The Animal Welfare Act (AWA) in the United States sets the foundational standards for the humane care and treatment of certain animals. Enforcement of these crucial regulations falls under the purview of the Animal and Plant Health Inspection Service (APHIS) Animal Care program, a division of the U.S. Department of Agriculture (USDA). This article provides an overview of the essential requirements stipulated within the Code of Federal Regulations (CFR), specifically Title 9 CFR, Chapter 1, Subchapter A – Animal Welfare, Parts 1, 2, and 3, which constitute the core of the Aphis Animal Care Program’s regulatory framework. Understanding these regulations is paramount for research facilities, animal dealers, exhibitors, and anyone involved in animal handling and care to ensure compliance and uphold animal welfare standards.
Registration and Operational Changes for Research Facilities
Research facilities, excluding federal entities, are mandated to register with the Secretary of Agriculture through APHIS Animal Care. This process involves completing and submitting a designated registration form, obtainable from the AC Regional Director in the facility’s state. This registration is not a one-time event; it must be renewed every three years by filing a new registration form. This cyclical registration ensures that APHIS Animal Care maintains up-to-date records of research facilities and their operations.
Furthermore, research facilities are obligated to inform APHIS Animal Care of any significant operational changes. Within 10 days of any alteration in name, address, ownership, or any other change affecting their status as a research facility, they must notify the AC Regional Director via certified mail. This timely notification is crucial for APHIS Animal Care to maintain accurate records and effectively oversee these facilities.
Licensing Requirements for Dealers and Exhibitors
Any individual or entity operating as an animal dealer or exhibitor must possess a valid license issued by APHIS Animal Care and must be at least 18 years of age. The application process begins with obtaining the necessary form from the AC Regional Director and submitting it to the same office in the state where the applicant operates or intends to operate.
The application must comprehensively detail all premises, facilities, or sites where animals are kept or operations are conducted. Along with the completed application, applicants must submit the application fee and the annual license fee to the APHIS, AC Regional Director. These fees are essential for supporting the APHIS Animal Care program’s operations and regulatory activities.
License renewal is an annual requirement. Licensees seeking to renew must submit a completed application form, along with the renewal application fee and the annual fee, to the AC Regional Director on or before the license expiration date. This annual renewal ensures continued compliance and allows APHIS Animal Care to reassess and maintain oversight of licensed dealers and exhibitors.
Crucially, applicants must acknowledge receipt of and agreement to comply with all relevant regulations and standards by signing the application form. Failure to do so will result in the license not being issued or renewed, highlighting the commitment to regulatory adherence expected by APHIS Animal Care.
Licenses are valid for one year and will automatically terminate upon the anniversary date if a renewal application, annual report, and required fees are not filed by the expiration date. This automatic termination emphasizes the importance of proactive renewal to maintain legal operation under the APHIS Animal Care program.
Licensees are also required to submit an annual report within 30 days prior to their license expiration date, along with their renewal application, using a form provided by the AC Regional Director. This annual report provides APHIS Animal Care with essential information on the licensee’s activities and animal inventory.
Any changes in name, address, management, substantial control or ownership, or the addition of new sites must be promptly reported to the AC Regional Director via certified mail within 10 days of the change. This immediate notification is vital for APHIS Animal Care to maintain accurate licensee information and ensure effective communication and oversight.
Veterinary Care Standards Under APHIS Animal Care
APHIS Animal Care mandates that all dealers and exhibitors must have an attending veterinarian to provide adequate veterinary care to their animals. This requirement underscores the program’s commitment to animal health and well-being.
Formal arrangements with an attending veterinarian are compulsory. For part-time or consultant veterinarians, these arrangements must include a written program of veterinary care and regularly scheduled visits to the dealer or exhibitor’s premises. This ensures consistent and proactive veterinary oversight as part of the APHIS Animal Care standards.
Daily observation of all animals is required to assess their health and well-being. Furthermore, a system for direct and frequent communication must be in place to ensure timely and accurate conveyance of information regarding animal health, behavior, and well-being issues to the attending veterinarian. This emphasis on daily observation and communication is crucial for early detection and management of animal health concerns, aligning with the APHIS Animal Care program’s proactive approach.
Animal Identification Protocols
APHIS Animal Care regulations specify identification requirements for various animal classes. Class “A” dealers (breeders) and Class “B” dealers must identify all live dogs and cats according to specific guidelines. Class “C” exhibitors also have identification obligations for live dogs and cats. For all other regulated animals besides dogs and cats, dealers and exhibitors must adhere to specified identification methods as outlined by APHIS Animal Care. These identification protocols are essential for traceability and accountability within the APHIS Animal Care framework.
Record-Keeping Requirements for Dealers, Exhibitors, and Auction Operators
Dealers and exhibitors, with the exception of auction sales and brokers, are required to maintain detailed records for each dog or cat acquired, held, transported, or disposed of. These records must accurately disclose specific information as mandated by APHIS Animal Care regulations. A copy of these records must accompany every shipment of dogs or cats, ensuring transparency and accountability during transportation.
Similar record-keeping obligations apply to animals other than dogs and cats. Dealers and exhibitors must maintain forms and records for these animals, documenting acquisition, holding, transportation, and disposal, and a copy of these records must accompany each animal shipment. These comprehensive record-keeping requirements are fundamental to APHIS Animal Care’s oversight and enforcement capabilities.
Auction sales and brokers also have specific record-keeping responsibilities. They must maintain records for each animal consigned or sold, as detailed by APHIS Animal Care. Copies of these records must be provided to both the consignor and the purchaser of each animal, with an additional copy retained by the auction sale or broker, ensuring a clear audit trail.
Health Certification and Transportation Standards
APHIS Animal Care regulations stipulate that no dealer, exhibitor, auction operator, broker, or government entity can deliver to a carrier or intermediate handler, or transport in commerce, any dog, cat, or nonhuman primate without a health certificate issued by a licensed veterinarian. This health certificate must comply with specific requirements set forth by APHIS Animal Care, ensuring the health and well-being of animals during transport.
Record Disposition and Retention
Destroying or disposing of required records within one year is prohibited without written consent from the Administrator of APHIS. This regulation ensures the availability of records for compliance checks and investigations by APHIS Animal Care.
Unless specified otherwise, records must be kept for at least one year after an animal is euthanized or disposed of, and longer if required by federal, state, or local law. If APHIS Animal Care notifies a facility to retain specific records pending an investigation, the facility must comply until authorized to dispose of them by the Administrator. These retention requirements are critical for ongoing compliance monitoring and potential investigations under the APHIS Animal Care program.
Holding Facilities and Compliance
Dealers or exhibitors may arrange for another person to hold animals for the required holding period, provided they obtain prior approval from the AC Regional Director of APHIS Animal Care.
This arrangement is contingent upon the other person agreeing in writing to comply with APHIS Animal Care regulations and standards, including allowing inspections of their premises by APHIS officials during business hours. Crucially, the animals must remain under the total control and responsibility of the original dealer or exhibitor. This provision allows for flexibility while maintaining APHIS Animal Care oversight and accountability.
Access and Inspection Rights for APHIS Officials
APHIS officials are granted broad access and inspection rights to ensure compliance with the Animal Welfare Act and its regulations. Dealers and exhibitors must allow APHIS officials, during business hours:
- To enter their place of business.
- To examine required records.
- To make copies of records.
- To inspect and photograph facilities, property, and animals.
- To document noncompliance through photographs and other means.
These access and inspection rights are fundamental to APHIS Animal Care’s ability to effectively enforce regulations and ensure animal welfare.
Procurement and Certification of Random Source Dogs and Cats
Dealers and exhibitors operating animal pounds or shelters must maintain separate, accurate, and complete records for these operations, complying with specific APHIS Animal Care record-keeping sections.
Dealers are prohibited from selling random source dogs or cats without providing the recipient with a certification containing specific information mandated by APHIS Animal Care. This certification requirement aims to regulate the sourcing and traceability of random source animals.
The original certification must accompany the shipment of a live dog or cat. Dealers acquiring dogs or cats from other dealers must also obtain and attach the original certification, creating a chain of documentation. Dealers must retain copies of certifications for at least one year for APHIS inspection. These certification and record-keeping requirements are vital for controlling the trade in random source animals and ensuring compliance with APHIS Animal Care standards.
Exercise Plans for Dogs
APHIS Animal Care mandates that dealers and exhibitors develop, document, and implement an exercise plan for dogs, approved by the attending veterinarian. This plan must include written standard procedures and be available to APHIS upon request. The plan must meet minimum conditions and requirements specified in regulations to ensure adequate exercise opportunities for dogs.
Exemptions from exercise requirements may be granted by the attending veterinarian for dogs with health, condition, or well-being concerns. These exemptions must be documented, reviewed at least every 30 days (unless permanent), and records must be maintained and available to USDA officials. This provision allows for necessary flexibility while ensuring veterinary oversight and accountability within the APHIS Animal Care framework.
Consignment to Carriers and Intermediate Handlers
Carriers and intermediate handlers are prohibited from accepting dogs or cats for transport without the consignee’s name, address, and telephone number. This ensures proper communication and delivery coordination.
A written certification from the consignor, stating that the dog or cat was offered food and water within 4 hours before delivery, is mandatory for carriers and intermediate handlers to accept the animal. This certification must be attached to the primary enclosure and include specific information as required by APHIS Animal Care.
Carriers and intermediate handlers must ensure their animal holding areas meet minimum temperature requirements or obtain a veterinarian-signed certificate, dated within 10 days of delivery, stating the animal is acclimated to lower temperatures. A copy of this certificate must accompany the animal to its destination, ensuring appropriate temperature considerations during transport as per APHIS Animal Care guidelines.
Primary Enclosure Standards for Transporting Dogs and Cats
APHIS Animal Care regulations specify requirements for primary enclosures used to transport dogs and cats. These enclosures must be clearly marked “Live Animals” with letters at least 1 inch high and indicate the correct upright position.
Shipping documents, including instructions for special care, must be securely attached to the outside of the primary enclosure for easy access and examination. Food and water instructions must also be attached as per APHIS Animal Care requirements. These marking and documentation requirements are crucial for safe and compliant animal transportation.
Written instructions for in-transit food and water requirements for a 24-hour period must be securely attached to the outside of the primary enclosure when offering dogs or cats for transportation. This ensures proper care during transit and aligns with APHIS Animal Care standards.
Specific Standards for Guinea Pigs, Hamsters, Rabbits, and Nonhuman Primates
APHIS Animal Care regulations extend to other animal species, including specific provisions for guinea pigs, hamsters, rabbits, and nonhuman primates, covering facilities, transportation, and environmental enrichment. For example, hamsters cannot be housed outdoors, while outdoor housing for guinea pigs requires prior approval from APHIS. Similar regulations address temperature requirements during transport, primary enclosure standards, and documentation for these animals. Nonhuman primates have specific requirements for psychological well-being, including documented environment enhancement plans. These species-specific regulations demonstrate the comprehensive nature of the APHIS Animal Care program.
Marine Mammal and Other Animal Standards
APHIS Animal Care regulations also include detailed standards for marine mammals, addressing facilities, water quality, veterinary care, and transportation. Contingency plans for water and power supply are required, and water quality must be regularly monitored and documented. Necropsies are mandatory for marine mammals that die in captivity, with detailed reports maintained. Transportation standards for marine mammals and other animals, including enclosure marking and documentation, are also specified, ensuring consistent welfare standards across diverse animal species under APHIS Animal Care oversight.
Conclusion
The APHIS Animal Care program plays a vital role in ensuring the humane treatment of animals through the enforcement of the Animal Welfare Act. Compliance with these comprehensive regulations, spanning registration, licensing, veterinary care, record-keeping, transportation, and species-specific standards, is not merely a legal obligation but a moral imperative for all stakeholders involved in animal care and handling. By adhering to these guidelines, research facilities, dealers, exhibitors, carriers, and intermediate handlers contribute to a higher standard of animal welfare, reflecting the core mission of the APHIS Animal Care program. For detailed information and specific requirements, refer directly to the Code of Federal Regulations, Title 9 CFR, Chapter 1, Subchapter A – Animal Welfare, Parts 1, 2, and 3, and consult with APHIS Animal Care for guidance and clarification.
