHIS employee and in accordance with local, 
State, and Federal laws. APHIS will pay the reasonable costs of 
destruction and carcass disposal for animals that are indemnified. To 
obtain reimbursement for disposal costs, animal owners must obtain 
written approval of the disposal costs from APHIS, prior to disposal. 
Except in cases where APHIS or a State directly arranges for disposal, 
the owner of the animals must present an APHIS employee with a written 
contract or estimate of disposal costs. Prior to receiving 
reimbursement, the owner must also present an APHIS employee with a copy 
of either a receipt for expenses paid by the owner or a bill for 
services rendered to the owner. Any bill for services rendered presented 
by the owner must not be greater than the normal fee for similar 
services provided by commercial entities. The carcasses of cervids 
destroyed in accordance with this section may not be sold to be 
processed for human or animal food, including dietary supplements.

(Approved by the Office of Management and Budget under control number 
0579-0189)



Sec. 55.4  Disinfection of premises, conveyances, and materials.

    After cervids are destroyed in accordance with this part, all 
premises, including barns, stockyards and pens, all cars and other 
conveyances, and all other materials on any premises or conveyances used 
to house or transport such cervids must be cleaned and disinfected under 
the supervision of an APHIS employee or a State representative, using 
methods specified by the APHIS employee or a State representative. 
Premises may not be restocked with cervids until after the date 
specified in the herd plan required by Sec. 55.7(b) of this part. The 
owner to whom the indemnity is paid will be responsible for expenses 
incurred in connection with the cleaning and disinfection, except that 
APHIS or a State will pay for cleaning and disinfection of the 
conveyances used to transport the cervids to the location of disposal. 
However, APHIS may also decide to pay the cost of cleaning and 
disinfecting premises when the procedures needed to conduct effective 
cleaning and disinfection are unusually extensive and require methods 
that are not normally available on a premises. For example, normal 
procedures would include washing surfaces with high-pressure hoses and 
disinfectants and burying or burning contaminated materials. Unusually 
extensive procedures would include disposing of contaminated materials 
by digestive disposal or high-temperature incineration.

[[Page 193]]



Sec. 55.5  Presentation of claims for indemnity.

    Claims for indemnity for the value of animals destroyed must be 
documented on a form furnished by APHIS and presented to an APHIS 
employee or a State representative authorized to accept the claims.

(Approved by the Office of Management and Budget under control number 
0579-0189)



Sec. 55.6  Mortgage against animals.

    When cervids have been destroyed under this part, any claim for 
indemnity must be presented on forms furnished by APHIS. The owner of 
the cervids must certify on the forms that the cervids covered are, or 
are not, subject to any mortgage as defined in this part. If the owner 
states there is a mortgage, the owner and each person holding a mortgage 
on the cervids must sign, consenting to the payment of indemnity to the 
person specified on the form.

(Approved by the Office of Management and Budget under control number 
0579-0189)



Sec. 55.7  Claims not allowed.

    (a) The Department will not allow claims arising out of the 
destruction of cervids unless the cervids have been appraised as 
prescribed in this part and the owners have signed the appraisal form 
indicating agreement with the appraisal amount as required by Sec. 
55.3(c) of this part.
    (b) The Department will not allow claims arising out of the 
destruction of cervids unless the owners have signed a written agreement 
with APHIS in which they agree that if they maintain cervids in the 
future on the premises used for cervids for which indemnity is paid, 
they will maintain the cervids in accordance with a herd plan and will 
not introduce cervids onto the premises until after the date specified 
in that herd plan. Persons who violate this written agreement may be 
subject to civil and criminal penalties.
    (c) The Department will not allow claims arising out of the 
destruction of cervids that have been moved or handled by the owner or a 
representative of the owner in violation of a law or regulation 
administered by the Secretary regarding animal disease, or in violation 
of a law or regulation for which the Secretary has entered into a 
cooperative agreement.

(Approved by the Office of Management and Budget under control number 
0579-0189)



Sec. 55.8  Official CWD tests and approval of laboratories to conduct official 

CWD tests.

    (a) An official CWD test is:
    (1) Histopathological examination of central nervous system (CNS) 
tissues from the animal for characteristic microscopic lesions of CWD, 
using test protocols provided by the National Veterinary Services 
Laboratories (NVSL);
    (2) The use of proteinase-resistant protein analysis methods 
including but not limited to immunohistochemistry and/or western 
blotting on CNS and/or peripheral tissue samples from a live or a dead 
animal, using test protocols provided by NVSL; or
    (3) Any other test method approved by the Administrator in 
accordance with this section.
    (b) The Administrator may approve new tests for the diagnosis of CWD 
conducted on live or dead animals, and will base the approval or 
disapproval of a test on the evaluation by APHIS and, when appropriate, 
outside scientists, of:
    (1) A standardized test protocol that must include a description of 
the test, a description of the reagents, materials, and equipment used 
for the test, the test methodology, and any control or quality assurance 
procedures;
    (2) Data to support reproducibility, that is, the ability to 
reproduce the same result repeatedly on a given sample;
    (3) Data to support suitability, that is, data to show that similar 
results can be produced when the test is run at other laboratories;
    (4) Data to support the sensitivity and specificity of the test; and
    (5) Any other data requested by the Administrator to determine the 
suitability of the test for program use.
    (c) Specific protocols for official CWD tests are available upon 
request to NVSL.
    (d) State, Federal, and university laboratories will be approved by 
the Administrator to conduct official CWD

[[Page 194]]

tests when he or she determines that the laboratory:
    (1) Employs personnel assigned to supervise the testing who are 
qualified to conduct the test based on education, training, and 
experience and who have been trained by NVSL or who have completed 
equivalent training approved by NVSL;
    (2) Has adequate facilities and equipment to conduct the test;
    (3) Follows standard test protocols;
    (4) Meets check test proficiency requirements;
    (5) Meets recordkeeping requirements;
    (6) Will retain records, slides, blocks, and other specimens from 
all cases for at least 1 year and from positive cases for 5 years;
    (7) Will allow APHIS to inspect \1\ the laboratory without notice 
during normal business hours; and
---------------------------------------------------------------------------

    \1\ An inspection may include, but is not limited to, review and 
copying of records, examination of slides, observation of the test being 
conducted, and interviewing of personnel.
---------------------------------------------------------------------------

    (8) Will report all test results to State and Federal animal health 
officials within agreed timeframes.
    (e) The Administrator may withdraw approval of any laboratory for 
failure to meet any of the conditions required by paragraph (d) of this 
section. The Administrator shall give written notice of the proposed 
withdrawal to the director of the laboratory and shall give the director 
an opportunity to respond. If there are conflicts as to any material 
fact concerning the reason for withdrawal, a hearing will be held to 
resolve the conflicts. The hearing will be conducted in accordance with 
rules of practice that will be adopted by the Administrator for the 
proceeding.



      Subpart B_Chronic Wasting Disease Herd Certification Program

    Source: 71 FR 41702, July 21, 2006, unless otherwise noted.

    Effective Date Note: At 71 FR 41702, July 21, 2006, subpart B was 
added to part 55, effective Oct. 19, 2006. At 71 FR 52983, Sept. 8, 
2006, the effective date was delayed until further notice.



Sec. 55.21  Administration.

    The CWD Herd Certification Program is a cooperative effort between 
APHIS, State animal health and wildlife agencies, and deer, elk, and 
moose owners. APHIS coordinates with these State agencies to encourage 
deer, elk, and moose owners to certify their herds as low risk for CWD 
by being in continuous compliance with the CWD Herd Certification 
Program standards.



Sec. 55.22  Participation and enrollment.

    (a) Participation by owners. Any owner of a farmed or captive deer, 
elk, or moose herd may apply to enroll in the CWD Herd Certification 
Program by sending a written request to the appropriate State agency, or 
to the veterinarian in charge if no Approved State CWD Herd 
Certification Program exists in the herd's State. APHIS or the State 
will determine the herd's eligibility, and if needed will require the 
owner to submit more details about the herd animals and operations. An 
application for participation may be denied if APHIS or the State 
determines that the applicant has previously violated State or Federal 
laws or regulations for livestock, and that the nature of the violation 
indicates that the applicant may not faithfully comply with the 
requirements of the CWD Herd Certification Program. If the enrolling 
herd is a CWD-positive herd or CWD-exposed herd, immediately after 
enrollment it must begin complying with a herd plan developed in 
accordance with Sec. 55.24. After determining that the herd is eligible 
to participate in accordance with this paragraph, APHIS or the 
appropriate State agency will send the herd owner a notice of enrollment 
that includes the herd's enrollment date. Inquiries regarding which 
herds are participating in the CWD Herd Certification Program and their 
certification should be directed to the State representative of the 
relevant State.
    (1) Enrollment date. With the exceptions listed in this paragraph, 
the enrollment date for any herd that joins the CWD Herd Certification 
Program after the effective date of this rule will be the date the herd 
is approved for participation.
    (i) For herds already participating in State CWD programs, the 
enrollment

[[Page 195]]

date will be the first day that the herd participated in a State program 
that APHIS subsequently determines qualifies as an Approved State CWD 
Herd Certification Program in accordance with Sec. 55.23(a) of this 
part. This type of constructed enrollment date will be unavailable for 
herds that apply to enroll after October 19, 2007, and herds that apply 
to enroll after that date will have an enrollment date of the date APHIS 
approves the herd participation.
    (ii) For herds that enroll directly in the Federal CWD Herd 
Certification Program, which is allowed only when there is no Approved 
State CWD Herd Certification Program in their State, the enrollment date 
will be the earlier of:
    (A) The date APHIS approves enrollment; or
    (B) If APHIS determines that the herd owner has maintained the herd 
in a manner that substantially meets the conditions specified in Sec. 
55.23(b) for herd owners, the first day that the herd participated in 
such a program. However, in such cases the enrollment date may not be 
set at a date more than 2 years prior to the date that APHIS approved 
enrollment of the herd. This type of constructed enrollment date will be 
unavailable for herds that apply to enroll after October 19, 2007, and 
herds that apply to enroll after that date will have an enrollment date 
of the date APHIS approves the herd participation.
    (iii) For new herds that were formed from and contain only animals 
from herds enrolled in the CWD Herd Certification Program, the 
enrollment date will be the latest enrollment date for any source herd 
for the animals.
    (2) [Reserved]
    (b) Participation by States. Any State that operates a State program 
to certify the CWD status of deer, elk, or moose may request the 
Administrator to designate the State program as an Approved State CWD 
Herd Certification Program. The Administrator will approve or disapprove 
a State program in accordance with Sec. 55.23(a) of this subpart. In 
States with an Approved State CWD Herd Certification Program, program 
activities will be conducted in accordance with the guidelines of that 
program as long as the State program meets the minimum requirements of 
this part. A list of Approved State CWD Herd Certification Programs may 
be obtained by writing to the National Center for Animal Health Program, 
VS, APHIS, 4700 River Road Unit 43, Riverdale, MD 20737-1235.

(Approved by the Office of Management and Budget under control number 
0579-0237)



Sec. 55.23  Responsibilities of States and enrolled herd owners.

    (a) Approval of State programs and responsibilities of States. In 
reviewing a State program's eligibility to be designated an Approved 
State CWD Herd Certification Program, the Administrator will evaluate a 
written statement from the State that describes State CWD control and 
deer, elk, and moose herd certification activities and that cites 
relevant State statutes, regulations, and directives pertaining to 
animal health activities and reports and publications of the State. In 
determining whether the State program qualifies, the Administrator will 
determine whether the State:
    (1) Has the authority, based on State law or regulation, to restrict 
the intrastate movement of all CWD-positive, CWD-suspect, and CWD-
exposed animals.
    (2) Has the authority, based on State law or regulation, to require 
the prompt reporting of any animal suspected of having CWD and test 
results for any animals tested for CWD to State or Federal animal health 
authorities.
    (3) Has, in cooperation with APHIS personnel, drafted and signed a 
memorandum of understanding with APHIS that delineates the respective 
roles of the State and APHIS in CWD Herd Certification Program 
implementation.
    (4) Has placed all known CWD-positive, CWD-exposed, and CWD-suspect 
animals and herds under movement restrictions, with movement of animals 
from them only for destruction or under permit.
    (5) Has effectively implemented policies to:
    (i) Promptly investigate all animals reported as CWD-suspect 
animals;
    (ii) Designate herds as CWD-positive, CWD-exposed, or CWD-suspect 
and

[[Page 196]]

promptly restrict movement of animals from the herd after an APHIS 
employee or State representative determines that the herd contains or 
has contained a CWD-positive animal;
    (iii) Remove herd movement restrictions only after completion of a 
herd plan agreed upon by the State representative, APHIS, and the owner;
    (iv) Conduct an epidemiologic investigation of CWD-positive, CWD-
exposed, and CWD-suspect herds that includes the designation of suspect 
and exposed animals and that identifies animals to be traced;
    (v) Conduct tracebacks of CWD-positive animals and traceouts of CWD-
exposed animals and report any out-of-State traces to the appropriate 
State promptly after receipt of notification of a CWD-positive animal; 
and
    (vi) Conduct tracebacks based on slaughter or other sampling 
promptly after receipt of notification of a CWD-positive animal at 
slaughter.
    (6) Effectively monitors and enforces State quarantines and State 
reporting laws and regulations for CWD.
    (7) Has designated at least one State animal health official, or has 
worked with APHIS to designate an APHIS official, to coordinate CWD Herd 
Certification Program activities in the State.
    (8) Has programs to educate those engaged in the interstate movement 
of deer, elk, and moose regarding the identification and recordkeeping 
requirements of this part.
    (9) Requires, based on State law or regulation, and effectively 
enforces identification of all animals in herds participating in the CWD 
Herd Certification Program;
    (10) Maintains in the CWD National Database administered by APHIS, 
or in a State database approved by the Administrator as compatible with 
the CWD National Database, the State's:
    (i) Premises information and assigned premises numbers;
    (ii) Individual animal information on all deer, elk, and moose in 
herds participating in the CWD Herd Certification Program in the State;
    (iii) Individual animal information on all out-of-State deer, elk, 
and moose to be traced; and
    (iv) Accurate herd status data.
    (11) Requires that tissues from all CWD-exposed or CWD-suspect 
animals that die or are depopulated or otherwise killed be submitted to 
a laboratory authorized by the Administrator to conduct official CWD 
tests and requires appropriate disposal of the carcasses of CWD-
positive, CWD-exposed, and CWD-suspect animals.
    (b) Responsibilities of enrolled herd owners. Herd owners who enroll 
in the CWD Herd Certification Program agree to maintain their herds in 
accordance with the following conditions:
    (1) Each animal in the herd must be identified using means of animal 
identification specified in Sec. 55.25 of this subpart. All animals in 
an enrolled herd must be identified before reaching 12 months of age. In 
addition, all animals of any age in an enrolled herd must be identified 
before being moved from the herd premises. In addition, all animals in 
an enrolled herd must be identified before the inventory required under 
paragraph (b)(4) of this section, and animals found to be in violation 
of this requirement during the inventory must be identified during or 
after the inventory on a schedule specified by the APHIS employee or 
State representative conducting the inventory;
    (2) The herd premises must have perimeter fencing adequate to 
prevent ingress or egress of cervids. This fencing must also comply with 
any applicable State regulations;
    (3) The owner must immediately report to an APHIS employee or State 
representative all animals that escape or disappear, and all deaths 
(including animals killed on premises maintained for hunting and animals 
sent to slaughter) of deer, elk, and moose in the herd aged 12 months or 
older; Except that, APHIS employees or State representatives may approve 
reporting schedules other than immediate notification when herd 
conditions warrant it in the opinion of both APHIS and the State. The 
report must include the identification numbers of the animals involved 
and the estimated time and date of the death, escape, or disappearance. 
For animals that die (including animals killed on premises maintained 
for hunting and animals sent to slaughter), the owner must inform an 
APHIS or State representative and must make

[[Page 197]]

the carcasses of the animals available for tissue sampling and testing 
in accordance with instructions from the APHIS or State representative. 
In cases where animals escape or disappear and thus are not available 
for tissue sampling and testing, an APHIS representative will 
investigate whether the unavailability of animals for testing 
constitutes a failure to comply with program requirements and will 
affect the herd's status in the CWD Herd Certification Program;
    (4) The owner must maintain herd records that include a complete 
inventory of animals that states the age and sex of each animal, the 
date of acquisition and source of each animal that was not born into the 
herd, the date of disposal and destination of any animal removed from 
the herd, and all individual identification numbers (from tags, tattoos, 
electronic implants, etc.) associated with each animal. Upon request, 
the owner must allow an APHIS employee or State representative access to 
the premises and herd to conduct an annual physical herd inventory with 
verification reconciling animals and identifications with the records 
maintained by the owner. The owner must present the entire herd for 
inspection under conditions where the APHIS employee or State 
representative can safely read all identification on the animals. The 
owner will be responsible for assembling, handling and restraining the 
animals and for all costs incurred to present the animals for 
inspection;
    (5) If an owner wishes to maintain separate herds, he or she must 
maintain separate herd inventories, records, working facilities, water 
sources, equipment, and land use. There must be a buffer zone of at 
least 30 feet between the perimeter fencing around separate herds, and 
no commingling of animals may occur. Movement of animals between herds 
must be recorded as if they were separately owned herds;
    (6) New animals may be introduced into the herd only from other 
herds enrolled in the CWD Herd Certification Program. If animals are 
received from an enrolled herd with a lower program status, the 
receiving herd will revert to that lower program status. If animals are 
obtained from a herd not participating in the program, then the 
receiving herd will be required to start over in the program.

(Approved by the Office of Management and Budget under control number 
0579-0237)



Sec. 55.24  Herd status.

    (a) Initial and subsequent status. When a herd is first enrolled in 
the CWD Herd Certification Program, it will be placed in First Year 
status, except that; if the herd is comprised solely of animals obtained 
from herds already enrolled in the Program, the newly enrolled herd will 
have the same status as the lowest status of any herd that provided 
animals for the new herd. If the herd continues to meet the requirements 
of the CWD Herd Certification Program, each year, on the anniversary of 
the enrollment date the herd status will be upgraded by 1 year; i.e., 
Second Year status, Third Year status, Fourth Year status, and Fifth 
Year status. One year from the date a herd is placed in Fifth Year 
status, the herd status will be changed to ``Certified'', and the herd 
will remain in ``Certified'' status as long as it is enrolled in the 
program, provided its status is not lost or suspended in accordance with 
this section. Once the herd has received ``Certified'' status, slaughter 
surveillance and surveillance of animals killed in shooter operations 
will no longer be required, but other requirements of the program will 
remain in force.
    (b) Loss or suspension of herd status. (1) If a herd is designated a 
CWD-positive herd or a CWD-exposed herd, it will immediately lose its 
program status and may only reenroll after entering into a herd plan.
    (2) If a herd is designated a CWD-suspect herd, a trace back herd, 
or a trace forward herd, it will immediately be placed in Suspended 
status pending an epidemiologic investigation by APHIS or a State animal 
health agency. If the epidemiologic investigation determines that the 
herd was not commingled with a CWD-positive animal, the herd will be 
reinstated to its former program status, and the time spent in Suspended 
status will count toward its promotion to the next herd status level.

[[Page 198]]

    (i) If the epidemiologic investigation determines that the herd was 
commingled with a CWD-positive animal, the herd will lose its program 
status and will be designated a CWD-exposed herd.
    (ii) If the epidemiological investigation is unable to make a 
determination regarding the exposure of the herd, because the necessary 
animal or animals are no longer available for testing (i.e. a trace 
animal from a known positive herd died and was not tested) or for other 
reasons, the herd status will continue as Suspended unless and until a 
herd plan is developed for the herd. If a herd plan is developed and 
implemented, the herd will be reinstated to its former program status, 
and the time spent in Suspended status will count toward its promotion 
to the next herd status level; Except that, if the epidemiological 
investigation finds that the owner of the herd has not fully complied 
with program requirements for animal identification, animal testing, and 
recordkeeping, the herd will be reinstated into the CWD Herd 
Certification Program at the First Year status level, with a new 
enrollment date set at the date the herd entered into Suspended status. 
Any herd reinstated after being placed in Suspended status must then 
comply with the requirements of the herd plan as well as the 
requirements of the CWD Herd Certification Program. The herd plan will 
require testing of all animals that die in the herd for any reason, 
regardless of the age of the animal, may require movement restrictions 
for animals in the herd based on epidemiologic evidence regarding the 
risk posed by the animals in question, and may include other 
requirements found necessary to control the risk of spreading CWD.
    (3) If an APHIS or State representative determines that animals from 
a herd enrolled in the program have commingled with animals from a herd 
with a lower program status, the herd with the higher program status 
will be reduced to the status of the herd with which its animals 
commingled.
    (c) Cancellation of enrollment by Administrator. The Administrator 
may cancel the enrollment of an enrolled herd by giving written notice 
to the herd owner. In the event of such cancellation, the herd owner may 
not reapply to enroll in the CWD Herd Certification Program for 5 years 
from the effective date of the cancellation. The Administrator may 
cancel enrollment after determining that the herd owner failed to comply 
with any requirements of this section. Before enrollment is canceled, an 
APHIS representative will inform the herd owner of the reasons for the 
proposed cancellation.
    (1) Herd owners may appeal cancellation of enrollment or loss or 
suspension of herd status by writing to the Administrator within 10 days 
after being informed of the reasons for the proposed action. The appeal 
must include all of the facts and reasons upon which the herd owner 
relies to show that the reasons for the proposed action are incorrect or 
do not support the action. The Administrator will grant or deny the 
appeal in writing as promptly as circumstances permit, stating the 
reason for his or her decision. If there is a conflict as to any 
material fact, a hearing will be held to resolve the conflict. Rules of 
practice concerning the hearing will be adopted by the Administrator. 
However, cancellation of enrollment or loss or suspension of herd status 
shall become effective pending final determination in the proceeding if 
the Administrator determines that such action is necessary to prevent 
the possible spread of CWD. Such action shall become effective upon oral 
or written notification, whichever is earlier, to the herd owner. In the 
event of oral notification, written confirmation shall be given as 
promptly as circumstances allow. This cancellation of enrollment or loss 
or suspension of herd status shall continue in effect pending the 
completion of the proceeding, and any judicial review thereof, unless 
otherwise ordered by the Administrator.
    (2) [Reserved]
    (d) Herd status of animals added to herds. A herd may add animals 
from herds with the same or a higher herd status in the CWD Herd 
Certification Program with no negative impact on the certification 
status of the receiving herd.\2\ If animals are acquired from a

[[Page 199]]

herd with a lower herd status, the receiving herd reverts to the program 
status of the sending herd. If a herd participating in the CWD Herd 
Certification Program acquires animals from a nonparticipating herd, the 
receiving herd reverts to First Year status with a new enrollment date 
of the date of acquisition of the animal.
---------------------------------------------------------------------------

    \2\ Note that in addition to this requirement, Sec. 81.3 of this 
chapter restricts the interstate movement of farmed and captive deer, 
elk, and moose based on their status in the CWD Herd Certification 
Program.

(Approved by the Office of Management and Budget under control number 
0579-0237.)



Sec. 55.25  Animal identification.

    Each animal required to be identified by this subpart must have at 
least two forms of animal identification attached to the animal. The 
means of animal identification must be approved for this use by APHIS, 
and must be an electronic implant, flank tattoo, ear tattoo, tamper-
resistant ear tag, or other device approved by APHIS. One of the animal 
identifications must be official animal identification as defined in 
this part, with a nationally unique animal identification number that is 
linked to that animal in the CWD National Database. The second animal 
identification must be unique for the individual animal within the herd 
and also must be linked to that animal and herd in the CWD National 
Database.

(Approved by the Office of Management and Budget under control number 
0579-0237)



PART 56_CONTROL OF H5/H7 LOW PATHOGENIC AVIAN INFLUENZA--Table of Contents




Sec.
56.1 Definitions.
56.2 Cooperation with States.
56.3 Payment of indemnity.
56.4 Determination of indemnity amounts.
56.5 Destruction and disposal of poultry and cleaning and disinfection 
          of premises, conveyances, and materials.
56.6 Presentation of claims for indemnity.
56.7 Mortgage against poultry or eggs.
56.8 Conditions for payment.
56.9 Claims not allowed.
56.10 Initial State response and containment plan.

    Authority: 7 U.S.C. 8301-8317; 7 CFR 2.22, 2.80, and 371.4.

    Source: 71 FR 56323, Sept. 26, 2006, unless otherwise noted.



Sec. 56.1  Definitions.

    Administrator. The Administrator, Animal and Plant Health Inspection 
Service, or any other employee of the Animal and Plant Health Inspection 
Service delegated to act in the Administrator's stead.
    Animal and Plant Health Inspection Service (APHIS). The Animal and 
Plant Health Inspection Service of the U.S. Department of Agriculture.
    Breeding flock. A flock that is composed of stock that has been 
developed for commercial egg or meat production and is maintained for 
the principal purpose of producing chicks for the ultimate production of 
eggs or meat for human consumption.
    Classification. A designation earned by participation in a Plan 
program.
    Commercial meat-type flock. All of the meat-type chickens or meat-
type turkeys on one farm. However, at the discretion of the Official 
State Agency, any group of poultry which is segregated from another 
group in a manner sufficient to prevent the transmission of H5/H7 LPAI 
and has been so segregated for a period of at least 21 days may be 
considered as a separate flock.
    Commercial table-egg layer flock. All table-egg layers of one 
classification in one barn or house.
    Commercial table-egg layer premises. A farm containing contiguous 
flocks of commercial table-egg layers under common ownership.
    Cooperating State Agency. Any State authority recognized by the 
Department to cooperate in the administration of the provisions of this 
part 56. This may include the State animal health authority or the 
Official State Agency.
    Department. The U.S. Department of Agriculture.
    Domesticated. Propagated and maintained under the control of a 
person.
    Flock plan. A written flock management agreement developed by APHIS 
and the Official State Agency with input from the flock owner and other 
affected parties. A flock plan sets out the steps to be taken to 
eradicate H5/H7 LPAI from a positive flock, or to prevent introduction 
of H5/H7 LPAI into another flock. A flock plan shall include, but is not 
necessarily limited

[[Page 200]]

to, poultry and poultry product movement and geographically appropriate 
infected and control/monitoring zones. Control measures in the flock 
plan should include detailed plans for safe handling of conveyances, 
containers, and other associated materials that could serve as fomites; 
disposal of flocks; cleaning and disinfection; downtime; and 
repopulation.
    H5/H7 low pathogenic avian influenza (LPAI). An infection of poultry 
caused by an influenza A virus of H5 or H7 subtype that has an 
intravenous pathogenicity index test in 6-week-old chickens less than 
1.2 or any infection with influenza A viruses of H5 or H7 subtype for 
which nucleotide sequencing has not demonstrated the presence of 
multiple basic amino acids at the cleavage site of the hemagglutinin.
    H5/H7 LPAI exposed. At risk of developing H5/H7 LPAI because of 
association with birds or poultry infected with H5/H7 LPAI, excrement 
from birds or poultry infected with H5/H7 LPAI, or other material 
touched by birds or poultry infected with H5/H7 LPAI, or because there 
is reason to believe that association has occurred with H5/H7 LPAI or 
vectors of H5/H7 LPAI, as determined by the Cooperating State Agency and 
confirmed by APHIS.
    H5/H7 LPAI virus infection (infected). Poultry will be considered to 
be infected with H5/H7 LPAI for the purposes of this part if:
    (1) H5/H7 LPAI virus has been isolated and identified as such from 
poultry; or
    (2) Viral antigen or viral RNA specific to the H5 or H7 subtype of 
AI virus has been detected in poultry; or
    (3) Antibodies to the H5 or H7 subtype of the AI virus that are not 
a consequence of vaccination have been detected in poultry. If vaccine 
is used, methods should be used to distinguish vaccinated birds from 
birds that are both vaccinated and infected. In the case of isolated 
serological positive results, H5/H7 LPAI infection may be ruled out on 
the basis of a thorough epidemiological investigation that does not 
demonstrate further evidence of H5/H7 LPAI infection.
    Meat-type chicken. A domesticated chicken grown for the primary 
purpose of producing meat including but not limited to broilers, 
roasters, fryers, and cornish.
    Meat-type turkey. A domesticated turkey grown for the primary 
purpose of producing meat.
    Mortgage. Any mortgage, lien, or other security or beneficial 
interest held by any person other than the one claiming indemnity for 
the destruction of poultry or eggs due to H5/H7 LPAI.
    Official appraiser (APHIS official appraiser, State official 
appraiser). A person authorized by APHIS to appraise poultry for the 
purposes of this part. A State official appraiser is selected by a State 
and authorized by APHIS.
    Official State Agency. The State authority recognized by the 
Department to cooperate in the administration of the Plan.
    Plan. The provisions of the National Poultry Improvement Plan 
contained in parts 145, 146, and 147 of this chapter.
    Poultry. Domesticated fowl, including chickens, turkeys, ostriches, 
emus, rheas, cassowaries, waterfowl, and game birds, except doves and 
pigeons, which are bred for the primary purpose of producing eggs or 
meat.
    Secretary. The Secretary of the United States Department of 
Agriculture, or any officer or employee of the Department delegated to 
act in the Secretary's stead.
    State. Any of the States, the District of Columbia, the Commonwealth 
of Puerto Rico, Guam, the Commonwealth of the Northern Mariana Islands, 
the Virgin Islands of the United States, or any territory or possession 
of the United States.
    Table-egg layer. A domesticated chicken grown for the primary 
purpose of producing eggs for human consumption.
    United States. All of the States.



Sec. 56.2  Cooperation with States.

    (a) The Administrator has been delegated the authority to cooperate 
with Cooperating State Agencies in the eradication of H5/H7 LPAI. This 
cooperation may include, but is not necessarily limited to, the 
following activities:
    (1) Payment to Cooperating State Agencies for surveillance and 
monitoring associated with poultry that

[[Page 201]]

have been infected with or exposed to H5/H7 LPAI;
    (2) Transfer of vaccine for H5/H7 LPAI to Cooperating State Agencies 
if provided for in the initial State response and containment plan 
developed by the Official State Agency and approved by APHIS under Sec. 
56.10; and
    (3) Payment for vaccine administration by Cooperating State 
Agencies, if provided for in the initial State response and containment 
plan developed by the Official State Agency and approved by APHIS under 
Sec. 56.10
    (b)(1) Any payment made to a State or an Official State Agency for 
the activities listed in paragraphs (a)(1) and (a)(3) of this section 
must be made through a cooperative agreement between the Cooperating 
State Agency and APHIS. The payment for which the Cooperating State 
Agency is eligible will be determined in the cooperative agreement.
    (i) For any Cooperating State Agency that participates in the 
National Poultry Improvement Plan diagnostic surveillance program for 
H5/H7 LPAI, as described in Sec. 146.14 of this chapter, and has an 
initial State response and containment plan for H5/H7 LPAI that is 
approved by APHIS, as described in Sec. 56.10 of this part, the 
cooperative agreement will provide that the Cooperating State Agency is 
eligible for payment of 100 percent of the costs of surveillance and 
monitoring and 100 percent of the costs of vaccine administration, as 
determined in the cooperative agreement.
    (ii) For any Cooperating State Agency that does not meet the 
criteria in paragraph (b)(1)(i) of this section, the cooperative 
agreement will provide that the Cooperating State Agency is eligible for 
payment of 25 percent of the costs of surveillance and monitoring and 25 
percent of the costs of vaccine administration, as determined in the 
cooperative agreement.
    (2) Transfer of vaccine under paragraph (a)(2) of this section must 
be accomplished through a cooperative agreement between the Cooperating 
State Agency and APHIS.
    (c) States will be responsible for making the determination to 
request Federal assistance under this part in the event of an outbreak 
of H5/H7 LPAI.



Sec. 56.3  Payment of indemnity.

    (a) Activities eligible for indemnity. The Administrator may pay 
indemnity for the activities listed in paragraphs (a)(1) through (a)(3) 
of this section, as provided in paragraph (b) of this section:
    (1) Destruction and disposal of poultry that were infected with or 
exposed to H5/H7 LPAI;
    (2) Destruction of any eggs destroyed during testing of poultry for 
H5/H7 LPAI during an outbreak of H5/H7 LPAI; and
    (3) Cleaning and disinfection of premises, conveyances, and 
materials that came into contact with poultry that were infected with or 
exposed to H5/H7 LPAI; or, in the case of materials, if the cost of 
cleaning and disinfection would exceed the value of the materials or 
cleaning and disinfection would be impracticable for any reason, the 
destruction and disposal of the materials.
    (b) Percentage of costs eligible for indemnity. Except for poultry 
that are described by the categories in paragraphs (b)(1) through (b)(7) 
of this section, the Administrator is authorized to pay 100 percent of 
the costs, as determined in accordance with Sec. 56.4, of the 
activities described in paragraphs (a)(1) through (a)(3) of this 
section, regardless of whether the infected or exposed poultry 
participate in the Plan. For infected or exposed poultry that are 
described by the categories in paragraphs (b)(1) through (b)(7) of this 
section, the Administrator is authorized to pay 25 percent of the costs 
of the activities described in paragraphs (a)(1) through (a)(3) of this 
section:
    (1) The poultry are egg-type breeding chickens from a flock that 
participates in any Plan program in part 145 of this chapter but that 
does not participate in the U.S. Avian Influenza Clean program of the 
Plan in Sec. 145.23(h) of this chapter; or
    (2) The poultry are meat-type breeding chickens from a flock that 
participates in any Plan program in part 145 of this chapter but that 
does not participate in the U.S. Avian Influenza

[[Page 202]]

Clean program of the Plan in Sec. 145.33(l) of this chapter; or
    (3) The poultry are breeding turkeys from a flock that participates 
in any Plan program in part 145 of this chapter but that does not 
participate in the U.S. H5/H7 Avian Influenza Clean program of the Plan 
in Sec. 145.43(g) of this chapter; or
    (4) The poultry are commercial table-egg layers from a premises that 
has 75,000 or more birds and that does not participate in the U.S. H5/H7 
Avian Influenza Monitored program of the Plan in Sec. 146.23(a) of this 
chapter; or
    (5) The poultry are commercial meat-type chickens that are 
associated with a slaughter plant that slaughters 200,000 or more meat-
type chickens per operating week and that does not participate in the 
U.S. H5/H7 Avian Influenza Monitored program of the Plan in Sec. 
146.33(a) of this chapter; or
    (6) The poultry are commercial meat-type turkeys that are associated 
with a slaughter plant that slaughters 2 million or more meat-type 
turkeys in a 12-month period and that does not participate in the U.S. 
H5/H7 Avian Influenza Monitored program of the Plan in Sec. 146.43(a) 
of this chapter; or
    (7) The poultry are associated with a flock or slaughter plant that 
participates in the Plan, but they are located in a State that does not 
participate in the National Poultry Improvement Plan diagnostic 
surveillance program for H5/H7 LPAI, as described in Sec. 146.14 of 
this chapter, or that does not have an initial State response and 
containment plan for H5/H7 LPAI that is approved by APHIS, unless such 
poultry participate in the Plan with another State that does participate 
in the National Poultry Improvement Plan diagnostic surveillance program 
for H5/H7 LPAI, as described in Sec. 146.14 of this chapter, and has an 
initial State response and containment plan for H5/H7 LPAI that is 
approved by APHIS.
    (c) Other sources of payment. If the recipient of indemnity for any 
of the activities listed in paragraphs (a)(1) through (a)(3) of this 
section also receives payment for any of those activities from a State 
or from other sources, the indemnity provided under this part will be 
reduced by the total amount of payment received from the State or other 
sources.



Sec. 56.4  Determination of indemnity amounts.

    (a) Destruction and disposal of poultry. (1) Indemnity for the 
destruction of poultry infected with or exposed to H5/H7 LPAI will be 
based on the fair market value of the poultry, as determined by an 
appraisal. Poultry infected with or exposed to H5/H7 LPAI that are 
removed by APHIS or a Cooperating State Agency from a flock will be 
appraised by an APHIS official appraiser and a State official appraiser 
jointly, or, if APHIS and State authorities agree, by either an APHIS 
official appraiser or a State official appraiser alone. For laying hens, 
the appraised value should include the hen's projected future egg 
production. Appraisals of poultry must be reported on forms furnished by 
APHIS and signed by the appraisers and must be signed by the owners of 
the poultry to indicate agreement with the appraisal amount. Appraisals 
of poultry must be signed by the owners of the poultry prior to the 
destruction of the poultry, unless the owners, APHIS, and the 
Cooperating State Agency agree that the poultry may be destroyed 
immediately. Reports of appraisals must show the number of birds and the 
value per head.
    (2) Indemnity for disposal of poultry infected with or exposed to 
H5/H7 LPAI will be based on receipts or other documentation maintained 
by the claimant verifying expenditures for disposal activities 
authorized by this part. Any disposal of poultry infected with or 
exposed to H5/H7 LPAI for which compensation is requested must be 
performed under a compliance agreement between the claimant, the 
Cooperating State Agency, and APHIS. APHIS will review claims for 
compensation for disposal to ensure that all expenditures relate 
directly to activities described in Sec. 56.5 and in the initial State 
response and containment plan described in Sec. 56.10. If disposal is 
performed by the Cooperating State Agency, APHIS will indemnify the 
Cooperating State Agency for disposal under a cooperative agreement.

[[Page 203]]

    (3) The destruction and disposal of the indemnified poultry must be 
conducted in accordance with the initial State response and containment 
plan for H5/H7 LPAI, as described in Sec. 56.10.
    (b) Destruction of eggs. Indemnity for eggs destroyed during an 
outbreak for testing for H5/H7 LPAI will be based on the fair market 
value of the eggs, as determined by an appraisal. Eggs destroyed for 
testing for H5/H7 LPAI will be appraised by an APHIS official appraiser 
and a State official appraiser jointly, or, if APHIS and State 
authorities agree, by either an APHIS official appraiser or a State 
official appraiser alone. Appraisals of eggs must be reported on forms 
furnished by APHIS and signed by the appraisers and must be signed by 
the owners of the eggs to indicate agreement with the appraisal amount. 
Appraisals of eggs must be signed by the owners of the eggs prior to the 
destruction of the poultry, unless the owners, APHIS, and the 
Cooperating State Agency agree that the eggs may be destroyed 
immediately. Reports of appraisals must show the number of eggs and the 
value per egg.
    (c) Cleaning and disinfection. (1) Indemnity for cleaning and 
disinfection of premises, conveyances, and materials that came into 
contact with poultry that are infected with or exposed to H5/H7 LPAI 
will be based on receipts or other documentation maintained by the 
claimant verifying expenditures for cleaning and disinfection activities 
authorized by this part. Any cleaning and disinfection of premises, 
conveyances, and materials for which indemnity is requested must be 
performed under a compliance agreement between the claimant, the 
Cooperating State Agency, and APHIS. APHIS will review claims for 
indemnity for cleaning and disinfection to ensure that all expenditures 
relate directly to activities described in Sec. 56.5 and in the initial 
State response and containment plan described in Sec. 56.10.
    (2) In the case of materials, if the cost of cleaning and 
disinfection would exceed the value of the materials or cleaning and 
disinfection would be impracticable for any reason, indemnity for the 
destruction of the materials will be based on the fair market value of 
those materials, as determined by an appraisal. Materials will be 
appraised by an APHIS official appraiser and a State official appraiser 
jointly, or, if APHIS and State authorities agree, by either an APHIS 
official appraiser or a State official appraiser alone. Indemnity for 
disposal of the materials will be based on receipts or other 
documentation maintained by the claimant verifying expenditures for 
disposal activities authorized by this part. Any disposal of materials 
for which indemnity is requested must be performed under a compliance 
agreement between the claimant, the Cooperating State Agency, and APHIS. 
APHIS will review claims for compensation for disposal to ensure that 
all expenditures relate directly to activities described in Sec. 56.5 
and in the initial State response and containment plan described in 
Sec. 56.10.



Sec. 56.5  Destruction and disposal of poultry and cleaning and disinfection 

of premises, conveyances, and materials.

    (a) Destruction of poultry. Poultry that are infected with or 
exposed to H5/H7 LPAI may be required to be destroyed at the discretion 
of the Cooperating State Agency and APHIS and in accordance with the 
initial State response and containment plan described in Sec. 56.10. 
The Cooperating State Agency and APHIS will select a method to use for 
the destruction of such poultry based on the following factors:
    (1) The species, size, and number of the poultry to be destroyed;
    (2) The environment in which the poultry are maintained;
    (3) The risk to human health or safety of the method used;
    (4) Whether the method requires specialized equipment or training;
    (5) The risk that the method poses of spreading the H5/H7 LPAI 
virus;
    (6) Any hazard the method could pose to the environment;
    (7) The degree of bird control and restraint required to administer 
the destruction method; and
    (8) The speed with which destruction must be conducted.
    (b) Disposal of poultry. Carcasses of poultry that have died from 
H5/H7 LPAI infection or poultry that have been humanely slaughtered to 
fulfill

[[Page 204]]

depopulation requirements must be disposed of promptly and efficiently 
in accordance with the initial State response and containment plan 
described in Sec. 56.10 to prevent the spread of H5/H7 LPAI infection. 
Disposal methods will be selected by the Cooperating State Agency and 
APHIS and may include one or more of the following: Burial, 
incineration, composting, or rendering. Regardless of the method used, 
strict biosecurity procedures must be implemented and enforced for all 
personnel and vehicular movement into and out of the area in accordance 
with the initial State response and containment plan to prevent 
dissemination of the H5/H7 LPAI virus.
    (c) Controlled marketing. (1) At the discretion of the Cooperating 
State Agency and APHIS, poultry that has been infected with or exposed 
to H5/H7 LPAI may be allowed to move for controlled marketing in 
accordance with the initial State response and containment plan 
described in Sec. 56.10 and in accordance with the following 
requirements:
    (i) Poultry infected with or exposed to H5/H7 LPAI must not be 
transported to a market for controlled marketing until 21 days after the 
acute phase of the infection has concluded, as determined by the 
Cooperating State Agency in accordance with the initial State response 
and containment plan described in Sec. 56.10; and
    (ii) Within 7 days prior to slaughter, each flock to be moved for 
controlled marketing must be tested for H5/H7 LPAI using a test approved 
by the Cooperating State Agency and found to be free of the virus.
    (2) Poultry moved for controlled marketing will not be eligible for 
indemnity under Sec. 56.3.
    (d) Cleaning and disinfection of premises, conveyances, and 
materials. Premises, conveyances, and materials that came into contact 
with poultry infected with or exposed to H5/H7 LPAI must be cleaned and 
disinfected; Provided, that materials for which the cost of cleaning and 
disinfection would exceed the value of the materials or for which 
cleaning and disinfection would be impracticable for any reason may be 
destroyed and disposed. Cleaning and disinfection must be performed in 
accordance with the initial State response and containment plan 
described in Sec. 56.10, which must be approved by APHIS. This 
paragraph (d) provides guidelines for the development of a cleaning and 
disinfection plan for a premises and for the materials and conveyances 
on that premises.
    (1) Preparation for cleaning and disinfection. Following the 
depopulation or controlled marketing of all poultry infected with or 
exposed to H5/H7 LPAI on a premises, the following procedures should be 
completed prior to cleaning and disinfection:
    (i) Secure and remove all feathers that might blow around outside 
the house in which the infected or exposed poultry were held by raking 
them together and burning the pile;
    (ii) Apply insecticides and rodenticides immediately after the 
removal of the birds, before the house cools;
    (iii) Close the house in which the poultry were held, maintaining 
just enough ventilation to remove moisture. Leave the house undisturbed 
for a minimum of 21 days and for as long as possible thereafter, in 
order to allow as much H5/H7 LPAI virus as possible to die a natural 
death.
    (iv) Heat the house to 100 [deg]F for the 72 hours prior to cleaning 
and disinfection.
    (2) Cleaning and disinfection. All premises, conveyances, and 
materials that came into contact with poultry that were infected with or 
exposed to H5/H7 LPAI must be cleaned and disinfected. Cleaning and 
disinfection must be performed on all buildings that came into contact 
with poultry that were infected with or exposed to H5/H7 LPAI within a 
premises, including pumphouses and service areas. To accomplish cleaning 
and disinfection, the following procedures should be completed:
    (i) Disposal of manure, debris, and feed. Clean up all manure, 
debris, and feed. Compost manure, debris, and feed in the house if 
possible. If this is not possible, set up a system for hauling manure, 
debris, and feed to an approved site for burial, piling, or composting. 
Do not clean out the house or move or spread litter until any H5/H7 LPAI 
virus that may have contaminated the

[[Page 205]]

manure and litter is dead, as determined by the Cooperating State Agency 
and in accordance with the initial State response and containment plan 
described in Sec. 56.10. If composting is used as a disposal method, 
manure and litter should be composted in accordance with State and local 
regulations. If litter is piled, the litter pile must be covered and 
allowed to sit undisturbed for an amount of time approved by the 
Cooperating State Agency and APHIS and in accordance the initial State 
response and containment plan described in Sec. 56.10. Drying and heat 
in situ over time are effective and may be used in place of composting 
if weather conditions or conditions in the building are favorable. After 
use, equipment used to clean out manure, debris, and feed must be 
washed, disinfected, and inspected at the site to which the manure and 
litter was transported. In the case of inclement weather, the equipment 
may be washed, disinfected, and inspected at off-site wash stations at 
the discretion of the Cooperating State Agency and APHIS.
    (ii) Cleaning of premises and materials. Cleaning and washing should 
be thorough to ensure that all materials or substances contaminated with 
H5/H7 LPAI virus, especially manure, dried blood, and other organic 
materials, are removed from all surfaces. Spray all contaminated 
surfaces above the floor with soap and water to knock dust down to the 
floor, using no more water than necessary. Wash equipment and houses 
with soap and water. Disassemble equipment as required to clean all 
contaminated surfaces. Special attention should be given to automatic 
feeders and other closed areas to ensure adequate cleaning. Inspect 
houses and equipment to ensure that cleaning has removed all 
contaminated materials or substances and let houses and equipment dry 
completely before applying disinfectant.
    (iii) Disinfection of premises and materials. When cleaning has been 
completed and all surfaces are dry, all interior surfaces of the 
structure should be saturated with a disinfectant authorized in Sec. 
71.10(a) of this chapter. A power spray unit should be used to spray the 
disinfectant on all surfaces, making sure that the disinfectant gets 
into cracks and crevices. Special attention should be given to automatic 
feeders and other closed areas to ensure adequate disinfection.
    (vi) Cleaning and disinfection of conveyances. Clean and disinfect 
all trucks and vehicles used in transporting affected poultry or 
materials before soil dries in place. Both exterior, including the 
undercarriage, and interior surfaces, including truck cabs, must be 
cleaned. The interior of the truck cabs should be washed with clean 
water and sponged with a disinfectant authorized in Sec. 71.10(a) of 
this chapter. Manure and litter removed from these vehicles should be 
handled in a manner similar to that described in paragraph (d)(2)(i) of 
this section.
    (3) Activities after cleaning and disinfection. Premises should be 
checked for virus before repopulation in accordance with the initial 
State response and containment plan described in Sec. 56.10. The 
premises may not be restocked with poultry until after the date 
specified in the initial State response and containment plan described 
in Sec. 56.10.
    (4) Destruction and disposal of materials. In the case of materials 
for which the cost of cleaning and disinfection would exceed the value 
of the materials or for which cleaning and disinfection would be 
impracticable for any reason, the destruction and disposal of the 
materials must be conducted in accordance with the initial State 
response and containment plan described in Sec. 56.10.



Sec. 56.6  Presentation of claims for indemnity.

    Claims for the following must be documented on a form furnished by 
APHIS and presented to an APHIS employee or the State representative 
authorized to accept the claims:
    (a) Compensation for the value of poultry to be destroyed due to 
infection with or exposure to H5/H7 LPAI;
    (b) Compensation for the value of eggs to be destroyed during 
testing for H5/H7 LPAI; and
    (c) Compensation for the cost of cleaning and disinfection of 
premises, conveyances, and materials that came into contact with poultry 
infected with or exposed to H5/H7 LPAI, or, in the

[[Page 206]]

case of materials, if the cost of cleaning and disinfection would exceed 
the value of the materials or cleaning and disinfection would be 
impracticable for any reason, the cost of destruction and disposal for 
the materials.



Sec. 56.7  Mortgage against poultry or eggs.

    When poultry or eggs have been destroyed under this part, any claim 
for indemnity must be presented on forms furnished by APHIS. The owner 
of the poultry or eggs must certify on the forms that the poultry or 
eggs covered are, or are not, subject to any mortgage as defined in this 
part. If the owner states there is a mortgage, the owner and each person 
holding a mortgage on the poultry or eggs must sign the APHIS-furnished 
form, consenting to the payment of indemnity to the person specified on 
the form.



Sec. 56.8  Conditions for payment.

    (a) When poultry or eggs have been destroyed pursuant to this part, 
the Administrator may pay claims to any party with which the owner of 
the poultry or eggs has entered into a contract for the growing or care 
of the poultry or eggs. The indemnity the Administrator may pay to such 
a party or parties shall be determined as follows:
    (1) Divide the value of the contract the owner of the poultry or 
eggs entered into with another party for the growing and care of the 
poultry or eggs in dollars by the duration of the contract as it was 
signed prior to the H5/H7 LPAI outbreak in days;
    (2) Multiply this figure by the time in days between the date the 
other party began to provide services relating to the destroyed poultry 
or eggs under the contract and the date the birds were destroyed due to 
H5/H7 LPAI.
    (b)(1) If indemnity for the destroyed poultry or eggs is being 
provided for 100 percent of eligible costs under Sec. 56.3(b), the 
Administrator may pay contractors eligible for compensation under this 
section 100 percent of the indemnity determined in paragraph (a) of this 
section.
    (2) If indemnity for the destroyed poultry or eggs is being provided 
for 25 percent of eligible costs under Sec. 56.3(b), the Administrator 
may pay contractors eligible for compensation under this section 25 
percent of the indemnity determined in paragraph (a) of this section.
    (c) If indemnity is paid to a contractor under this section, the 
owner of the poultry or eggs will be eligible to receive the difference 
between the indemnity paid to the growers and the total amount of 
indemnity that may be paid for the poultry or eggs.
    (d) In the event that determination of indemnity to a party with 
which the owner of destroyed poultry or eggs has entered into a contract 
for the growing or care of the poultry or eggs using the method 
described in paragraph (a) of this section is determined to be 
impractical or inappropriate, APHIS may use any other method that the 
Administrator deems appropriate to make that determination.



Sec. 56.9  Claims not allowed.

    (a) The Department will not allow claims arising out of the 
destruction of poultry unless the poultry have been appraised as 
prescribed in this part and the owners have signed the appraisal form 
indicating agreement with the appraisal amount as required by Sec. 
56.4(a)(1).
    (b) The Department will not allow claims arising out of the 
destruction of poultry unless the owners have signed a written agreement 
with APHIS in which they agree that if they maintain poultry in the 
future on the premises used for poultry for which indemnity is paid, 
they will maintain the poultry in accordance with a plan set forth by 
the Cooperating State Agency and will not introduce poultry onto the 
premises until after the date specified by the Cooperating State Agency. 
Persons who do not maintain their poultry and premises in accordance 
with this written agreement will not be eligible to receive indemnity 
under this part.
    (c) The Department will not allow claims arising out of the 
destruction of poultry unless the poultry have been moved or handled by 
the owner in accordance with an agreement for the control and 
eradication of H5/H7 LPAI and in accordance with part 56, for any 
progeny of any poultry unless the poultry have been moved or handled by 
the

[[Page 207]]

owner in accordance with an agreement for the control and eradication of 
H5/H7 LPAI and in accordance with part 56, or for any poultry that 
become or have become infected with or exposed to H5/H7 LPAI because of 
actions not in accordance with an agreement for the control and 
eradication of H5/H7 LPAI or a violation of this part.



Sec. 56.10  Initial State response and containment plan.

    (a) In order for poultry owners within a State to be eligible for 
indemnity for 100 percent of eligible costs under Sec. 56.3(b), the 
State in which the poultry participate in the Plan must have in place an 
initial State response and containment plan that has been approved by 
APHIS. The initial State response and containment plan must be developed 
by the Official State Agency and administered by the Cooperating State 
Agency of the relevant State. This plan must include:
    (1) Provisions for a standing emergency disease management 
committee, regular meetings, and exercises, including coordination with 
any tribal governments that may be affected;
    (2) A minimum biosecurity plan followed by all poultry producers;
    (3) Provisions for adequate diagnostic resources;
    (4) Detailed, specific procedures for initial handling and 
investigation of suspected cases of H5/H7 LPAI;
    (5) Detailed, specific procedures for reporting test results to 
APHIS. These procedures must be developed after appropriate consultation 
with poultry producers in the State and must provide for the reporting 
only of confirmed cases of H5/H7 LPAI in accordance with Sec. 146.13 of 
this chapter;
    (6) Detailed, strict quarantine measures for presumptive and 
confirmed index cases;
    (7) Provisions for developing flock plans for infected and exposed 
flocks;
    (8) Detailed plans for disposal of infected flocks, including 
preexisting agreements with regulatory agencies and detailed plans for 
carcass disposal, disposal sites, and resources for conducting disposal, 
and detailed plans for disposal of materials that come into contact with 
poultry infected with or exposed to H5/H7 LPAI;
    (9) Detailed plans for cleaning and disinfection of premises, 
repopulation, and monitoring after repopulation;
    (10) Provisions for appropriate control/monitoring zones, contact 
surveys, and movement restrictions;
    (11) Provisions for monitoring activities in control zones;
    (12) If vaccination is considered as an option, a written plan for 
use in place with proper controls and provisions for APHIS approval of 
any use of vaccine;
    (13) Plans for H5/H7 LPAI-negative flocks that provide for 
quarantine, testing, and controlled marketing; and
    (14) Public awareness and education programs regarding avian 
influenza.
    (b) If a State is designated a U.S. Avian Influenza Monitored State, 
Layers under Sec. 146.24(a) of this chapter or a U.S. Avian Influenza 
Monitored State, Turkeys under Sec. 146.44(a) of this chapter, it will 
lose that status during any outbreak of H5/H7 LPAI and for 90 days after 
the destruction and disposal of all infected or exposed birds and 
cleaning and disinfection of all affected premises are completed.

[[Page 208]]



 SUBCHAPTER C_INTERSTATE TRANSPORTATION OF ANIMALS (INCLUDING POULTRY) 
                           AND ANIMAL PRODUCTS



PART 70_RULES OF PRACTICE GOVERNING PROCEEDINGS UNDER CERTAIN ACTS--Table of 

Contents




                            Subpart A_General

Sec.
70.1 Scope and applicability of rules of practice.

                Subpart B_Supplemental Rules of Practice

70.10 Stipulations.

    Authority: 7 U.S.C. 8301-8317; 7 CFR 2.22, 2.80, and 371.4.

    Source: 48 FR 30094, June 30, 1983, unless otherwise noted.



                            Subpart A_General



Sec. 70.1  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).
The Animal Health Protection Act (7 U.S.C. 8301 et seq.).
Sections 901-905 of the Federal Agriculture Improvement and Reform Act 
of 1996 (7 U.S.C. 1901 note).


In addition, the Supplemental Rules of Practice set forth in subpart B 
of this part shall be applicable to such proceedings.

[48 FR 30094, June 30, 1983, as amended at 66 FR 63615, Dec. 7, 2001; 68 
FR 6343, Feb. 7, 2003]



                Subpart B_Supplemental Rules of Practice



Sec. 70.10  Stipulations.

    (a) At any time prior to the issuance of a complaint seeking a civil 
penalty under any of the Acts listed in Sec. 70.1, 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 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 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 71_GENERAL PROVISIONS--Table of Contents




Sec.
71.1 Definitions.
71.2 Secretary to issue rule governing quarantine and interstate 
          movement of diseased animals, including poultry.
71.3 Interstate movement of diseased animals and poultry generally 
          prohibited.
71.4 Maintenance of certain facilities and premises in a sanitary 
          condition required; cleaning and disinfection, when required; 
          animals classed as ``exposed.''
71.5 Unsanitary railroad cars, trucks, boats, aircraft or other means of 
          conveyance; interstate movement restricted.
71.6 Carrier responsible for cleaning and disinfecting of railroad cars, 
          trucks, boats, aircraft or other means of conveyance.
71.7 Means of conveyance, facilities, premises, and cages and other 
          equipment; methods of cleaning and disinfecting.
71.10 Permitted disinfectants.
71.11 Cresylic disinfectant as permitted disinfectant; specifications.

[[Page 209]]

71.12 Sodium orthophenylphenate as permitted disinfectant for premises 
          infected with tuberculosis.
71.13 Inspection of shipments in transit by APHIS representative.
71.14 Slaughter of poultry or other animals to prevent spread of 
          disease; ascertainment of value and compensation.
71.15 Movement from quarantined to free area and shipment therefrom; 
          conditions under which permitted.
71.16 Inspection and certification of poultry or other animals for 
          interstate movement.
71.17 Interstate movement of dead poultry or other animals prohibited in 
          same car with live poultry or other animals.
71.18 Individual identification of certain cattle 2 years of age or over 
          for movement in interstate commerce.
71.19 Identification of swine in interstate commerce.
71.20 Approval of livestock facilities.
71.21 Tissue and blood testing at slaughter.
71.22 Removal and loss of official identification devices.

    Authority: 7 U.S.C. 8301-8317; 7 CFR 2.22, 2.80, and 371.4.

    Source: 28 FR 5937, June 13, 1963, unless otherwise noted.



Sec. 71.1  Definitions.

    As used in this part, the following terms shall have the meanings 
set forth in this section.
    Accredited veterinarian. A veterinarian who is approved by the 
Administrator, in accordance with part 161 of this chapter, to perform 
official animal health work of the Animal and Plant Health Inspection 
Service specified in subchapters A, B, C, and D of this chapter; and to 
perform work 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).
    Animal identification number (AIN). A numbering system for the 
official identification of individual animals in the United States 
providing a nationally unique identification number for each animal. The 
AIN contains 15 digits, with the first 3 being the country code (840 for 
the United States), the alpha characters USA, or the numeric code 
assigned to the manufacturer of the identification device by the 
International Committee on Animal Recording.
    APHIS representative. An individual employed by APHIS who is 
authorized to perform the function involved.
    Approved livestock facility. A stockyard, livestock market, buying 
station, concentration point, or any other premises under State or 
Federal veterinary supervision where livestock are assembled and that 
has been approved under Sec. 71.20.
    Area Veterinarian in Charge. The veterinary official of APHIS, who 
is assigned by the Administrator to supervise and perform the official 
animal health work of the Animal and Plant Health Inspection Service in 
the state concerned.
    Breeder swine. Sexually intact swine over 6 months of age.
    Commingling. The mixing or assembling of swine from one premises 
with swine from any other premises, including, but not limited to, 
loading swine from more than one premises on the same truck, trailer, 
vessel, or railroad car, unless swine from different premises are kept 
separate on the means of conveyance by dividers.
    Department. The United States Department of Agriculture.
    Feeder swine. Swine under 6 months of age that are not slaughter 
swine.
    Food Safety and Inspection Service (FSIS). The Food Safety and 
Inspection Service, United States Department of Agriculture.
    Free area. The States, Territories, or the District of Columbia or 
portions thereof not quarantined by the Secretary of Agriculture for the 
specific contagious, infectious, or communicable animal disease 
mentioned in each part.
    Group/lot identification number (GIN). The identification number 
used to uniquely identify a ``unit of animals'' of the same species that 
is managed together as one group throughout the preharvest production 
chain. The GIN consists of a seven-character premises identification 
number (PIN), as defined in this section, a six-digit representation of 
the date on which the group or lot of animals was assembled (MM/DD/YY), 
and two additional digits, ranging

[[Page 210]]

from 01 to 99, for the numbering of different groups or lots of animals 
assembled on the same premises on the same day. When more than one group 
of animals is assembled, the groups will be designated consecutively as 
01, 02, 03, etc.
    Horses. Horses, asses, mules, ponies, and zebras.
    Interstate. From one State into or through any other State.
    Interstate commerce. Trade, traffic, transportation, or other 
commerce between a place in a state and any place outside of that state, 
or between points within a state but through any place outside of that 
state.
    Interstate swine movement report. A paper or electronic document 
signed by a producer moving swine giving notice that a group of animals 
is being moved across State lines in a swine production system. This 
document must contain the name of the swine production system; the name, 
location, and premises identification number of the premises from which 
the swine are to be moved; the name, location, and premises 
identification number of the premises to which the swine are to be 
moved; the date of movement; and the number, age, and type of swine to 
be moved. This document must also contain a description of any 
individual or group identification associated with the swine, the name 
of the swine production system accredited veterinarian(s), the health 
status of the herd from which the swine are to be moved, including any 
disease of regulatory concern to APHIS or to the States involved, and an 
accurate statement that swine on the premises from which the swine are 
to be moved have been inspected by the swine production system 
accredited veterinarian(s) within 30 days prior to the interstate 
movement and consistent with the dates specified by the premises' swine 
production health plan and found free from signs of communicable 
disease.
    Livestock. Horses, cattle, bison, captive cervids, sheep and goats, 
swine, and other farm-raised animals.
    Livestock market. A stockyard, buying station, concentration point, 
or any other premises where livestock are assembled for sale or sale 
purposes.
    Moved (movement) in interstate commerce. Shipped, transported, 
delivered, or otherwise aided, induced, or caused to be moved from the 
point of origin of the interstate movement to the animals' final 
destination, such as a slaughtering establishment or a farm for breeding 
or raising, and including any temporary stops along the way, such as at 
a stockyard or dealer premises for feed, water, rest, or sale.
    Official Brand Inspection Agency. The duly constituted body elected, 
appointed, or delegated or granted authority by a State or governmental 
subdivision thereof, to administer laws, regulations, ordinances or 
rules pertaining to the brand identification of livestock.
    Official brand inspection certificate. A certificate issued by an 
official brand inspection agency in any State in which such certificates 
are required for movement of livestock.
    Official eartag. An identification tag providing unique 
identification for individual animals. An official eartag which contains 
or displays an AIN with an 840 prefix must bear the U.S. shield. The 
design, size, shape, color, and other characteristics of the official 
eartag will depend on the needs of the users, subject to the approval of 
the Administrator. The official eartag must be tamper-resistant and have 
a high retention rate in the animal. Official eartags must adhere to one 
of the following numbering systems:
    (1) National Uniform Eartagging System.
    (2) Animal identification number (AIN).
    (3) Premises-based number system. The premises-based number system 
combines an official premises identification number (PIN), as defined in 
this section, with a producer's livestock production numbering system to 
provide a unique identification number. The PIN and the production 
number must both appear on the official tag.
    (4) Any other numbering system approved by the Administrator for the 
identification of animals in commerce.
    Official identification device or method. A means of officially 
identifying an

[[Page 211]]

animal or group of animals using devices or methods approved by the 
Administrator, including, but not limited to, official tags, tattoos, 
and registered brands when accompanied by a certificate of inspection 
from a recognized brand inspection authority.
    Official swine tattoo. A tattoo, conforming to the six-character 
alpha-numeric National Tattoo System, that provides a unique 
identification for each herd or lot of swine.
    Person. Any individual, corporation, company, association, firm, 
partnership, society, or joint stock company, or other legal entity.
    Premises. A location where livestock or poultry are housed or kept.
    Premises identification number (PIN). A nationally unique number 
assigned by a State, Tribal, and/or Federal animal health authority to a 
premises that is, in the judgment of the State, Tribal, and/or Federal 
animal health authority, a geographically distinct location from other 
premises. The premises identification number is associated with an 
address, geospatial coordinates, and/or location descriptors which 
provide a verifiably unique location. The premises identification number 
may be used in conjunction with a producer's own livestock production 
numbering system to provide a unique identification number for an 
animal. It may also be used as a component of a group/lot identification 
number (GIN). The premises identification number may consist of:
    (1) The State's two-letter postal abbreviation followed by the 
premises' assigned number; or
    (2) A seven-character alphanumeric code, with the right-most 
character being a check digit. The check digit number is based upon the 
ISO 7064 Mod 36/37 check digit algorithm.
    Purebred registry association. A swine breed association formed and 
perpetuated for the maintenance of records of purebreeding of swine 
species for a specific breed whose characteristics are set forth in 
constitutions, by-laws, and other rules of the association.
    Quarantined area. The States, Territories, or the District of 
Columbia or portions thereof quarantined by the Secretary of Agriculture 
for the specific contagious, infectious, or communicable animal disease 
mentioned in each part.
    Slaughter swine. Swine being sold or moved for slaughter purposes 
only.
    State. Any of the 50 states, the Commonwealth of Puerto Rico, the 
Commonwealth of the Northern Mariana Islands, the District of Columbia, 
and any territories and possessions of the United States.
    State animal health official. The state official responsible for 
livestock and poultry disease control and eradication programs.
    State representative. An individual employed in animal health work 
by a state or a political subdivision thereof and authorized by such 
state or political subdivision to perform the function involved.
    Swine production health plan. A written agreement developed for a 
swine production system designed to maintain the health of the swine and 
detect signs of communicable disease.
    The plan must identify all premises that are part of the swine 
production system and that receive or send swine in interstate commerce 
and must provide for health monitoring of all swine within the system. 
Such health monitoring must include inspections by the swine production 
system accredited veterinarian(s). Inspections of all identified 
premises that contain swine that are or will be in the process of moving 
interstate within the swine production system and of all swine on those 
premises must be conducted by the accredited veterinarian(s) at 
intervals of no greater than 30 days. Inspections of all identified 
receiving premises that contain only swine that have completed their 
interstate movement within a single swine production system and of all 
swine on those premises must be conducted in accordance with State 
regulations. The plan must also describe the recordkeeping system of the 
swine production system. The plan will not be valid unless it is signed 
by an official of each swine production system identified in the plan, 
the swine production system accredited veterinarian(s), an APHIS 
representative, and the State animal health official from each State in 
which the swine production system has premises. In the plan, the swine 
production system

[[Page 212]]

must acknowledge that it has been informed of and has notified the 
managers of all its premises listed in the plan that any failure of the 
participants in the swine production system to abide by the provisions 
of the plan and the applicable provisions of this part and part 85 of 
this chapter constitutes a basis for the cancellation of the swine 
production health plan, as well as other administrative or criminal 
sanctions, as appropriate.
    Swine production system. A swine production enterprise that consists 
of multiple sites of production; i.e., sow herds, nursery herds, and 
growing or finishing herds, but not including slaughter plants or 
livestock markets, that are connected by ownership or contractual 
relationships, between which swine move while remaining under the 
control of a single owner or a group of contractually connected owners.
    Swine production system accredited veterinarian. An accredited 
veterinarian who is named in a swine production health plan for a 
premises within a swine production system and who performs inspection of 
such premises and animals and other duties related to the movement of 
swine in a swine production system.
    Tick infested. Infested with the ticks Boophilus annulatus 
(Margaropus annulatus), Boophilus microplus, or Rhipicephalus evertsi 
evertsi.
    United States Department of Agriculture backtag. A backtag issued by 
APHIS that provides unique identification for each animal.

[28 FR 5937, June 13, 1963, as amended at 29 FR 14489, Oct. 22, 1964; 35 
FR 14197, Sept. 9, 1970; 38 FR 18011, July 6, 1973; 50 FR 45987, Nov. 6, 
1985; 51 FR 32599, Sept. 12, 1986, 53 FR 40385, Oct. 14, 1988; 55 FR 
11155, 11156, Mar. 27, 1990; 55 FR 15320, Apr. 23, 1990; 62 FR 27933, 
May 22, 1997; 62 FR 54758, Oct. 22, 1997; 66 FR 65602, Dec. 20, 2001; 68 
FR 62226, Nov. 3, 2003; 69 FR 10150, Mar. 4, 2004; 69 FR 64648, Nov. 8, 
2004; 72 FR 39305, July 18, 2007]



Sec. 71.2  Secretary to issue rule governing quarantine and interstate 

movement of diseased animals, including poultry.

    When the Secretary of Agriculture shall determine the fact that 
poultry or other animals in any State, Territory, or the District of 
Columbia are affected with any contagious, infectious, or communicable 
disease of livestock or poultry for which, in his opinion, a quarantine 
should be established or that other basis for a quarantine exists, 
notice will be given of that fact, and a rule will be issued 
accordingly, placing in quarantine such State, Territory, or the 
District of Columbia, or specified portion thereof. This rule will 
either absolutely forbid the interstate movement of the quarantined 
animals from the quarantined area or will indicate the regulations under 
which interstate movements may be made.

[34 FR 15641, Oct. 9, 1969]



Sec. 71.3  Interstate movement of diseased animals and poultry generally 

prohibited.

    (a) Animals or poultry affected with any of the following diseases, 
which are endemic to the United States: Equine piroplasmosis, bovine 
piroplasmosis or splenetic fever, scabies in cattle, pseudorabies, acute 
swine erysipelas, tuberculosis, Johne's disease, brucellosis, scrapie, 
bluetongue, anthrax, chlamydiosis, and Newcastle disease, or any other 
communicable disease which is endemic to the United States, or which are 
cattle fever tick infested, shall not be moved interstate.
    (b) Animals or poultry affected with any of the following diseases, 
not known to exist in the United States: foot-and-mouth disease, 
rinderpest, African swine fever, classical swine fever, Teschen disease, 
contagious bovine pleuropneumonia, European fowl pest, dourine, 
contagious equine metritis, vesicular exanthema, screwworms and 
glanders, scabies in sheep or any other communicable foreign disease not 
known to exist in the United States, shall not be moved interstate.
    (c) Notwithstanding the provisions of paragraphs (a) and (b) of this 
section:
    (1) Domestic animals that have reacted to an official test for 
brucellosis, are not affected with any other disease referred to in this 
section, and are not tick infested may be moved interstate in accordance 
with part 78 of this chapter.
    (2) Domestic animals that are positive to an official Johne's 
disease test, are not affected with any other disease referred to in 
this section, and are not

[[Page 213]]

tick infested may be moved interstate in accordance with part 80 of this 
chapter.
    (3) Cattle which have reacted to the tuberculin test, which are not 
affected with any other disease referred to in this section and are not 
tick infested, may be moved interstate in accordance with the provisions 
of Sec. 77.17 of this subchapter.
    (4) Swine infected with or exposed to pseudorabies may be moved 
interstate in accordance with part 85 of this chapter.
    (d) Notwithstanding the provisions of paragraphs (a) and (b) of this 
section, livestock which is found to be diseased may be moved interstate 
in accordance with paragraphs (d)(1) through (6) of this section: 
Provided, That such livestock is not tick infested or affected with any 
disease referred to in this section other than the diseases named in 
this paragraph: And provided further, That such livestock is accompanied 
by a certificate, issued by an APHIS or State representative or 
accredited veterinarian stating the destination of the animals; the 
purpose for which they are to be moved; the number of animals covered by 
the certificate; the point from which the animals are moved interstate; 
and the name and address of the owner or shipper.
    (1) Livestock affected with one or more of the following diseases 
may be moved interstate for immediate slaughter to a slaughtering 
establishment where State or Federal meat inspection is maintained; 
Actinomycosis, actinobacillosis, anaplasmosis, atrophic rhinitis, 
contagious ecthyma, foot rot, infectious keratitis, ram epididymitis, 
ringworm, swine influenza, arthritis (simple lesions only), and shipping 
fever.
    (2) Cattle with slight unopened cases of actinomycosis or 
actinobacillosis (or both) may be moved interstate to a feed lot in the 
State of destination: Provided, That such cattle are not affected with 
any other disease named in this paragraph.
    (3) Sheep affected with or exposed to contagious ecthyma may be 
moved interstate to a feed lot located in a State the laws, rules, or 
regulations of which require that such sheep be segregated or 
quarantined under a permit from an official of such State: Provided, 
That such sheep are not affected with any other disease named in this 
paragraph.
    (4) Livestock affected with one or more of the following diseases 
may be moved interstate for any purpose to a State the laws, rules, or 
regulations of which require that such livestock be segregated or 
quarantined under a permit from the appropriate livestock sanitary 
official of such State: actinomycosis, actinobacillosis, contagious 
ecthyma, foot rot, and shipping fever: Provided, That such livestock is 
not affected with any other disease named in this paragraph.
    (5) Livestock affected with infectious keratitis or ringworm (or 
both) may be moved interstate for any purpose if treated under the 
supervision of an APHIS or State representative or an accredited 
veterinarian prior to movement: Provided, That such livestock is not 
affected with any other disease named in this paragraph. Livestock 
affected with infectious keratitis or ringworm (or both) and also with 
another disease named in this paragraph may be moved interstate only 
under the applicable provisions of paragraphs (d)(1) through (4) of this 
section after being so treated for infectious keratitis or ringworm (or 
both). Such livestock will be subject to further treatment at 
destination, if required.
    (6) Fish affected with spring viremia of carp may be moved 
interstate only if they are being moved directly to a facility to be 
processed into food for human consumption.
    (7) Other movements. The Administrator may provide for the movement, 
not otherwise provided for in this paragraph, of animals affected with 
the diseases named in paragraph (d)(1) of this section, under such 
conditions as he may prescribe to prevent the spread of disease. The 
Administrator will promptly notify the appropriate livestock sanitary 
officials of the States involved of any such action.
    (e) Notwithstanding the provisions of paragraphs (a) and (b) of this 
section, the Administrator in specific cases and under such conditions 
as he may prescribe to prevent the dissemination of disease may provide 
for the interstate

[[Page 214]]

movement of individual animals affected with contagious, infectious, or 
communicable disease to a designated diagnostic or research facility 
when accompanied by a permit from the appropriate livestock sanitary 
official in the State of destination: Provided, That animals so moved 
shall be maintained in quarantine at such designated facility until 
freed of disease as determined by tests recognized by the Department, 
until natural death, or until disposal by euthanasia.
    (f) Before offering cattle or other livestock or poultry for 
interstate transportation, transporting them interstate, or introducing 
them into any stockyards or upon routes of traffic for interstate 
transportation, all persons, companies, or corporations are required to 
exercise reasonable diligence to ascertain whether such animals or 
poultry are affected with any contagious, infectious, or communicable 
disease, or have been exposed to the contagion or infection of any such 
disease by contact with other animals or poultry so diseased or by 
location in pens, cars, or other vehicles, or upon premises that have 
contained animals or poultry so diseased.

[28 FR 5937, June 13, 1963]

    Editorial Note: For Federal Register citations affecting Sec. 71.3, 
see the List of CFR Sections Affected, which appears in the Finding Aids 
section of the printed volume and on GPO Access.



Sec. 71.4  Maintenance of certain facilities and premises in a sanitary 

condition required; cleaning and disinfection, when required; animals classed 

as ``exposed.''

    (a) Yards, pens, chutes, alleys, and other facilities and premises 
which are used in connection with the interstate movement of livestock 
or poultry shall be maintained by the person in possession of the 
facilities and premises in a clean and sanitary condition, in accordance 
with good animal husbandry practices, and shall be subject to inspection 
by an APHIS or State representative. When an APHIS or State 
representative determines that such facilities or premises are not in 
such clean and sanitary condition and gives written notice of his 
determination to such person, the facilities and premises shall be 
cleaned and disinfected in accordance with Sec. Sec. 71.7 and 71.10 
through 71.12 by such person under the supervision of an APHIS or State 
representative or an accredited veterinarian before such premises are 
again used for livestock or poultry.
    (b) Yards, pens, chutes, alleys, and other facilities and premises 
which have contained interstate shipments of cattle, sheep, swine, 
poultry, or other animals affected with, or carrying the infection of, 
any contagious, infectious, or communicable disease of livestock or 
poultry other than slight unopened cases of actinomycosis or 
actinobacillosis (or both), bovine foot rot, atrophic rhinitis, ram 
epididymitis, ringworm, infectious keratitis, and arthritis (simple 
lesions only), shall be cleaned and disinfected under the supervision of 
an APHIS or State representative or an accredited veterinarian in 
accordance with Sec. Sec. 71.7 and 71.10 through 71.12 before such 
premises are again used for animals, and any poultry or other animals 
unloaded into such yards or premises before they have been so cleaned 
and disinfected shall thereafter be classed as ``exposed'' within the 
meaning of the regulations in this subchapter and shall not be moved 
interstate except in compliance with the provisions of such regulations 
applicable to ``exposed'' animals.

[34 FR 15641, Oct. 9, 1969, as amended at 55 FR 11156, Mar. 27, 1990; 55 
FR 15320, Apr. 23, 1990; 62 FR 27933, May 22, 1997]



Sec. 71.5  Unsanitary railroad cars, trucks, boats, aircraft or other means of 

conveyance; interstate movement restricted.

    No person who receives notice from an APHIS representative that a 
railroad car, truck, boat, aircraft or other means of conveyance owned 
or operated by such person is not in a clean and sanitary condition in 
accordance with good animal husbandry practices, shall thereafter use 
such means of conveyance in connection with the interstate movement of 
livestock or poultry, or move said means of conveyance interstate, until 
it has been cleaned and disinfected under the supervision of an APHIS or 
State representative or

[[Page 215]]

an accredited veterinarian in accordance with Sec. Sec. 71.7 and 71.10 
through 71.12.

[34 FR 15641, Oct. 9, 1969, as amended at 55 FR 11156, Mar. 27, 1990; 55 
FR 15320, Apr. 23, 1990; 62 FR 27933, May 22, 1997]



Sec. 71.6  Carrier responsible for cleaning and disinfecting of railroad cars, 

trucks, boats, aircraft or other means of conveyance.

    (a) Railroad cars, trucks, boats, aircraft, and other means of 
conveyance which have been used in the interstate transportation of 
cattle, sheep, swine, poultry, or other animals affected with, or 
carrying the infection of, any contagious, infectious, or communicable 
disease of livestock or poultry, other than slight unopened cases of 
actinomycosis or actinobacillosis (or both), atrophic rhinitis, bovine 
foot rot, brucellosis, ram epididymitis, ringworm, infectious keratitis, 
and arthritis (simple lesions only), shall be cleaned and disinfected 
under APHIS supervision in accordance with Sec. Sec. 71.7 and 71.10 
through 71.12 at the point where the animals are unloaded and the final 
carrier shall be responsible for such cleaning and disinfecting: 
Provided, That when APHIS supervision is not available at such point, 
the means of conveyance may be cleaned and disinfected under the 
supervision of a State representative or an accredited veterinarian.
    (b) No railroad car, truck, boat, aircraft or other means of 
conveyance from which poultry or other animals affected with an 
infectious, contagious or communicable disease of livestock or poultry, 
other than those specified in Sec. 71.4(b), have been unloaded shall 
thereafter be used in connection with the interstate movement of 
animals, including poultry, or be moved interstate until it has been 
cleaned and disinfected by the final carrier under the supervision of an 
APHIS or State representative or an accredited veterinarian in 
accordance with Sec. Sec. 71.7 and 71.10 through 71.12.
    (c) If APHIS supervision or other supervision as required by 
paragraph (a) or (b) of this section or proper cleaning and disinfecting 
facilities are not available at the point where the animals are 
unloaded, upon permission first received from the Animal and Plant 
Health Inspection Service, the means of conveyance may be forwarded 
empty to a point at which such supervision and facilities are available, 
and there be cleaned and disinfected under supervision in accordance 
with Sec. Sec. 71.7 and 71.10 through 71.12.

[34 FR 15641, Oct. 9, 1969, as amended at 37 FR 25337, Nov. 30, 1972; 39 
FR 4465, Feb. 4, 1974; 55 FR 11156, Mar. 27, 1990; 55 FR 15320, Apr. 23, 
1990; 62 FR 27934, May 22, 1997]



Sec. 71.7  Means of conveyance, facilities, premises, and cages and other 

equipment; methods of cleaning and disinfecting.

    (a) Railroad cars, trucks, aircraft, or other means of conveyance, 
except boats, required by the regulations in this subchapter to be 
cleaned and disinfected shall be treated in the following manner: Remove 
all litter and manure from all portions of the conveyance, including any 
external ledges and framework; clean the exterior and interior of the 
conveyance; and saturate the entire interior surface, including the 
inner surface of the doors of the conveyance, with a permitted 
disinfectant specified in Sec. Sec. 71.10 through 71.12.
    (b) Boats required by the regulations in this subchapter to be 
cleaned and disinfected shall be treated in the following manner: Remove 
all litter and manure from the decks and stalls, and all other parts of 
the boat occupied or traversed by any poultry or other animals and from 
the portable chutes or other appliances or fixtures used in loading and 
unloading the animals, and saturate with a permitted disinfectant the 
entire surface of the deck, stalls, or other parts of the boat occupied 
or traversed by any animals or with which they may come in contact or 
which have contained litter or manure.
    (c) Yards, pens, chutes, alleys, cages, and other equipment required 
by the regulations in this subchapter to be disinfected shall be treated 
in the following manner: Empty all troughs, racks, or other feeding or 
watering appliances; remove all litter and manure from the floors, 
posts, or other parts; and saturate the entire surface of the fencing, 
troughs, chutes, floors, walls,

[[Page 216]]

and other parts with a permitted disinfectant specified in Sec. Sec. 
71.10 through 71.12.

[34 FR 15642, Oct. 9, 1969, as amended at 61 FR 56883, Nov. 5, 1996]



Sec. 71.10  Permitted disinfectants.

    (a) Disinfectants permitted for use on cars, boats, and other 
vehicles, premises, and cages and other equipment are as follows:
    (1) ``Cresylic disinfectant'' in the proportion of at least 4 fluid 
ounces to 1 gallon of water.
    (2) Liquefied phenol (U.S.P. strength 87 percent phenol) in the 
proportion of at least 6 fluid ounces to 1 gallon of water.
    (3) Chlorinated lime (U.S.P. strength, 30 percent available 
chlorine) in the proportion of 1 pound to 3 gallons of water.
    (4) Sodium hydroxide (Lye) prepared in a fresh solution in the 
proportion of not less than 1 pound avoirdupois of sodium hydroxide of 
not less than 95 percent purity to 6 gallons of water, or one 13\1/2\ 
ounce can to 5 gallons of water. Due to the extreme caustic nature of 
sodium hydroxide solution, precautionary measures such as the wearing of 
rubber gloves, boots, raincoat, and goggles should be observed. An acid 
solution such as vinegar shall be kept readily available in case any of 
the sodium hydroxide solution should come in contact with the body.
    (5) Disinfectants which are registered under the Federal 
Insecticide, Fungicide, and Rodenticide Act (7 U.S.C. 135 et seq.), with 
tuberculocidal claims, as disinfectants for general use, may be used for 
the purpose of this part in accordance with directions on the labels 
accepted in connection with their registration. However, disinfectants 
which fall in this category are not permitted for use in outbreaks of 
foreign animal diseases unless in specific cases such use is approved in 
advance by the Administrator.
    (b) The use of ``cresylic disinfectant'' is permitted subject to the 
following conditions:
    (1) The manufacturer thereof shall have obtained specific permission 
from APHIS for the use of his products in official disinfection. To 
obtain such permission manufacturers shall first submit a sample of at 
least 8 ounces for examination, together with a statement of the formula 
employed and a guaranty that the product will be maintained of a quality 
uniform with the sample submitted.
    (2) To prevent confusion, the product of each manufacturer and 
distributor shall bear a distinctive trade name or brand, together with 
the name of the manufacturer or distributor.
    (3) The product shall at all times conform to specifications for 
composition and performance issued by the Administrator.

[28 FR 5937, June 13, 1963, as amended at 32 FR 19157, Dec. 20, 1967; 37 
FR 8864, May 2, 1972; 37 FR 9460, May 11, 1972; 55 FR 11156, Mar. 27, 
1990; 55 FR 15320, Apr. 23, 1990; 61 FR 56883, Nov. 5, 1996]



Sec. 71.11  Cresylic disinfectant as permitted disinfectant; specifications.

    The following specifications will be employed for determining the 
suitability of cresylic disinfectant for use under the provisions of 
Sec. 71.10(b)(3):
    (a) The product shall remain a uniform liquid when held at 0 [deg]C. 
(32 [deg]F.) for 3 hours (chill test).
    (b) The product shall dissolve completely in 30 parts of distilled 
water at 25 [deg]C. (77 [deg]F.) within 2 minutes (solution-rate test), 
producing a solution entirely free from globules and not more than 
faintly opalescent (solubility-degree test).
    (c) The product shall contain not more than 25 percent of inert 
ingredients (water and glycerin), not more excess alkali than the 
equivalent of 0.5 percent of sodium hydroxide, and not less than 21 
percent of soap exclusive of water, glycerin, and excess alkali.
    (d) The product shall contain not less than 50 percent and not more 
than 53 percent of total phenols. It shall contain less than 5 percent 
of benzophenol (C\6\H\5\OH).
    (e) The methods of determining compliance with the specifications in 
paragraphs (a) to (d) of this section will be those described in United 
States Department of Agriculture Bulletin 1308, Chemical and Physical 
Methods for the Control of Saponified Cresol Solutions, so far as they 
are applicable.
    (f) Any suitable glyceride, fat acid, or resin acid may be used in 
preparing the

[[Page 217]]

soap, but not all are suitable nor are all grades of a single product 
equally suitable, Also various grades of commercial cresylic acid differ 
in suitability. Therefore, manufacturers are cautioned to prepare a 
trial laboratory batch from every set of ingredients and to prove its 
conformity with paragraphs (a) and (b) of this section, before 
proceeding with manufacture on a factory scale.



Sec. 71.12  Sodium orthophenylphenate as permitted disinfectant for premises 

infected with tuberculosis.

    (a) A permitted brand of sodium orthophenylphenate in a proportion 
of at least one pound to 12 gallons of water is permitted in 
tuberculosis eradication work for disinfecting infected premises 
following the removal of cattle that reacted to the tuberculin test.
    (b) It is absolutely necessary that the solution be applied at a 
temperature of 60 [deg]F. or over. Whenever the temperature of the 
building to be disinfected is below 60 [deg]F., as indicated by a wall 
thermometer, the solution shall be heated to 120 [deg]F. and higher in 
very cold weather, to insure effective disinfection.



Sec. 71.13  Inspection of shipments in transit by APHIS representative.

    All persons and corporations having control of the interstate 
transportation of livestock or poultry shall, when directed by an APHIS 
inspector so to do, stop the same in transit for inspection, and if any 
of such poultry or other animals are found upon such inspection to be 
infected with any contagious, infectious, or communicable disease or to 
have been exposed to such infection, the person or corporation having 
control of the transportation of such poultry or other animals shall, 
upon receipt of an order from an APHIS representative so to do, cease 
the carriage, transportation, or moving of such poultry or other animals 
unless such carriage, transportation, or moving can be accomplished in 
accordance with the regulations in this subchapter governing the 
interstate movement of poultry or other animals infected with or which 
have been exposed to the infection of such disease, and in all cases 
after the discovery of such infection or exposure thereto such poultry 
or other animals shall be handled in accordance with such regulations.

[28 FR 5937, June 13, 1963, as amended at 34 FR 15642, Oct. 9, 1969; 55 
FR 11156, Mar. 27, 1990; 55 FR 15320, Apr. 23, 1990; 62 FR 27934, May 
22, 1997]



Sec. 71.14  Slaughter of poultry or other animals to prevent spread of 

disease; ascertainment of value and compensation.

    When, in order to prevent the spread of any contagious, infectious, 
or communicable disease, it becomes necessary to slaughter any diseased 
or exposed animals, including poultry, and the purchase of such animals, 
including poultry, by the United States is authorized by law and an 
appropriation is available therefor, the value of the animals, including 
poultry shall be ascertained and compensation made therefor in 
accordance with the orders or regulations of the Secretary of 
Agriculture.

[28 FR 5937, June 13, 1963, as amended at 34 FR 15642, Oct. 9, 1969]



Sec. 71.15  Movement from quarantined to free area and shipment therefrom; 

conditions under which permitted.

    No livestock or poultry shall be shipped, trailed, driven, or hauled 
in private conveyance from the quarantined area in any State, Territory, 
or the District of Columbia to the free area in the same State, 
Territory, or the District of Columbia and subsequently delivered to a 
transportation company for shipment or moved to any other State, 
Territory, or the District of Columbia without complying with all 
Federal and State regulations pertaining to such movements.

[28 FR 5937, June 13, 1963, as amended at 34 FR 15642, Oct. 9, 1969]



Sec. 71.16  Inspection and certification of poultry or other animals for 

interstate movement.

    (a) Assistance and facilities. When poultry or other animals are to 
be inspected and certified by an APHIS representative, assistance and 
proper facilities for restraining them shall be

[[Page 218]]

provided in order that a careful inspection may be made, and the 
representative while making the inspection shall not be interfered with 
in any manner; otherwise inspection will be immediately discontinued.
    (b) Certificates and other statements to accompany shipments. 
Whenever inspection or treatment and the issuance of a certificate, 
statement, test chart, or other writing showing the performance of such 
inspection or treatment and the result thereof is required by any of the 
regulations in this subchapter as a condition precedent to the movement 
interstate of any poultry or other animal or class of poultry or other 
animals, or any poultry or other animal or class of poultry or other 
animals is so required to be accompanied in interstate movement by such 
certificate, statement, test chart, or other writing, no such poultry or 
other animal or poultry or other animals shall be moved interstate 
unless and until the following requirements are also complied with:
    (1) In the case of such movement by a common carrier issuing 
waybills or other form or forms of billing covering the movement, the 
said certificate, statement, test chart, or other writing shall be 
delivered to such carrier at the time the poultry or other animal or 
poultry or other animals are delivered for shipment, and shall become 
the property of the carrier, and be by such carrier attached to the 
billing covering the transportation of such poultry or other animal or 
poultry or other animals, and accompany such billing to destination, and 
be filed with such billing for future reference.
    (2) In case of such movement otherwise than by common carrier 
issuing waybills or other form or forms of billing, the said 
certificate, statement, test chart, or other writing shall accompany the 
poultry or other animal or poultry or other animals to destination and 
be delivered to the consignees, or, in case the consignor and consignee 
is the same person, to the first purchaser purchasing during or after 
such movement in interstate commerce, or to the person to whom the 
poultry or other animal or poultry or other animals are delivered.

[28 FR 5937, June 13, 1963, as amended at 34 FR 15642, Oct. 9, 1969; 55 
FR 11156, Mar. 27, 1990; 55 FR 15320, Apr. 23, 1990; 62 FR 27934, May 
22, 1997]



Sec. 71.17  Interstate movement of dead poultry or other animals prohibited in 

same car with live poultry or other animals.

    No dead poultry or other animals shall be offered or accepted for 
transportation or transported in the same car with live poultry or other 
animals from the original point of shipment in any State or Territory or 
the District of Columbia to or through any other State, Territory, or 
the District of Columbia.

[28 FR 5937, June 13, 1963, as amended at 34 FR 15642, Oct. 9, 1969]



Sec. 71.18  Individual identification of certain cattle 2 years of age or over 

for movement in interstate commerce.

    (a) No cattle 2 years of age or over, except steers and spayed 
heifers and cattle of any age which are being moved interstate during 
the course of normal ranching operations without change of ownership to 
another premises owned, leased, or rented by the same individual as 
provided in Sec. Sec. 78.9(a)(3)(ii), 78.9(b)(3)(iv), and 
78.9(c)(3)(iv) of this chapter, shall be moved in interstate commerce 
other than in accordance with the requirements of this section. Any 
movement in interstate commerce of any cattle shall also comply with the 
other applicable provisions in this part and other parts of this 
subchapter.
    (1) When permitted under such other provisions, cattle subject to 
this section:
    (i) May be moved in interstate commerce from any point to any 
destination, if such cattle, when moved in interstate commerce, are 
identified by a Department-approved backtag\1\ affixed a few inches from 
the midline and

[[Page 219]]

just behind the shoulder of the animal, or by such other means approved 
by the Administrator, upon request in specific cases, and if except as 
provided in paragraph (a)(5) of this section such cattle when moved 
interstate are accompanied by a statement signed by the owner or shipper 
of the cattle, or other document\2\ stating: (A) The point from which 
the animals are moved interstate; (B) the destination of the animals; 
(C) the number of animals covered by the statement, or other document; 
(D) the name and address of the owner at the time of the movement; (E) 
the name and address of the previous owner if ownership changed within 
four months prior to the movement of the cattle; (F) the name and 
address of the shipper; and (G) the identifying numbers of the backtags 
or other approved identification applied: Provided, That identification 
numbers are not required to be recorded on such statement or document 
for cattle moved from a stockyard posted under the provisions of the 
Packers and Stockyards Act, 1921, as amended (7 U.S.C. 181 et seq.),\3\ 
directly to a recognized slaughtering establishment as defined in Sec. 
78.1 of this chapter; or
---------------------------------------------------------------------------

    \1\ Department-approved backtags are available at recognized 
slaughtering establishments and specifically approved stockyards and 
from State representatives and APHIS representatives. A list of 
recognized slaughtering establishments and specifically approved 
stockyards may be obtained as indicated in Sec. 78.1 of this chapter. 
The terms ``State representative'' and ``APHIS representative'' are 
defined in Sec. 78.1 of this chapter.
    \2\ Other document means a shipping permit, an official health 
certificate, an official brand inspection certificate, a bill of lading, 
a waybill, or an invoice on which is listed the required information.
    \3\Posted stockyards are designated by posting notice at such 
stockyards and by publication in the Federal Register. Information 
concerning posted stockyards may also be obtained from the Washington 
office or the area offices of the Packers and Stockyards Administration.
---------------------------------------------------------------------------

    (ii) May be moved in interstate commerce only from a farm, ranch, or 
feedlot to a recognized slaughtering establishment as defined in Sec. 
78.1 of this chapter; or to a stockyard posted under the provisions of 
the Packers and Stockyards Act, 1921, as amended (7 U.S.C. 181 et seq.), 
for sale and shipment to such a slaughtering establishment, if such 
cattle are identified upon arrival at such slaughtering establishment or 
stockyard by the application of Department-approved backtags or by other 
approved identification as prescribed in paragraph (a)(1)(i) of this 
section and, except as provided in paragraph (a)(5) of this section when 
moved interstate, are accompanied by a statement signed by the owner or 
shipper of the cattle, or other document\2\ stating: (A) The point from 
which the animals are moved interstate; (B) the destination of the 
animals; (C) the number of animals covered by the statement or other 
document; and (D) the name and address of the owner at the time of 
movement; (E) the name and address of the previous owner if ownership 
changed within four months prior to the movement of the cattle; and (F) 
the name and address of the shipper: Provided, That the application of 
backtags is not required if such cattle are moved in interstate commerce 
to a recognized slaughtering establishment as defined in Sec. 78.1 of 
this chapter and if, when moved in interstate commerce, such cattle are 
identified by a brand registered with an official brand inspection 
agency and are accompanied by an official brand inspection certificate: 
And provided, further, That the application of backtags is not required 
when such cattle are moved in interstate commerce to a recognized 
slaughtering establishment as defined in Sec. 78.1 of this chapter, 
which maintains records of ownership of cattle by slaughter lot 
number;\4\ or
---------------------------------------------------------------------------

    \4\ It is the responsibility of the person who causes the interstate 
movement to determine whether the establishment maintains such records. 
As evidence that the establishment does maintain such records such 
person should obtain a statement to that effect from the management of 
the establishment and retain it for a period of five years from the date 
of shipment.
---------------------------------------------------------------------------

    (iii) May be moved in interstate commerce for any purpose other than 
slaughter if such cattle, when moved in interstate commerce, are 
identified by Animal and Plant Health Inspection Service-approved 
eartags in lieu of backtags, and, except as provided in paragraph (a)(5) 
of this section, are accompanied when moved interstate by an owner's 
statement or other document\2\ stating: (A) The point from

[[Page 220]]

which the animals are moved interstate, (B) the destination of the 
animals, (C) the number of animals covered by the statement or other 
document, (D) the identifying numbers of the eartags, and (E) the name 
and address of the owner at the time of movement; (F) the name and 
address of the previous owner if ownership changed within four months 
prior to the movement of the cattle; and (G) the name and address of the 
shipper: Provided, That identification by eartag is not required if such 
animals are registered purebred animals which are moved in interstate 
commerce for any purpose other than slaughter and are identified in a 
manner acceptable to the appropriate breed association for registration 
purposes; or are identified by a brand registered with an official brand 
inspection agency and are accompanied by an official brand inspection 
certificate as prescribed in paragraph (a)(1)(ii) of this section.
    (2) The owner's or shipper's statement or other document\2\ or 
registered purebred identification required by this section for cattle 
moved under paragraph (a)(1)(i) or (ii) of this section shall be 
delivered to the management of the stockyard or slaughtering 
establishment at the time of delivery of the cattle;\5\ and documents 
accompanying animals moved under paragraph (a)(1)(iii) of this section 
for breeding or dairy purposes shall be delivered to the consignee. All 
such documents shall be made available for inspection on request by a 
State or Federal representative or an accredited veterinarian, as 
defined in Sec. 78.1, at any time within the year from the date of such 
delivery.
---------------------------------------------------------------------------

    \5\ The backtag or other identification numbers should be included 
on the receiving document of the stockyard or establishment for all such 
cattle identified by backtags or other identification after arrival at 
such stockyard or establishment.
---------------------------------------------------------------------------

    (3) Each person who ships, transports, or otherwise causes the 
cattle to be moved in interstate commerce is responsible for the 
identification of the cattle as required by this section.
    (4) No person shall remove or tamper with or cause the removal of or 
tampering with a backtag, eartag, brand, or other identification device 
required to be on cattle pursuant to this section while such cattle are 
being moved in interstate commerce, except at the time of slaughter, or 
as may be authorized by the Administrator, upon request in specific 
cases and under such conditions as the Administrator, may impose to 
ensure continuing identification.
    (5) Cattle that would otherwise be required to be accompanied by an 
owner-shipper statement or other document \2\ as a condition of movement 
in interstate commerce under paragraph (a)(1) of this section, shall not 
be required to be accompanied by such an owner-shipper statement or 
other document \6\ if the following conditions are met: if the cattle 
are moved to a recognized slaughtering establishment as defined in Sec. 
78.1 of this chapter or to a stockyard specifically approved under Sec. 
71.20; if the cattle are moved from a farm or other premises where the 
cattle to be moved interstate have been kept for not less than four 
months prior to the date of movement; and if such farm or other premises 
has not had on the premises any cattle or bison from any other premises 
within four months prior to the date of movement.
---------------------------------------------------------------------------

    \6\ Other document means a shipping permit, an official health 
certificate, an official brand inspection certificate, a bill of lading, 
a waybill, or an invoice on which is listed the required information.
---------------------------------------------------------------------------

    (b) In lieu of the backtags, eartags, and brands referred to in this 
section, any other official identification device or method that is 
approved by the Administrator may also be used.

[38 FR 22768, Aug. 24, 1973, as amended at 47 FR 55656, Dec. 13, 1982; 
50 FR 45987, Nov. 6, 1985; 51 FR 32599, Sept. 12, 1986; 52 FR 2987, Jan. 
30, 1987; 55 FR 11156, Mar. 27, 1990; 62 FR 27934, May 22, 1997; 68 FR 
62226, Nov. 3, 2003; 69 FR 64649, Nov. 8, 2004]



Sec. 71.19  Identification of swine in interstate commerce.

    (a)(1) Except as provided in paragraphs (c) and (g) of this section, 
no swine may be sold, transported, received for transportation, or 
offered for sale or transportation, in interstate commerce, unless each 
swine is identified at whichever of the following comes first:

[[Page 221]]

    (i) The point of first commingling of the swine in interstate 
commerce with swine from any other source;
    (ii) Upon unloading of the swine in interstate commerce at any 
livestock market;
    (iii) Upon transfer of ownership of the swine in interstate 
commerce; or
    (iv) Upon arrival of the swine in interstate commerce at their final 
destination.
    (2) The identification shall be by means of identification approved 
by the Administrator and listed in paragraph (b) of this section. All 
swine shall remain so identified while they are in interstate commerce.
    (3) Each person who buys or sells, for his or her own account or as 
the agent of the buyer or seller, transports, receives for 
transportation, offers for sale or transportation, or otherwise handles 
swine in interstate commerce, is responsible for the identification of 
the swine as provided by this section.
    (b) Means of swine identification approved by the Administrator are:
    (1) Official eartags, when used on any swine;
    (2) United States Department of Agriculture backtags, when used on 
swine moving to slaughter;
    (3) Official swine tattoos, when used on swine moving to slaughter, 
when the use of the official swine tattoo has been requested by a user 
or the State animal health official, and the Administrator authorizes 
its use in writing based on a determination that the tattoo will be 
retained and visible on the carcass of the swine after slaughter, so as 
to provide identification of the swine;
    (4) Tattoos of at least 4-characters when used on swine moving to 
slaughter, except sows and boars as provided in Sec. 78.33 of this 
chapter;
    (5) Ear notching when used on any swine, if the ear notching has 
been recorded in the book of record of a purebred registry association;
    (6) Tattoos on the ear or inner flank of any swine, if the tattoos 
have been recorded in the book of record of a swine registry 
association;
    (7) For slaughter swine and feeder swine, an eartag or tattoo 
bearing the premises identification number assigned by the State animal 
health official to the premises on which the swine originated; and
    (8) Any other official identification device or method that is 
approved by the Administrator.
    (c) Swine that are kept as a group are not required to be 
individually identified when in interstate commerce if:
    (1) They were born on the same premises;
    (2) They were raised on the same premises where they were born;
    (3) They are moved in a group directly to a slaughtering 
establishment from the place where they were raised;
    (4) They are not mixed with swine from any other premises, between 
the time they are born and the time they arrive at the slaughtering 
establishment; and
    (5) They are slaughtered one after another, as a group, and not 
mixed with other swine at slaughter; or approved identification is 
applied to the swine after entry into the slaughtering establishment.
    (d) Serial numbers of United States Department of Agriculture 
backtags and official swine tattoos will be assigned to each person who 
applies to the State animal health official or the Area Veterinarian in 
Charge for the State in which that person maintains his/her or its place 
of business. Serial numbers of official eartags will be assigned to each 
accredited veterinarian or State or Federal representative who requests 
official eartags from the State animal health official or the Area 
Veterinarian in Charge, whoever is responsible for issuing official 
eartags in that State. Persons assigned serial numbers of United States 
Department of Agriculture backtags, official swine tattoos, and official 
eartags must:
    (1) Record the following information on a document:
    (i) All serial numbers applied to the swine;
    (ii) Any other serial numbers and approved identification appearing 
on the swine that are needed to identify the swine to its previous owner 
and location;
    (iii) The street address, including the city and state, or the 
township, county, and state, of the premises where the approved means of 
identification were applied; and

[[Page 222]]

    (iv) The telephone number, if available, of the person who owns or 
possesses the swine.
    (2) Maintain these records at the person's place of business for 2 
years; and
    (3) Make these records available for inspection and copying during 
ordinary business hours (8 a.m. to 5:30 p.m., Monday through Friday) 
upon request by any authorized employee of the United States Department 
of Agriculture, upon that employee's request and presentation of his or 
her official credentials.
    (e)(1) Each person who buys or sells, for his or her own account or 
as the agent of the buyer or seller, transports, receives for 
transportation, offers for sale or transportation, or otherwise handles 
swine in interstate commerce, must keep records relating to the transfer 
of ownership, shipment, or handling of the swine, such as yarding 
receipts, sale tickets, invoices, and waybills upon which is recorded:
    (i) All serial numbers and other approved means of identification 
appearing on the swine that are necessary to identify it to the person 
from whom it was purchased or otherwise obtained; and
    (ii) The street address, including city and state, or the township, 
county, and state, and the telephone number, if available, of the person 
from whom the swine were purchased or otherwise obtained.
    (2) Each person required to keep records under this paragraph must 
maintain the records at his/her or its place of business for at least 2 
years after the person has sold or otherwise disposed of the swine to 
another person, and for such further period as the Administrator may 
require by written notice to the person, for purposes of any 
investigation or action involving the swine identified in the records. 
The person shall make the records available for inspection and copying 
during ordinary business hours (8 a.m. to 5:30 p.m., Monday through 
Friday) by any authorized employee of the United States Department of 
Agriculture, upon that employee's request and presentation of his or her 
official credentials.
    (f) No person may remove or tamper with any approved means of 
identification required to be on swine pursuant to this section while it 
is in interstate commerce, except at the time of slaughter as provided 
in 9 CFR 309.16(e).
    (g) Swine moving interstate within a swine production system. Swine 
moving within a swine production system to other than slaughter or a 
livestock market are not required to be individually identified when 
moved in interstate commerce under the following conditions:
    (1) The swine may be moved interstate only to another premises 
identified in a valid swine production health plan for that swine 
production system.
    (2) The swine production system must operate under a valid swine 
production health plan, in which both the sending and receiving States 
have agreed to allow the movement.
    (3) The swine must have been found free from signs of any 
communicable disease during the most recent inspection of the premises 
by the swine production system accredited veterinarian(s) within 30 days 
prior to movement.
    (4) Prior to the movement of any swine, the producer(s) moving swine 
must deliver the required interstate swine movement report to the 
following individuals identified in the swine production health plan:
    (i) The swine production system accredited veterinarian for the 
premises from which the swine are to be moved, and
    (ii) The State animal health officials for the sending and receiving 
States, and any other State employees designated by the State animal 
health officials.
    (5) The receiving premises must not commingle swine received from 
different premises in a manner that prevents identification of the 
premises that sent the swine or groups of swine. This may be achieved by 
use of permanent premises or individual identification marks on animals, 
by keeping groups of animals received from one premises physically 
separate from animals received from other premises, or by any other 
effective means.
    (6) Each premises must maintain, for 3 years after their date of 
creation,

[[Page 223]]

records that will allow an APHIS representative or State animal health 
official to trace any animal on the premises back to its previous 
premises, and must maintain copies of each swine production health plan 
signed by the producer, all interstate swine movement reports issued by 
the producer, and all reports the swine production system accredited 
veterinarian(s) issue documenting the health status of the swine on the 
premises.
    (7) Each premises must allow APHIS representatives and State animal 
health officials access to the premises upon request to inspect animals 
and review records.
    (8) Once a month, each swine production system must send APHIS a 
written summary based on the interstate swine movement report data that 
shows how many animals were moved in the past month, the premises from 
which they were moved, and the premises to which they were moved.
    (h) Cancellation of and withdrawal from a swine production health 
plan. The following procedures apply to cancellation of, or withdrawal 
from, a swine production health plan:
    (1) A State animal health official may cancel his or her State's 
participation in a swine production health plan by giving written notice 
to all swine producers, APHIS representatives, accredited veterinarians, 
and other State animal health officials listed in the plan. Withdrawal 
shall be effective upon the date specified by the State animal health 
official in the notice, but for shipments in transit, withdrawal shall 
become effective 7 days after the date of such notice. Upon withdrawal 
of a State, the swine production health plan may continue to operate 
among the other States and parties signatory to the plan.
    (2) A swine production system may withdraw one or more of its 
premises from participation in the plan upon giving written notice to 
the Administrator, the accredited veterinarian(s), all swine producers 
listed in the plan, and State animal health officials listed in the 
plan. Withdrawal shall be effective upon the date specified by the swine 
production system in the written notice, but for shipments in transit, 
withdrawal shall become effective 7 days after the date of such notice.
    (3) The Administrator may cancel a swine production health plan by 
giving written notice to all swine producers, accredited veterinarians, 
and State animal health officials listed in the plan. The Administrator 
shall cancel a swine production health plan after determining that swine 
movements within the swine production system have occurred that were not 
in compliance with the swine production health plan or with other 
requirements of this chapter. Before a swine health production plan is 
canceled, an APHIS representative will inform a representative of the 
swine production system of the reasons for the proposed cancellation. 
The swine production system may appeal the proposed cancellation in 
writing to the Administrator within 10 days after being informed of the 
reasons for the proposed cancellation. The appeal must include all of 
the facts and reasons upon which the swine production system relies to 
show that the reasons for the proposed cancellation are incorrect or do 
not support the cancellation. The Administrator will grant or deny the 
appeal in writing as promptly as circumstances permit, stating the 
reason for his or her decision. If there is a conflict as to any 
material fact, a hearing will be held to resolve the conflict. Rules of 
practice concerning the hearing will be adopted by the Administrator. 
However, cancellation of the disputed swine production health plan shall 
become effective pending final determination in the proceeding if the 
Administrator determines that such action is necessary to protect the 
public's health, interest, or safety. Such cancellation shall become 
effective upon oral or written notification, whichever is earlier, to 
the swine production system representative. In the event of oral 
notification, written confirmation shall be given as promptly as 
circumstances allow. This cancellation shall continue in effect pending 
the completion of the proceeding, and any judicial review thereof, 
unless

[[Page 224]]

otherwise ordered by the Administrator.

[53 FR 40385, Oct. 14, 1988, as amended at 55 FR 11156, Mar. 27, 1990; 
55 FR 15320, Apr. 23, 1990; 59 FR 67612, Dec. 30, 1994; 62 FR 27934, May 
22, 1997; 62 FR 54758, Oct. 22, 1997; 66 FR 65603, Dec. 20, 2001; 69 FR 
64649, Nov. 8, 2004]



Sec. 71.20  Approval of livestock facilities.

    (a) To qualify for approval by the Administrator as an approved 
livestock facility \7\ and to retain such designation, the individual 
legally responsible for the day-to-day operations of the livestock 
facility shall execute the following agreement:
---------------------------------------------------------------------------

    \7\ A list of approved livestock facilities may be obtained by 
writing to National Animal Health Programs, VS, APHIS, 4700 River Road 
Unit 36, Riverdale, MD 20737-1231.
---------------------------------------------------------------------------

 AGREEMENT--APPROVED LIVESTOCK FACILITY FOR HANDLING LIVESTOCK PURSUANT 
              TO TITLE 9 OF THE CODE OF FEDERAL REGULATIONS

    [Name of facility]
    [Address and telephone number of facility]
    I, [name of the individual legally responsible for the day-to-day 
operations of the livestock facility], operator of [name of facility], 
hereby agree to maintain and operate the livestock facility located at 
[address of premises] in accordance with the applicable provisions of 
this agreement and Chapter I, Title 9, of the Code of Federal 
Regulations (9 CFR).

                               Cooperation

    (1) The State animal health official and the area veterinarian in 
charge shall be provided with a schedule of the facility's sale days, 
which shall indicate the types of animals that will be handled at the 
facility on each sale day, and shall be apprised of any changes to that 
schedule prior to the implementation of the changes.
    (2) An accredited veterinarian, State representative, or APHIS 
representative shall be on the facility premises on all sale days to 
perform duties in accordance with State and Federal regulations.
    (3) State representatives and APHIS representatives shall be granted 
access to the facility during normal business hours to evaluate whether 
the facility and its operations are in compliance with the applicable 
provisions of this agreement and 9 CFR parts 71, 75, 78, and 85.
    (4) An APHIS representative, State representative, or accredited 
veterinarian shall be immediately notified of the presence at the 
facility of any livestock that are known to be infected, exposed, or 
suspect, or that show signs of possibly being infected, with any 
infectious, contagious, or communicable disease.
    (5) Any reactor, suspect, or exposed livestock shall be held in 
quarantined pens apart from all other livestock at the facility.
    (6) No reactor, suspect, or exposed livestock, nor any livestock 
that show signs of being infected with any infectious, contagious, or 
communicable disease, may be sold at the facility, except as authorized 
by an APHIS representative, State representative, or accredited 
veterinarian.

                                 Records

    (7) Documents such as weight tickets, sales slips, and records of 
origin, identification, and destination that relate to livestock that 
are in, or that have been in, the facility shall be maintained by the 
facility for a period of 2 years. APHIS representatives and State 
representatives shall be permitted to review and copy those documents 
during normal business hours.

                             Identification

    (8) All livestock must be officially identified in accordance with 
the applicable regulations in 9 CFR parts 71, 75, 78, and 85 at the time 
of, or prior to, entry into the facility.

                        Cleaning and Disinfection

    (9) The facility, including all yards, docks, pens, alleys, sale 
rings, chutes, scales, means of conveyance, and their associated 
equipment, shall be maintained in a clean and sanitary condition. The 
operator of the facility shall be responsible for the cleaning and 
disinfection of the facility in accordance with 9 CFR part 71 and for 
maintaining an adequate supply of disinfectant and serviceable equipment 
for cleaning and disinfection.

               General Facilities and Equipment Standards

    (10) All facilities and equipment shall be maintained in a state of 
good repair. The facility shall contain well-constructed and well-
lighted livestock handling chutes, pens, alleys, and sales rings for the 
inspection, identification, vaccination, testing, and branding of 
livestock.
    (11) Quarantined pens shall be clearly labeled with paint or 
placarded with the word ``Quarantined'' or the name of the disease of 
concern, and shall be cleaned and disinfected in accordance with 9 CFR 
part 71 before being used to pen livestock that are not reactor, 
suspect, or exposed animals.
    (12) Quarantined pens shall have adequate drainage, and the floors 
and those parts of the walls of the quarantined pens with which reactor, 
or suspect, or exposed livestock, their excrement, or discharges may 
have contact shall be constructed of materials that are substantially 
impervious to moisture and able to withstand continued cleaning and 
disinfection.

[[Page 225]]

    (13) Electrical outlets shall be provided at the chute area for 
branding purposes.

          Standards for Handling Different Classes of Livestock

(By his or her initials, the operator of the facility shall signify the 
class or classes of livestock that the facility will handle.)
    (14) Cattle and bison:
--This facility will handle cattle and bison: [Initials of operator, 
date]
--This facility will handle cattle and bison known to be brucellosis 
reactors, suspects, or exposed: [Initials of operator, date]
--This facility will not handle cattle and bison known to be brucellosis 
reactors, suspects, or exposed and such cattle and bison will not be 
permitted to enter the facility: [Initials of operator, date]
    (i) Cattle and bison shall be received, handled, and released by the 
facility only in accordance with 9 CFR parts 71 and 78.
    (ii) All brucellosis reactor, brucellosis suspect, and brucellosis 
exposed cattle or bison arriving at the facility shall be placed in 
quarantined pens and consigned from the facility only in accordance with 
9 CFR part 78.
    (iii) Any cattle or bison classified as brucellosis reactors at the 
facility shall be identified in accordance with 9 CFR part 78, placed in 
quarantined pens, and consigned from the facility only to a recognized 
slaughtering establishment or an approved intermediate handling facility 
in accordance with 9 CFR part 78.
    (iv) Any cattle or bison classified as brucellosis exposed at the 
facility shall be identified in accordance with 9 CFR part 78, placed in 
quarantined pens, and consigned from the facility only to a recognized 
slaughtering establishment, approved intermediate handling facility, 
quarantined feedlot, or farm of origin in accordance with 9 CFR part 78.
    (v) The identity of cattle from Class Free States or areas and Class 
A States or areas shall be maintained.
    (vi) The identity of cattle from Class B States or areas shall be 
maintained, and test-eligible cattle from Class B States or areas shall 
not be placed in pens with cattle from any other area until they have 
fulfilled the requirements of 9 CFR part 78 for release from the 
facility.
    (vii) The identity of cattle from Class C States or areas shall be 
maintained, and test-eligible cattle from Class C States or areas shall 
not be placed in pens with cattle from any other area until they have 
fulfilled the requirements of 9 CFR part 78 for release from the 
facility.
    (viii) The identity of cattle from quarantined areas shall be 
maintained, and test-eligible cattle from quarantined areas shall not be 
placed in pens with cattle from any other area until they have fulfilled 
the requirements of 9 CFR part 78 for release from the facility.
    (ix) Test-eligible cattle that are penned with test-eligible cattle 
from a lower class State or area, in violation of this agreement, shall 
have the status of the State or area of lower class for any subsequent 
movement.
    (x) Laboratory space shall be furnished and maintained for 
conducting diagnostic tests. All test reagents, testing equipment, and 
documents relating to the State-Federal cooperative eradication programs 
on the facility's premises shall be secured to prevent misuse and theft. 
Adequate heat, cooling, electricity, water piped to a properly drained 
sink, and sanitation shall be provided for properly conducting 
diagnostic tests.
    (15) Swine:

--This facility will handle breeding swine: [Initials of operator, date]
--This facility will handle slaughter swine: [Initials of operator, 
date]
--This facility will handle feeder swine: [Initials of operator, date]
--This facility will handle pseudorabies reactor, suspect, or exposed 
swine: [Initials of operator, date].
--This facility will not handle swine known to be pseudorabies reactor, 
suspect, or exposed swine and such swine will not be permitted to enter 
the facility: [Initials of operator, date].

    (i) Swine shall be received, handled, and released by the livestock 
facility only in accordance with 9 CFR parts 71, 78, and 85.
    (ii) Pens, alleys, and sales rings for holding, inspecting, and 
otherwise handling swine shall be imperviously surfaced.
    (iii) Slaughter swine may be handled only on days when no feeder 
swine or breeder swine are present at the facility, unless the facility 
has provisions to keep slaughter swine physically separated from feeder 
swine and breeder swine or unless those areas of the facility used by 
slaughter swine have been cleaned and disinfected before being used by 
feeder swine or breeder swine.
    (iv) No feeder swine or breeder swine may remain in the livestock 
facility for more than 72 hours, and no slaughter swine may remain in 
the livestock market for more than 120 hours.
    (v) Feeder swine shall be kept separate and apart from other swine 
while in the livestock facility.
    (vi) No release shall be issued for the removal of slaughter swine 
from the livestock facility unless the slaughter swine are consigned for 
immediate slaughter or to another slaughter market and the consignee is 
identified on the release document.
    (16) Horses:

--This facility will handle horses: [Initials of operator, date]

[[Page 226]]

--This facility will handle equine infectious anemia (EIA) reactors: 
[Initials of operator, date]
--This facility will not handle horses known to be EIA reactors and will 
not permit EIA reactors to enter the facility: [Initials of operator, 
date]

    (i) Horses shall be received, handled, and released by the livestock 
facility only in accordance with 9 CFR parts 71 and 75.
    (ii) Any horses classified as EIA reactors and accepted by the 
facility for sale shall be placed in quarantined pens at least 200 yards 
from all non-EIA-reactor horses.
    (iii) Any horses classified as EIA reactors and accepted by the 
facility for sale shall be consigned from the facility only to a 
slaughtering establishment or to the home farm of the reactor in 
accordance with 9 CFR part 75.
    (iv) Fly Control Program: The livestock facility shall have in 
effect a fly control program utilizing at least one of the following: 
Baits, fly strips, electric bug killers (``Fly Zappers,'' ``Fly 
Snappers,'' or similar equipment), or the application of a pesticide 
effective against flies, applied according to the schedule and dosage 
recommended by the manufacturer for fly control.

                                Approvals

    (17) Request for approval:
    I hereby request approval for this facility to operate as an 
approved livestock facility for the classes of livestock indicated in 
paragraphs (14) through (16) of this agreement. I acknowledge that I 
have received a copy of 9 CFR parts 71, 75, 78 and 85, and acknowledge 
that I have been informed and understand that failure to abide by the 
provisions of this agreement and the applicable provisions of 9 CFR 
parts 71, 75, 78, and 85 constitutes a basis for the withdrawal of this 
approval. [Printed name and signature of operator, date of signature]
    (18) Pre-approval inspection of livestock facility conducted by 
[printed name and title of APHIS representative] on [date of 
inspection].
    (19) Recommend approval:
    [Printed name and signature of State animal health official, date of 
signature]
    [Printed name and signature of area veterinarian in charge, date of 
signature]
    (20) Approval granted:
    [Printed name and signature of the Administrator, Animal and Plant 
Health Inspection Service, date of signature]

    (b) Denial and withdrawal of approval. The Administrator may deny or 
withdraw the approval of a livestock facility to receive livestock moved 
interstate under this subchapter upon a determination that the livestock 
facility is not or has not been maintained and operated in accordance 
with the agreement set forth in paragraph (a) of this section.
    (1) In the case of a denial, the operator of the facility will be 
informed of the reasons for the denial and may appeal the decision in 
writing to the Administrator within 10 days after receiving notification 
of the denial. The appeal must include all of the facts and reasons upon 
which the person relies to show that the livestock facility was 
wrongfully denied approval to receive livestock moved interstate under 
this subchapter. The Administrator will grant or deny the appeal in 
writing as promptly as circumstances permit, stating the reason for his 
or her decision. If there is a conflict as to any material fact, a 
hearing will be held to resolve the conflict. Rules of practice 
concerning the hearing will be adopted by the Administrator.
    (2) In the case of withdrawal, before such action is taken, the 
operator of the facility will be informed of the reasons for the 
proposed withdrawal. The operator of the facility may appeal the 
proposed withdrawal in writing to the Administrator within 10 days after 
being informed of the reasons for the proposed withdrawal. The appeal 
must include all of the facts and reasons upon which the person relies 
to show that the reasons for the proposed withdrawal are incorrect or do 
not support the withdrawal of the approval of the livestock facility to 
receive livestock moved interstate under this subchapter. The 
Administrator will grant or deny the appeal in writing as promptly as 
circumstances permit, stating the reason for his or her decision. If 
there is a conflict as to any material fact, a hearing will be held to 
resolve the conflict. Rules of practice concerning the hearing will be 
adopted by the Administrator. However, withdrawal shall become effective 
pending final determination in the proceeding when the Administrator 
determines that such action is necessary to protect the public health, 
interest, or safety. Such withdrawal shall be effective upon oral or 
written notification, whichever is earlier, to the operator of the 
facility. In the event of oral notification, written confirmation shall 
be given as promptly as circumstances allow. This withdrawal shall 
continue

[[Page 227]]

in effect pending the completion of the proceeding, and any judicial 
review thereof, unless otherwise ordered by the Administrator.
    (3) Approval for a livestock facility to handle livestock under this 
subchapter will be automatically withdrawn by the Administrator when:
    (i) The operator of the facility notifies the Administrator, in 
writing, that the facility no longer handles livestock moved interstate 
under this subchapter; or
    (ii) The person who signed the agreement executed in accordance with 
paragraph (a) of this section is no longer responsible for the day-to-
day operations of the facility.

[62 FR 27934, May 22, 1997, as amended at 62 FR 54758, Oct. 22, 1997; 63 
FR 32119, June 12, 1998; 68 FR 62226, Nov. 3, 2003]



Sec. 71.21  Tissue and blood testing at slaughter.

    (a) Any person moving livestock or poultry interstate for slaughter 
or rendering may only move the animals to a slaughtering establishment 
or a rendering establishment that has been listed by the Administrator 
\8\ for the purposes of this part. Livestock or poultry may not be 
removed from the premises of a slaughtering establishment or a rendering 
establishment listed by the Administrator except under a permit issued 
by APHIS, and in accordance with applicable FSIS regulations in this 
title. A slaughtering establishment or rendering establishment may 
receive livestock or poultry in interstate commerce only if the 
establishment has been listed by the Administrator. The Administrator 
may list a slaughtering establishment or a rendering establishment after 
determining that collecting samples for testing from the establishment 
is not currently necessary for the purposes of APHIS disease 
surveillance programs and the establishment has agreed to allow testing 
and to provide the access and facilities required by this section upon 
future APHIS notification that testing is required at the establishment. 
The Administrator will list a slaughtering or rendering establishment 
after determining that it meets the following facility and access 
requirements:
---------------------------------------------------------------------------

    \8\ A list of these slaughtering or rendering establishments may be 
obtained by writing to National Center for Animal Health Programs, VS, 
APHIS, 4700 River Road Unit 43, Riverdale, MD 20737-1231.
---------------------------------------------------------------------------

    (1) The establishment provides space and equipment in accordance 
with paragraph (b) of this section \9\ within their facility for blood 
and tissue sample collection;
---------------------------------------------------------------------------

    \9\ FSIS also has equipment and space requirements for official 
establishments at Sec. 307.2(c) of this title.
---------------------------------------------------------------------------

    (2) The establishment allows APHIS, FSIS, or APHIS contractors to 
take blood and tissue samples from all livestock or poultry at the 
facility without cost to the United States, and specifically allows 
these personnel access to the processing line to collect samples; and
    (3) The establishment allows APHIS, FSIS, or APHIS contractors to 
record the identification of individual animals and retain any external 
or internal identification devices.
    (b) The establishment must provide office and sample collection 
space, including necessary furnishings, light, heat, and janitor 
service, rent free, for the use by APHIS, FSIS, or APHIS contractors 
collecting samples for blood and tissue testing under this section. The 
Administrator will inform each establishment of the exact amount and 
type of space required, taking into account whether APHIS will be 
conducting complete tests at the facility, or only collecting samples 
and sending them elsewhere for testing. At the discretion of the 
Administrator, small plants need not furnish facilities as prescribed in 
this section if adequate facilities exist in a nearby convenient 
location. In granting or denying listing of an establishment, the 
Administrator will consider whether the space at the facility:
    (1) Is conveniently located, properly ventilated, and provided with 
lockers suitable for the protection and storage of supplies;
    (2) Has sufficient light to be adequate for proper conduct of sample 
collection and processing;
    (3) Includes racks, receptacles, or other suitable devices for 
retaining

[[Page 228]]

such parts as the head, glands, and viscera, and all parts and blood to 
be collected, until after the post-mortem examination is completed;
    (4) Includes tables, benches, and other equipment on which sample 
collection and processing are to be performed, of such design, material, 
and construction as to enable sample collection and processing in a 
safe, ready, efficient, and clean manner;
    (5) Has adequate arrangements, including liquid soap and cleansers, 
for cleansing and disinfecting hands, dissection tools, floors, and 
other articles and places that may be contaminated by diseased carcasses 
or otherwise; and
    (6) Has adequate facilities, including denaturing materials, for the 
proper disposal in accordance with this chapter of tissue, blood, and 
other waste generated during test sample collection.
    (c) The Administrator will give the operator of the establishment 
actual notice that APHIS, FSIS, or an APHIS contractor will be taking 
blood and/or tissue samples at the establishment. The Administrator may 
give the operator of the establishment notice in any form or by any 
means that the Administrator reasonably believes will reach the operator 
of the establishment prior to the start of sample collection.
    (1) The notice will include the anticipated date and time sample 
collection will begin. The notice will also include the anticipated 
ending date and time.
    (2) The Administrator will give the operator of the establishment as 
much advance notice as possible. However, the actual amount of notice 
will depend on the specific situation.
    (d) Denial and withdrawal of listing. The Administrator may deny or 
withdraw the listing of an establishment upon a determination that the 
establishment is not in compliance with the requirements of this 
section.
    (1) In the case of a denial, the operator of the establishment will 
be informed of the reasons for the denial and may appeal the decision in 
writing to the Administrator within 10 days after receiving notification 
of the denial. The appeal must include all of the facts and reasons upon 
which the person relies to show that the establishment was wrongfully 
denied listing. The Administrator will grant or deny the appeal in 
writing as promptly as circumstances permit, stating the reason for his 
or her decision. If there is a conflict as to any material fact, a 
hearing will be held to resolve the conflict. Rules of practice 
concerning the hearing will be adopted by the Administrator.
    (2) In the case of withdrawal, before such action is taken, the 
operator of the establishment will be informed of the reasons for the 
proposed withdrawal. The operator of the establishment may appeal the 
proposed withdrawal in writing to the Administrator within 10 days after 
being informed of the reasons for the proposed withdrawal. The appeal 
must include all of the facts and reasons upon which the person relies 
to show that the reasons for the proposed withdrawal are incorrect or do 
not support the withdrawal of the listing. The Administrator will grant 
or deny the appeal in writing as promptly as circumstances permit, 
stating the reason for his or her decision. If there is a conflict as to 
any material fact, a hearing will be held to resolve the conflict. Rules 
of practice concerning the hearing will be adopted by the Administrator. 
However, withdrawal shall become effective pending final determination 
in the proceeding when the Administrator determines that such action is 
necessary to protect the public health, interest, or safety. Such 
withdrawal shall be effective upon oral or written notification, 
whichever is earlier, to the operator of the establishment. In the event 
of oral notification, written confirmation shall be given as promptly as 
circumstances allow. This withdrawal shall continue in effect pending 
the completion of the proceeding, and any judicial review thereof, 
unless otherwise ordered by the Administrator.

(Approved by the Office of Management and Budget under control number 
0579-0212.)

[69 FR 10150, Mar. 4, 2004]



Sec. 71.22  Removal and loss of official identification devices.

    Official identification devices are intended to provide permanent 
identification of livestock and to ensure the

[[Page 229]]

ability to find the source of animal disease outbreaks. Removal of these 
devices is prohibited except at the time of slaughter. If an official 
identification device is lost, and it is necessary to retag an animal 
with a new official number, every effort should be made to correlate the 
new official number with the previous official number of the animal.

[69 FR 64649, Nov. 8, 2004]



PART 72_TEXAS (SPLENETIC) FEVER IN CATTLE--Table of Contents




Sec.
72.1 Ticks [Boophilus annulatus (Margaropus annulatus), Boophilus 
          microplus, or Rhipicephalus evertsi evertsi]; interstate 
          movement of infested or exposed animals prohibited.
72.2 Splenetic or tick fever in cattle in Texas, the Virgin Islands of 
          the United States and vectors of said disease in the Northern 
          Mariana Islands, the Commonwealth of Puerto Rico and the 
          Island of Guam: Restrictions on movement of cattle.
72.3 Areas quarantined in the Virgin Islands of the United States, the 
          Northern Mariana Islands, the Commonwealth of Puerto Rico, and 
          the Island of Guam.
72.4 [Reserved]
72.5 Area quarantined in Texas.
72.6 Interstate movement of cattle from quarantined areas not 
          eradicating ticks.
72.7 Interstate movement of cattle from cooperating States.
72.8 Interstate movement of cattle from free premises upon inspection 
          and certification by APHIS inspector.
72.9 Interstate movements of cattle; inspection and certification by 
          APHIS inspector required.
72.10 Inspected or dipped and certified cattle subject to restrictions 
          of State of destination.
72.11 Quarantined area; cattle considered infested; requirements for 
          placing in noninfectious pens or premises.
72.12 Cattle; exposure to tick infestation after treatment or inspection 
          prohibited.
72.13 Permitted dips and procedures.
72.14 [Reserved]
72.15 Owners assume responsibility; must execute agreement prior to 
          dipping or treatment waiving all claims against United States.
72.16 Designated dipping stations to be approved by the Administrator, 
          APHIS on recommendations of State authorities; facilities.
72.17 Unloading noninfected cattle for rest, feed, and water only, 
          permitted in authorized pens for such purpose.
72.18 Movement interstate; specification by the Deputy Administrator, 
          Veterinary Services of treatment required when dipping 
          facilities unavailable.
72.19 Interstate shipments and use of pine straw, grass, litter from 
          quarantined area; prohibited until disinfected.
72.20 Exhibition of noninfected cattle in the quarantined area; 
          restrictions under which permitted.
72.21 Animals infested with or exposed to ticks subject to same 
          restrictions as cattle.
72.22 Cars, vehicles, and premises; cleaning and treatment after 
          containing infested or exposed animals.
72.23 Cars or other vehicles having carried infested or exposed cattle 
          in quarantined area shall be cleaned and treated.
72.24 Litter and manure from carriers and premises of tick-infested 
          animals; destruction or treating required.
72.25 Dipping methods.

    Authority: 7 U.S.C. 8301-8317; 7 CFR 2.22, 2.80, and 371.4.

    Source: 28 FR 5940, June 13, 1963, unless otherwise noted.



Sec. 72.1  Ticks [Boophilus annulatus (Margaropus annulatus), Boophilus 

microplus, or Rhipicephalus evertsi evertsi]; interstate movement of infested 

or exposed animals prohibited.

    No animals infested with ticks [Boophilus annulatus (Margaropus 
annulatus), Boophilus microplus, or Rhipicephalus evertsi evertsi] or 
exposed to tick infestation shall be shipped, trailed, driven, or 
otherwise moved interstate for any purpose, except as provided in this 
part.



Sec. 72.2  Splenetic or tick fever in cattle in Texas, the Virgin Islands of 

the United States and vectors of said disease in the Northern Mariana Islands, 

the Commonwealth of Puerto Rico and the Island of Guam: Restrictions on 

movement of cattle.

    Notice is hereby given that the contagious, infectious, and 
communicable disease known as splenetic or tick fever exists in cattle 
in portions of the State of Texas and the Virgin Islands of the United 
States. Notice is also hereby given that ticks which are vectors of said 
disease exist in the Northern Mariana Islands, the Commonwealth of 
Puerto Rico, and the Island

[[Page 230]]

of Guam. Therefore, portions of the State of Texas, the Virgin Islands 
of the United States, the Northern Mariana Islands, the Commonwealth of 
Puerto Rico and the Island of Guam are hereby quarantined as provided in 
Sec. Sec. 72.3 and 72.5, and the movement of cattle therefrom into any 
other State or Territory or the District of Columbia shall be made only 
in accordance with the provisions of this part and part 71 of this 
chapter.

[43 FR 60864, Dec. 29, 1978]



Sec. 72.3  Areas quarantined in the Virgin Islands of the United States, the 

Northern Mariana Islands, the Commonwealth of Puerto Rico, and the Island of 

Guam.

    The entire Territories of the Virgin Islands of the United States 
and the Island of Guam, the Northern Mariana Islands, and the 
Commonwealth of Puerto Rico are quarantined.

[43 FR 60864, Dec. 29, 1978]



Sec. 72.4  [Reserved]



Sec. 72.5  Area quarantined in Texas.

    The area quarantined in Texas is the quarantined area described in 
the regulations of the Texas Animal Health Commission (TAHC) contained 
in Sec. Sec. 41.14 through 41.22 of title 4, part II, of the Texas 
Administrative Code (4 TAC 41.14 through 41.22), effective June 23, 
2002, which is incorporated by reference. This incorporation by 
reference was approved by the Director of the Federal Register in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies of 4 TAC 41.14 
through 41.22 may be obtained from the TAHC at 2105 Kramer Lane, Austin, 
TX 78758, and from area offices of the TAHC, which are listed in local 
Texas telephone directories. The TAHC also maintains a copy of its 
regulations on its Internet homepage at http://www.tahc.state.tx.us/. 
Copies may be inspected at the Animal and Plant Health Inspection 
Service, Veterinary Services, suite 3B08, 4700 River Road, Riverdale, 
MD, or at the National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html.

[69 FR 8329, Feb. 24, 2004, as amended at 69 FR 18803, Apr. 9, 2004]



Sec. 72.6  Interstate movement of cattle from quarantined areas not 

eradicating ticks.

    Cattle in quarantined areas where tick eradication is not being 
conducted\3\ may be shipped or transported interstate in accordance with 
Sec. Sec. 72.9 through 72.15 under the following conditions: The cattle 
must have been dipped twice with a permitted dip as provided in Sec. 
72.13, with an interval of 7 to 12 days between dippings immediately 
preceding shipment, at a designated dipping station approved under Sec. 
72.16 and located in the State of origin of the shipment or, in specific 
cases, after having been otherwise treated at a designated dipping 
station under the supervision of an APHIS inspector and in a manner 
approved by the Administrator. In all cases, the cattle must be 
inspected by an APHIS inspector just prior to final dipping, found to be 
apparently free of ticks, and be certified as such by APHIS before the 
cattle may be released for interstate movement.
---------------------------------------------------------------------------

    \3\ Information regarding the identities of such areas may be 
obtained from the Animal and Plant Health Inspection Service, Veterinary 
Services, National Animal Health Programs, 4700 River Road Unit 43, 
Riverdale, Maryland 20737-1231.

[66 FR 21061, Apr. 27, 2001]



Sec. 72.7  Interstate movement of cattle from cooperating States.

    Cattle in areas where tick eradication is being conducted in 
cooperation with State authorities,\3\ which on inspection by an APHIS 
inspector are found to be apparently free from ticks, may, after one 
dipping, with a permitted dip as provided in Sec. 72.13, under the 
supervision of an APHIS inspector and certification by the inspector, be 
shipped or transported interstate for dip as provided in Sec. 72.13, 
under the supervision of an APHIS inspector and certification by the 
inspector, be shipped or transported interstate for any purpose upon 
compliance with the

[[Page 231]]

requirements set forth in Sec. Sec. 72.9 through 72.15.

[36 FR 20358, Oct. 21, 1971, as amended at 56 FR 51975, Oct. 17, 1991]



Sec. 72.8  Interstate movement of cattle from free premises upon inspection 

and certification by APHIS inspector.

    Cattle located in areas where tick eradication is being conducted in 
co- operation with the State authorities, and which are on premises 
shown by the official records of tick eradication to be free from ticks, 
may, upon inspection and certification by an APHIS inspector, be shipped 
or transported interstate for any purpose without dipping upon 
compliance with the requirements set forth under Sec. Sec. 72.9, 72.10, 
72.12.

[28 FR 5940, June 13, 1963, as amended at 56 FR 51975, Oct. 17, 1991]



Sec. 72.9  Interstate movements of cattle; inspection and certification by 

APHIS inspector required.

    All interstate movements of inspected and certified and dipped and 
certified cattle shall be accompanied to final destination by a 
certificate of an APHIS inspector (which certificate shall show that the 
cattle so being moved have been dipped as required by Sec. 72.6 or by 
Sec. 72.7 and are free of ticks, or have been inspected as required by 
Sec. 72.8 and are free of ticks); all such certificates shall be 
handled, delivered, kept, and preserved in accordance with the 
provisions of Sec. 72.16; and all such cattle shall be handled through 
noninfectious pens, alleys, and chutes, and when shipped shall be loaded 
into clean and disinfected cars or trucks, and shall not be unloaded in 
the quarantined area except at such points reserved for noninfested 
cattle as may from time to time be authorized by APHIS.

[28 FR 5940, June 13, 1963, as amended at 56 FR 51975, Oct. 17, 1991]



Sec. 72.10  Inspected or dipped and certified cattle subject to restrictions 

of State of destination.

    All such interstate movements of inspected or dipped and certified 
cattle are subject to such restrictions, which are not inconsistent with 
the regulations in this subchapter, as may be imposed at destination by 
the officials of the State, Territory, or the District of Columbia.



Sec. 72.11  Quarantined area; cattle considered infested; requirements for 

placing in noninfectious pens or premises.

    Cattle of the quarantined area shall be considered infested and 
shall not be placed in noninfectious pens or premises until after the 
final inspection or dipping.



Sec. 72.12  Cattle; exposure to tick infestation after treatment or inspection 

prohibited.

    The cattle shall not be exposed to tick infestation after treatment 
and/or inspection.



Sec. 72.13  Permitted dips and procedures.

    (a) Dipping requirements; facilities; handling. The dipping of 
cattle for interstate movement shall be done only with a permitted dip 
and at places where proper equipment is provided for dipping and for 
handling the cattle in a manner to prevent exposure to infection after 
the final dipping. Cattle which are to be dipped shall be given an 
opportunity to drink sufficient water to quench their thirst prior to 
dipping, be carefully handled, and not dipped while they are in a heated 
or exhausted condition. Dipped cattle shall not be loaded for shipment 
until dry. \4\
---------------------------------------------------------------------------

    \4\ Care is required when treating animals and in maintaining the 
required concentration of chemicals in dipping baths. Detailed 
information concerning the use of, criteria for, and names of 
proprietary brands of permitted dips--as well the use of compressed air, 
vat management techniques, and other information--is available from the 
Animal and Plant Health Inspection Service, Veterinary Services, 
National Animal Health Programs, 4700 River Road Unit 43, Riverdale, MD 
20737-1231.
---------------------------------------------------------------------------

    (b) Permitted dips. The dips at present permitted by the Department 
in official dipping for interstate movement are:
    (1) Approved proprietary brands of a Dioxathion (Delnav 
[reg]) emulsifiable concentrate used at a concentration of 
0.125 to 0.150 percent. \4\

[[Page 232]]

    (2) Approved proprietary brands of coumaphos (Co-Ral 
[reg]), 25 percent wettable powder or flowable form labeled 
for use as a 0.25 percent dip and used at a concentration of 0.125 to 
0.250.\4\
    (3) Approved proprietary brands of organophosphorous insecticides 
(Prolate [reg]) if used in a Prolate-water bath where the 
concentration level is at least 0.15 percent and if used in accordance 
with the EPA approved label.
    (4) Approved proprietary brands of organophosphorous insecticides 
(Ciodrin [reg]) if used in a concentration of 0.44 to 0.54 
percent and if used in accordance with the EPA approved label.
    (c) Approval of dips. Proprietary brands of dips are permitted to be 
used for purposes of this part only when approved by the Administrator, 
APHIS. Before a dip will be specifically approved as a permitted dip for 
the eradication of ticks, APHIS will require that the product be 
registered under the provisions of the Federal Insecticide, Fungicide 
and Rodenticide Act, as amended (7 U.S.C. 135 et seq.); that its 
efficacy and stability have been demonstrated; that trials have been 
conducted to determine that its concentration can be maintained and that 
under actual field conditions the dipping of cattle with a solution of 
definite strength will effectually eradicate ticks without injury to the 
animals dipped.
    (d) Tissue residues; restriction on slaughter. Tissue residues are 
created following use of certain dips. Animals treated with such dips 
should not be slaughtered for food purposes until the expiration of such 
period as may be required under the Federal Meat Inspection Act (21 
U.S.C. 601 et seq.). The length of this period shall be specified on 
each certificate issued by the inspector who supervises the dipping.

[33 FR 18089, Dec. 5, 1968, as amended at 34 FR 12214, July 24, 1969; 36 
FR 19157, Sept. 30, 1971; 36 FR 19972, Oct. 14, 1971; 37 FR 13529, July 
11, 1972; 38 FR 19012, July 17, 1973; 40 FR 12768, Mar. 21, 1975; 42 FR 
19854, Apr. 15, 1977; 47 FR 11002, Mar. 15, 1982; 49 FR 19799, May 10, 
1984; 49 FR 32540, Aug. 15, 1984; 50 FR 430, 431, Jan. 4, 1985; 56 FR 
51974, Oct. 17, 1991; 66 FR 21062, Apr. 27, 2001]



Sec. 72.14  [Reserved]



Sec. 72.15  Owners assume responsibility; must execute agreement prior to 

dipping or treatment waiving all claims against United States.

    When the cattle are to be dipped under APHIS supervision the owner 
of the cattle, offered for shipment, or his agent duly authorized 
thereto, shall first execute and deliver to an APHIS inspector an 
application for inspection and supervised dipping wherein he shall agree 
to waive all claims against the United States for any loss or damage to 
said cattle occasioned by or resulting from dipping or other treatment 
under this part, or resulting from any subsequent treatment prior to 
their interstate shipment, or resulting from the fact that they are 
later found to be still tick infested, and also for all subsequent loss 
or damage to any other cattle in the possession or control of such owner 
which may come into contact with the cattle so dipped or treated.

[28 FR 5940, June 13, 1963, as amended at 56 FR 51975, Oct. 17, 1991]



Sec. 72.16  Designated dipping stations to be approved by the Administrator, 

APHIS on recommendations of State authorities; facilities.

    When deemed advisable and upon recommendation by the proper 
livestock sanitary authorities, designated dipping stations may be 
approved by the Administrator, APHIS as points at which cattle of the 
quarantined area of the State in which said station is located may be 
inspected, dipped, and certified for interstate movement. The facilities 
furnished shall include proper dipping equipment, noninfectious pens 
constructed in accordance with Sec. 72.17 and a roofed or covered 
section of pens of sufficient size to protect all dipped animals from 
exposure to rain or hot sun. All alleys, chutes, and pens shall be paved 
or properly floored.

[28 FR 5940, June 13, 1963, as amended at 50 FR 430, Jan. 4, 1985; 56 FR 
51974, Oct. 17, 1991]

[[Page 233]]



Sec. 72.17  Unloading noninfected cattle for rest, feed, and water only, 

permitted in authorized pens for such purpose.

    (a) Specifications for construction and maintenance. Cattle of the 
free area, and cattle of the quarantined area when properly dipped, 
inspected, and certified in accordance with this part, which are 
transported interstate by rail through the quarantined area shall not be 
unloaded therein for rest, feed, and water unless they are unloaded into 
the properly equipped, noninfectious pens set apart for such cattle at 
such points as may from time to time be authorized by APHIS. Such 
noninfectious pens and the platforms, chutes, and alleys leading thereto 
shall be constructed and maintained in accordance with the 
specifications set out in paragraphs (a)(1) to (6) of this section.
    (1) The outside fences enclosing such pens, and the fences on either 
side of the alleys, chutes, and platforms leading thereto, shall be 
tight board fences not less than 6 feet high on the inside.
    (2) If such pens, alleys, chutes, and platforms are adjacent to 
pens, alleys, chutes, and platforms used by cattle of the quarantined 
area, there shall be between them a space not less than 10 feet wide, 
which shall be inaccessible to livestock. This space shall be limited on 
each side by the 6-foot fence required by paragraph (a)(1) of this 
section. The remaining space around such yards shall be limited as in 
paragraph (a)(3) of this section.
    (3) If such pens, alleys, chutes, and platforms are isolated from 
other pens, alleys, chutes, or platforms, there shall be built and 
maintained outside thereof on all sides to which cattle of the vicinity 
might otherwise approach a cattle-proof fence not less than 5 feet high 
and not less than 15 feet from the 6-foot fence required by paragraph 
(a)(1) of this section.
    (4) The only means of egress from such pens shall be by way of the 
alleys, chutes, and platforms inclosed by 6-foot fences as required by 
paragraph (a)(1) of this section, to cars for reforwarding; and under no 
circumstances shall there exist any connection between such pens and 
other adjacent premises.
    (5) Such noninfectious premises shall be so located, or such 
drainage facilities shall be provided therefor, that water from the 
surrounding area will not flow on to or through them.
    (6) Such pens shall be marked by a conspicuous sign bearing the 
words ``Noninfectious Pens'' in letters not less than 10 inches in 
height.
    (b) Materials for use in noninfectious pens; source, shipment, 
handling. The hay, straw, or similar materials required for feed and 
bedding in such noninfectious pens shall be shipped in noninfectious 
cars from points outside of the quarantined area so handled that they 
may not become infectious.

[28 FR 5940, June 13, 1963, as amended at 56 FR 51975, Oct. 17, 1991]



Sec. 72.18  Movement interstate; specification by the Deputy Administrator, 

Veterinary Services of treatment required when dipping facilities unavailable.

    (a) Tick-infested cattle. Cattle of the free area which are tick-
infested may be moved interstate for any purpose after they have been 
treated in the same manner as cattle under Sec. 72.6: Provided, 
however, That when dipping equipment is not available at the place where 
the cattle are, said treatment shall be given at a place and in the 
manner specified by the Administrator, APHIS.
    (b) Tick-exposed cattle. Cattle of the free area which have been 
exposed to tick infestation may be moved interstate for any purpose 
after they have been treated in the same manner as cattle under Sec. 
72.7: Provided, however, That when dipping equipment is not available at 
the place where the cattle are, said treatment shall be given at a place 
and in the manner specified by the Administrator, APHIS.
    (c) Cattle moved contrary to regulations. Cattle which have been 
moved from the quarantined area to the free area without first having 
been treated in the manner provided in either Sec. 72.6 or Sec. 72.7 
or inspected in the manner provided in Sec. 72.8 shall not be shipped 
or moved interstate until they have been treated in the same manner as 
cattle under Sec. 72.6: Provided, however, That when dipping equipment 
is not available at the place where the cattle are,

[[Page 234]]

said treatment shall be given at a place and in the manner specified by 
the Administrator, APHIS.

[28 FR 5940, June 13, 1963, as amended at 50 FR 430, Jan. 4, 1985; 56 FR 
51974, Oct. 17, 1991]



Sec. 72.19  Interstate shipments and use of pine straw, grass, litter from 

quarantined area; prohibited until disinfected.

    Pine straw, grass, or similar litter collected from tick-infested 
pastures, ranges, or premises may disseminate the contagion of 
splenetic, southern, or Texas fever; therefore pine straw, grass, or 
similar litter originating in the quarantined area shall not be 
transported or moved interstate therefrom or used as packing material or 
car bedding for commodities or livestock to be transported or moved from 
the quarantined area of any State, Territory, or the District of 
Columbia, to or through the free area of any other State, Territory, or 
the District of Columbia, unless such material is first disinfected in 
accordance with the provisions of Sec. 72.24.



Sec. 72.20  Exhibition of noninfected cattle in the quarantined area; 

restrictions under which permitted.

    The exhibition of noninfected cattle at fairs or exhibitions in the 
quarantined area and their reshipment to the free area without dipping 
may, by written order of the Administrator, APHIS be permitted: 
Provided, That the cattle shall be handled under such conditions as may 
be prescribed in each case to preclude any danger of the spread of 
infection.

[28 FR 5940, June 13, 1963, as amended at 56 FR 51974, Oct. 17, 1991]



Sec. 72.21  Animals infested with or exposed to ticks subject to same 

restrictions as cattle.

    Animals other than cattle which are infested with ticks [Boophilus 
annulatus (Margaropus annulatus), Boophilus microplus, or Rhipicephalus 
evertsi evertsi] or exposed to tick infestation shall not be moved 
interstate unless they are treated, handled, and moved in accordance 
with the requirements specified in Sec. Sec. 72.9 through 72.15 and 
Sec. 72.18 of this part governing the interstate movement of cattle.



Sec. 72.22  Cars, vehicles, and premises; cleaning and treatment after 

containing infested or exposed animals.

    Cars and other vehicles, and yards, pens, chutes, or other premises 
or facilities, which have contained interstate shipments of animals 
infested with or exposed to ticks, shall be cleaned and treated within 
72 hours of use and prior to further use in the required concentration 
with a permitted dip listed in Sec. 72.13 under supervision of a State 
or Federal inspector or an accredited veterinarian.

[38 FR 21996, Aug. 15, 1973]



Sec. 72.23  Cars or other vehicles having carried infested or exposed cattle 

in quarantined area shall be cleaned and treated.

    Cars or others vehicles which have carried cattle exposed to or 
infested with ticks within the quarantined area of any State shall be 
cleaned and treated in the required concentration with a permitted dip 
listed in Sec. 72.13 before being moved interstate under supervision of 
a State or Federal inspector or an accredited veterinarian.

[38 FR 21996, Aug. 15, 1973]



Sec. 72.24  Litter and manure from carriers and premises of tick-infested 

animals; destruction or treating required.

    The litter and manure removed from cars, boats, or other vehicles 
and from pens, chutes, alleys, or other premises or inclosures which 
have contained interstate shipments of tick-infested animals, shall be 
destroyed or treated by the transportation or yard company, or other 
owner thereof, under APHIS supervision, by saturating it in the required 
concentration with a permitted dip listed in Sec. 72.13, or shall be 
otherwise disposed of under prior permission received from the 
Administrator, APHIS.

[38 FR 21996, Aug. 15, 1973, as amended at 56 FR 51974, 51975, Oct. 17, 
1991]



Sec. 72.25  Dipping methods.

    Dipping is accomplished by thoroughly wetting the entire skin by 
either immersion in a chemical solution in a dip vat, or by spraying 
with a

[[Page 235]]

chemical solution using a spray-dip machine or a hand-held sprayer.

[50 FR 430, Jan. 4, 1985]



PART 73_SCABIES IN CATTLE--Table of Contents




Sec.
73.1 Interstate movement prohibited.
73.1a [Reserved]
73.1b Quarantine policy.
73.1c Definitions.
73.2 Interstate shipment for immediate slaughter from quarantined or 
          nonquarantined areas; conditions under which permitted.
73.3 Shipment for purposes other than slaughter; conditions under which 
          permitted.
73.4 Interstate shipment of exposed but not visibly diseased cattle from 
          a quarantined or nonquarantined area; conditions under which 
          permitted.
73.5 Interstate shipment of undiseased cattle from quarantined area; 
          when permitted.
73.6 Placarding means of conveyance and marking billing of shipments of 
          treated scabby cattle or cattle exposed to scabies.
73.7 Movement from quarantined to free area and shipment therefrom; 
          restrictions under which permitted.
73.8 Cattle infected or exposed during transit.
73.9 Owners assume responsibility; must execute agreement prior to 
          dipping or treatment waiving all claims against United States.
73.10 Permitted dips; substances allowed.
73.11 Treatment of means of conveyance and premises having contained 
          scabby cattle.
73.12 Ivermectin.

    Authority: 7 U.S.C. 8301-8317; 7 CFR 2.22, 2.80, and 371.4.



Sec. 73.1  Interstate movement prohibited.

    (a) Cattle affected with scabies. No cattle affected with scabies 
shall be shipped, trailed, driven, or otherwise moved interstate for any 
purpose except as provided in this part.
    (b) Cattle affected with or exposed to scabies. No cattle which, 
just prior to movement, were affected with or exposed to scabies shall 
be shipped, trailed, driven, or otherwise moved interstate for any 
purpose except as provided in this part.
    (c) Cattle from area quarantined for scabies. No cattle shall be 
shipped, trailed, driven, or otherwise moved interstate from the area 
quarantined for the disease of scabies in cattle except as provided in 
this part.

[28 FR 5945, June 13, 1963, as amended at 41 FR 5384, Feb. 6, 1976]



Sec. 73.1a  [Reserved]



Sec. 73.1b  Quarantine policy.

    Under the Animal Health Protection Act (7 U.S.C. 8301 et seq.), the 
Secretary may promulgate regulations and may prohibit or restrict the 
movement in interstate commerce of any animal, article, or means of 
conveyance as the Secretary determines necessary to prevent the 
introduction or dissemination of any pest or disease of livestock. 
Pursuant to this authority, the Department has quarantined various areas 
because of cattle scabies and has issued the regulations in this part 
governing the interstate movement of cattle from such areas. It is the 
policy of the Department to quarantine those portions of any State that 
are clearly identifiable, and in which exist animals affected with 
cattle scabies, or mites which are the contagion of said disease and not 
to quarantine an entire State for cattle scabies if the State adopts and 
enforces requirements for the intrastate movement of cattle that are at 
least as stringent as the requirements in the regulations in this part 
for interstate movements of cattle. Further, it is the policy of the 
Department to remove the quarantine from any quarantined area when it is 
determined that scabies-affected animals and the mites which are the 
contagion of scabies no longer exist in such areas.

[38 FR 31671, Nov. 16, 1973, as amended at 68 FR 6343, Feb. 7, 2003]



Sec. 73.1c  Definitions.

    For purposes of this part the following terms shall have the meaning 
set forth in this section.
    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 or Service).

[[Page 236]]

    APHIS Inspector. A veterinarian or livestock inspector employed by 
the Animal and Plant Health Inspection Service, U.S. Department of 
Agriculture, in animal health activities, who is authorized to perform 
the function involved.
    State Inspector. A veterinarian or livestock inspector regularly 
employed in animal health activities by a State or a political 
subdivision thereof, authorized by such State or political subdivision 
to perform the function involved under a cooperative agreement with the 
U.S. Department of Agriculture.

[41 FR 5384, Feb. 6, 1976, as amended at 56 FR 52463, Oct. 21, 1991]



Sec. 73.2  Interstate shipment for immediate slaughter from quarantined or 

nonquarantined areas; conditions under which permitted.

    (a) Conditions under which permitted after one dipping. Cattle 
which, just prior to shipment, were affected with scabies but have been 
dipped once in a permitted dip (other than a toxaphene dip), under the 
supervision of an APHIS inspector or State inspector, within 10 days 
prior to the date of shipment may be shipped or transported interstate 
for immediate slaughter to a recognized slaughtering center, upon 
compliance with the following conditions:
    (1) They shall not be diverted en route.
    (2) The means of conveyance shall be placarded and the billing shall 
be marked ``Treated Scabby Cattle,'' in accordance with Sec. 73.6.
    (b) After one dipping; to be slaughtered within 14 days or redipped 
by owner. Cattle shipped interstate subject to the provisions of 
paragraph (a) of this section shall be slaughtered within 14 days from 
the date of the dipping or shall be again dipped by the owner.
    (c) When part of diseased herd not visibly affected. Cattle of the 
free area not visibly diseased with scabies, but which may be part of a 
diseased herd, may be shipped or transported interstate for immediate 
slaughter to any recognized slaughtering center where separate pens are 
provided for yarding exposed cattle: Provided, That means of conveyance 
in which the cattle are transported shall be placarded and the billing 
accompanying the shipment shall be marked ``Cattle Exposed to Scabies'' 
in accordance with Sec. 73.6.
    (d) Undiseased herds in quarantined area; conditions under which 
permitted. Cattle of herds of the quarantined area which are not 
diseased with scabies may be shipped, transported, or otherwise moved 
interstate for immediate slaughter, upon inspection by an APHIS or State 
inspector within 10 days prior to the date of shipment and when 
accompanied by a certificate from such inspector showing the cattle to 
be free from disease.

[31 FR 8907, June 28, 1966, as amended at 36 FR 23996, Dec. 17, 1971; 38 
FR 18011, July 6, 1973; 41 FR 5384, Feb. 6, 1976; 49 FR 10530, Mar. 20, 
1984; 49 FR 33120, Aug. 21, 1984; 56 FR 52463, Oct. 21, 1991; 66 FR 
21062, Apr. 27, 2001]



Sec. 73.3  Shipment for purposes other than slaughter; conditions under which 

permitted.

    Cattle affected with scabies may be shipped interstate for any 
purpose if dipped twice in a permitted dip, 10 to 14 days apart, under 
the supervision of an APHIS inspector or State inspector, and so 
certified by such inspector, or such cattle may be so shipped if dipped 
once in a permitted dip under APHIS supervision or State supervision at 
the point of origin, provided arrangements have been made for the second 
dipping, under APHIS supervision, en route or at destination within 10 
to 14 days after the first dipping. If shipped in the latter manner the 
means of conveyance containing the cattle shall be placarded and the 
billing shall be marked ``Treated Scabby Cattle,'' in accordance with 
Sec. 73.6.

[28 FR 5945, June 13, 1963, as amended at 41 FR 5384, Feb. 6, 1976; 49 
FR 10530, Mar. 20, 1984; 49 FR 33120, Aug. 21, 1984; 56 FR 52463, Oct. 
21, 1991; 66 FR 21062, Apr. 27, 2001]



Sec. 73.4  Interstate shipment of exposed but not visibly diseased cattle from 

a quarantined or nonquarantined area; conditions under which permitted.

    Cattle not visibly diseased with scabies, but which are known to be 
part of a diseased herd or to have come in contact with diseased cattle 
or infectious means of conveyance or premises, may be shipped interstate 
for any purpose if dipped at the point of origin, under the

[[Page 237]]

supervision of an APHIS inspector or State inspector, in a permitted 
dip, or the cattle may be dipped en route by special permission first 
had and obtained from the Administrator; but in such event the means of 
conveyance shall be placarded and the billing shall be marked ``Cattle 
Exposed to Scabies,'' in accordance with Sec. 73.6, and the cattle 
shall not be permitted to mingle with other cattle until disposed of in 
accordance with the regulations in this part.

[28 FR 5945, June 13, 1963, as amended at 41 FR 5384, Feb. 6, 1976; 56 
FR 52463, Oct. 21, 1991]



Sec. 73.5  Interstate shipment of undiseased cattle from quarantined area; 

when permitted.

    Cattle of any herd in any quarantined area, which herd is not 
diseased with scabies, may be shipped, transported, or otherwise moved 
interstate for any purpose upon inspection by an APHIS or State 
inspector within 10 days prior to the date of shipment and when 
accompanied by a certificate from such inspector showing the cattle to 
be free from such disease or exposure thereto. When it is determined by 
the Administrator that all cattle of all herds in any quarantined area 
have been inspected for scabies by an APHIS or State inspector, that all 
the infected or exposed herds have been identified, and that all the 
infected herds have been dipped twice, and all the exposed herds have 
been dipped in a permitted dip as prescribed in Sec. 73.10, under 
supervision of an APHIS or APHIS-approved inspector, cattle of herds in 
such area which are not diseased with or exposed to scabies may be moved 
interstate in accordance with this section, without further APHIS 
inspection or certification, directly to a slaughtering plant where 
Federal Meat Inspection is maintained: Provided further, that treatment 
with ivermectin may be used in lieu of dipping for a herd of cattle 
treated together if the herd is physically separated for 14 days 
following treatment from all cattle not a part of the herd treated 
together with ivermectin. Information may be obtained from an APHIS 
inspector whether a determination as required by this section is 
currently applicable to authorize such movement. Cattle moved interstate 
under this section shall not be diverted en route and must be 
accompanied by a waybill or similar document, or a statement signed by 
the owner or shipper of the cattle, stating: (a) That the cattle are not 
known to be infected with scabies or exposed thereto; (b) [Reserved]; 
(c) the purpose for which the cattle are to be moved; (d) the number of 
the cattle; (e) the point from which the cattle are to be moved 
interstate; (f) that the cattle shall not be diverted en route; and (g) 
the name and address of the owner or shipper of the cattle.

(Approved by the Office of Management and Budget under control number 
0579-0051)

[31 FR 8907, June 28, 1966 as amended at 36 FR 23996, Dec. 17, 1971; 38 
FR 10252, Apr. 26, 1973; 38 FR 18011, July 6, 1973; 41 FR 5384, Feb. 6, 
1976; 48 FR 57472, Dec. 30, 1983; 49 FR 10530, Mar. 20, 1984; 49 FR 
33120, Aug. 21, 1984; 56 FR 52463, Oct. 21, 1991; 66 FR 21062, Apr. 27, 
2001]



Sec. 73.6  Placarding means of conveyance and marking billing of shipments of 

treated scabby cattle or cattle exposed to scabies.

    When cattle are shipped as ``Treated Scabby Cattle,'' or ``Cattle 
Exposed to Scabies,'' the transportation companies shall securely affix 
to and maintain upon both sides of each means of conveyance carrying 
such cattle a durable, conspicuous placard, not less than 5\1/2\ by 8 
inches in size, on which shall be printed with permanent black ink in 
boldfaced letters, not less than 1\1/2\ inches in height, the words, 
``Treated Scabby Cattle,'' or ``Cattle Exposed to Scabies,'' as the case 
may be. These placards shall also show the name of the place from which 
the shipment was made, the date of the shipment (which must correspond 
to the date of the waybills and other papers), the name of the 
transportation company, and the name of the place of destination. The 
carrier issuing the waybills, conductors' manifests, memoranda, and 
bills of lading pertaining to such shipments shall plainly write or 
stamp upon the face of each such paper the words, ``Treated Scabby 
Cattle,'' or ``Cattle Exposed to Scabies,'' as the case may be. If for 
any reason the placards required by this part have not

[[Page 238]]

been affixed to the means of conveyance as aforesaid, or the placards 
have been removed, destroyed, or rendered illegible, or the cattle are 
rebilled or are transferred to other means of conveyance, the placards 
shall be immediately affixed or replaced by the carrier, and the new 
waybills shall be marked as aforesaid by the carrier issuing them, the 
intention being that the billing accompanying the shipment shall be 
marked and the means of conveyance containing the cattle shall be 
placarded ``Treated Scabby Cattle,'' or ``Cattle Exposed to Scabies,'' 
as the case may be, from the time of shipment until the cattle arrive at 
destination or point of dipping and the disposition of the means of 
conveyance is indicated by an APHIS inspector or State inspector.

[28 FR 5945, June 13, 1963, as amended at 41 FR 5384, Feb. 6, 1976; 49 
FR 10530, Mar. 20, 1984; 49 FR 33120, Aug. 21, 1984; 56 FR 52463, Oct. 
21, 1991; 66 FR 21062, Apr. 27, 2001]



Sec. 73.7  Movement from quarantined to free area and shipment therefrom; 

restrictions under which permitted.

    No person, firm, or corporation shall deliver for transportation, 
transport, drive on foot, or otherwise move interstate from the free 
area of any State, Territory, or the District of Columbia any cattle 
which have been moved from the quarantined area of the same State, 
Territory, or the District of Columbia into such free area: Provided, 
however, That such cattle may be delivered for transportation, 
transported, driven on foot, or otherwise moved interstate for the 
purposes for which the shipment, transportation, or other movement 
interstate of cattle of the quarantined area is permitted by this part, 
Provided, That in such shipment and transportation or other movement the 
requirements of this part governing the shipment and transportation or 
other movement of cattle of the quarantined area are strictly complied 
with: And provided further, That this section shall not apply to cattle 
of the quarantined area which, before being moved into the free area, 
are certified by an APHIS inspector or State inspector as free from 
disease and are accompanied by such certificate in their shipment by 
transportation or other movement interstate.

(Approved by the Office of Management and Budget under control number 
0579-0051)

(44 U.S.C. 3506)

[28 FR 5945, June 13, 1963, as amended at 41 FR 5384, Feb. 6, 1976; 48 
FR 57472, Dec. 30, 1983; 56 FR 52463, Oct. 21, 1991]



Sec. 73.8  Cattle infected or exposed during transit.

    (a) Healthy cattle from unquarantined State exposed en route. Should 
healthy cattle in transit from a State not quarantined by the Secretary 
of Agriculture for scabies in cattle be unloaded en route and placed in 
infectious premises, they shall be treated as exposed cattle, and their 
further movement shall be subject to the provisions of this part with 
respect to the movement of exposed cattle.
    (b) Interstate shipments of cattle under APHIS or State certificate 
found affected or exposed en route. Cattle shipped interstate under a 
certificate from an APHIS inspector or State inspector or other cattle 
which are found en route to be affected with scabies or to have been 
exposed thereto, shall thereafter be handled in the same manner as 
diseased or exposed cattle are required by this part to be handled, and 
the means of conveyance and the chutes, alleys, and pens which have been 
occupied by diseased animals shall be cleaned and disinfected as 
provided in Sec. Sec. 71.4 through 71.11 of this subchapter.

[28 FR 5945, June 13, 1963, as amended at 41 FR 5384, Feb. 6, 1976; 56 
FR 52463, Oct. 21, 1991]



Sec. 73.9  Owners assume responsibility; must execute agreement prior to 

dipping or treatment waiving all claims against United States.

    When the cattle are to be dipped under APHIS supervision or control, 
the owner of the cattle offered for shipment, or his agent duly 
authorized thereto, shall first execute and deliver to an APHIS 
inspector an application for inspection and supervised dipping wherein 
he shall agree to waive all claims against the United States for any 
loss or damage to said cattle occasioned by or resulting from dipping or

[[Page 239]]

other treatment under this part, or resulting from any subsequent 
treatment prior to their interstate shipment, or resulting from the fact 
that they are later found to be still scabies infested, and also for all 
subsequent loss or damage to any other cattle in the possession or 
control of such owner which may come into contact with the cattle so 
dipped or treated.

[41 FR 4012, Jan. 28, 1976, as amended at 56 FR 52463, Oct. 21, 1991]



Sec. 73.10  Permitted dips; substances allowed.

    (a) The dips at present permitted by the Department for the 
treatment, as required in this part, of cattle affected with or exposed 
to scabies, are as follows:
    (1) Lime-sulphur dip, other than proprietary brands thereof, made in 
the proportion of 12 pounds of unslaked lime (or 16 pounds of commercial 
hydrated lime, not airslaked lime) and 24 pounds of flowers of sulphur 
or sulphur flour to 100 gallons of water; or a specifically permitted 
proprietary brand of lime-sulphur dip.
    (2) Dips made from specifically permitted proprietary brand 
emulsions of toxaphene and maintained throughout the dipping operation 
at a concentration between 0.50 and 0.60 percent toxaphene. Animals 
treated by such dips should not be slaughtered for food purposes until 
the expiration of such period as may be required under the Federal Meat 
Inspection Act (21 U.S.C., Supp. III, 601 et seq.). The length of this 
required period shall be specified on each certificate issued by the 
APHIS inspector or State inspector who supervises the dipping with such 
dips.
    (3) Approved proprietary brands of coumaphos (Co-Ral 
[reg]), 25 percent wettable powder or flowable form used at a 
concentration of 0.30 percent.
    (4) Approved proprietary brands of organophosphorous insecticides 
(Prolate [reg]) used at a concentration of 0.15 percent to 
0.25 percent.
    (b) The dipping bath for lime-sulphur dip must be used at a 
temperature of 95 [deg] to 105 [deg]F., and must be maintained through 
the dipping operation at a concentration of not less than 2 percent of 
``sulphide sulphur'', as indicated by the field test for lime-sulphur 
dipping baths approved by the APHIS.\1\ The dipping bath for toxaphene 
emulsions must be kept within a temperature range of 40[deg]-80 [deg]F., 
and at a concentration between 0.50 and 0.60 percent throughout the 
dipping operations. \2\
---------------------------------------------------------------------------

    \1\ The field test for lime-sulphur dipping baths is described in 
U.S. Department of Agriculture Bulletin 163, for sale by the 
Superintendent of Documents, Government Printing Office, Washington, 
D.C. 20402, at 5 cents a copy.
    \2\ Care must be exercised in dipping animals and in maintaining the 
bath at the standard concentration. Detailed instructions will be issued 
for the guidance of employees who may be called upon to use them in the 
scabies eradication program.
---------------------------------------------------------------------------

    (c) Proprietary brands of lime-sulphur or toxaphene dips may be used 
in official dipping only after specific permission therefor has been 
granted by the Administrator. Before a dip will be specifically approved 
as a permitted dip for the eradication of scabies in cattle, the APHIS 
\3\ will require that the product be registered under the provisions of 
the Federal Insecticide, Fungicide and Rodenticide Act, as amended (7 
U.S.C. 135 et seq.); that is efficacy and stability have been 
demonstrated; that trials have been conducted to determine that its 
concentration can be maintained and that under actual filed conditions 
the dipping of cattle in a bath of definite strength will effectually 
eradicate scabies infection without injury to the animals dipped.
---------------------------------------------------------------------------

    \3\ Information as to the names of such dips may be obtained from 
the APHIS or a APHIS inspector.

[34 FR 7443, May 8, 1969, as amended at 39 FR 39715, Nov. 11, 1974; 40 
FR 12768, Mar. 21, 1975; 40 FR 42179, Sept. 11, 1975; 41 FR 5384, Feb. 
6, 1976; 41 FR 37307, Sept. 3, 1976; 50 FR 431, Jan. 4, 1985; 56 FR 
52463, Oct. 21, 1991]



Sec. 73.11  Treatment of means of conveyance and premises having contained 

scabby cattle.

    Means of conveyance, yards, pens, sheds, chutes, or other premises 
or facilities which have contained cattle of a consignment in which 
scabies is found shall be treated within 72 hours of use and prior to 
further use in the

[[Page 240]]

required concentration with a permitted dip listed in Sec. 73.10 under 
supervision of a State or Federal inspector or an accredited 
veterinarian.

[38 FR 21996, Aug. 15, 1973, as amended at 41 FR 5384, Feb. 6, 1976]



Sec. 73.12  Ivermectin.\1\

    (a) Cattle affected with scabies or which just prior to movement 
were affected with or exposed to scabies may be moved interstate from a 
nonquarantined area after being treated with ivermectin under the 
supervision of an APHIS inspector or State inspector in accordance with 
the directions on the label of the drug if the following conditions are 
met:
---------------------------------------------------------------------------

    \1\ Tissue residues remain following treatment with ivermectin. 
Cattle treated with ivermectin are not allowed to be slaughtered for 
food purposes until the expiration of such period as may be required 
under the Federal Meat Inspection Act (21 U.S.C. 601 et seq.). Further, 
the animal drug regulations in 21 CFR parts 522 and 556 promulgated 
under the Federal Food, Drug, and Cosmetic Act (21 U.S.C. 301 et seq.) 
contain limitations on the use of ivermectin and contain tolerances for 
ivermectin in edible cattle tissue. With respect to the limitations 21 
CFR part 522 provides the following: ``For subcutaneous use only. Not 
for intramuscular use. Do not treat cattle within 35 days of slaughter. 
Because a withdrawal time in milk has not been established, do not use 
in female dairy cattle of breeding age. Federal law restricts this drug 
to use by or on the order of a licensed veterinarian.''
---------------------------------------------------------------------------

    (1) Such cattle are kept physically separated for 14 days following 
treatment from all cattle not part of the group treated together with 
ivermectin (regardless of whether the cattle are moved interstate before 
the end of the 14-day period); and
    (2) If such cattle are moved interstate before the end of the 14th 
day following treatment, at the time of interstate movement they are 
accompanied by a certificate issued and signed by an APHIS inspector or 
State inspector identifying the group of cattle treated with ivermectin 
and stating the date on which the cattle were treated with ivermectin; 
and
    (3) If such cattle are moved interstate before the end of the 14th 
day following treatment, at the time of interstate movement the means of 
conveyance carrying them is placarded and the billing marked in 
accordance with Sec. 73.6.
    Note: Cattle from nonquarantined areas which are not affected with 
scabies or which just prior to movement were not affected with or 
exposed to scabies may be moved interstate without restrictions under 
this part. Accordingly, cattle from nonquarantined areas which had been 
treated with ivermectin more than 14 days before movement interstate may 
be moved interstate without restriction under this part unless following 
treatment they become affected with scabies or just prior to movement 
become affected with or exposed to scabies.
    (b) Cattle may be moved interstate from a quarantined area after 
being treated with ivermectin under the supervision of an APHIS 
inspector or State inspector in accordance with the directions on the 
label of the drug if the following conditions are met:
    (1) Such cattle are moved interstate within 21 days following 
treatment with ivermectin; and
    (2) Such cattle are kept physically separated for 14 days following 
treatment from all cattle not part of the group treated together with 
ivermectin (regardless of whether the cattle are moved interstate before 
the end of the 14 day period); and, if such cattle are moved within the 
15- to 21-day period following treatment, they remain kept physically 
separated from all cattle not a part of the group treated together with 
ivermectin until after they are moved interstate; and
    (3) Such cattle are accompanied at the time of interstate movement 
by a certificate issued and signed by an APHIS inspector or State 
inspector identifying the group of cattle treated with ivermectin and 
stating the date on which the cattle were treated with ivermectin; and
    (4) If such cattle are moved interstate before the end of the 14 day 
period following treatment, at the time of interstate movement the means 
of conveyance carrying them is placarded and the billing marked in 
accordance with Sec. 73.6.

[49 FR 10530, Mar. 20, 1984 and 49 FR 33120, Aug. 21, 1984; 56 FR 52463, 
Oct. 21, 1991; 66 FR 21062, Apr. 27, 2001]

[[Page 241]]



PART 74_PROHIBITION OF INTERSTATE MOVEMENT OF LAND TORTOISES--Table of 

Contents




    Authority: 7 U.S.C. 8301-8317; 7 CFR 2.22, 2.80, and 371.4.



Sec. 74.1  General prohibition.

    The interstate movement of leopard tortoise (Geochelone pardalis), 
African spurred tortoise (Geochelone sulcata), and Bell's hingeback 
tortoise (Kinixys belliana) is prohibited except when tortoises are 
accompanied by either a health certificate or a certificate of 
veterinary inspection. The health certificate or certificate of 
veterinary inspection must be signed by an accredited veterinarian 
within 30 days prior to the interstate movement and must state that the 
tortoises have been examined by that veterinarian and found free of 
ticks.

[66 FR 37128, July 17, 2001]



PART 75_COMMUNICABLE DISEASES IN HORSES, ASSES, PONIES, MULES, AND ZEBRAS--

Table of Contents




                       Dourine in Horses and Asses

Sec.
75.1-75.3 [Reserved]

                 Equine Infectious Anemia (Swamp Fever)

75.4 Interstate movement of equine infectious anemia reactors and 
          approval of laboratories, diagnostic facilities, and research 
          facilities.

                    Contagious Equine Metritis (CEM)

75.5-75.10 [Reserved]

    Authority: 7 U.S.C. 8301-8317; 7 CFR 2.22, 2.80, and 371.4.

    Source: 28 FR 5950, June 13, 1963, unless otherwise noted.

                       Dourine in Horses and Asses



Sec. Sec. 75.1-75.3  [Reserved]

                 Equine Infectious Anemia (Swamp Fever)



Sec. 75.4  Interstate movement of equine infectious anemia reactors and 

approval of laboratories, diagnostic facilities, and research facilities.

    (a) Definitions. For the purpose of this section, the following 
terms have the meanings set forth in this paragraph.
    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 or Service).
    Animals. Cattle, sheep, goats, other ruminants, swine, horses, 
asses, mules, zebras, dogs, and poultry.
    APHIS representative. An individual employed by APHIS who is 
authorized to perform the functions involved.
    Approved stockyard. A stockyard, livestock market, or other 
premises, under state or federal veterinary supervision where horses or 
other equines are assembled for sale purposes, and which has been 
approved by the Administrator under Sec. 71.20 of this chapter.
    Certificate. An official document issued by a State representative, 
APHIS representative, or an accredited veterinarian at the point of 
origin of the interstate movement on which are listed: (1) The 
description, including age, breed, color, sex, and distinctive markings 
when present (such as brands, tattoos, scars or blemishes), of each 
reactor to be moved; (2) the number of reactors covered by the document; 
(3) the purpose for which the reactors are to be moved; (4) the points 
of origin and destination; (5) consignor;

[[Page 242]]

and (6) the consignee; and which states that each reactor identified on 
the certificate meets the requirements of Sec. 75.4(b).
    Interstate. From any State into or through any other State.
    Official seal. A serially numbered metal or plastic strip, or a 
serially numbered button, consisting of a self-locking device on one end 
and a slot on the other end, which forms a loop when the ends are 
engaged and which cannot be reused if opened. It is applied by an APHIS 
representative or State representative.
    Official test. Any test for the laboratory diagnosis of equine 
infectious anemia that utilizes a diagnostic product that is: (1) 
Produced under license from the Secretary of Agriculture, and found to 
be efficacious for that diagnosis, under the Virus-Serum-Toxin Act of 
March 4, 1913, and subsequent amendments (21 U.S.C. 151 et seq.); and 
(2) conducted in a laboratory approved by the Administrator.
    Officially identified. The permanent identification of a reactor 
using the National Uniform Tag code number assigned by the United States 
Department of Agriculture to the State in which the reactor was tested, 
followed by the letter ``A'',\1\ which markings shall be permanently 
applied to the reactor by an APHIS representative, State representative 
or accredited veterinarian who shall use for the purpose a hot iron or 
chemical brand, freezemarking or a lip tattoo. If hot iron or chemical 
branding or freezemarking is used, the markings shall be not less than 
two inches high and shall be applied to the left shoulder or left side 
of the neck of the reactor. If a lip tattoo is used, each character of 
the tattoo shall be not less than one inch high and three-fourths of an 
inch wide and shall be applied to the inside surface of the upper lip of 
the reactor.
---------------------------------------------------------------------------

    \1\ Information as to the National Uniform Tag code number system 
can be obtained from the Animal and Plant Health Inspection Service, 
Veterinary Services, National Animal Health Programs, 4700 River Road 
Unit 43, Riverdale, Maryland 20737-1231.
---------------------------------------------------------------------------

    Operator. The individual responsible for the day-to-day operations 
of the specifically approved stockyard.
    Permit. An official document (VS Form 1-27 or a State form which 
contains the same information, but not a ``permit for entry'') issued by 
an APHIS representative, State representative, or accredited 
veterinarian which lists the owner's name and address, points of origin 
and destination, number of animals covered, purpose of the movement, and 
one of the following: The individual animal registered breed association 
registration tattoo, individual animal registered breed association 
registration number, or similar individual identification, including 
name, age, sex, breed, color, and markings.
    Reactor. Any horse, ass, mule, pony or zebra which is subjected to 
an official test and found positive.
    State. Any State, the District of Columbia, Puerto Rico, the Virgin 
Islands of the United States, Guam, the Northern Mariana Islands, or any 
other territory or possession of the United States.
    State animal health official. The individial employed by a State who 
is responsible for livestock and poultry disease control and eradication 
programs.
    State representative. An individual employed in animal health 
activities of a State or a State's political subdivision, who is 
authorized by that State to perform the function involved under a 
cooperative agreement with the United States Department of Agriculture.
    Veterinarian in Charge. The veterinary official of APHIS who is 
assigned by the Administrator to supervise and perform the animal health 
activities of APHIS in the State concerned.
    (b) Interstate movement. No reactor may be moved interstate unless 
the reactor is officially identified, is accompanied by a certificate, 
and meets the conditions of either paragraph (b)(1), (b)(2), (b)(3), or 
(b)(4) of this section: Provided, That official identification is not 
necessary if the reactor is moved directly to slaughter under a permit 
and in a conveyance sealed with an official seal:
    (1) The reactor is moved interstate for immediate slaughter, either 
to a Federally inspected slaughtering establishment operating under the 
provisions of the Federal Meat Inspection Act (21 U.S.C. 601 et seq.) or 
to a State-

[[Page 243]]

inspected slaughtering establishment that has inspection by a State 
representative at time of slaughter; or
    (2) The reactor is moved interstate to a diagnostic or research 
facility after the individual issuing the certificate has consulted with 
the State animal health official in the State of destination and has 
determined that the reactor to be moved interstate will be maintained in 
isolation sufficient to prevent the transmission of equine infectious 
anemia to other horses, asses, ponies, mules, or zebras, and will remain 
quarantined under State authority at the diagnostic or research facility 
until natural death, slaughter, or until disposed of by euthanasia; or
    (3) The reactor is moved interstate to its home farm after the 
individual issuing the certificate has consulted with the State animal 
health official in the State of destination and has determined that the 
reactor to be moved interstate will be maintained in isolation 
sufficient to prevent the transmission of equine infectious anemia to 
other horses, asses, ponies, mules, or zebras, and will remain 
quarantined under State authority on the reactor's home farm until 
natural death, slaughter, or until disposed of by euthanasia; and
    (4) The reactor is moved interstate through no more than one 
approved stockyard for sale for immediate slaughter, and is moved within 
five days of its arrival at the approved stockyard directly to:
    (i) Slaughter at a federally inspected slaughtering establishment 
operating under the provisions of the Federal Meat Inspection Act (21 
U.S.C. 601 et seq.), or,
    (ii) Slaughter at a state-inspected slaughtering establishment that 
has inspection by a state representative at the time of slaughter, or,
    (iii) The home farm of the reactor in accordance with paragraph 
(b)(3) of this section.
    (c) Approval of Laboratories, and Diagnostic or Research Facilities. 
(1) The Administrator will approve laboratories to conduct the official 
test only after consulting with the State animal health official in the 
State in which the laboratory is located and after determining that the 
laboratory:
    (i) Has technical personnel assigned to conduct the official test 
who have received training prescribed by the National Veterinary 
Services Laboratories;
    (ii) Uses United States Department of Agriculture licensed antigen;
    (iii) Follows standard test protocol prescribed by the National 
Veterinary Services Laboratories;
    (iv) Meets check test proficiency requirements prescribed by the 
National Veterinary Services Laboratories; and
    (v) Reports all official test results to the State animal health 
official and the Veterinarian in Charge.\2\
---------------------------------------------------------------------------

    \2\ Training requirements, standard test protocols, and check test 
proficiency requirements prescribed by the National Veterinary Services 
Laboratories, and the names and addresses of approved laboratories can 
be obtained from the Animal and Plant Health Inspection Service, 
Veterinary Services, National Animal Health Programs, 4700 River Road 
Unit 43, Riverdale, Maryland 20737-1231.
---------------------------------------------------------------------------

    (2) The Administrator will approve diagnostic or research facilities 
to which reactors may be moved interstate under paragraph (b)(2) of this 
section, after a determination by the Administrator that the facility 
has facilities and employs procedures which are adequate to prevent the 
transmission of equine infectious anemia from reactors to other equine 
animals.\3\
---------------------------------------------------------------------------

    \3\ Facilities and procedures which are adequate to prevent the 
transmission of equine infectious anemia, and the names and addresses of 
approved diagnostic or research facilities, can be obtained from the 
Animal and Plant Health Inspection Service, Veterinary Services, 
National Animal Health Programs, 4700 River Road Unit 43, Riverdale, 
Maryland 20737-1231.
---------------------------------------------------------------------------

    (d) Denial and withdrawal of approval of laboratories and diagnostic 
or research facilities. The Administrator may deny or withdraw approval 
of any laboratory to conduct the official test, or of any diagnostic or 
research facility to receive reactors moved interstate, upon a 
determination that the laboratory or diagnostic or research facility 
does not meet the criteria for approval under paragraph (c) of this 
section.
    (1) In the case of a denial, the operator of the laboratory or 
facility will be informed of the reasons for denial and may appeal the 
decision in writing to the Administrator within 10 days

[[Page 244]]

after receiving notification of the denial. The appeal must include all 
of the facts and reasons upon which the person relies to show that the 
laboratory or facility was wrongfully denied approval to conduct the 
official test or receive reactors moved interstate. The Administrator 
will grant or deny the appeal in writing as promptly as circumstances 
permit, stating the reason for his or her decision. If there is a 
conflict as to any material fact, a hearing will be held to resolve the 
conflict. Rules of practice concerning the hearing will be adopted by 
the Administrator.
    (2) In the case of withdrawal, before such action is taken, the 
operator of the laboratory or facility will be informed of the reasons 
for the proposed withdrawal. The operator of the laboratory or facility 
may appeal the proposed withdrawal in writing to the Administrator 
within 10 days after being informed of the reasons for the proposed 
withdrawal. The appeal must include all of the facts and reasons upon 
which the person relies to show that the reasons for the proposed 
withdrawal are incorrect or do not support the withdrawal of the 
approval of the laboratory or facility to conduct the official test or 
receive reactors moved interstate. The Administrator will grant or deny 
the appeal in writing as promptly as circumstances permit, stating the 
reason for his or her decision. If there is a conflict as to any 
material fact, a hearing will be held to resolve the conflict. Rules of 
practice concerning the hearing will be adopted by the Administrator. 
However, the withdrawal shall become effective pending final 
determination in the proceeding when the Administrator determines that 
such action is necessary to protect the public health, interest, or 
safety. Such withdrawal shall be effective upon oral or written 
notification, whichever is earlier, to the operator of the laboratory or 
facility. In the event of oral notification, written confirmation shall 
be given as promptly as circumstances allow. The withdrawal shall 
continue in effect pending the completion of the proceeding, and any 
judicial review thereof, unless otherwise ordered by the Administrator.
    (3) Approval for a laboratory to conduct the official test will be 
automatically withdrawn by the Administrator when the operator of the 
approved laboratory notifies the National Veterinary Services 
Laboratories in Ames, Iowa, in writing, that the laboratory no longer 
conducts the official test.
    (4) Approval for a diagnostic or research facility to receive 
reactors moved interstate will be automatically withdrawn by the 
Administrator when the operator of the approved diagnostic or research 
facility notifies the Administrator, in writing, that the diagnostic or 
research facility no longer receives reactors moved interstate.

(Approved by the Office of Management and Budget under control number 
0579-0051)

[51 FR 12597, Apr. 14, 1986, as amended at 51 FR 30327, Aug. 26, 1986; 
55 FR 13506, 13507, Apr. 11, 1990; 57 FR 2440, Jan. 22, 1992; 57 FR 
57337, Dec. 4, 1992; 59 FR 67133, Dec. 29, 1994; 59 FR 67613, Dec. 30, 
1994; 60 FR 14619, Mar. 20, 1995; 62 FR 27936, May 22, 1997; 66 FR 
21062, Apr. 27, 2001]

                    Contagious Equine Metritis (CEM)



Sec. Sec. 75.5-75.10  [Reserved]

                           PART 76 [RESERVED]



PART 77_TUBERCULOSIS--Table of Contents




                      Subpart A_General Provisions

Sec.
77.1 Material incorporated by reference.
77.2 Definitions.
77.3 Tuberculosis classifications of States and zones.
77.4 Application for and retention of zones.

                       Subpart B_Cattle and Bison

77.5 Definitions.
77.6 Applicability of this subpart.
77.7 Accredited-free States or zones.
77.8 Interstate movement from accredited-free States and zones.
77.9 Modified accredited advanced States or zones.
77.10 Interstate movement from modified accredited advanced States and 
          zones.
77.11 Modified accredited States or zones.
77.12 Interstate movement from modified accredited States and zones.
77.13 Accreditation preparatory States or zones.
77.14 Interstate movement from accreditation preparatory States and 
          zones.
77.15 Nonaccredited States or zones.

[[Page 245]]

77.16 Interstate movement from nonaccredited States and zones.
77.17 Interstate movement of cattle and bison that are exposed, 
          reactors, or suspects, or from herds containing suspects.
77.18 Other movements.
77.19 Cleaning and disinfection of premises, conveyances, and materials.

                        Subpart C_Captive Cervids

77.20 Definitions.
77.21 Applicability of this subpart.
77.22 Accredited-free States or zones.
77.23 Interstate movement from accredited-free States and zones.
77.24 Modified accredited advanced States or zones.
77.25 Interstate movement from modified accredited advanced States and 
          zones.
77.26 Modified accredited States or zones.
77.27 Interstate movement from modified accredited States and zones.
77.28 Accreditation preparatory States or zones.
77.29 Interstate movement from accreditation preparatory States and 
          zones.
77.30 Nonaccredited States or zones.
77.31 Interstate movement from nonaccredited States and zones.
77.32 General restrictions.
77.33 Testing procedures for tuberculosis in captive cervids.
77.34 Official tuberculosis tests.
77.35 Interstate movement from accredited herds.
77.36 Interstate movement from qualified herds.
77.37 Interstate movement from monitored herds.
77.38 Interstate movement from herds that are not accredited, qualified, 
          or monitored.
77.39 Other interstate movements.
77.40 Procedures for and interstate movement to necropsy and slaughter.
77.41 Cleaning and disinfection of premises, conveyances, and materials.

    Authority: 7 U.S.C. 8301-8317; 7 CFR 2.22, 2.80, and 371.4.

    Source: 65 FR 63517, Oct. 23, 2000, unless otherwise noted.



                      Subpart A_General Provisions



Sec. 77.1  Material incorporated by reference.

    Uniform Methods and Rules--Bovine Tuberculosis Eradication. The 
Uniform Methods and Rules--Bovine Tuberculosis Eradication (January 22, 
1999, edition) has been approved for incorporation by reference into the 
Code of Federal Regulations by the Director of the Federal Register in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51.
    (a) The procedures specified in the Uniform Methods and Rules--
Bovine Tuberculosis Eradication (January 22, 1999, edition) must be 
followed for the interstate movement of certain animals regulated under 
this part.
    (b) Availability. Copies of the Uniform Methods and Rules--Bovine 
Tuberculosis Eradication:
    (1) Are available for inspection at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html;
    (2) Are available for inspection at the APHIS reading room, room 
1141, USDA South Building, 14th Street and Independence Avenue, SW., 
Washington, DC; or
    (3) May be obtained from the National Animal Health Programs, 
Veterinary Services, APHIS, 4700 River Road Unit 43, Riverdale, MD 
20737-1231.

[65 FR 63517, Oct. 23, 2000, as amended at 69 FR 18803, Apr. 9, 2004]



Sec. 77.2  Definitions.

    As used in this part, the following terms shall have the meanings 
set forth in this section except as otherwise specified.
    Accredited veterinarian. A veterinarian approved by the 
Administrator in accordance with the provisions of part 161 of 
subchapter J to perform functions specified in subchapters B, C, and D 
of this chapter.
    Administrator. The Administrator, Animal and Plant Health Inspection 
Service, or any person authorized to act for the Administrator.
    Affected herd. A herd of livestock in which there is strong and 
substantial evidence that Mycobacterium bovis exists. This evidence 
should include, but is not limited to, any of the following: 
Histopathology, polymerase chain reaction (PCR) assay, bacterial 
isolation or detection, testing data, or epidemiologic evidence such as 
contact with known sources of infection.
    Animal. All species of animals except man, birds, or reptiles.

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