Proposed Rule Federal Register Notice

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Federal Register / Vol. 87, No. 35 / Tuesday, February 22, 2022 / Proposed Rules
SUPPLEMENTARY INFORMATION:

DEPARTMENT OF AGRICULTURE
Animal and Plant Health Inspection
Service
9 CFR Parts 1, 2, and 3
[Docket No. APHIS–2020–0068]
RIN 0579–AE61

Standards for Birds Not Bred for Use
in Research Under the Animal Welfare
Act
Animal and Plant Health
Inspection Service, USDA.
ACTION: Proposed rule.
AGENCY:

We are proposing to amend
the regulations to establish standards
governing the humane handling, care,
treatment, and transportation of birds,
excluding birds bred for use in research,
covered under the Animal Welfare Act.
This action would ensure the humane
handling, care, treatment, and
transportation of birds not bred for use
in research and covered under the Act.
DATES: We will consider all comments
that we receive on or before April 25,
2022.
ADDRESSES: You may submit comments
by either of the following methods:
• Federale Rulemaking Portal: Go to
www.regulations.gov. Enter APHIS–
2020–0068 in the Search field. Select
the Documents tab, then select the
Comment button in the list of
documents.
• Postal Mail/Commercial Delivery:
Send your comment to Docket No.
APHIS–2020–0068, Regulatory Analysis
and Development, PPD, APHIS, Station
3A–03.8, 4700 River Road, Unit 118,
Riverdale, MD 20737–1238.
Supporting documents and any
comments we receive on this docket
may be viewed at www.regulations.gov
or in our reading room, which is located
in room 1620 of the USDA South
Building, 14th Street and Independence
Avenue SW, Washington, DC. Normal
reading room hours are 8 a.m. to 4:30
p.m., Monday through Friday, except
holidays. To be sure someone is there to
help you, please call (202) 799–7039
before coming.
FOR FURTHER INFORMATION CONTACT: Dr.
Cody M. Yager, DVM, Supervisory
Animal Care Specialist, Animal Care,
APHIS, 4700 River Road Unit 84,
Riverdale, MD 20737; (301) 851–3751;
[email protected]. Secondary
Contact: Dr. David Miller, DVM, Ph.D.,
National Animal Welfare Specialist,
Animal Care, APHIS, 2150 Centre Ave.,
Building B, Mailstop 3W11, Fort
Collins, CO 80526; (301) 851–3751;
[email protected].

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SUMMARY:

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Background
Under the Animal Welfare Act (AWA
or the Act, 7 U.S.C. 2131 et seq.), the
Secretary of Agriculture is authorized to
promulgate standards and other
requirements governing the humane
handling, care, treatment, and
transportation of certain animals by
dealers, research facilities, exhibitors,
operators of auction sales, and carriers
and intermediate handlers. The
Secretary has delegated responsibility
for administering the AWA to the
Administrator of the U.S. Department of
Agriculture’s (USDA) Animal and Plant
Health Inspection Service (APHIS).
Within APHIS, the responsibility for
administering the AWA has been
delegated to the Deputy Administrator
for Animal Care. Regulations and
standards are established under the
AWA and are contained in 9 CFR parts
1, 2, and 3 (referred to below as the
regulations). Part 1 contains definitions
for terms used in parts 2 and 3; part 2
provides administrative requirements
and sets forth institutional
responsibilities for regulated parties;
and part 3 contains specifications for
the humane handling, care, treatment,
and transportation of animals covered
by the AWA. Currently, part 3 consists
of subparts A through E, which contain
specific standards for dogs and cats,
guinea pigs and hamsters, rabbits,
nonhuman primates, and marine
mammals, respectively, and subpart F,
which sets forth general standards for
warmblooded animals not otherwise
specified in that part.
The Act initially defined animal to
mean ‘‘live dogs, cats, monkeys
(nonhuman primate mammals), guinea
pigs, hamsters, and rabbits.’’ In 1970,
amendments to the Act expanded the
definition of animal to include ‘‘any live
or dead dog, cat, monkey (nonhuman
primate mammal), guinea pig, hamster,
rabbit, or such other warm-blooded
animal, as the Secretary may determine
is being used, or is intended for use, for
research, testing, experimentation, or
exhibition purposes, or as a pet,’’ and to
explicitly exclude horses not used for
research purposes and other farm
animals; amendments in 1976 clarified
that dogs used for hunting, security, or
breeding purposes fell within the scope
of the Act.
The Farm Security and Rural
Investment Act of 2002 1 (the ‘‘Farm
Bill’’) included provisions that amended
the definition of animal in the Act yet
1 Public Law 107–171, May 13, 2002; the text can
be viewed at https://www.govinfo.gov/content/pkg/
PLAW-107publ171/pdf/PLAW-107publ171.pdf.

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again by specifically excluding birds,
rats of the genus Rattus, and mice of the
genus Mus, bred for use in research.
While the definition of animal
contained in the AWA regulations at
that time excluded rats of the genus
Rattus and mice of the genus Mus bred
for use in research, that definition also
excluded all birds, not just those birds
bred for use in research. Congress’
amendment to the Act meant that birds
not bred for research and not otherwise
excluded under its provisions were, for
the first time, explicitly subject to AWA
regulation.
In a final rule published on June 4,
2004 in the Federal Register (69 FR
31513–31514, Docket No. 98–106–3), we
amended the definition of animal in the
AWA regulations to make it consistent
with the revised definition of animal in
the Act by limiting the exclusion to only
those birds bred for use in research (i.e.,
breeding stock). On the same date, we
published an advance notice of
proposed rulemaking (69 FR 31537–
31541, Docket No. 98–106–4) notifying
the public that we intended to extend
enforcement of the AWA to birds not
bred for use in research that are sold as
pets at the wholesale level, or
transported in commerce, or used for
exhibition, research, teaching, testing, or
experimentation purposes. To
determine what regulations and
standards are appropriate for those
birds, we solicited and received 7,486
public comments and began reviewing
these comments preliminary to drafting
a proposed rule.
Beginning in 2013, several animal
welfare organizations filed lawsuits
against USDA for failure to promulgate
regulations for birds not bred for use in
research. As a result of one of those
lawsuits,2 on January 10, 2020, the U.S.
Court of Appeals for the D.C. Circuit
found that the AWA requires APHIS to
issue standards applicable to birds not
bred for use in research and that APHIS
has not issued such standards. On
remand, the U.S. District Court for the
District of Columbia granted the parties’
joint motion to stay the action and
adopted the parties’ proposed
rulemaking schedule, ordering that
USDA must publish a proposed rule
establishing regulatory standards for
birds not more than 18 months after
publication of a notice of listening
sessions, and promulgate them in a final
rule to be published in the Federal
Register no later than 1 year from that
proposed rule’s publication date. We
2 American Anti-Vivisection Society and Avian
Welfare Coalition v. USDA, 946 F.3d 615 (D.C. Cir.
2020): https://www.cadc.uscourts.gov/internet/
opinions.nsf/80846063820C52F6852584
EB005413E4/$file/19-5015-1823484.pdf.

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Federal Register / Vol. 87, No. 35 / Tuesday, February 22, 2022 / Proposed Rules
published the notice for a listening
session, discussed below, on August 20,
2020, which under the Court’s order
requires that we publish the proposed
rule no later than Tuesday, February 22,
2022.3
Beyond the Court’s requirement that
we publish a proposed rule, we believe
there to be a significant welfare-based
need for regulating birds and agree that
this rulemaking is necessary. Although
we currently do not consider birds
when inspecting regulated facilities
maintaining other animals due to the
absence of AWA regulations regarding
standards for birds, APHIS receives
complaints from the public about
inhumane conditions for birds.
Additionally, if APHIS inspectors find
birds kept in such conditions in the
course of other duties, they are
instructed to report their observations to
the appropriate local or State authority.
Moreover, some commenters during the
listening sessions provided video and
photographic documentation of birds
held in unsanitary and inhumane
conditions at several facilities across the
United States. Based on our experience
with animal welfare issues in the
currently regulated community, we
recognize that there are common
challenges to maintaining humane
conditions for animals—regardless of
species—pertaining to shelter, health,
husbandry, transport, and related needs.
As a community covered under the
AWA, persons dealing in, exhibiting,
and transporting birds are also
responsible for providing these needs.
The standards we are proposing for
birds include requirements that ensure
animal welfare in the same areas of
need.
Accordingly, we are proposing to
establish new regulations and standards
and amend existing regulations
governing the humane handling, care,
treatment, and transportation of birds
covered by the AWA. Specifically, we
propose to establish and amend
definitions of terms used throughout
parts 2 and 3 to inform licensees and
registrants of their responsibilities
under the Act with respect to birds that
are not bred for use in research and not
otherwise exempted from regulation.
We also propose to amend several
sections in part 2 to clarify the
requirements and responsibilities for
regulated parties with birds. Finally, we
propose to establish specific standards
in a new subpart in part 3 for the
humane handling, care, treatment, and
3 February

20, 2022, falls on a Sunday, and
Monday, February 21, is a Federal holiday. As a
result, the Court-imposed deadline would be the
next business day that the Federal Register
publishes, which is Tuesday, February 22.

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transportation of birds covered under
the AWA.
Notice of Listening Sessions
As noted above, the schedule ordered
by the District Court required APHIS to
publish a notice of virtual listening
sessions to gather comments on the
topic of establishing standards for birds
prior to drafting a proposed rule. We
scheduled three virtual listening
sessions and published a notice in the
Federal Register (85 FR 51368, Docket
No. APHIS–2020–0068) asking the
public to comment on establishing
exemptions for dealers, exhibitors, and
certain bird species and activities;
licensing thresholds; performance-based
standards; and ways of minimizing
potential disturbances to nesting and
breeding resulting from compliance
inspections and implementation of
standards.
We received 10,330 written comments
on www.regulations.gov 4 in response to
the listening session notice, as well as
approximately 75 comments excerpted
from the three listening session
transcripts. Comments came from
breeders and fanciers of finches,
canaries, parrots, cockatiels, and other
pet and show birds; raptor breeders,
conservationists, and hobbyists; exotic
poultry hobbyists; owners and breeders
of show and racing pigeons; national
and regional animal welfare
organizations; organizations
representing zoos, shelters, and rescues;
avian veterinarians, ornithologists, and
aviculturists; organizations promoting
the conservation of waterfowl and wild
birds; a Federal government agency; and
members of the public. We have
reviewed and considered all of the
comments, which we have summarized
below.
Exemptions From Licensing
The current regulations in § 2.1(a)(3)
include licensing exemptions based on
criteria such as how the animals are
used, whether and how they are sold,
and size of business based on gross
income or the number of covered
animals maintained.
An exemption is provided for dealers
who maintain four or fewer breeding
females of pet animals, small exotic or
wild animals, and/or domesticated farm
type animals and offer their offspring for
sale. Also exempted in this section are
retail pet stores as the term is defined
4 To view the comments we received, go to
www.regulations.gov. Enter APHIS–2020–0068 in
the Search field. Transcripts of the listening
sessions are available at https://
www.aphis.usda.gov/aphis/ourfocus/
animalwelfare/aw-news/bird-listening-sessions.

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in § 1.1,5 dealers who breed and sell 25
or fewer dogs and/or cats to research
facilities annually, individuals who
solely buy, sell, transport, or negotiate
the sale, purchase, or transportation of
an animal for food or fiber, and
exhibitors covered under the AWA who
maintain eight or fewer pet animals,
small exotic or wild animals (sometimes
referred to colloquially as ‘‘pocket’’
mammals), and domesticated farm type
animals for exhibition. An income
threshold exemption applies to any
person who sells or negotiates the sale
or purchase of any animal except wild
or exotic animals, dogs, or cats, and who
derives no more than $500 gross income
from the sale of such animals during
any calendar year. Finally, any person
who buys animals solely for his or her
own use or enjoyment and does not sell
or exhibit animals is exempt from
licensing if not otherwise required to
obtain one.
During the listening sessions, we
asked for comments and supporting data
on adding or revising licensing
exemptions for certain dealers,
exhibitors, operators of auction sales,
and carriers and intermediate handlers
of birds not bred for use in research. We
also asked specifically if certain species
of birds should be exempted. The
comments that immediately follow
address these questions, including the
status of birds at shelters, birds that are
part of conservation efforts, and the
scope of regulatory authority. Comments
for exemptions based on business size
appear in the section following this one,
under ‘‘De Minimis Exemptions.’’
Several commenters suggested that all
bird breeders be exempted from
regulation, with one stating that it has
not been demonstrated that the current
welfare of birds in breeding facilities are
deficient and that bird breeders are
continually improving captive bird care.
A few commenters recommended that
all persons exhibiting birds at shows be
exempt from regulation.
On the other hand, a substantial
number of commenters asked that all
birds covered under the Act be subject
to the regulations, regardless of species
or use, particularly as some States do
not have laws protecting birds. Many
other commenters stated that there
should be no exemptions for birds sold
5 Retail pet store is defined as a place of business
or residence at which the seller, buyer, and the
animal available for sale are physically present so
that every buyer may personally observe the animal
prior to purchasing and/or taking custody of that
animal after purchase, and where only the
following animals are sold or offered for sale, at
retail, for use as pets: Dogs, cats, rabbits, guinea
pigs, hamsters, gerbils, rats, mice, gophers,
chinchillas, domesticated ferrets, domesticated
farm-type animals, birds, and coldblooded species.

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

in retail pet stores, noting that some pet
stores house birds in poor sanitary
conditions. One commenter added that
no persons selling birds at auction
should be exempt, stating that these are
often the most egregious of offenders
with respect to animal abuse.
Some commenters noted that many
persons keep birds to preserve
threatened or endangered species and
safeguard them from extinction due to
habitat loss and other threats, and
recommended that any exemptions for
wholesale trade and exhibition should
also include birds bred for conservation
or for sale or transfer to other breeding
programs. On the other hand, a
commenter stated that the majority of
bird breeding in the United States
ostensibly done in the name of
conservation contributes little or
nothing to conservation efforts because
most captive breeding is done outside of
official species survival plans and
conservation efforts.
We also asked whether certain species
of birds should qualify for exemption
from licensing. In response, we received
a wide range of explanations as to why
certain species of birds covered under
the AWA should or should not require
a license.
Many bird owners and the
organizations representing them
commented that most non-agricultural
bird species kept in the United States
are for personal enjoyment and not for
profit and should be exempted from
AWA licensing.
Some commenters stated that the
AWA should only be concerned about
inspecting budgies, cockatiels, and other
common species of birds bred for profit
for the pet market. Several commenters
stated that persons breeding or
maintaining any types of finches,
canaries, or songbirds should be exempt
from licensing due to the enormous
number of species, subspecies, and
hybrids kept and their special
requirements.
Commenters concerned about species
conservation asked that we exempt from
licensing breeders of endangered and
non-native bird species, including rare
poultry and waterfowl.
Several persons with an interest in
raptors commented that existing U.S.
Department of the Interior, U.S. Fish
and Wildlife Service (USFWS)
regulations likely meet or exceed
proposed AWA standards and that no
additional regulations are needed to
ensure raptor welfare. Many noted that
raptor owners are already subject to a
robust regulatory system and that any
new standards and regulations for most
captive raptor breeders would be
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commenters stated that State and local
laws already provide an adequate layer
of regulation to ensure the welfare of
their birds. Several commenters stated
that raptors are migratory birds, not ‘‘pet
animals’’ as defined in § 1.1, with some
noting that the Migratory Bird Treaty
Act (MBTA, 16 U.S.C. 703 et seq.)
already covers raptors. A commenter
noted that falconers fall under the
definition of neither ‘‘dealer’’ nor
‘‘exhibitor,’’ and the few that engage in
exhibition should be exempted de
minimis.
On the other hand, a commenter
representing an animal welfare
organization noted that the USDA has
never considered activities regulated
under other Federal, State, and local
laws as a basis for granting exemptions
for regulated activities and species from
the AWA’s requirements. Other
commenters opined that the AWA does
not discriminate or authorize the agency
to discriminate between different
species of warmblooded animals, or
between different regulated uses, and
that all are protected under the Act. In
addition, a commenter noted that
raptors are large animals and asked that
they not be subject to the exhibitor
licensing exemption.
A commenter representing the
USFWS noted that exhibition of
migratory birds and raptors is the
primary area of overlap between that
agency and the USDA with respect to
regulation. The commenter stated that it
is important that agencies are not in
conflict with respect to regulating birds.
Several commenters asked that
persons maintaining racing and show
pigeons be exempt from licensing. One
commenter stated that most pigeon
racers are not dealers or exhibitors and
therefore should be exempt from
regulation. The commenter added that
pigeon racing has elements of the farm
in its origins and that farm animals are
excluded from AWA regulation.
Conversely, one commenter stated
that racing pigeons are prone to disease
due to inadequate sanitation and
veterinary care, that prominent race
organizers and veterinarians
acknowledge that disease leads to
substantial numbers of racing pigeon
deaths, and that racing pigeons pose a
threat of spreading disease among wild
pigeons and domestic poultry.
We received several comments from
persons and organizations on the subject
of bird rescues and shelters. Several
commenters emphasized that rescues
should never be exempt from
inspections or regulations. Many
commenters expressed concern about
animal welfare, overcrowding, and
health and sanitation conditions at bird

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rescues and shelters, and supported
regulation of such facilities under the
AWA. A commenter suggested that
rescues who accept public donations or
charge admission to their facilities
should be required to be licensed just as
mammal facilities are. Another
commenter indicated that rescues and
sanctuaries for pet birds that receive
government grant money should not be
exempt and be held to a higher
standard. On the other hand, other
commenters asked that shelters and
rescues be exempted from licensing and
that caregivers who foster or shelter
birds on a temporary basis should be
exempted also.
Some commenters asked that persons
maintaining wild bird species be
exempted from licensing. One
commenter stated that for many wild
species, the appropriate conditions for
maintaining them are unknown and
would need to be determined once the
birds are brought into captivity. The
commenter added that the range of taxa
is broad and that species within a taxon
may have very different requirements.
Other commenters stated that all wild
bird rescues should be subject to
regulation and licensing.
One commenter asked that we be
careful in describing wild birds with the
terms ‘‘domestic/domesticated,’’ ‘‘nondomestic/exotic,’’ and ‘‘wild/wildlife.’’
The commenter noted that domesticated
species of certain birds have husbandry
and veterinary needs that differ
substantially from those of closely
related, captive-managed wild species.
De Minimis Exemptions
Section 2133 of the Act includes the
provision that ‘‘a dealer or exhibitor
shall not be required to obtain a license
as a dealer or exhibitor under this
chapter if the size of the business is
determined by the Secretary to be de
minimis.’’ Section 2.1(a)(3) of the
current regulations includes de minimis
threshold licensing exemptions for
dealers (including breeders) and
exhibitors of AWA-covered animals
based on gross income, numbers of
animals maintained, and intended use
of the animals, with exemptions granted
accordingly for businesses under each
threshold.
During the listening sessions, we
asked persons to comment on whether
there are thresholds beyond which an
entity should not be required to be
licensed. We noted that most bird
breeding businesses are very small and
invited persons to comment on what
threshold criteria we might use to
exempt such entities from licensing,
which by their size have historically

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Federal Register / Vol. 87, No. 35 / Tuesday, February 22, 2022 / Proposed Rules
posed an insignificant, or de minimis,
risk to animal welfare.
Several commenters requested that we
exempt certain dealers and exhibitors of
birds from licensing, and many
suggested specific exemption thresholds
based on income or number of birds
bred or exhibited. Many commenters
asked that the exemption in
§ 2.1(a)(3)(i), the retail pet store
exemption, remain in place for birds
sold at retail.
One commenter stated that APHIS
cannot exempt birds beyond the plain
text of the AWA and its existing de
minimis exemption, adding that the
AWA statute plainly applies to warmblooded animals that are used for
regulated activities.
Some commenters stated that any
individual or facility that raises fewer
than 500 birds per year should be
considered de minimis and exempt from
regulation. Another commenter asked
that the regulatory threshold be set at
500 or fewer breeding pairs of parakeets,
finches, and other small birds, and 200
or fewer breeding pairs of larger birds
such as parrots and gamebirds. The
commenter asked that offspring not be
counted toward the total number of
pairs. Another commenter suggested
that facilities with fewer than 100
breeding female birds should be exempt
regardless of sales volume. Yet another
recommended that small breeding
operations (up to 25 pairs of birds)
should be exempted from licensing
under the AWA regulations and that not
doing so will impose unnecessary
regulatory burden on the public and
APHIS personnel.
Other commenters recommended that
proposed bird regulations follow the
current de minimis thresholds for other
animals in the regulations. One such
commenter asked that we harmonize the
bird regulations with—but not expand—
the de minimis exemptions in
§ 2.1(a)(3)(iii).
A commenter recommended that
birds under 4 pounds should not be
regulated or require licensing. Another
commenter stated that if someone cares
for non-wild birds and some of those
birds generate offspring unintentionally,
such persons should be exempt from
licensing.
One commenter stated that although
an aviary may breed many birds, the
total sales may only be $100 or less per
year. In contrast, the commenter noted,
a pair of hyacinth macaws may produce
a single chick per year that sells for
$10,000. The commenter noted that one
pair of birds producing a single chick
per year is below the level that USDA
should spend resources on regulating
even though the dollar amount is above

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what is considered de minimis. On this
point, another commenter stated that
birds with low monetary value are often
subjected to the cruelest of conditions
and in greatest need of oversight.
One commenter stated that to avoid
the creation of a double standard for
birds, any proposed regulations must
exclude from the exemption in
§ 2.1(a)(3)(ii) all exotic or wild birds just
as it currently does for all other covered
wild or exotic animals. Another
commenter stated that the exemption
from licensing for facilities with annual
sales not exceeding $500 is inadequate.
Due to the capital expenditure and time
investment required for successful
hobby aviculture, the commenter
recommended a threshold of $50,000.
With respect to bird exhibitors, a few
commenters stated the need for an
exemption like the current one in
§ 2.1(a)(3)(vii) for exhibitors of eight or
fewer pet type or ‘‘pocket’’ mammal
species.
One commenter who recommended
against allowing species-specific
exemptions for birds noted that the only
current de minimis exemptions in the
regulations that could reasonably apply
to birds would be for ‘‘domesticated
farm-type animals,’’ which could
include domesticated species of
chickens, ducks, and turkeys.
Performance-Based Standards
Section 2143 of the Act provides that
standards for the humane care of
animals must include requirements for
handling, housing, feeding, watering,
sanitation, ventilation, shelter from
extremes of weather and temperatures,
adequate veterinary care, and, when
warranted, separation by species. The
AWA regulations in 9 CFR part 3 fulfill
this statutory obligation by listing
standards for the humane handling,
care, treatment, and transportation of
animals, grouped under separate
subparts for dogs and cats; guinea pigs
and hamsters; rabbits; nonhuman
primates; marine mammals; and
warmblooded animals not included in
the other subparts.
Most of the standards are
performance-based, meaning that
whenever practicable they do not
mandate a single, prescribed approach
to meeting the standard. For example,
the standard for food storage and
bedding for dogs and cats in § 3.1(e)
states that ‘‘supplies of food and
bedding must be stored in a manner that
protects the supplies from spoilage,
contamination, and vermin infestation.’’
Similarly, in the proposed standards for
birds under § 3.150(e), we require that
‘‘supplies of food, including food
supplements, bedding, and substrate

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must be stored in a manner that protects
the supplies from spoilage,
contamination, and vermin infestation.’’
In each case, the specific manner and
location of storage is not prescribed, and
any approach that protects the supplies
from the conditions listed will meet the
standard.
To cite another example, § 3.81 of the
standards for nonhuman primates
requires that the primary enclosures of
the animals be provided with
environmental enrichments for
expressing noninjurious species-typical
activities, which includes perches,
swings, mirrors, and other increased
cage complexities, and that species
differences should be considered when
determining the type or methods of
enrichment. Likewise, we are proposing
in § 3.154 an environmental enrichment
standard for birds requiring that perches
and other objects provided to enrich a
bird’s environment be speciesappropriate and designed, constructed,
and maintained so as to prevent harm to
the bird. Businesses may use their own
experience and knowledge with the
species in question to determine the
composition of the perches and other
objects, their size and location, and
other relevant considerations, so long as
they are meeting the proposed standard.
Many of the comments we received
during the listening sessions noted the
great number of bird species and the
highly diverse care and husbandry
needs of each, and remarked on the
challenge of establishing a single set of
standards that could accommodate the
scope of these needs. We acknowledge
the concerns of these commenters and
agree that birds constitute a uniquely
diverse class, which is why we consider
a performance-based, flexible approach
to standards for birds especially
important.
We asked commenters whether there
are appropriate performance-based
standards that could cover the wide
variety of bird species. We also asked
persons to comment on the feasibility of
separating birds into smaller classes and
setting performance-based standards
appropriate for each class, and what
such classes might look like.
A number of commenters supported
regulating the humane handling, care,
treatment, and transportation of covered
birds under the existing standards in
part 3, subpart F, which cover
warmblooded animals other than dogs,
cats, rabbits, hamsters, guinea pigs,
nonhuman primates, and marine
mammals. Other commenters supported
the establishment of standards
developed specifically for birds. Many
commenters recommended that any
performance standards developed for

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birds should consider their specific
physiological and behavioral needs.
An animal welfare organization
proposed a set of avian performance
standards to serve as a regulatory model
and asked that they be included as a
separate section in part 3 and reflected
accordingly in parts 1 and 2. We note
that the standards submitted by the
commenter reflect in large part the
standards we propose, with
requirements that address handling,
housing, feeding, watering, sanitation,
ventilation, shelter, veterinary care,
separation of species as warranted, and
environmental enrichment.
A commenter asked APHIS to consult
with ornithological professional
organizations before drafting standards
for birds, and others recommended that
APHIS enlist the help of aviculturists
and organizations representing raptor
and parrot owners, rescues,
conservation, and other avian interests
to develop standards.
APHIS-Animal Care has engaged in
such consultations to the extent we can,
which is standard practice for the
program with regard to other covered
animals.
Conversely, several commenters
questioned whether any set of standards
could be developed that would address
the husbandry needs of all bird species,
with some noting that industry selfregulation has failed to prevent
substandard care, welfare, and
husbandry of birds. As we note in a
previous section, some commenters
submitted field reports, photographs,
and videos showing birds held in
unsanitary and barren cages throughout
the United States and noted in
particular the unhealthy appearance of
the birds and abnormal behaviors
resulting from confinement under such
conditions.
One commenter stated that there are
far too many species of exotic birds kept
in aviculture to be able to set up
individual standards, and another
commented that generic standards that
apply to large groups of birds probably
do not encompass the needs of all
species, even in family groups of birds.
A commenter added that because the
needs of many birds are influenced by
age, geographical location, and seasonal
changes, specifying exact standards of
care may not allow enough flexibility to
address these variable factors. One
commenter acknowledged that due to
the wide differences in size,
morphology, diet, and social structure
in the class Aves, it is impossible to
present one set of minimum housing
standards for all avian species.
Some commenters stated that the
aviculturist community already has

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adequate best practices in place and that
no government regulation is necessary.
Several cited the Model Avicultural
Program, adding that it represents a
higher level of care than is typically
required for AWA licensing.
While the program cited by these
commenters includes general housing,
husbandry, and other standards that we
consider to be appropriately speciesspecific and performance-based, the
standards we propose in this rule are
both more detailed and comprehensive
and include additional requirements
governing transportation, enrichment,
research uses, and identification, among
others. We consider these requirements
to be necessary to maintain consistency
with the current regulations for
mammals and to ensure a level of
animal welfare commensurate with that
required by the AWA.
Facilities and Operating Standards
While some commenters proposed
standards that differ in degree from
those we have proposed, we agree with
the majority of comments from the
listening sessions indicating that facility
and operating standards for regulating
birds must address their special
physiological, anatomical, behavioral,
and psychological needs, and the
standards we have proposed have been
developed with those needs in mind.
We discuss those standards in greater
detail below.
Enclosures
In accordance with the Act, we
include enclosure standards in each
subpart of part 3 to ensure that captive
animals are confined safely and
humanely. For example, the general
standards for primary enclosures for
dogs and cats under subpart A require
that they be constructed and maintained
so as to contain the animals securely,
protect them against injury, and provide
sufficient space commensurate with the
animal species confined. The standards
we propose for birds include similar
requirements that are performancebased and allow flexibility to meet the
wide diversity of needs among bird
species cited by commenters.
Several commenters addressed the
topic of bird enclosures, particularly
with respect to size and the ability to
permit movement. A few commenters
submitted proposed standards that
include detailed, performance-based
shelter specifications for space, flooring
and surfaces, lighting, humidity, and air
quality. One such commenter noted that
overcrowding causes stress in birds and
spreads disease, and that small
enclosures can cause stereotypic
behaviors such as spot picking and

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route tracing. Some commenters also
asked APHIS to develop standards
requiring that enclosures be large
enough to allow natural fliers to have
enough space to fly, while other
commenters stated that birds need room
to stretch and flap wings, but not
necessarily to fly.
We note that the standards we
propose for enclosures mirror to a large
degree those submitted by commenters,
the objective being to provide an
environment that ensures humane
treatment of animals as required by the
Act. The standard in proposed
§ 3.153(b) requires that the space in all
primary enclosures housing birds be
adequate and allow for normal postural
and social adjustments, such as dustbathing and foraging, with adequate
freedom of movement and freedom to
escape from aggression demonstrated by
other animals in the enclosure
according to the program of veterinary
care developed, documented in writing,
and signed by the attending
veterinarian. While we acknowledge the
desire by many commenters that
sufficient enclosure space be available
for birds to fly, birds can be in good
health and maintained humanely in
accordance with the Act without such a
requirement.
A commenter stated that due to the
way pigeons live in communities and
can tolerate disease, standards for lofts
must be specific to the species. One
commenter stated that wire flooring is
harmful to the feet of many birds and
proposed that we set standards
requiring safe, non-toxic substrate
(newspaper, towels, litter, straw, etc.)
for the species being housed. We
include in this proposal a performancebased requirement that floors of primary
enclosures be constructed in a manner
that protects the birds’ feet and legs
from injury, which addresses issues of
harmful flooring regardless of
composition, as well as a requirement
that substrate be safe and non-toxic to
the birds being housed.
Sanitation
As noted above, the AWA requires
that sanitation standards for regulated
animals be issued for dealers,
exhibitors, and research facilities that
keep those animals. In the existing
AWA regulations, consistent with this
statutory obligation, we include
standards for facility sanitation within
each subpart for dogs and cats, rabbits,
and other mammals. As with these
standards, those that we propose for
facilities having birds require a sanitary,
pest-free environment conducive to
their health and welfare but also allow
for flexibility in how the standards are

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met. Consistent with what we are
proposing, several commenters called
for standards specific to birds regarding
waste disposal, food storage, and
enclosure and pool cleaning to reduce
disease and pest hazards.
Lighting and Climate
As lighting and climate needs differ
considerably among animal species, the
existing standards in the regulations for
animals covered under each subpart are
performance-based to allow for lighting,
humidity, temperature, and other
climatic considerations appropriate for
the species involved. We have proposed
similar such standards for birds to
accommodate the widely different
temperature, humidity, and lighting
needs of each species.
Some commenters advocated for more
prescriptive lighting standards,
specifically natural or artificial light in
the same spectrum as sunlight. One
commenter recommended that
appropriate circadian rhythms must also
be provided for nocturnal species, as
well as adequate ventilation,
temperature, and humidity control
appropriate to the species. We agree
with the latter commenter that lighting
should be species-specific and need not
mimic sunlight if the species is
nocturnal, and our proposed standards
reflect that. Another commenter stated
that there should be standards to protect
birds from sunlight and extreme heat,
with appropriate shelter from rain and
snow. We agree with this commenter, as
providing shelter from weather extremes
is consistent with animal welfare.

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Recordkeeping
The existing regulations require that
dealers and exhibitors keep and
maintain records which fully disclose
certain identification and disposition
information for animals other than dogs
and cats that are purchased or otherwise
acquired, owned, held, leased, or
otherwise in their possession or under
their control, or that they transport, sell,
euthanize, or otherwise dispose of.
Among other things, the records must
include any offspring born of any
animal while in the dealer’s or
exhibitor’s possession or under his or
her control. Similarly, operators of
auction sales and brokers are required to
maintain records for any animal
consigned for auction or sold, whether
or not a fee or commission is charged.
During the listening sessions, many
commenters asked APHIS to require that
records be kept of all transactions for
birds that are sold or transferred to
another owner. Commenters also called
for APHIS to require bird dealers and

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exhibitors to keep health records on
their birds.
On the other hand, several
commenters stated that the
recordkeeping requirements now
required for mammals would be
unreasonable and burdensome for
commercial, high volume-produced
birds such as budgies, zebra finches,
cockatiels, lovebirds, waterfowl,
pigeons, and gamebirds.
We propose to apply the existing
recordkeeping requirements to persons
engaging in these AWA-covered
activities involving birds, unless
otherwise exempt. We consider an
accounting of each covered animal
important for the purposes of ensuring
adequate health and welfare, even for
high-volume produced birds. If, for
example, an individual bird moved to or
from a premises is diagnosed with a
serious, communicable disease, a record
of that bird’s movement is necessary to
protect other birds from potential
exposure and harm.
Research Concerns
Regulations concerning AWA-covered
animals at research facilities are located
in 9 CFR part 2, subpart C. They require
that facilities register with APHIS, that
an Institutional Animal Care and Use
Committee (IACUC) be established to
assess facility treatment and use of
animals, and that animals be treated by
an attending veterinarian under a
program of veterinary care. Personnel
and recordkeeping requirements for
research facilities are also included in
subpart C. As these regulations ensure
that activities on animals at research
facilities are humanely designed and
practiced in accordance with the Act,
we propose that they also be applied to
birds not bred for use in research.
Some commenters expressed concerns
with the effects that establishing AWA
standards for birds could have on
research activities.
A commenter stated that the proposed
regulation would hamper biomedical
and ecological research using avian
species. One commenter stated that
additional regulation could be
detrimental to ornithological research
without improving protection for birds,
noting that unlike biomedical research
and testing that does not benefit the
animals being used, such research is
conducted for understanding bird
biology and ecology and is already
regulated through the Public Health
Service.
A commenter asked USDA to clarify
that neither a facility’s IACUC nor
APHIS inspection is required for field
research sites involving wild birds.
Another commenter asked that any

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proposed standards for birds do not
prohibit field surgeries on wild birds
and that biologists not be required to
transport wild birds to dedicated
facilities. APHIS’ proposed changes to
the regulations do not require that field
studies involving wild birds be
inspected, nor do we propose to
prohibit field surgeries on wild birds,
provided that such activities are
conducted in accordance with current
established veterinary medical
procedures. As provided in proposed
§ 2.31(d)(1)(ix), we would not require
that persons transport wild birds to
dedicated facilities for medical
procedures.
Animal Health and Husbandry
During the listening sessions,
commenters frequently cited the need
for health and husbandry standards that
are performance-based, noting the wide
range of requirements among different
species of birds. The current standards
for other animals in Part 3 include
performance-based requirements for
health and husbandry addressing
grouping, feeding, sanitation, and other
needs. We have likewise proposed
similar health and husbandry standards
for birds in this document that address
the needs cited by commenters.
Feeding and Watering
As noted above, the AWA requires
that feeding and watering standards be
established for regulated animals for
dealers, exhibitors, and research
facilities that contain those animals. In
the existing regulations, we have
implemented this statutory obligation
by establishing feeding and watering
standards. Generally, these require that
food be uncontaminated, nutritious,
easily accessible, and appropriate for
the species involved. Current standards
also require that clean water be
provided sufficient to maintain health
and that receptacles for food and water
be kept clean and sanitary. Competent
bird dealers and exhibitors are
knowledgeable as to the types of food
their birds require to remain in good
health. As with persons maintaining
other types of animals covered under
the regulations, we acknowledge this
fact, and as we have done with those
animals, we have proposed a feeding
standard that is flexible enough to
ensure the health and well-being of all
birds.
Several animal welfare organizations
proposed performance standards for the
feeding and watering of birds consistent
with the standards we propose. We
would require that food be nutritious,
species-appropriate, and presented in a
manner that encourages natural foraging

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behaviors specific to the species, which
as one commenter noted is
exceptionally important to bird welfare.

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Environmental Complexity
Many commenters during the
listening sessions noted that some
species of birds are highly intelligent
and social animals and can benefit from
being able to practice natural behaviors
in captivity, such as social interaction
and foraging. Accordingly, they
proposed standards to provide speciesappropriate environmental complexity
for birds in the living space to promote
the expression of natural behaviors and
opportunities for positive interactions
with the environment. A commenter
noted that species-specific perches,
substrates, hide boxes and shelters,
visual barriers, and water and dust baths
are important to promoting such
interactions and included details of
these in the standards proposed.
One commenter stated that parrots
should receive special consideration for
enrichment under the AWA regulations
because of their taxonomic uniqueness,
documented intelligence, and
popularity in domestic markets. Some
commenters cited research showing that
enrichment activities such as foraging
enhance the psychological well-being of
birds, reducing stereotypic behaviors
and minimizing stress. One commenter
proposed that an environmental
enrichment plan be developed and
maintained for all birds in consultation
with a qualified veterinarian or
veterinary behaviorist, and that
behavioral assessments include a review
of nutrition, husbandry, and housing to
develop an appropriate treatment plan.
APHIS agrees that environmental
enrichment is important to ensuring the
health and well-being of birds
consistent with the Act. We note that
the current regulations in subpart D,
§ 3.81, require persons maintaining
nonhuman primates to provide an
environmental enhancement plan that
includes enrichment requirements.
Accordingly, we would include similar
enrichment requirements specifically
for birds.
Contact With Birds
The existing AWA regulations contain
provisions regarding contact between
captive animals being sold or exhibited
and members of the public. These are
intended to protect persons from injury
while minimizing the risk of animals
contracting a zoonotic disease, receiving
inappropriate food, or being handled in
an inappropriate manner. For example,
a standard in each subchapter requires
that primary enclosures used to
transport animals be constructed to

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ensure that anyone handling the
enclosure will not be in contact with the
animals contained inside. In this
document we propose a similar
standard for birds.
Some commenters asked that APHIS
create standards that restrict or prohibit
public contact and interaction with
exhibited birds. One commenter stated
that exhibitors allow dangerous birds to
be too close to the public. Others opined
that direct contact programs pose a
dramatically increased risk of zoonotic
disease transmission between humans
and animals. A commenter cited
research indicating that hand-rearing of
parrots and other birds can contribute to
the development of aberrant behaviors
such as stereotypy and feather plucking.
On the other hand, a commenter
stated that many birds desire and will
initiate interaction with their owners.
Another commenter was concerned that
breeders would be restricted from handrearing and handling young birds,
noting that such activities are a
necessary part of taming. We are not
proposing regulations that would
restrict breeders from handling their
birds humanely.
Veterinary Care
Veterinary requirements applicable to
all animals covered under the Act are
located in § 2.40 of the regulations.
These require that each facility maintain
a program of veterinary care and have
an attending veterinarian, as we
acknowledge from commenter input to
be the current practice for many
facilities that would be affected by the
proposed standards. Under the
regulations we propose, birds covered
under the Act would be subject to
veterinary requirements to ensure
animal welfare.
Several commenters stated that
veterinary care should be a requirement
for all birds that are subject to AWA
regulations. Several such commenters
proposed that regulated facilities be
required to maintain a program of
preventative veterinary healthcare for
regulated birds, with annual physical
exams for each bird and health records
maintained for each regulated bird and
available for review by APHIS. Many
commenters called for health certificates
for birds as is the case for covered
animals currently.
A majority of commenters asked that
we establish regulations to prohibit
painful physical mutilations, including
pinioning (disabling wings), toe
clipping, devoicing, and beak
alterations. A commenter recommended
that when beak trimming is done for
corrective purposes, it should be
performed by a qualified avian

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veterinarian, and clipping or pinioning
a bird’s wings to prevent flight should
be prohibited except to address a
specific health issue. We acknowledge
commenter concerns over these
practices, but also acknowledge, as
several commenters did themselves, that
there can sometimes be health-based
reasons for the practices. We encourage
additional comments that address the
concerns raised in light of animal
welfare.
Also, a commenter proposed that
facilities be required to consult with a
veterinarian or nutritionist to formulate
appropriate species-specific diets, and
that facilities follow and keep records of
a dietary plan that is reviewed annually
by a qualified veterinarian or
nutritionist who has directly evaluated
the animals at the facility. We agree that
the food provided to the birds should be
species-specific and nutritious. This
could be accomplished by consulting a
veterinarian or nutritionist, but we do
not consider recourse to a veterinarian
or nutritionist to be the only way of
obtaining or validating this information.
Our proposed standards allow for such
flexibility in determining the
appropriate diet for the birds.
Identification
We received a number of comments
on the identification standards for birds.
Several commenters supported a
standard requiring that all birds have a
humane form of permanent
identification, such as a microchip, leg
band, or wing band.
Some commenters requested that we
not require permanent forms of
identification on birds because they
should not be subjected to unnecessary
stressful surgical procedures. Another
commenter stated that given the fragile
nature of birds, ID marking should not
be required for live birds. The
commenter recommended either leg
bands or microchips as being suitable
for all bird species.
In these proposed regulations, we
include identification standards for
birds that allow for flexibility in
meeting the requirements, including
attaching information to primary
enclosures identifying each bird housed
within, using leg and wing bands for
identifying birds, and employing
microchips. We believe that these
methods are the safest and most
acceptable means of identifying birds
humanely.
Nesting and Breeding Activities
We asked commenters to provide
information on how bird breeders avoid
interfering with nesting and breeding or
other biological activities of birds. We

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also asked for comments to help APHIS
ensure that housing, feeding, or
inspection requirements do not interfere
with these activities.
Several bird breeders commenting on
the notice raised concerns about
regulatory inspections disturbing
nesting and breeding activity at their
facilities, potentially resulting in losses
due to damage to eggs, chicks, and
mates. Some stated that licensees
should have a say in when inspections
occur and asked that inspections not be
conducted during breeding cycles.
Many commenters raised biosecurity
concerns about inspections and
inspectors transmitting pathogens into
the facility. Another commenter noted
that operators frequently care for their
birds in the early morning hours or
evening hours before or after work, so
these facilities would be inaccessible for
the unannounced inspections called for
in the AWA regulations.
Conversely, some commenters
emphasized the importance of
inspections for animal welfare, stating
that procedures by trained APHIS
inspectors are no more intrusive than
normal human-interactive behaviors in
many situations where birds are homed.
Another commenter stated that rather
than disease posing a barrier to
regulation, the risk of which is
overstated, it is another factor to
consider when developing safe
inspection practices. Another
commenter stated that based on her
experience, parrots are motivated to nest
and breed regardless of the presence of
humans. Other commenters stated that
nesting and breeding concerns should
not hamper the ability of officials to
conduct inspections and noted that
remote camera technology can allow
inspectors to view birds without
entering the nesting area.
We acknowledge the concerns of
many commenters about the impact that
inspections could have on the health
and safety of their birds, particularly
during periods of breeding and nesting.
We note that APHIS inspectors would
work with newly regulated persons to
identify optimal times for inspections so
that disruptions are minimized while
maintaining the unannounced nature of
inspections. As with inspections of
other types of animals, APHIS
inspectors are required to observe
professionally accepted standards for
minimizing the risk of introducing
disease into facilities.
Transportation
The transportation standards we
propose for birds provide the same
consideration for humane care as is
required in the current regulations for

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other species of AWA-covered animals,
and we acknowledge the point made by
many commenters that some birds have
highly specialized transportation needs.
For example, while most birds require
space to make normal postural
adjustments during transport, there are
some birds that may injure themselves
if their movements are not restricted.
Therefore, the intention of the proposed
transportation standards for birds is to
account for these animals’ unique needs
and provide them with equivalent
protection and care as other covered
animals.
One commenter stated that despite
many concerns about the welfare of
baby and unweaned birds, birds should
not be subject to minimum age
requirements for shipping. The
commenter noted that precocial species,
such as gallinaceous birds, have been
shipped as ‘‘day-old’’ hatchlings for
many years as an accepted practice in
the poultry industry. Another
commenter recommended that any
person handling a primary enclosure
containing a bird be required to use care
and avoid causing physical harm or
distress to the bird, while some
commenters stated that all temporary
transportation and housing of birds in
trade or enroute to shows should be
exempted as these constitute a
temporary condition and not a
permanent living space.
Conversely, numerous commenters
requested that we establish regulations
prohibiting the sale of unweaned and
prematurely weaned baby birds, noting
that such birds risk succumbing to
disease, mishandling, and transport
hazards.
We acknowledge that there could be
legitimate reasons to transport an
unweaned bird, but also agree with the
concerns cited above. We note that
under the standards we propose,
carriers and intermediate handlers
would not be permitted to accept
unweaned birds for transport unless
transport instructions are specified as a
part of the program of veterinary care.
A commenter representing the
USFWS recommended not requiring
AWA licensing for transporters who are
transporting birds under a valid MBTA
permit to and from the wild for
compensation at or less than recouping
costs. The commenter noted that there
are situations in which volunteers
transport wild migratory birds for
minimal compensation for the health
and safety of these birds. The proposed
regulations include an exemption from
AWA licensing for anyone transporting
a migratory bird covered under the
MBTA from the wild to a facility for
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the wild, or between rehabilitation
facilities. Any person transporting a
migratory bird is currently required to
obtain authorization to do so from
USFWS.
Proposed Regulations and Standards
The proposed regulations and
standards in this document are intended
to ensure the humane handling, care,
treatment, and transportation of birds
not bred for use in research that are
used, or intended for use, for research,
teaching, testing, experimentation, or
exhibition purposes, or as a pet.
Consistent with most of the comments
we received during the listening
sessions, these proposed animal welfare
standards accommodate the speciesspecific needs of birds and consider
their significant differences with respect
to their biological and behavioral
requirements. In every case, the goal of
the proposed standards for birds is to
provide each individual bird with
acceptable conditions consistent with
ensuring its good health and well-being
and meeting its physical and behavioral
needs as required under the Act.
Definitions
In § 1.1, we would revise the
definitions of several terms used
throughout parts 2 and 3. Specifically,
we would revise the definitions of
carrier, exhibitor, farm animal,
intermediate handler, pet animal, retail
pet store, and weaned. We would also
add new definitions of bird, bred for use
in research, and poultry to § 1.1. The
proposed revisions are discussed below.
In addition to these proposed revisions,
regulated parties with birds would be
subject to all other applicable
definitions contained in § 1.1 if this
proposed rule is adopted as a final rule.
Bird
We would define the term bird as any
members of the class Aves, excluding
eggs. We consider a bird to no longer be
an egg when the bird is fully separated
from the eggshell.
We considered regulating the welfare
of live avian eggs during the
development of this proposed rule.
However, we found that there was not
enough scientific data available for each
species of bird to determine the stages
when human management can cause an
animal welfare concern.
Bred for Use in Research
We propose to add a definition for the
term bred for use in research to clarify
what animals are considered bred for
use in research under the AWA
regulations. This term would cover
animals that are bred in captivity and

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that are being used or are intended for
use for research, teaching, testing, or
experimentation purposes.
The definition of animal in the AWA
and the regulations excludes birds, rats
of the genus Rattus, and mice of the
genus Mus, bred for use in research.6
Therefore, under this proposal, the
following birds not bred for use in
research would be covered by the
regulations:
• Birds that are obtained from their
natural habitat and used or intended for
use for research, teaching, testing, or
experimentation purposes; and
• Birds that are being used or
intended for use for exhibition purposes
or for use as pets.
Carrier
We would revise the definition of
carrier to include an exemption from
AWA licensing for anyone transporting
a migratory bird covered under the
MBTA from the wild to a facility for
rehabilitation and eventual release in
the wild, or between rehabilitation
facilities, and who has authorization
from USFWS for that purpose. As
transport of such migratory birds is
regulated by the USFWS, any person
transporting a migratory bird is
currently required to obtain
authorization to do so from that agency.
We are proposing this exception
because APHIS and USFWS agree that
the continued transport of MBTAcovered birds for rehabilitation without
additional regulation is beneficial for
species preservation and outweighs any
potential risk to animal welfare. If
USFWS receives animal welfare-related
complaints about transport of such
birds, USDA will work with that agency
to address them.

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Exhibitor
We would also revise the definition of
exhibitor. Currently, an exhibitor is
defined as ‘‘any person (public or
private) exhibiting any animals, which
were purchased in commerce or the
intended distribution of which affects
commerce, or will affect commerce, to
the public for compensation, as
determined by the Secretary. This term
includes carnivals, circuses, animal
acts, zoos, and educational exhibits,
exhibiting such animals whether
operated for profit or not. This term
excludes retail pet stores, horse and dog
races, an owner of a common,
domesticated household pet who
derives less than a substantial portion of
income from a nonprimary source (as
6 Birds are otherwise covered under the definition
of animal in the Act and the current regulations by
the term ‘‘warm-blooded animal.’’

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determined by the Secretary) for
exhibiting an animal that exclusively
resides at the residence of the pet
owner, organizations sponsoring and all
persons participating in State and
country fairs, livestock shows, rodeos,
field trials, coursing events, purebred
dog and cat shows, and any other fairs
or exhibitions intended to advance
agricultural arts and sciences, as may be
determined by the Secretary.’’
Like horse and dog races and
purebred dog and cat shows, we
consider pigeon races and bird fancier
shows to be exhibitions traditionally
intended to advance agricultural arts
and sciences. Therefore, we would
amend the definition of exhibitor by
adding pigeon races and bird fancier
shows to the list of exhibitions that are
excluded from coverage. In addition, for
clarity, we would add free-flighted bird
shows as an example of a type of animal
act that is included under the definition
of exhibitor.
Farm Animal; Poultry
Currently, § 1.1 defines a farm animal
as ‘‘any domestic species of cattle,
sheep, swine, goats, llamas, or horses,
which are normally and have
historically, been kept and raised on
farms in the United States, and used or
intended for use as food or fiber, or for
improving animal nutrition, breeding,
management, or production efficiency,
or for improving the quality of food or
fiber. This term also includes animals
such as rabbits, mink, and chinchilla,
when they are used solely for purposes
of meat or fur, and animals such as
horses and llamas when used solely as
work and pack animals.’’ Poultry is not
currently defined in the AWA
regulations.
We are proposing to make several
changes to the definition of farm animal
to ensure appropriate coverage for birds.
Like cattle, sheep, and other farm
animals, there are domestic species of
poultry that have historically been kept
and raised on farms in the United States
and used for food or fiber or for
improving animal nutrition, breeding,
management, or production efficiency,
or for improving the quality of food or
fiber. Therefore, we are proposing to
amend this term to include such
poultry. This proposed amendment
would also make the definition of farm
animal consistent with the definition of
animal, which lists poultry as a kind of
farm animal that is exempt from
coverage when used or intended for use
as food or fiber, for improving animal
nutrition, breeding, management, or
production efficiency, or for improving
the quality of food or fiber.

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We are also proposing to revise farm
animal to include animals when used
solely for their feathers or skins. The
proposed addition of feathers to the list
accounts for morphological differences
between birds and other animals and is
the avian equivalent to the current
inclusion of animals when used solely
for the purposes of fur. The proposed
addition of skins to the list reflects the
common practice of using ostrich and
other skins of birds for leathers. Further,
we would add ratites (e.g., ostrich, rhea,
or emu) to the illustrative list of animals
that are included in this term when
used solely for purposes of meat, fur,
feathers, or skins.
In addition to these changes to the
definition of farm animal, we would
also add a separate definition of poultry
to the AWA regulations to clarify what
birds are considered poultry. This term
would be defined as any species of
chickens, turkeys, swans, partridges,
guinea fowl, and pea fowl; ducks, geese,
pigeons, and doves; grouse, pheasants,
and quail.
Intermediate Handler
We would amend the definition of
intermediate handler to include an
exemption from AWA licensing for
anyone transporting a migratory bird
from the wild to a facility for
rehabilitation and eventual release in
the wild, or between rehabilitation
facilities, with USFWS authorization.
Any person transporting a migratory
bird covered under the MBTA is
currently required to obtain
authorization from USFWS.
Pet Animal
Under the current regulations, pet
animal is defined as ‘‘any animal that
has commonly been kept as a pet in
family households in the United States,
such as dogs, cats, guinea pigs, rabbits,
and hamsters. This term excludes exotic
animals and wild animals.’’ We are
proposing to include birds under the
definition of pet animal and amend the
illustrative list of animals contained in
the definition by adding examples of pet
birds. Such birds would include but not
be limited to parrots, canaries,
cockatiels, lovebirds, and budgerigar
parakeets. Although there are too many
bird species that exist in the United
States and are kept as pets to list under
the definition, we propose to list these
particular birds because they constitute
the majority of birds bought and sold as
pets in the United States and are thus
a good illustrative example of what
constitutes a pet bird.

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Retail Pet Store
Currently, a retail pet store is defined
as ‘‘a place of business or residence at
which the seller, buyer, and the animal
available for sale are physically present
so that every buyer may personally
observe the animal prior to purchasing
and/or taking custody of that animal
after purchase, and where only the
following animals are sold or offered for
sale, at retail, for use as pets: Dogs, cats,
rabbits, guinea pigs, hamsters, gerbils,
rats, mice, gophers, chinchillas,
domesticated ferrets, domesticated farmtype animals, birds, and coldblooded
species.’’ The current definition goes on
to exclude establishments or persons
conducting certain activities, meaning
that these establishments or persons do
not meet the retail pet store definition.
These exclusions are as follows:
• Establishments or persons who deal
in dogs used for hunting, security, or
breeding purposes;
• Establishments or persons
exhibiting, selling, or offering to exhibit
or sell any wild or exotic or other
nonpet species of warmblooded animals
(except birds), such as skunks, raccoons,
nonhuman primates, squirrels, ocelots,
foxes, coyotes, etc.;
• Any establishment or person selling
warmblooded animals (except birds,
and laboratory rats and mice) for
research or exhibition purposes;
• Any establishment wholesaling any
animals (except birds, rats, and mice);
and
• Any establishment exhibiting pet
animals in a room that is separate from
or adjacent to the retail pet store, or in
an outside area, or anywhere off the
retail pet store premises.
We are proposing to revise the
definition of retail pet store by removing
the parenthetical exceptions for birds
from the lists of exclusions above. Those
exclusions exist as a result of the
historical exclusion of all birds from the
definition of animal in § 1.1 of the
regulations and are inconsistent with
the current definition of animal.

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Weaned
Currently, § 1.1 defines weaned to
mean that ‘‘an animal has become
accustomed to take solid food and has
so done, without nursing, for a period
of at least 5 days.’’ We are proposing to
amend this definition to make it
applicable to birds. Specifically, we
propose to add that a bird is weaned if
it has become accustomed to take food
and has so done, without supplemental
feeding from a parent or human
caretaker, for at least 5 consecutive
days. Signs that a bird or other animal
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include the animal’s ability to maintain
a constant body weight during weaning.
Regulations in 9 CFR Part 2 Pertaining
to Newly Regulated Persons Under This
Proposal
In addition to the amendments we
propose, newly regulated persons under
this proposal would be subject to all
other applicable AWA regulations in
effect for licensing, registration,
research, and inspections under 9 CFR
part 2. These regulations, addressed
below, are intended as an overview of
how newly regulated persons
maintaining birds as dealers or
exhibitors may be affected.
Under Subpart A—Licensing, persons
who plan to maintain and use animals
covered under the AWA regulations and
who are not otherwise exempt from
licensing are required to apply to APHIS
for a license, which is valid for 3 years,
in accordance with § 2.1, and agree to a
prelicensing inspection demonstrating
that his or her location(s) and any
animals, facilities, vehicles, equipment,
or other locations used or intended for
use in the business comply with the Act
and the regulations and standards.
We are uncertain regarding the
number of dealers and exhibitors who
will now be subject to this licensing
requirement, but believe, however, that
under the regulations in part 2, many
small bird dealers and exhibitors would
be exempted from licensing. The retail
pet store exemption exempts persons or
businesses defined in § 1.1 as a retail pet
store, which means a place of business
or residence at which the seller, buyer,
and the animal available for sale are
physically present so that every buyer
may personally observe the animal prior
to purchasing and/or taking custody of
that animal after purchase. Under the de
minimis exemptions in § 2.1(a)(3), the
income threshold exemption in that
paragraph applies to ‘‘any person who
sells or negotiates the sale or purchase
of any animal except wild or exotic
animals, dogs, or cats, and who derives
no more than $500 gross income from
the sale of such animals during any
calendar year and is not otherwise
required to obtain a license.’’ A
licensing exemption is also provided for
dealers who maintain four or fewer
breeding females of pet animals, small
exotic or wild animals, and/or
domesticated farm type animals, and
offer only their offspring for sale. Also,
in § 2.1(a)(3), individuals who buy, sell,
transport, or negotiate the sale,
purchase, or transportation of an animal
solely for food or fiber are exempt from
licensing, as are exhibitors covered
under the AWA who maintain eight or
fewer pet animals, small exotic or wild

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animals, and/or domesticated farm type
animals for exhibition.
Under Subpart B—Registration,
carriers and intermediate handlers
newly regulated under this proposal
would not require a license to transport
birds, but would be required to register
by completing and filing a form
provided by APHIS. Registrations,
unlike licenses, do not have an
expiration date.
Under Subpart C—Research facilities,
a newly regulated research facility
under this proposal would need to
register by completing and filing a form
available from APHIS. The chief
executive officer of the newly registered
research facility would be required to
appoint an IACUC consisting of
qualified persons to assess the research
facility’s animal program, facilities, and
procedures. Each research facility
would also need to have an attending
veterinarian and maintain a program of
veterinary care. Lastly, registered
research facilities would be required to
maintain records of IACUC meetings,
activities involving animals, and
animals purchased or acquired by the
facility.
In addition, newly licensed dealers
and exhibitors under part 2, subpart D,
§ 2.40, also would be required to have
an attending veterinarian and a program
of veterinary care. Subpart E requires
that dealers and exhibitors of all
animals, except dogs and cats, delivered
for transportation, transported,
purchased, sold, or otherwise acquired
or disposed of by any dealer or exhibitor
would have to be identified by the
dealer or exhibitor at the time of
delivery for transportation, purchase,
sale, acquisition or disposal, as
provided in the subpart. Primary
enclosures would require a means for
identifying each of the animals within.
Subpart F prohibits any person from
buying, selling, exhibiting, using for
research, transporting, or offering for
transportation, any stolen animal.
Subpart G would require dealers and
exhibitors newly regulated under this
proposal to make, keep, and maintain
records or forms which fully and
correctly disclose certain information as
indicated in the subpart, concerning
animals purchased or otherwise
acquired, owned, held, leased, or
otherwise in their possession or under
their control, or which are transported,
sold, euthanized, or otherwise disposed
of by that dealer or exhibitor. Operators
of an auction sale or broker would need
to make, keep, and maintain records or
forms which disclose the information
indicated in the subpart concerning
each bird consigned for auction or sold,
whether or not a fee or commission is

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charged. Carriers and intermediate
handlers newly registered under this
proposal would need to keep records
concerning C.O.D. shipments of live
birds.
Subpart I includes miscellaneous
requirements for dealers, exhibitors,
operators of auction sales, intermediate
handlers, and carriers. Newly regulated
persons under this proposal would
agree to provide any information
concerning the business which APHIS
may request in connection with the
enforcement of the provisions of the
Act, the regulations, and the standards.
Also, each dealer, exhibitor,
intermediate handler, and carrier would
be required to provide APHIS officials
with access to and inspection of
property and records during business
hours. Any regulated person who
intends to exhibit an animal at any
location other than the person’s
approved site (including, but not
limited to, circuses, traveling
educational exhibits, animal acts, and
petting zoos), except for travel that does
not extend overnight, is required to
submit a written itinerary to APHIS. The
regulations in subpart I also include
provisions for missing animals,
situations in which captive animals are
determined to be suffering, and
demonstration of adequate experience
and knowledge of the species
maintained.
Lastly, under current part 2, subpart
I, newly regulated dealers, exhibitors,
intermediate handlers, and carriers
under this proposal would be required
to develop, document, and follow an
appropriate plan to provide for the
humane handling, treatment,
transportation, housing, and care of
their animals in the event of an
emergency or disaster (one which could
reasonably be anticipated and expected
to be detrimental to the good health and
well-being of the animals in their
possession).

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Proposed Changes to 9 CFR Part 2
The proposed amendments to the
regulations are discussed below by
section. In addition to these proposed
amendments, newly regulated persons
under this proposal would be subject to
all other applicable AWA regulations for
licensing, registration, research and
inspections as summarized above.
Requirements and Application—§ 2.1
As noted previously, § 2.1 of the
regulations includes requirements for
licensing, as well as exemptions from
licensing. One such exception in
§ 2.1(a)(3)(vi) exempts ‘‘any person who
buys, sells, transports, or negotiates the
sale, purchase, or transportation of any

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animals used only for the purposes of
food or fiber (including fur).’’ To
accommodate birds under this
exemption, we would add ‘‘feathers’’ to
the list of purposes for which birds are
used.
Paragraph (b)(1) states that licenses
are issued to specific persons, and are
issued for specific activities, types and
numbers of animals, and approved sites.
As each license specifies the numbers
and types of animals that a licensee can
maintain, under paragraph (b)(2)(ii) a
licensee is required to obtain a new
license before acquiring or using any
covered animal beyond those types or
numbers of animals specifically
authorized under the existing license.
We are aware that a number of
currently licensed facilities, in addition
to maintaining mammals of various
types, are also maintaining birds that
might be covered under the proposed
changes to the regulations. These birds
are not currently listed on the license.
However, in order to minimize
redundant administrative burden on
these facilities, we would not require
that they apply for a new license only
for the purpose of meeting the effective
date of these proposed regulations, if
promulgated. Therefore, we propose to
add a statement to § 2.1(b)(2)(ii)
explaining that a current licensee with
birds is not required to apply for a new
license until the recommended 90 days
prior to the scheduled expiration date of
that license (APHIS encourages such
persons to apply for a new license at
least 90 days before expiration of the
current one). Licenses are valid for 3
years. We would also add to paragraph
(b)(2)(ii) a reference to proposed subpart
G in part 3, which lists standards for
birds, and an effective date.
APHIS intends to provide guidance to
both new and current licensees through
documents, guides, and training to help
them achieve compliance with the new
regulations for birds. We invite potential
licensees and other interested persons to
comment on the types of training and
guidance they need and the modes by
which it might be best provided.
Birds Covered Under the Migratory Bird
Treaty Act
The MBTA implements a series of
treaties between the United States and
Canada, Mexico, Japan, and Russia
intended to protect and sustain
populations of migratory birds. Under
regulations developed and enforced by
USFWS, the MBTA prohibits the take
(including killing, capturing, selling,
trading, and transport) of protected
migratory bird species without prior

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authorization.7 With some exceptions,8
any activity involving the use,
possession, or transport of a migratory
bird, or the parts, nests, or eggs of such
birds, requires a USFWS permit specific
to the activity. Types of migratory bird
permits and their provisions, listed in
50 CFR part 21, subpart C, include but
are not limited to those intended for
import or export, scientific collecting,
falconry, raptor propagation, and
rehabilitation.9
As noted above, the 2002
amendments to the AWA by Congress
subjected birds to regulation under the
AWA, which does not distinguish
migratory birds from other birds and
therefore does not exclude them from
regulation under its authority. Although
migratory birds are currently covered
under the MBTA and its regulations, the
primary purpose of the MBTA is to
sustain native populations of such birds
rather than to establish specific
standards of care and humane treatment
for birds in captivity. For this reason,
we acknowledge that a small number of
persons maintaining captive migratory
birds for some activities under USFWS
regulation would also fall under AWA
coverage and potentially be subject to
APHIS regulation. In particular, some
persons currently authorized under
permit by USFWS to exhibit or breed
migratory birds may be required to
follow AWA regulations and obtain a
license from APHIS to ensure that such
birds are receiving humane care and
treatment.
As noted above, we propose to revise
the definitions of carrier and
intermediate handler in § 1.1 to include
an exemption from AWA registration for
anyone transporting a migratory bird
covered under the MBTA from the wild
to a facility for rehabilitation and
eventual release in the wild, or between
rehabilitation facilities.
APHIS continues to work closely with
USFWS to determine situations where
regulatory overlap may occur, and both
agencies are coordinating efforts in
order to minimize dual regulation of
persons possessing and using migratory
birds for breeding, exhibition,
education, and research. To help us
reduce regulatory burden on such
persons, we invite comments that
address specific activities and concerns
7 A list of migratory birds protected under the
MBTA can be found at https://ecfr.federal
register.gov/current/title-50/chapter-I/subchapter-B/
part-10/subpart-B/section-10.13.
8 See 50 CFR 21.12, ‘‘General exceptions to permit
requirements.’’ Exceptions address handling and
transport of migratory birds by certain persons and
institutions for the purpose of ensuring their health
and safety.
9 Regulations and permits specific to bald and
golden eagles are located in 50 CFR part 22.

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involving migratory birds potentially
covered under both APHIS and USFWS
regulations.
Registration Requirements and
Procedures—§ 2.25
Section 2.25 provides in part that
each carrier and intermediate handler is
required to register with the Secretary
by completing a form furnished, upon
request, by the Deputy Administrator.
This requirement typically applies to
persons who transport AWA-covered
animals. Persons already registered to
transport other animals would not be
required to update their registration to
transport birds.
We note that some persons transport
wild migratory birds between
rehabilitation facilities and the wild as
part of conservation projects. As the
transport of migratory birds covered
under the MBTA requires authorization
by USFWS under regulations in 50 CFR
parts 21 and 22, we would not require
that such transporters register with
APHIS. Accordingly, we would revise
the definitions of carrier and
intermediate handler to exempt such
persons from AWA licensing.

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Institutional Animal Care and Use
Committee (IACUC)—§ 2.31(d)
Under § 2.31 of the regulations, each
registered research facility must
establish an IACUC to assess its animal
program, facilities, and procedures. The
IACUC must have at least three
members, one of whom must be a
Doctor of Veterinary Medicine, with
training or experience in laboratory
animal science and medicine, who has
direct or delegated program
responsibility for activities involving
animals at the research facility. Another
member must not be affiliated with the
facility at all, and is intended to provide
representation for general community
interests. In order to approve proposed
activities or proposed significant
changes in ongoing activities, paragraph
(d) of § 2.31 requires that the IACUC
conduct a review of those components
of the activities related to the care and
use of animals and determine that the
proposed activities are in accordance
with the regulations, unless acceptable
justification for a departure is presented
in writing.10 The IACUC is also required
10 APHIS has issued guidance exempting field
studies, defined by APHIS as studies conducted on
free-living wild animals in their natural habitat,
from this requirement. However, this term excludes
any study that involves an invasive procedure,
harms, or materially alters the behavior of an
animal under study. For more detail, see the APHIS
Tech Note, ‘‘Research Involving Free-living Wild
Animals in Their Natural Habitat,’’ at https://
www.aphis.usda.gov/animal_welfare/downloads/
tech-note-free-living-wild-animals.pdf.

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to determine that the proposed activities
or significant changes in ongoing
activities meet a number of
requirements, including ones related to
activities that involve surgery. We are
proposing no additional requirements
for IACUC membership, but research
facilities that use birds not bred for use
in research could choose to enlist
additional IACUC members with avian
expertise.
Under current § 2.31(d)(1)(ix),
activities that involve surgery must
include appropriate provision for preoperative and post-operative care of the
animals in accordance with established
veterinary medical and nursing
practices, which means that survival
surgery must be performed using aseptic
procedures, including surgical gloves,
masks, and sterile instruments. Major
operative procedures on non-rodents
must be conducted only in facilities
intended for that purpose and must be
operated and maintained under aseptic
conditions. Non-major operative
procedures and all surgery on rodents
do not require a dedicated facility but
also must be performed using aseptic
procedures. Operative procedures
conducted at field sites need not be
performed in dedicated facilities but
must be performed using aseptic
procedures.
We would apply the same
requirements for operative procedures
for birds as we do for rodents in
§ 2.31(d)(ix). Our determination for this
decision is twofold. First, we are
aligning our requirements with U.S.
Public Health Service policy for the
humane care and use of laboratory
animals, which does not require a
separate, dedicated surgical area for
rodents, but does require a surgical area
used solely for survival surgeries
involving higher vertebrate species.11
Second, we have considered the
operative conditions and practices for
rodents and concluded that they would
be humane and consistent with the
AWA if applied to birds. As we noted
above, the surgical standards currently
listed in § 2.31(d)(1)(ix) include
appropriate provisions for aseptic
surgery and pre-operative and post11 Guide for the Care and Use of Laboratory
Animals, 8th Edition, National Research Council:
https://grants.nih.gov/grants/olaw/guide-for-thecare-and-use-of-laboratory-animals.pdf. Page 144 of
the Guide states that, ‘‘for most survival surgery
performed on rodents and other small species such
as aquatics and birds, an animal procedure
laboratory is recommended; the space should be
dedicated to surgery and related activities when
used for this purpose, and managed to minimize
contamination from other activities conducted in
the room at other times.’’ [Our emphasis.] In other
words, a surgical area for rodents and birds is not
exclusively intended for that purpose as it is for
higher vertebrate species.

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operative care of the animals in
accordance with established veterinary
medical and nursing practices, which
apply regardless of whether or not the
surgery is performed in a dedicated
facility used wholly for that purpose.
Moreover, under current § 2.31(d)(1)(ix),
medical care for all AWA-covered
animals at a registered research facility
is required to be available and provided
as necessary by a qualified veterinarian.
Time and Method of Identification—
§ 2.50
We are proposing to amend § 2.50 of
the regulations, which addresses
methods of identifying animals.
Currently, paragraph (e)(1) requires
dealers and exhibitors to identify all
animals, except for dogs and cats,
delivered for transportation,
transported, purchased, sold, or
otherwise acquired or disposed of, at the
time of delivery for transportation,
purchase, sale, acquisition, or disposal.
Paragraph (e)(2) requires such animals,
when confined to a primary enclosure,
to be identified using one of three
methods: (1) A label attached to the
primary enclosure that bears a
description of the animals in the
primary enclosure; (2) marking the
primary enclosure with a painted or
stenciled number which shall be
recorded in the records of the dealer or
exhibitor together with a description of
the animals; or (3) a tag or tattoo applied
to each animal in the primary enclosure
that individually identifies each animal
by description or number. When such
an animal is not confined to a primary
enclosure, paragraph (e)(3) provides that
the animal must be identified on a
record that must be kept and maintained
by a dealer or exhibitor as part of his or
her records.
Labels attached to primary enclosures,
leg and wing bands, and transponders
(also referred to as microchips) are
preferred methods of identification for
birds. These methods are commonly and
safely used to identify birds in all
segments of the avian industry that we
would regulate. The ability to identify
animals is a part of basic animal
husbandry and allows for APHIS to
track animals to monitor movement.
Therefore, we propose to require dealers
and exhibitors to identify their birds
that are confined to a primary enclosure
using one of the following: (1) A label
attached to the primary enclosure that
bears a description of the birds in the
primary enclosure, including the
number and species of birds and any
distinctive physical features or
identifying marks of the birds; (2) a leg
or wing band applied to each bird in the
primary enclosure by the dealer or

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exhibitor that individually identifies
each bird by description or number; or
(3) a transponder (microchip) placed in
a standard anatomical location for the
species in accordance with currently
accepted professional standards,
provided that the facility has a
compatible transponder reader that is
capable of reading the transponder and
that the reader is readily available for
use by an APHIS official and/or facility
employee accompanying the APHIS
official. We would add these proposed
requirements as a new paragraph (e)(2)
in § 2.50 and redesignate current
paragraphs (e)(2) and (3) as paragraphs
(e)(3) and (4), respectively, to
accommodate that new paragraph. Birds
that are not confined to a primary
enclosure would be subject to the
identification requirements contained in
redesignated paragraph (e)(4) (current
paragraph (e)(3)). Under that paragraph,
such birds would have to be identified
on a record, as required by § 2.75 of the
regulations, which would have to
accompany the bird at the time it is
delivered for transportation,
transported, purchased, or sold, and
would have to be kept and maintained
by the dealer or exhibitor as part of his
or her records.
Records: Dealers and Exhibitors—§ 2.75
Currently, § 2.75(b)(1) of the
regulations requires that dealers (other
than operators of auction sales and
brokers to whom animals are consigned)
and exhibitors make, keep, and
maintain records or forms which fully
and correctly disclose certain
identification and disposition
information concerning animals other
than dogs and cats that are purchased or
otherwise acquired, owned, held,
leased, or otherwise in their possession
or under their control, or that they
transport, sell, euthanize, or otherwise
dispose of. Among other things, the
records must include any offspring born
of any animal while in the dealer’s or
exhibitor’s possession or under his or
her control.
We propose to apply these
recordkeeping requirements to dealers
and exhibitors of birds and would apply
to all birds covered under the AWA.
While we acknowledge that some
stakeholders commented that
maintaining records of individual birds
in large flocks is infeasible, we consider
an accounting of each covered animal
important for the purposes of ensuring
adequate animal welfare for every
animal. For example, among other
purposes, it is necessary in order to
account for additions of covered
animals to the inventory at the facility,
as well as mortalities. The only change

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that would be necessary in § 2.75(b)(1)
to reflect its applicability to dealers and
exhibitors of birds would be to add the
words ‘‘or hatched’’ after the word
‘‘born’’ in the previously cited provision
regarding records for offspring born to
animals while they are under a dealer’s
or exhibitor’s possession or control.
Records: Operators of Auction Sales and
Brokers—§ 2.76
Section 2.76 requires that operators of
auction sales and brokers maintain
records for any animal consigned for
auction or sold, whether or not a fee or
commission is charged. Paragraph (a) of
§ 2.76 provides that those records must
include such information as the name
and address of the buyer or consignee
who received the animal, the USDA
license or registration number (if
applicable) of the person selling,
buying, or receiving the animals, the
date of consignment, the band,
microchip, or other durable
individualized identification method
assigned to the animal under § 2.50 or
§ 2.54, and a description of each animal.
Currently, § 2.76(a)(7) requires a
description of each animal that includes
the species and breed or type of animal,
the sex of the animal, the date of birth
or approximate age, and the color and
any distinctive markings.
Because the sex of some birds may not
be readily determinable, we are
proposing to amend paragraph (a)(7) to
require operators of auction sales and
brokers to record the sex of a bird only
if it is readily determinable. To reflect
the fact that birds lay eggs, rather than
give birth to live young, we would also
add the words ‘‘or hatch date’’ after the
words ‘‘date of birth’’ in paragraph
(a)(7)(iii).
The regulations currently allow
operators of auction sales and brokers to
provide an approximate age in lieu of an
animal’s date of birth in those instances
where the exact date of birth of the
animal is unknown. We recognize that
it is sometimes difficult to even estimate
the approximate age of certain species of
birds, so we also would allow the
approximate developmental stage of an
animal to be provided if the date of birth
or hatch date is unknown. For example,
an operator of an auction sale or broker
who does not know the hatch date or
approximate age of a bird may disclose
that the bird is a chick, juvenile, or
adult on the records or forms
maintained for that bird in accordance
with § 2.76 of the regulations.
Proposed Standards in 9 CFR Part 3
As we noted above, the Act authorizes
the Secretary of Agriculture to
promulgate standards governing the

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humane handling, care, treatment, and
transportation of covered animals by
dealers, research facilities, exhibitors,
operators of auction sales, and carriers
and intermediate handlers. For dealers,
research facilities, and exhibitors of
animals covered by the Act, such
standards must include minimum
requirements for handling, housing,
feeding, watering, sanitation,
ventilation, shelter from extreme
weather and temperatures, adequate
veterinary care, and separation by
species where necessary.
The standards relating to the humane
handling, care, treatment, and
transportation of animals currently
covered by the AWA are contained in 9
CFR part 3, subparts A though F.
Subparts A through E contain specific
standards for dogs and cats, guinea pigs
and hamsters, rabbits, nonhuman
primates, and marine mammals
respectively, while subpart F sets forth
general standards for warmblooded
animals not otherwise specified in that
part. In this document, we are proposing
to add a new subpart G to contain
standards for birds.
The proposed standards for birds are
divided into three broad areas: Facilities
and operating standards; animal health
and husbandry standards; and
transportation standards. The standards
in these areas address requirements
under the Act. In the listening sessions
held on this rulemaking, many
commenters asked that we consider
standards for birds that are flexible
enough to ensure their species-specific
needs are met. Many commenters also
stated that, given the vast number of
bird species, prescriptive standards
would generally be impracticable and
burdensome to the aviculture
community. We agree with commenters
on these points and have developed the
proposed standards accordingly. As a
whole, these standards provide APHIS
the means to effectively measure
compliance and ensure animal welfare,
while also affording breeders, dealers,
exhibitors, and transporters flexibility to
implement the standards using the
expertise and knowledge they have of
their particular birds. On this point, we
invite comments on ways that APHIS
might assist regulated entities with
implementation of these standards,
whether through documents, guides,
training, or other means. The standards
for proposed Subpart G—Specifications
for the Humane Handling, Care,
Treatment, and Transportation of Birds
are discussed below by topic.

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Facilities and Operating Standards
Facilities, General
Facilities, General: Structure;
Construction—Proposed § 3.150(a)
Housing facilities must be safe and
secure not only for birds but also for the
persons attending to them and to the
general public. As we noted above, the
current regulations in part 3 for animals
include requirements for housing that
consider both animal and human safety.
Therefore, we are proposing in
§ 3.150(a) to require that housing
facilities for birds be designed and
constructed so that they are structurally
and safely sound for the species of bird
housed in them. We would also require
that they be kept in good repair, protect
the birds from injury, and restrict the
entry of other animals. The facilities
would have to employ security
measures that contain all the birds
securely. Such measures may include
safety doors, entry/exit doors to the
primary enclosure that are doubledoored, or other equivalent systems
designed to prevent escape of the birds.
For birds that are flight-restricted or
cannot fly and are allowed to roam free
within the housing facility or a portion
thereof, we would require that the birds
have access to safety pens, enclosures,
or other areas that offer the birds
protection during overnight periods and
at times when their activities are not
observed by staff.

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Facilities, General: Condition and Site—
Proposed § 3.150(b)
Housing facilities and areas used for
storing animal food or bedding would
have to be adequately free of any
accumulation of trash, waste material,
other discarded materials, junk, weeds,
and brush. We would also require that
such areas be kept neat and free of
clutter, including equipment, furniture,
and stored material, except for materials
actually used and necessary for cleaning
the area, and fixtures or equipment
necessary for proper husbandry
practices and research needs.
Facilities, General: Surfaces—Proposed
§ 3.150(c)
The surfaces of housing facilities
would have to be constructed in a
manner and made of materials that
allow them to be readily cleaned and/
or sanitized, or removed and replaced
when worn or soiled. Interior surfaces
and surfaces that come in contact with
birds would also have to be nontoxic to
the bird, free of rust or damage that
affects the structural integrity of the
surface or prevents cleaning, and free of
jagged edges or sharp points that could
injure the birds. This proposed standard

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would allow for thorough cleaning of
the primary enclosure to prevent
bacterial, excrement, or other organic
buildup that could be a health hazard to
the birds. It would also ensure that the
birds are contained securely and that
the surfaces that come in contact with
the birds are not harmful to them.
Facilities, General: Water and Electric
Power—Proposed § 3.150(d)
A reliable source of water and power
must be available. Therefore, we are
proposing that the facility must have
reliable electric power adequate for
heating, cooling, ventilation, and
lighting, and for carrying out other
husbandry requirements in accordance
with the proposed standards for birds.
We also propose that the facility provide
adequate potable water for the birds’
drinking needs and adequate water for
cleaning and carrying out other
husbandry requirements.
Facilities, General: Storage—Proposed
§ 3.150(e)
Supplies of food, including food
supplements, bedding, and substrate,
would have to be stored in a manner
that protects the supplies from spoilage,
contamination, and vermin infestation.
We would require that the supplies be
stored off the floor and away from the
walls, to allow cleaning underneath and
around the supplies. All food would
have to be stored at appropriate
temperatures and in a manner that
prevents contamination and
deterioration of its nutritive value, and
food would not be allowed to be used
beyond its shelf-life date or expiration
date listed on the label. All open
supplies of food and bedding would
have to be kept in waterproof containers
with tightly fitting lids to prevent
deterioration and contamination, except
for live, frozen, or refrigerated food. We
would also require that live food be
maintained in a manner to ensure
wholesomeness. We would also provide
that substances such as cleaning
supplies and disinfectants that are
harmful to birds but required for normal
husbandry practices may not be stored
in food storage and preparation areas
but may be stored in cabinets in the
animal areas, provided that they are
stored in properly labeled containers
that are adequately secured to prevent
potential harm to the birds. Finally, we
would prohibit animal waste and dead
animals and animal parts not intended
for food from being kept in food storage
or food preparation areas, food freezers,
food refrigerators, and animal areas.

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Facilities, General: Waste Disposal—
Proposed § 3.150(f)
Proper waste disposal is essential in
maintaining the cleanliness and sanitary
condition of facilities housing birds and
directly affects the health and wellbeing of such animals. Therefore, we are
proposing to require that housing
facility operators provide for regular and
frequent collection, removal, and
disposal of animal and food wastes,
substrate, dead animals, debris, garbage,
water, and any other fluids and wastes
in a manner that minimizes
contamination and disease. We would
require that trash containers in housing
facilities and in food storage and food
preparation areas be leakproof and have
tightly fitted lids.
Facilities, General: Drainage—Proposed
§ 3.150(g)
Proper drainage must be provided in
order to maintain cleanliness and
sanitary conditions. Therefore, we are
proposing the following standards:
• Housing facilities would have to be
equipped with disposal and drainage
systems that are constructed and
operated so that animal wastes and
water, except for water located in pools
or other aquatic areas (e.g., ponds,
waterfalls, fountains, and other water
features), are rapidly eliminated and the
animals have the option of remaining
dry. We would require that any pool or
other aquatic area be maintained in
accordance with the regulations in
proposed § 3.157, which are discussed
below.
• Disposal and drainage systems
would have to minimize vermin and
pest infestation, insects, odors, and
disease hazards.
• All drains would have to be
properly constructed, installed, and
maintained so that they effectively drain
water. If closed drainage systems are
used, they would have to be equipped
with traps and prevent the backflow of
gases and the backup of sewage. If the
facility uses sump ponds, settlement
ponds, or other similar systems for
drainage and animal waste disposal, the
system would have to be located a
sufficient distance from the bird area of
the housing facility to prevent odors,
diseases, insects, pests, and vermin
infestation in the bird area.
• If drip or constant flow watering
devices are used to provide water to the
animals, excess water would have to be
rapidly drained out of the animal areas
by gutters or pipes so that the animals
have the option of remaining dry.

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

Facilities, General: Toilets, Washrooms,
and Sinks—Proposed § 3.150(h)
Toilets and washing facilities, such as
washrooms, basins, sinks, or showers,
would have to be provided for and be
readily accessible to animal caretakers.
Facilities, Indoor
Facilities, Indoor: Temperature and
Humidity—Proposed § 3.151(a)
Maintaining appropriate air
temperature and humidity levels and, if
present, pool or other aquatic area (e.g.,
ponds, waterfalls, fountains, and other
water features) temperature is vital to
the health and well-being of birds.
Therefore, we would require that the air
temperature and humidity levels and, if
present, pool or other aquatic area
temperatures in indoor facilities be
sufficiently regulated and appropriate to
the bird species to protect them against
detrimental temperature and humidity
levels, to provide for their health and
well-being, and to prevent discomfort or
distress, in accordance with current
professionally accepted standards.
Prescribed temperature and humidity
levels would be part of the written
program of veterinary care or part of the
full-time veterinarian’s records.
Facilities, Indoor: Ventilation—
Proposed § 3.151(b)
Ventilation is important to ensure that
birds are provided adequate fresh air for
their respiratory needs in both quantity
and quality. Therefore, we would
require that indoor housing facilities be
sufficiently ventilated at all times when
birds are present to provide for their
health, to prevent their discomfort or
distress, accumulations of moisture
condensation, odors, and levels of
ammonia, chlorine, and other noxious
gases. We would also require that the
ventilation system minimize any drafts.

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Facilities, Indoor: Lighting—Proposed
§ 3.151(c)
Indoor housing facilities would need
to have lighting, by natural or artificial
means, or both, of appropriate quality,
distribution, and duration for the bird
species. We would require that such
lighting be sufficient to permit routine
inspection and cleaning and be
designed to protect the birds from
excessive illumination that may cause
discomfort or distress.
Facilities, Indoor: Indoor Pool and Other
Aquatic Areas—Proposed § 3.151(d)
Indoor pools or other aquatic areas
(e.g., ponds, waterfalls, fountains, and
other water features) would have to
have sufficient vertical air space above
the pool or other aquatic area to allow

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for behaviors typical to the species of
bird under consideration. Such
behaviors may include, but are not
limited to, diving and swimming.
Facilities, Outdoor
Facilities, Outdoor: Acclimation—
Proposed § 3.152(a)
Birds come from a great variety of
climatic conditions. There is also a wide
range of climatic conditions within the
United States. Outdoor housing
facilities are completely dependent on
the local environmental conditions.
Therefore, we are proposing that birds
may not be housed in outdoor facilities
unless the air humidity and temperature
ranges they may encounter do not
adversely affect their health and
comfort. This provision would also
apply to the temperature of pools and
other aquatic areas (ponds, waterfalls,
fountains, and other water features).
Further, we would provide that birds
may not be introduced to an outdoor
housing facility until they are
acclimated to the ambient temperature
and humidity and, if applicable, pool or
other aquatic area temperature range
which they will encounter therein.
Facilities, Outdoor: Shelter From
Inclement Weather—Proposed
§ 3.152(b)
Outdoor housing facilities would have
to provide adequate shelter, appropriate
to the species and physical condition of
the birds, for the local climatic
conditions, in order to protect the birds
from any adverse weather conditions.
We would require that such shelters be
adequately ventilated in hot weather
and have one or more separate areas of
shade or other effective protection that
is large enough to contain all the birds
at one time and prevent their discomfort
from direct sunlight, precipitation, or
wind. The shelter would have to be
constructed to provide sufficient space
to comfortably hold all of the birds at
the same time without adverse
intraspecific aggression or grouping of
incompatible birds. For birds that form
dominance hierarchies and that are
maintained in social groupings, we
would make it explicit that such
shelter(s) would have to be constructed
so as to provide sufficient space to
comfortably hold all the birds at the
same time, including birds that are low
in the hierarchy.
Primary Enclosures
Primary Enclosures: General
Requirements—Proposed § 3.153(a)
Primary enclosures would have to be
designed and constructed of suitable
materials so that they are structurally

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sound. We would also require that the
primary enclosures be kept in good
repair and be constructed and
maintained so that they:
• Have no sharp points or edges that
could injure the birds;
• Protect the birds from injury;
• Contain the birds securely;
• Restrict other animals from entering
the enclosure;
• Ensure that birds have the option to
remain dry and clean;
• Provide shelter and protection for
each bird from climatic and
environmental conditions that may be
detrimental to its health and well-being;
• Provide sufficient shade to
comfortably shelter all birds housed in
the primary enclosure at one time,
including low ranking birds that are
maintained in social groupings that
form dominance hierarchies;
• Provide all the birds with easy and
convenient access to clean food and
potable water;
• Ensure that all surfaces in contact
with the birds may be readily cleaned
and/or sanitized in accordance with
proposed § 3.158 of the regulations, or
be replaced when worn or soiled; and
• Have floors that are constructed in
a manner that protects the birds’ feet
and legs from injury. If flooring material
is suspended, it would have to be
sufficiently taut to prevent sagging
under the birds’ weight. If substrate is
used in the primary enclosure, the
substrate would have to be clean and
made of a suitably absorbent material
that is safe and nontoxic to the birds.
In addition, we would require that
furniture-type objects, such as perches
and other objects that enrich a bird’s
environment, be species-appropriate
and designed, constructed, and
maintained so as to prevent harm to the
birds. If the enclosure houses birds that
rest by perching, there would have to be
perches available that are appropriate to
the age and species of birds housed
therein and a sufficient number of
perches of appropriate size, shape,
strength, texture, and placement to
comfortably hold all the birds in the
primary enclosure at the same time,
including birds that are ranked low in
a dominance hierarchy.
Finally, we would require primary
enclosures that are adjacent to one
another or that share a common side
with another enclosure to be suitably
screened from each other or kept at a
sufficient distance apart in order to
prevent injury of the occupants due to
predation, territorial disputes, or
aggression.

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Federal Register / Vol. 87, No. 35 / Tuesday, February 22, 2022 / Proposed Rules
Primary Enclosures: Space
Requirements—Proposed § 3.153(b)
Space requirements for the wide
variety of birds that are subject to the
Act are quite variable. Therefore, the
proposed space requirements contained
in this proposal are performance-based
standards intended to provide adequate
space to ensure the health and wellbeing of the birds. The primary
enclosures would have to be
constructed and maintained to allow
each bird to make normal postural and
social adjustments, such as dust-bathing
and foraging, with adequate freedom of
movement and freedom to escape from
aggression by other animals in the
enclosure according to the program of
veterinary care developed, documented
in writing, and signed by the attending
veterinarian. The attending veterinarian
for a facility, whether full- or part-time,
would need to document and maintain
a record that the space in all enclosures
housing birds are adequate and allow
for normal postural and social
adjustments. Inadequate space may be
indicated by evidence of malnutrition,
poor condition, debility, stress, or
abnormal behavior patterns.
We would provide three exceptions to
this space requirement. First, we are
proposing that the species-typical
postural or social adjustments of a bird
may be restricted when the attending
veterinarian determines that allowing
the bird to make normal postural and
social adjustments would be detrimental
to its good health and well-being. We
propose that the species-typical postural
or social adjustments of a bird may be
restricted—for instance, in the case of a
bird having undergone a medical
procedure whose recovery could be
adversely impacted unless movement is
restricted—where the attending
veterinarian determines that making
normal postural and social adjustments
would be detrimental to the bird’s good
health and recovery. The attending
veterinarian would have to document
the reason and recommended duration
for the restriction and make such
records available for review by an
APHIS inspector.
Second, we would provide that a
bird’s normal postural and social
adjustments may be restricted where the
bird is tethered in accordance with
professionally accepted standards. We
would provide that a bird may only be
tethered if: (1) It is appropriate for the
species; (2) it will not cause any form of
harm to the bird; (3) the bird is
maintained on a perch appropriate for
the species and age of the bird while
tethered; (4) the bird has sufficient
space to fully extend its wings without

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obstruction; and (5) the tether does not
entangle the bird.
Third, we would provide that, when
dealers, exhibitors, and research
facilities breed or intend to breed their
birds, such birds would have to be
provided with structures and/or
materials that meet the reproductive
needs of the species during the
appropriate season or time periods. A
sufficient number of structures and
materials must be provided to meet the
needs of all breeding birds in an
enclosure and to minimize aggression.
Fourth, we would provide that birds
intended for breeding sale, in need of
medical care, exhibited in traveling
exhibits, or traveling for other reasons
would have to be kept in enclosures
that, at minimum, meet the specific
space, safety, bedding, perch, and
physical environment (including, but
not limited to, temperature, humidity,
sun and wind exposure) requirements
for transport enclosures as specified in
proposed § 3.162. At all other times, we
would require that birds be housed in
enclosures that meet the space
requirements of this section.
Primary Enclosures: Special Space
Requirements for Wading and Aquatic
Birds—Proposed § 3.153(c)
Wading and aquatic birds are active
on both land and water and require
access to pools or other aquatic areas
(e.g., ponds, waterfalls, fountains, and
other water features) to ensure their
health and well-being. Therefore, we are
proposing to require that primary
enclosures housing wading and aquatic
birds contain a pool or other aquatic
area and a dry activity area that allows
easy ingress or egress of the pool or
other aquatic area. We would require
that the pool or other aquatic area be of
sufficient surface area and depth to
allow each bird to make normal postural
and social adjustments, such as
immersion, bathing, swimming, and
foraging, with adequate freedom of
movement and freedom to escape from
aggression demonstrated by other birds
in the enclosure. Similarly, the dry areas
would have to be of sufficient size to
allow each bird to make normal postural
and social adjustments with adequate
freedom of movement and freedom to
escape from aggression demonstrated by
other birds in the enclosure. Inadequate
space may be indicated by evidence of
malnutrition, poor condition, debility,
stress, or abnormal behavior patterns.
Environment Enhancement To Promote
Psychological Well-Being—Proposed
§ 3.154
As evidenced by first-hand
observation and scientific studies, many

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species of birds exhibit a level of
intelligence and an ability to solve
problems approaching that of higher
mammals. As the regulations in subpart
D, § 3.81, require a plan to provide
environmental enhancement for
nonhuman primates that includes social
grouping and enrichment requirements,
we are likewise proposing a set of
requirements specifically for birds in a
proposed § 3.154.
Under the proposed requirements,
dealers, exhibitors, and research
facilities would need to develop,
document, and follow a speciesappropriate plan for environment
enhancement adequate to promote the
psychological well-being of birds. The
plan, which would be part of the
required program of veterinary care,
would have to be approved by a
veterinarian and be in accordance with
the other regulations proposed in
Subpart G—Specifications for the
Humane Handling, Care, Treatment, and
Transportation of Birds. The plan would
also have to conform with currently
accepted professional standards.
We note that environmental
enhancements, while essential to the
psychological well-being of many birds,
do not typically require extensive or
costly facility modifications. Depending
on the species, enhancement actions in
a plan could include ensuring that birds
are kept in appropriate social groupings,
that they are given opportunities to
forage, or that they have access to
species-appropriate perches and
chewing materials.
The plan for environment
enhancement would be made available
to APHIS upon request, and also, in the
case of research facilities, to officials of
any pertinent funding agency. The plan,
at a minimum, would need to address
social grouping needs, environmental
enrichment, special considerations for
young birds and birds needing to be
isolated due to aggression or disease,
use of restraints, and birds exempted
from the plan.
Environment Enhancement To Promote
Psychological Well-Being: Social
Grouping—Proposed § 3.154(a)
Under proposed § 3.154(a), the
environment enhancement plan would
need to include specific provisions to
address the social needs of birds of
species known to exist in social groups
in nature. Such specific provisions
would have to be in accordance with
currently accepted professional
standards. Birds that are overly
aggressive, debilitated, or in need of
isolation due to a contagious disease
may be excepted from social grouping
requirements. One or more birds

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

suspected of contagious diseases may be
isolated from healthy animals prior to
and as directed by the attending
veterinarian or as instructed in the
program of veterinary care. When an
entire group or room of birds is known
to have been or believed to be exposed
to an infectious agent, the group could
be kept intact during the process of
diagnosis, treatment, and control.
We also propose to require that birds
may only be housed with other animals,
including members of their own species,
if they are compatible, do not prevent
access to food, water, or shelter by
individual animals, and are not known
to be hazardous to the health and wellbeing of each other. We would require
that bird compatibility be determined in
accordance with generally accepted
professional practices and observations
by the attending veterinarian during his
or her regularly scheduled visits to the
facility. In addition, we would require
that individually housed social species
of birds are able to see and hear birds
of their own or compatible species
unless determined otherwise by the
veterinarian.

birds that are unable to see and hear
birds of their own or compatible
species.

Environment Enhancement To Promote
Psychological Well-Being:
Environmental Enrichment—Proposed
§ 3.154(b)
Proposed § 3.154(b) would require
that the plan address species-specific
environmental enrichment for birds.
Under this requirement, the plan would
include enrichment materials or
activities that would provide the birds
with the means to express noninjurious
species-typical activities. Examples of
environmental enrichments could
include providing perches, swings,
mirrors, and other increased cage
complexities; providing objects to
manipulate; varied food items; using
foraging or task-oriented feeding
methods; and providing interaction with
the care giver or other familiar and
knowledgeable person consistent with
personnel safety precautions.

Proposed § 3.154(e) would provide
that the attending veterinarian may
exempt a bird from participation in the
environment enhancement plan due to
considerations of health or condition
and well-being. The basis of the
exemption would have to be recorded
by the attending veterinarian for each
exempted bird. Unless the exemption is
based on a permanent condition, we
would require a review of the
exemption by the attending veterinarian
every 30 days.
For a research facility, the IACUC may
exempt an individual bird from
participation in some or all of the
otherwise required environment
enhancement plans for scientific
reasons set forth in the research
proposal. The basis of the exemption
shall be documented in the approved
proposal and must be reviewed at
appropriate intervals as determined by
the IACUC, but not less than annually.
Finally, we would also require in
paragraph (e) that records of any
exemptions must be maintained by the
dealer, exhibitor, or research facility for
at least 1 year in accordance with § 2.80
and must be made available to APHIS
officials, and also to officials of any
pertinent funding agency upon request.

Environment Enhancement To Promote
Psychological Well-Being: Special
Considerations—Proposed § 3.154(c)
Proposed paragraph (c) would require
that special considerations for certain
birds be included in the enhancement
plan. Such birds, determined based on
the needs of the individual species and
under the instructions of the attending
veterinarian, include infants and young
juveniles, birds showing signs of
psychological distress through behavior
or appearance, birds used in research for
which an IACUC-approved protocol
requires restricted activity, and
individually housed social species of

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Environment Enhancement To Promote
Psychological Well-Being: Restraint
Devices—Proposed § 3.154(d)
We would impose restrictions on
restraint devices in proposed paragraph
(d). Birds would not be permitted to be
maintained in restraint devices unless
required for health reasons as
determined by the attending
veterinarian or approved by a research
facility. Any restraining actions would
have to be for the shortest period
possible. If the bird is to be restrained
for more than 12 hours, it must be
provided the opportunity daily for
unrestrained activity for at least 1
continuous hour during the period of
restraint, unless continuous restraint is
required by the research proposal
approved by the IACUC at research
facilities.
Environment Enhancement To Promote
Psychological Well-Being:
Exemptions—Proposed § 3.154(e)

Animal Health and Husbandry
Standards
Feeding—Proposed § 3.155
The nutritional needs of birds vary
greatly. Therefore, we are proposing a
general feeding standard that is flexible

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enough to ensure the health and wellbeing of all birds. Specifically, we
would require that the diet be
appropriate for the species, size, age,
and condition of the bird. The food
would have to be wholesome, palatable
to the birds, and free of contamination.
The food would also have to be of
sufficient quantity and nutritive value to
maintain a healthy condition and
weight range of the bird and to meet its
normal daily nutritional requirements.
We would require that birds be fed at
least once a day except as directed by
the attending veterinarian. If birds are
maintained in group housing, measures
appropriate for the species would have
to be taken to ensure that all the birds
receive a sufficient quantity of food. For
example, for some flighted birds, such
measures may include locating multiple
food receptacles at different levels in the
enclosure to ensure that all the birds
have access to food receptacles and the
food contained therein, including birds
that are ranked low in a dominance
hierarchy.
Food and, if used, food receptacles
would have to be readily accessible to
all the birds being fed. Food and any
food receptacles would have to be
located so as to minimize any risk of
contamination by excreta, precipitation
(e.g., rain, hail, and snow), and pests.
Food receptacles and feeding areas
would have to be kept clean and
sanitized in accordance with proposed
§ 3.158. Used food receptacles would
have to be cleaned and sanitized before
they can be used to provide food to
birds maintained in a separate
enclosure. We would also require that
measures be taken to ensure there is no
molding, deterioration, contamination,
or caking or undesirable wetting or
freezing of food within or on food
receptacles. Food receptacles would
have to be made of a durable material
that can be easily cleaned and sanitized
or replaced when worn or soiled.
Group-housed birds would have to have
multiple food receptacles where needed
to ensure that all birds have access to
sufficient feed.
Watering—Proposed § 3.156
Under proposed § 3.156, potable
water would have to be provided in
sufficient quantity to every bird housed
at the facility, unless restricted by the
attending veterinarian. If potable water
is not continually available to the birds,
it would need to be offered to them as
often as necessary to ensure their health
and well-being. In addition, water
receptacles would have to be kept clean
and sanitized in accordance with
§ 3.158 as often as necessary to keep
them free of contamination. Used water

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receptacles must be cleaned and
sanitized before they may be used to
provide water to birds maintained in a
separate enclosure. Finally, grouphoused birds would have to have
multiple water receptacles where
needed to ensure that all birds have
access to sufficient water.

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Water Quality—Proposed § 3.157
Water quality is important for birds
active on both land and water, and at
least minimum water quality standards
need to be maintained for the good
health and well-being of the animals.
Therefore, we are proposing that, if the
primary enclosure or other areas in
which birds may enter contain pools or
other aquatic areas (e.g., ponds,
waterfalls, fountains, and other water
features), such areas must not be
detrimental to the health of the birds
contained therein. Particulate animal
and food waste, trash, or debris that
enters such pools or other aquatic areas
would have to be removed as often as
necessary to maintain the required
water quality and minimize health
hazards to the birds. Pools or other
aquatic areas that are equipped with
drainage systems would have to provide
adequate drainage so that all of the
water contained in such areas may be
effectively eliminated when necessary
to clean the pool or other aquatic area
and for other purposes while not risking
harm to birds. Pools or other aquatic
areas with standing water, such as some
ponds, would have to be aerated and
have an incoming flow of fresh water or
be managed in another manner to
maintain appropriate water quality in
accordance with current professionally
accepted standards for the bird species
in these ponds.
When the water is chemically treated,
the chemicals would have to be added
so as not to cause harm, discomfort, or
distress to the animals. Natural
organisms (such as fish, reptiles,
amphibians, mammals, algae,
commensal bacteria, protozoa,
coelenterates, or mollusks) that do not
degrade water quality, prevent proper
maintenance, or pose a health hazard to
the birds would not be considered
contaminants. Should birds appear to be
harmed by water quality, appropriate
action would have to be taken
immediately.
Finally, pools or other aquatic areas
would have to be salinized for birds that
require salinized water for their good
health and well-being in accordance
with current professionally accepted
standards.

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Cleaning, Sanitization, Housekeeping,
and Pest Control
Cleaning—Proposed § 3.158(a)
Proper cleaning of primary enclosures
is necessary to prevent the
accumulation of feces and food waste
and to reduce disease hazards, pests,
insects, and odors. Therefore, we are
proposing to require that excreta and
food waste be removed from primary
enclosures and from under and around
primary enclosures as often as necessary
to prevent excessive accumulation of
feces and food waste, to prevent soiling
of the birds contained in the primary
enclosures, and to reduce disease
hazards, insects, pests, and odors. When
steam or water is used to clean primary
enclosures, measures would have to be
taken to protect birds from being
harmed, wetted involuntarily, or
distressed in the process. Standing
water, except in pools or other aquatic
areas (e.g., ponds, waterfalls, fountains,
and other water features), would have to
be removed from the primary enclosure.
Scheduled cleaning may be modified
or delayed during breeding, egg-sitting,
or feeding of chicks for those species of
birds that are easily disrupted during
such behaviors. Scheduled cleaning
would have to resume when cleaning
would no longer disrupt such behaviors.
In these situations, we would require
that a schedule of cleaning be
documented that includes when
breeding season began, when the
primary enclosure was last cleaned, and
when cleaning is expected to resume.
Such records would have to be available
for review by an APHIS inspector.
Sanitization—Proposed § 3.158(b)
Proper sanitary practices directly
affect the good health and well-being of
birds. Primary enclosures and food and
water receptacles for birds would have
to be sanitized as often as necessary to
prevent accumulation of dirt, debris,
food waste, excreta, and other disease
hazards. However, as with cleaning,
sanitization may be modified or delayed
during breeding, egg-sitting, or feeding
of chicks for those species of birds that
are easily disrupted during such
behaviors but would have to resume
when it no longer disrupts such
behaviors. In such situations, we would
require that a schedule of sanitization be
documented that includes when
breeding season began, when the
primary enclosure was last sanitized,
and when sanitization is expected to
resume. Such records would have to be
available for review by an APHIS
inspector.
We would require that the hard
surfaces of primary enclosures and food

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and water areas and equipment be
sanitized before a new bird may be
brought into a housing facility or if there
is evidence of infectious disease among
the birds in the housing facility. Finally,
we would require that primary
enclosures using materials that cannot
be sanitized using conventional
methods, such as gravel, sand, grass,
earth, planted areas, or absorbent
bedding, be sanitized by removing all
contaminated material as necessary or
by establishing a natural composting
and decomposition system that is
sufficient to prevent wasted food
accumulation, odors, disease, pests,
insects, and vermin infestation.
Housekeeping for Premises—Proposed
§ 3.158(c)
Good housekeeping practices are
essential in minimizing pest risks that
can occur in animal areas. Premises
where housing facilities are located,
including buildings, surrounding
grounds, and exhibit areas, would have
to be kept clean and in good repair in
order to protect the birds from injury
and disease, to facilitate the husbandry
practices required in the regulations,
and to reduce or eliminate areas where
rodents and other vertebrate and
invertebrate animals harmful to birds
can live and breed. Premises would also
have to be kept free of accumulations of
trash, junk, waste products, and
discarded matter. Weeds, grasses, and
bushes would have to be controlled so
as to facilitate cleaning of the premises
and pest control, and to protect the
health and well-being of the birds.
Pest Control—Proposed § 3.158(d)
A pest control program is necessary to
promote the health and well-being of
birds at a facility and to reduce
contamination by pests in the animal
area. Therefore, we are proposing that a
safe and effective program for the
control of insects, ectoparasites, and
avian and mammalian pests be
established and maintained so as to
promote the health and well-being of
the birds and reduce contamination by
pests in animal areas. Insecticides,
chemical agents, or other methods of
controlling pests that may be harmful to
the birds would be prohibited in
primary enclosures and in other areas or
on surfaces with which the birds may
come in contact, unless their
application is consistent with
manufacturer recommendations or
otherwise approved for use and does not
harm birds.
Employees—Proposed § 3.159
A sufficient number of adequately
trained employees or attendants would

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have to be utilized to maintain the
professionally acceptable level of
husbandry and handling practices set
forth in the proposed standards. The
need for personnel to have the
knowledge and skill to perform these
practices is addressed in the current
standards for all other animals covered
under the AWA regulations. These
practices would be conducted under the
supervision of a bird caretaker who has
appropriate experience in the
husbandry and care of birds that are
being managed in a given setting.

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Compatibility and Separation—
Proposed § 3.160
Under this section, we would require
that socially dependent birds be housed
in social groups, unless the attending
veterinarian exempts an individual bird
because of its health or condition, or in
consideration of its well-being, or
specific management needs. Veterinary
exemption is also permissible where
such social grouping is not in
accordance with a research proposal
and the proposal has been approved by
the research facility IACUC. Birds may
only be housed with other animals,
including members of their own species,
if they are compatible, do not prevent
access to food, water, or shelter by
individual animals, and are not known
to be hazardous to the health and wellbeing of each other. Compatibility
would have to be determined in
accordance with generally accepted
professional practices, and by actual
observation, to ensure that the birds are,
in fact, compatible. Finally, we would
require that birds that have or are
suspected of having a contagious
disease or communicable condition
must be separated from healthy animals
that are susceptible to the disease as
directed by the attending veterinarian.
These proposed requirements are
necessary to allow birds to peacefully
coexist in primary enclosures and to
protect their physical health and
welfare.
Transportation Standards
The proposed transportation
standards contained in §§ 3.161 through
3.168 have been written to provide birds
with the same general protection and
care as that provided for other species
of animals covered by the AWA. Some
birds, however, do have special
transportation needs. For example,
while most birds require space to make
normal postural adjustments during
transport, there are some birds that may
injure themselves if their movements
are not restricted. Therefore, the
intention of the proposed transportation
standards for birds is to account for

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these animals’ unique needs while still
providing them with equivalent
protection and care as other covered
animals.
We note that many foreign air carriers
are members of the International Air
Transport Association (IATA) and may
already comply with most of the
physical requirements contained in this
proposed rule. The IATA regulations
generally align with the intent of the
AWA in ensuring the humane and safe
transportation of animals but diverge
from the proposed regulations and
standards in certain areas, such as
recordkeeping requirements. Where
such divergences exist, the AWA
regulations and standards would need
to be followed.
Consignments to Carriers and
Intermediate Handlers—Proposed
§ 3.161
Regulated entities, such as dealers
and exhibitors, may elect to consign
their bird to a carrier or intermediate
handler in connection with the animal’s
transportation in commerce. To ensure
the health and well-being of birds
during such transport in commerce, we
are proposing to establish several
conditions that must be met before
carriers and intermediate handlers can
accept a bird for transport. Specifically,
we would provide that carriers and
intermediate handlers must not accept a
live bird for transport in commerce
more than 4 hours before the scheduled
departure time of the primary
conveyance on which the animal is to
be transported. However, we would
provide that a carrier or intermediate
handler may agree with anyone
consigning a bird to extend this time by
up to 2 hours if specific prior
scheduling of the animal shipment to a
destination has been made, provided
that the extension is not detrimental to
the health and well-being of the bird as
determined by the consignor.
Carriers and intermediate handlers
would not be allowed to accept a live
bird for transport in commerce unless
they are provided with the name,
address, and telephone number of the
consignee. Carriers and intermediate
handlers would also not be allowed to
accept a live bird for transport in
commerce unless the consignor certifies
in writing to the carrier or intermediate
handler that the bird was offered food
and water during the 4 hours prior to
delivery to the carrier or intermediate
handler. Carriers and intermediate
handlers must not accept unweaned
birds for transport unless transport
instructions are specified as a part of the
program of veterinary care.

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Certification for shipment of birds
would have to be securely attached to
the outside of the primary enclosure in
a manner that makes it easy to notice
and read. The certification would have
to include the following information for
each live bird: The consignor’s name,
address, email address, and telephone
number; the number of birds; the
species or common names of the birds;
the time and date the bird was last fed
and watered; and the specific
instructions for the next feeding(s) and
watering(s) for a 24-hour period; and the
consignor’s signature and the date and
time the certification was signed.
Carriers and intermediate handlers
would not be allowed to accept a live
bird for transport in commerce in a
primary enclosure unless the enclosure
meets the requirements of proposed
§ 3.162. A carrier or intermediate
handler would be prohibited from
accepting a live bird for transport if the
primary enclosure is defective or
damaged and cannot be expected to
contain the bird safely and comfortably.
Carriers and intermediate handlers
would also not be allowed to accept a
live bird for transport in commerce
unless their animal holding area can
maintain climatic and environmental
conditions in accordance with the
requirements of proposed § 3.168. (As
discussed below, § 3.168 sets out
climatic and environmental conditions
for the transportation of animals and
requires, among other things, that such
transportation must be done in a
manner that does not cause overheating,
excessive cooling, or adverse
environmental conditions that could
cause discomfort or stress.)
Following the arrival of any live birds
at the bird holding area of the terminal
cargo facility, we would require that
carriers and intermediate handlers
attempt to notify the consignee at least
once in every 6-hour period. The time,
date, and method of each attempted
notification and the final notification to
the consignee and the name of the
person notifying the consignee would
have to be recorded on the copy of the
shipping document retained by the
carrier or intermediate handler and on
a copy of the shipping document
accompanying the bird shipment.
Primary Enclosures Used To Transport
Live Birds
Under proposed § 3.162, no person
subject to the AWA regulations would
be allowed to transport or deliver for
transport in commerce a bird unless the
following requirements are met:

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Primary Enclosures: Construction of
Primary Enclosures—Proposed
§ 3.162(a)
Birds would have to be contained in
a primary enclosure such as a
compartment, transport cage, carton, or
crate, except as provided in proposed
paragraph (e) in § 3.162. Primary
enclosures used to transport birds
would have to be constructed so that:
• The primary enclosure is strong
enough to contain the birds securely
and comfortably and to withstand the
rigors of transportation normally
encountered during transportation;
• The interior of the enclosure has no
sharp points or edges and no
protrusions that could injure the birds
contained therein;
• The bird is at all times securely
contained within the enclosure and
cannot put any part of its body outside
the enclosure in a way that could result
in injury to itself, to handlers, or to
other persons or to other animals
nearby;
• The birds can be easily and quickly
removed from the enclosure in an
emergency;
• Unless the enclosure is
permanently affixed to the conveyance,
adequate handholds or other devices
such as handles are provided on its
exterior, and enable the enclosure to be
lifted without tilting it, and ensure that
anyone handling the enclosure will not
be in contact with the bird contained
inside;
• Unless the enclosure is
permanently affixed to the conveyance,
it is clearly marked on top and on one
or more sides with the words ‘‘Live
Animals,’’ in letters at least 1 inch (2.5
centimeters) high, and with arrows or
other markings to indicate the correct
upright position of the primary
enclosure;
• Any material, treatment, paint,
preservative, or other chemical used in
or on the enclosure is nontoxic to the
bird and not harmful to its health or
well-being;
• A bird that has a fractious or stressprone disposition must be contained in
an enclosure that is padded on the top
and sides and has protective substrate
on the bottom to prevent injury to the
bird during transport;
• Proper ventilation must be provided
to the birds in accordance with
proposed paragraph (b) in § 3.162;
• The primary enclosure has a solid,
leak-proof bottom or a removable, leakproof collection tray. If a mesh or other
nonsolid floor is used in the enclosure,
it would have to be designed and
constructed so that the bird cannot put
any part of its body through the holes

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in the mesh or the openings in the
nonsolid floor; and
• If substrate (newspaper, towels,
litter, straw, etc.) is used in the primary
enclosure, the substrate would have to
be clean and made of a suitably
absorbent material that is safe and
nontoxic to the birds.
These proposed standards would
consider the need for birds to be
supported and protected from injury
during transportation.
Primary Enclosures: Ventilation—
Proposed § 3.162(b)
Ventilation is very important to
ensure that birds are provided adequate
fresh air for their respiratory needs.
Therefore, unless the primary enclosure
is permanently affixed to the
conveyance, there would have to be
ventilation openings located on two
vertical walls of the primary enclosure
that are at least 16 percent of the surface
area of each such wall or ventilation
openings located on all four walls of the
primary enclosure that are at least 8
percent of the total surface area of each
such wall. At least one-third of the total
minimum area required for ventilation
of the primary enclosure would have to
be located on the lower one-half of the
primary enclosure, and at least onethird of the total minimum area required
for ventilation of the primary enclosure
must be located on the upper one-half
of the primary enclosure. This
requirement would be modeled on our
existing ventilation requirements for
rabbits, which we have found to provide
sufficient ventilation for the purposes of
humane care.
Unless the primary enclosure is
permanently affixed to the conveyance,
we would require that projecting rims or
other devices be on the exterior of the
outside walls with any ventilation
openings to prevent obstruction of the
ventilation openings. The projecting
rims or similar devices would have to be
large enough to provide a minimum air
circulation space of 0.75 inches (1.9
centimeters) between the primary
enclosure and anything the enclosure is
adjacent to, unless 90 percent or greater
of the surface area of the enclosure wall
is open (e.g., cage mesh). We would
require that any visually obscuring
mesh used to provide security for the
bird in the enclosure not interfere with
proper ventilation. Again, this
requirement is modeled on an existing
requirement, found in paragraph (a)(5)
of § 3.61 of the regulations, that we have
found to be effective.
If a primary enclosure is permanently
affixed within the animal cargo space of
the primary conveyance so that the front
opening is the only source of ventilation

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for such primary enclosure, the front
opening would have to open directly to
the outside or to an unobstructed aisle
or passageway within the primary
conveyance. Such front ventilation
opening would have to be at least 90
percent of the total surface area of the
front wall of the primary enclosure and
covered with bars, wire mesh, or smooth
expanded metal.
Primary Enclosures: Cleaning of Primary
Enclosures—Proposed § 3.162(c)
Primary enclosures used to hold or
transport birds in commerce would have
to be cleaned and sanitized before each
use in accordance with proposed § 3.158
by the dealer, research facility,
exhibitor, or operator of an auction sale.
Primary Enclosures: Compatibility—
Proposed § 3.162(d)
Live birds transported in the same
primary enclosure would have to be of
the same species or compatible species
and maintained in compatible groups.
Socially dependent birds would have to
be able to see and hear each other.
Primary Enclosures: Space and
Placement—Proposed § 3.162(e)
We would require that primary
enclosures used to transport live birds
be large enough to ensure that each bird
contained therein has sufficient space to
turn about freely and to make normal
postural adjustments, except that certain
species may be restricted in their
movements according to professionally
accepted standards when such freedom
of movement would constitute a danger
to the birds, their handlers, or other
persons.
Primary Enclosures: Accompanying
Documents and Records—Proposed
§ 3.162(f)
Documents accompanying the
shipment of birds would have to be
attached in an easily accessible manner
to the outside of a primary enclosure
which is part of such shipment and
could not be allowed to obstruct
ventilation openings.
Primary Conveyances (Motor Vehicle,
Rail, Air, and Marine)—Proposed
§ 3.163
We would require that the animal
cargo space of primary conveyances
used in transporting live birds be
designed, constructed, and maintained
in a manner that at all times protects the
health and well-being of the animals
transported in them, ensures their safety
and comfort, and minimizes the entry of
exhaust from the primary conveyance
during transportation. The animal cargo
space would have to have a supply of

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air that is sufficient for the normal
breathing of all the animals being
transported in it, and each primary
enclosure containing birds would have
to be positioned in the animal cargo
space in a manner that provides
protection from the elements and that
allows each bird enough air for normal
breathing. During transportation, we
would require that the climatic
conditions in the animal cargo area shall
be maintained in accordance with the
requirements of proposed § 3.168.
We would require that primary
enclosures be positioned in the primary
conveyance in a manner that allows the
birds to be quickly and easily removed
from the primary conveyance in an
emergency. We would also require that
the interior of the bird cargo space be
kept clean. Finally, we would provide
that live birds may not be transported
with any material, substance (e.g., dry
ice), or device which may reasonably be
expected to be injurious to the health
and well-being of the birds unless
proper precaution is taken to prevent
such injury.
Food and Water Requirements—
Proposed § 3.164
All weaned birds would have to be
offered food and potable water within 4
hours before being transported in
commerce. We would also require all
birds transported in their own primary
conveyance be provided potable water
or other source of hydration to at least
every 12 hours after such transportation
is initiated, except for birds which,
according to professionally accepted
standards, require watering or feeding
more or less frequently.
All weaned birds would have to be
fed at least once in each 24-hour period,
except as directed by veterinary
treatment, normal fasts, or other
professionally accepted standards. Birds
that require feeding more or less
frequently would have to be fed
accordingly.
A sufficient quantity of food and
water or other source of hydration
would have to accompany the bird to
meet its needs for food and water during
period of transport, except as directed
by veterinary treatment and other
professionally accepted standards. Any
dealer, research facility, exhibitor, or
operator of an auction sale offering any
live bird to any carrier or intermediate
handler for transportation in commerce
would have to securely affix to the
outside of the primary enclosure used
for transporting the bird written
instructions for the in-transit food and
water requirements of the bird
contained in the enclosure. We would
prohibit carriers and intermediate

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handlers from accepting any live birds
for transportation in commerce unless
written instructions concerning the food
and water requirements of the bird
being transported are affixed to the
outside of its primary enclosure. The
instructions would have to be attached
in accordance with proposed § 3.162(f)
and in a manner that makes them easy
to notice and read.
Care in Transit—Proposed § 3.165
Care in Transit: Surface Transportation
(Ground and Water)—Proposed
§ 3.165(a)
During surface transportation, we
would require in § 3.165(a) that any
person subject to the AWA regulations
transporting birds in commerce must
ensure that the operator of the
conveyance, or a person accompanying
the operator, visually observes the birds
as frequently as circumstances may
allow, but not less than once every 4
hours, to ensure that the birds are
receiving sufficient air for normal
breathing, that climatic and
environmental conditions are being
maintained in accordance with the
requirements in proposed § 3.168, and
that all other applicable standards are
met. The regulated person would have
to ensure that the operator or person
accompanying the operator determines
whether any of the birds are in physical
distress and obtains any veterinary care
needed for the birds as soon as possible.
Care in Transit: Air Transportation—
Proposed § 3.165(b)
Similarly, when transported by air,
we would require in § 3.165(b) that live
birds be visually observed by the carrier
as frequently as circumstances may
allow, but not less than once every 4
hours, if the animal cargo space is
accessible during flight. If the animal
cargo space is not accessible during
flight, the carrier would have to visually
observe the live birds whenever they are
loaded and unloaded and whenever the
bird cargo space is otherwise accessible
to ensure that they are receiving
sufficient air for normal breathing, that
climatic and environmental conditions
are being maintained in accordance
with the requirements in proposed
§ 3.168, and that all other applicable
standards are met. The carrier would
have to determine whether any such
live birds are in physical distress and
arrange for any needed veterinary care
as soon as possible.
Care in Transit: Prohibition on the
Transport of Ill, Injured, or Distressed
Birds—Proposed § 3.165(c)
Finally, in proposed § 3.165(c), we
would prohibit any person subject to the

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AWA regulations from transporting in
commerce birds that are ill, injured, or
in physical distress, except to receive
veterinary care for the condition.
Terminal Facilities—Proposed § 3.166
Terminal Facilities: Placement—
Proposed § 3.166(a)
We would require that carriers and
intermediate handlers not commingle
shipments of live birds with other
animals or inanimate cargo in animal
holding areas of terminal facilities. This
proposed standard would help to ensure
that the live birds are accessible and
that the following standards concerning
cleaning, sanitization, and pest control
in terminal facilities are met.
Terminal Facilities: Cleaning,
Sanitization, and Pest Control—
Proposed § 3.166(b)
We are proposing to require that all
animal holding areas of terminal
facilities be cleaned and sanitized in a
manner prescribed in proposed § 3.158,
as often as necessary to prevent an
accumulation of debris or excreta and to
minimize vermin infestation and
disease hazards. Terminal facilities
would have to follow an effective
program in all animal holding areas for
the control of insects, ectoparasites, and
other pests.
Terminal Facilities: Ventilation—
Proposed § 3.166(c)
We would require that ventilation be
provided in any animal holding area in
a terminal facility containing birds, by
means of windows, doors, vents, or air
conditioning. The air would have to be
circulated by fans, blowers, or air
conditioning so as to minimize drafts,
odors, and moisture condensation.
Terminal Facilities: Climactic and
Environmental Conditions—Proposed
§ 3.166(d)
We would require that the climatic
and environmental conditions in animal
holding areas be maintained in
accordance with the proposed
performance standard in § 3.168.
Handling—Proposed § 3.167
We are proposing to require that any
person subject to the AWA regulations
who moves (including loading and
unloading) live birds within, to, or from
the animal holding area of a terminal
facility or a primary conveyance does so
as quickly and efficiently as possible
and provides sufficient shade to protect
the birds from the direct rays of the sun
and sufficient protection to allow the
birds the option to remain dry during
rain, snow, and other precipitation. We
would also require that climatic and

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environmental conditions be
maintained in accordance with the
proposed requirements in § 3.168.
We would require that any person
handling a primary enclosure
containing a live bird uses care and
avoids causing physical harm or distress
to the bird. We would not allow a
primary enclosure containing a live bird
to be tossed, dropped, or tilted, or
stacked in a manner which may
reasonably be expected to result in its
falling.
Climatic and Environmental Conditions
During Transportation—Proposed
§ 3.168
Finally, we are proposing to require
that the transportation of all live birds
be done in a manner that does not cause
overheating, excessive cooling, or
adverse environmental conditions that
could cause discomfort or stress. When
climatic or environmental conditions,
including temperature, humidity,
exposure, ventilation, pressurization,
time, or other environmental conditions,
or any combination thereof, present a
threat to the health or well-being of a
live bird, appropriate measures would
have to be taken immediately to
alleviate the impact of those conditions.
The different climatic and
environmental factors prevailing during
a journey would have to be considered
when arranging for the transportation of
and when transporting live birds.
Considerations may include, but would
not be limited to:
• The temperature and humidity level
of any enclosure used during
transportation of live birds would have
to be controlled by adequate ventilation
or any other means necessary;
• Appropriate care would have to be
taken to ensure that live birds are not
subjected to prolonged drafts
detrimental to their health or wellbeing;
• Appropriate care would have to be
taken to ensure that live birds are not
exposed to direct heat or cold if
detrimental to their health or wellbeing, such as placement in direct
sunlight or near a hot radiator; and
• During prolonged air transit stops
in local climatic conditions that could
produce excessive heat for live birds
held in aircraft compartments, the
aircraft doors would have to be opened
and, if necessary, ground equipment
must be used to control the condition of
the air within compartments containing
live birds.
We would also provide examples of
factors to consider when meeting these
requirements. Specifically, we would
state that, in order to determine what
climatic and environmental conditions

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are appropriate for a live bird, factors
such as, but not limited to, the bird’s
age, species, physiological state, last
feeding and watering, and acclimation
would have to be considered when such
information is available.
Finally, for birds that are not able to
maintain a constant body temperature at
ambient temperatures, we would require
their transportation in a brooder or other
temperature-regulating unit that
effectively assists the bird in
maintaining a constant body
temperature during transport. Signs that
a bird is able to independently maintain
a constant body temperature include the
bird’s ability to open its eyes fully and
sit erect and the appearance of full or
partial feathering on the body of the
bird.
We would require that the
temperature of the brooder or other
temperature-regulating unit would have
to be monitored during transportation
and appropriate for the live bird.
Written instructions for the temperature
requirements of birds transported in
brooders or other temperature-regulating
units would have to be securely affixed
to the outside of the primary enclosure
used for transporting the bird. The
instructions would have to be attached
in accordance with proposed § 3.162(f)
in a manner that makes them easily
noticed and read.
We believe the standards we propose
in this document would ensure the
humane handling, care, treatment, and
transportation of birds covered by the
AWA.
Executive Orders 12866 and 13563 and
Regulatory Flexibility Act
This proposed rule has been
determined to be significant for the
purposes of Executive Order 12866 and,
therefore, has been reviewed by the
Office of Management and Budget.
We have prepared an economic
analysis for this rule. The economic
analysis provides a cost-benefit analysis,
as required by Executive Orders 12866
and 13563, which direct agencies to
assess all costs and benefits of available
regulatory alternatives and, if regulation
is necessary, to select regulatory
approaches that maximize net benefits
(including potential economic,
environmental, public health and safety
effects, and equity). Executive Order
13563 emphasizes the importance of
quantifying both costs and benefits, of
reducing costs, of harmonizing rules,
and of promoting flexibility. The
economic analysis also provides an
initial regulatory flexibility analysis that
examines the potential economic effects
of this rule on small entities, as required
by the Regulatory Flexibility Act. The

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economic analysis is summarized
below. Copies of the full analysis are
available by contacting the person listed
under FOR FURTHER INFORMATION
CONTACT or on the Regulations.gov
website (see ADDRESSES above for
instructions for accessing
Regulations.gov).
Based on the information we have,
there is no reason to conclude that
adoption of this proposed rule would
result in any significant economic effect
on a substantial number of small
entities. However, we do not currently
have all of the data necessary for a
comprehensive analysis of the effects of
this proposed rule on small entities.
Therefore, we are inviting comments on
potential effects. In particular, we are
interested in determining the number
and kind of small entities that may
incur benefits or costs from the
implementation of this proposed rule.
We are proposing to establish new
regulations and standards and amend
existing regulations governing the
humane handling, care, treatment, and
transportation of birds, other than birds
bred for use in research, covered under
the Animal Welfare Act. This action
would ensure the humane handling,
care, treatment, and transportation of
birds not bred for use in research
covered under the Act. The benefit of
this rule would be improved animal
welfare because certain birds would be
brought under the protection of the
AWA. The proposed rule would help
ensure the humane handling and care of
birds and help ensure that such birds
are monitored for their health and
humane treatment.
The proposed rule would affect U.S.
facilities that handle or maintain birds
not bred for use in research that are sold
as pets at the wholesale level or at retail
if not face-to face, or transported in
commerce, or used for exhibition,
research, teaching, testing, or
experimentation purposes. Facilities
affected would include research
facilities that use wild-caught birds,
breeders and distributors of birds, and
exhibitors of birds, as well as carriers
and intermediate handlers of birds.12
We note that under the current AWA
regulations, several licensing
exemptions exist that would apply to
persons possessing and using birds who
are not otherwise required to obtain a
license. Retail pet stores, as defined in
the regulations and requiring the seller,
12 Only those research facilities that use wildcaught birds for research, testing, teaching, or
experimentation, including activities such as
investigations into animal propagation and wildlife
ecology, would be subject to the provisions of this
proposed rule. Facilities using birds bred for use in
research would not be subject to this rule.

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buyer, and the animal available for sale
be physically present, are exempt from
the licensing requirements. Therefore,
under this proposed rule, bird breeders
who sell pet birds strictly under the
conditions of the definition would not
be affected. In addition, the current
regulations provide an exemption for
any person who sells or negotiates the
sale or purchase of any animal except
wild or exotic animals, dogs, or cats,
and who derives no more than $500
gross income from the sale of such
animals during any calendar year and is
not otherwise required to obtain a
license. Exemptions are also provided
for any person who maintains four or
fewer breeding females and sells only
the offspring for pets or exhibition; any
person who arranges for transportation
or transports animals solely for the
purpose of breeding, exhibiting in
purebred shows, boarding (not in
association with commercial
transportation), grooming, or medical
treatment, and is not otherwise required
to obtain a license; any person who
buys, sells, transports, or negotiates the
sale, purchase, or transportation of any
animals used only for the purposes of
food or fiber; any person who maintains
eight or fewer animals for exhibition;
and any person who buys animals solely
for his or her own use or enjoyment and
who does not sell or exhibit animals.
Under this proposal, these exemptions
to licensing would apply to bird
breeders and bird exhibitors as well.
Newly regulated entities would be
subject to licensing, animal
identification, and recordkeeping
requirements, as well as standards for
facilities and operations, animal health
and husbandry, and transportation
under this proposed rule. Licensing
costs would be incurred by all new
licensees. Other costs would depend on
the manner and extent to which entities
are not currently complying with the
basic standards under the AWA. Some
of these costs would be one-time costs
in the first year, such as providing
adequate shelter; others would recur

yearly, such as providing adequate
veterinary care.
A great deal of uncertainty surrounds
the number of facilities that would be
affected by this proposed rule.
Uncertainty also surrounds the number
of those facilities that would need to
make structural or operational changes,
as well as the extent of such changes.
We are seeking public input on those
numbers and request any data support
for those comments. For the purposes of
this analysis, we have estimated that
there could be as many as 5,625 new
licensees—1,625 newly regulated
breeders and distributors and 4,000
newly regulated exhibitors, and as many
as 350 new registrants—250 newly
regulated research facilities and 100
newly regulated carriers and
intermediate handlers. For those new
licensees, total new licensing costs
could be about $675,000, or about
$225,000 annually. We have estimated
that the total annualized cost of the
recordkeeping and other information
collection requirements to be about $4.5
million. If all newly regulated licensees
and registrants must develop new
contingency planning costs, the total
cost could be from about $388,000 to
$1.4 million. If all newly regulated
dealers and research facilities must
develop a new written plan of
veterinary care, the total new cost could
be about $881,000. Together, annually
these costs range from about $3.3
million to $7 million. To the extent that
facilities are already keeping records,
have already done contingency
planning, and have already developed a
plan of veterinary care for their birds,
these costs could be overestimated.
For example, both the 2011 Guide for
Care of Laboratory Animals and the
2010 Guide for the Care of Agricultural
Animals in Research (‘‘the Guide’’) and
the 2010 Guide for the Care of
Agricultural Animals in Research and
Teaching (‘‘the Ag-Guide’’) require
contingency planning and emergency
preparedness. Research facilities
receiving funding from the U.S. Public
Health Service (PHS) are required to

follow standards of care set forth in the
Guide. PHS-funded research facilities
that utilize farm animals for biomedical
research must follow either the Guide or
the Ag-Guide. Research facilities may
voluntarily acquire accreditation by the
Association for Assessment and
Accreditation of Laboratory Animal
Care International (AAALAC). AAALAC
uses the Guide as the standard when
assessing animal care and use programs
in the United States. We are seeking
comments from the public on the
accuracy of these costs and request any
data support for those comments.
In addition to those requirements,
newly regulated entities would also
need to meet regulatory standards for
bird identification, performance
standards for facilities and operations,
health and husbandry, and
transportation. However, as
acknowledged by a wide spectrum of
commenters in listening sessions and
during previous APHIS actions, bird
dealers and exhibitors are often
complying with professionally accepted
standards to protect avian health and
prevent discomfort and thus maintain
their facilities well above the minimum
standards of this proposed rule. Many of
the proposed regulations are
performance based, rather than having
specific engineering standards.
Therefore, a number of newly regulated
entities would not need to make
significant structural and/or other
operational changes in order to comply
with the standards in this proposed
rule. Neither the number of entities that
would need to make changes nor the
extent of those changes is known.
Therefore, the overall cost of structural
and operational changes that would be
incurred due to this rule is also
unknown. However, commenters have
identified potential costs that could
have an impact on regulated activities
with birds and the general potential
magnitude of those costs are discussed.
In addition, APHIS estimates that the
public outreach, guidance, and training
would cost about $726,000.

TABLE A—POTENTIAL COST CATEGORIES FOR LICENSEES ASSOCIATED WITH THE RULE
[2021 Dollars]

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Activity

Certain potential costs

Licensing ............................................................................
Recordkeeping and Other Information Collection ..............
Contingency Planning ........................................................
Plan of Veterinary Care .....................................................

$120/3 years.
20 hours annually; $720/respondent.
1 to 2 hours preparation, and 1 hour training; $65 to $226/entity.
$150 per facility, new; $50 per facility for an update.

Other Structural or Operational Changes
Bird identification ................................................................

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Leg or wing band $0.03–$0.50/each; Microchip $4–$15/each; Microchip reader $60–
$375/facility; Labor for banding or microchipping $28–$57; Primary enclosure label
<$0.02/bird.

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9903

TABLE A—POTENTIAL COST CATEGORIES FOR LICENSEES ASSOCIATED WITH THE RULE—Continued
[2021 Dollars]
Activity

Certain potential costs

Veterinary care, as needed ................................................
Facilities .............................................................................
Water and Electrical Power ...............................................

$46–$350/bird.
$57–$114/repair.
For facility with 20 birds $546 for plumbed water or $90–$300 for bottles; $400–
$2,000/generator.
Brood box thermometer $6–$150/each; Space heating $25–$200.
Hardware cloth $20–$50; Attic fan $50–$200 plus installation; HEPA filter $100–
$200.
Nest box $57–$114.
Commercial enclosures $100 to $1,000/each; Repair or upgrade of existing enclosure $278–$432.
$100–$200/enclosure.
Storage container/shed $150–$1,000; Label maker $20.

Temperature & Humidity ....................................................
Ventilation ...........................................................................
Shelter ................................................................................
Primary enclosures ............................................................
Environment enhancement ................................................
Cleaning, sanitation, and pest control ...............................

Personnel
Labor (includes other listed activities) ...............................
Training ..............................................................................
Nutrition ..............................................................................
Primary enclosures during transport ..................................
Food, water, and health monitoring during transit .............

The majority of businesses potentially
affected by this proposed rule are likely
to be small entities. As explained, the
wide range in potential cost is mainly
derived from the uncertainty
surrounding the total number of
breeders that would need to become
licensed as a result of this proposed rule
and the number of those newly
regulated entities that would then need
to make structural or operational
changes, as well as from the structural
or operational changes that would be
chosen to remedy instances of
noncompliance.
Executive Order 12372
This program/activity is listed in the
Catalog of Federal Domestic Assistance
under No. 10.025 and is subject to
Executive Order 12372, which requires
intergovernmental consultation with
State and local officials. (See 2 CFR
chapter IV.)
Executive Order 12988

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This proposed rule has been reviewed
under Executive Order 12988, Civil
Justice Reform. It is not intended to
have retroactive effect. The Act does not
provide administrative procedures
which must be exhausted prior to a
judicial challenge to the provisions of
this rule.
Executive Order 13175
This proposed rule has been reviewed
in accordance with the requirements of
Executive Order 13175, ‘‘Consultation
and Coordination with Indian Tribal
Governments.’’ Executive Order 13175
requires Federal agencies to consult and
coordinate with tribes on a government-

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1–10 hours/week; $1,477–$14,768/year.
$45–$75/employee.
Containers $10–$100; Commercial freezer $250–$1,500.
Pet crates approved for air travel $60–$350.
Brooder $150–$600.

to-government basis on policies that
have tribal implications, including
regulations, legislative comments or
proposed legislation, and other policy
statements or actions that have
substantial direct effects on one or more
Indian Tribes, on the relationship
between the Federal Government and
Indian Tribes or on the distribution of
power and responsibilities between the
Federal Government and Indian Tribes.
APHIS has determined that this
proposed rule, if finalized, may have
substantial direct effects on one or more
Tribes, and that affording Tribes an
opportunity for consultation is therefore
warranted. This initial consultation
occurred on November 4, 2021. No
questions were raised during the
consultation, but one participant
intended to email a question to APHIS
at a future date. A summary of how
APHIS incorporated consultation
feedback in this rulemaking will be
shared with Tribes that participate in
consultation and in the next rulemaking
iteration, once published. APHIS is
committed to full compliance with the
provisions of Executive Order 13175.
Paperwork Reduction Act
Many activities resulting from this
proposed rule are currently approved
under the Office of Management and
Budget (OMB) control number 0579–
0036; however, 0579–0036 does not
capture the respondents or burden
described in this proposed rule.
Therefore, in accordance with section
3507(d) of the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501 et seq.), the
activities with respondents’ burden
resulting from this proposed rule that

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are not covered under 0579–0036, and
new activities and their burden
associated with this proposed rule, have
been submitted to OMB as a new
information collection for approval.
After a final rule is published, this
information collection request will be
scheduled for merger into 0579–0036 in
the future.
Written comments and
recommendations for the proposed
information collection should be sent
within 60 days of publication of this
notice to www.reginfo.gov/public/do/
PRAMain. Find this particular
information collection by selecting
‘‘Currently under 60-day Review—Open
for Public Comments’’ or by using the
search function. Please send a copy of
your comments to: (1) Docket No.
APHIS–2020–0068, Regulatory Analysis
and Development, PPD, APHIS, Station
3A–03.8, 4700 River Road Unit 118,
Riverdale, MD 20737–1238, and (2)
Clearance Officer, OCIO, USDA, Room
404–W, 14th Street and Independence
Avenue SW, Washington, DC 20250.
Administering the AWA requires the
use of several information collection
activities. The increase in respondents
resulting from this proposed rule would
result in a corresponding increase in
burden for activities currently approved
under 0579–0036. In addition to
recordkeeping, they include online tools
for licensing or registration packets;
applications for new license or
registration, and updates; filing of a debt
collection form and payment of
licensing fees; written requests for
correction of renewal applications;
request for appeals or hearings; requests
for pre-licensing inspections;

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inspections by licensed veterinarians;
written programs of veterinary care for
research facilities, exhibitors, or dealers;
annual reports of research facilities;
health certificates for transport; requests
for variance; written guarantees;
submission of itineraries of exhibition;
complaint submissions; access and
inspection of records and property; and
creating instituted animal care and use
committees.
The proposed changes to the
regulations would also result in the
creation of new reportable activities.
These activities and any additional ones
announced in the final rule resulting
from public comment will be merged
into 0579–0036 in the future after OMB
approval. In addition to recordkeeping,
information collected includes, but is
not limited to, dealers and exhibitors
identifying their confined birds using
either an enclosure label, leg or wing
bands, or transponders. They and
research facilities will also be required
to develop and document a speciesappropriate plan for environment
enhancement adequate to promote the
psychological well-being of birds.
Facilities maintaining enclosed birds
will be required to create and document
schedules of enclosure cleaning and
sanitizing. Consignors will be required
to provide carriers and intermediate
handlers certification in writing that
transported birds were offered food and
water, and information about the
sender.
These information collection activity
requirements provide APHIS with the
data necessary for the review and
evaluation of program compliance by
regulated facilities, and they provide a
workable enforcement system to carry
out the requirements of the AWA and
the intent of Congress.
APHIS expects to solicit feedback
from a variety of respondents affected
by this proposed rule. They might
request and submit licensure or
registration packets or other
documentation, and include private
hobbyists; breeders and other for-profit
businesses and farms; not-for-profit
institutions such as foundations,
refuges, zoos, rehabilitation facilities, as
well as educational institutions; and
State, local, or Tribal authorities
partnering with USDA to enforce these
regulations. For wage calculations
reported in the information collection
request, APHIS used the Bureau of
Labor Statistics’ Occupational
Employment and Wage Statistics to
estimate wages, specifically those for
government animal health officials,
ranchers (SOCC 11–9013), caretakers
(SOCC 39–2021), transporters (SOCC
53–7199), and individuals (SOCC 00–

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0000). More information can be found in
the information collection request
supporting statement.
We are soliciting comments from the
public concerning our proposed
information collection and
recordkeeping requirements. These
comments will help us:
(1) Evaluate whether the proposed
information collection is necessary for
the proper performance of our agency’s
functions, including whether the
information will have practical utility;
(2) Evaluate the accuracy of our
estimate of the burden of the proposed
information collection, including the
validity of the methodology and
assumptions used;
(3) Enhance the quality, utility, and
clarity of the information to be
collected; and
(4) Minimize the burden of the
information collection on those who are
to respond (such as through the use of
appropriate automated, electronic,
mechanical, or other technological
collection techniques or other forms of
information technology; e.g., permitting
electronic submission of responses).
Respondents: Individuals or
households; businesses or other forprofit entities; not-for-profit institutions;
farms; and State, local, and Tribal
governments.
Estimated annual number of
respondents: 6,268.
Estimated annual number of
responses per respondent: 24.
Estimated annual number of
responses: 150,685.
Estimated total annual burden on
respondents: 128,298 hours. (Due to
averaging, the total annual burden hours
may not equal the product of the annual
number of responses multiplied by the
reporting burden per response.)
A copy of the information collection
may be viewed on the Regulations.gov
website or in our reading room. (A link
to Regulations.gov and information on
the location and hours of the reading
room are provided under the heading
ADDRESSES at the beginning of this
proposed rule.) Information about the
information collection process may be
obtained from Mr. Joseph Moxey,
APHIS’ Paperwork Reduction Act
Coordinator, at (301) 851–2483. APHIS
will respond to any information
collection-related comments in the final
rule. All comments will also become a
matter of public record.
E-Government Act Compliance
The Animal and Plant Health
Inspection Service is committed to
compliance with the E-Government Act
to promote the use of the internet and
other information technologies, to

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provide increased opportunities for
citizen access to Government
information and services, and for other
purposes. APHIS estimates that 10
percent of the total responses can be
processed electronically. Most of the
activities that require forms also require
original signatures or the completed
forms must accompany the animals they
were prepared for; processing them
electronically is not feasible. APHIS is
working towards making required forms
available as fillable PDF format.
Certification, accreditation, registration,
permits, and other licensing activities
and processes currently can be
uploaded into DocuSign or eFile
information systems, or emailed.
Respondents are free to maintain
required records as best suited for their
organization. Details about specific
forms for reportable activities can be
found in the information collection
request supporting statement.
For assistance with E-Government Act
compliance related to this proposed
rule, please contact Mr. Joseph Moxey,
APHIS’ Paperwork Reduction Act
Coordinator, at (301) 851–2483, or the
person listed under FOR FURTHER
INFORMATION CONTACT.
List of Subjects
9 CFR Parts 1 and 2
Animal welfare, Pets, Reporting and
recordkeeping requirements, Research.
9 CFR Part 3
Animal welfare, Marine mammals,
Pets, Reporting and recordkeeping
requirements, Research, Transportation.
Accordingly, we propose to amend 9
CFR parts 1, 2, and 3 as follows:
PART 1—DEFINITION OF TERMS
1. The authority citation for part 1
continues to read as follows:

■

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

2. Section 1.1 is amended as follows:
a. By adding, in alphabetical order,
definitions for ‘‘Bird’’ and ‘‘Bred for use
in research’’;
■ b. By revising the definitions of
‘‘Carrier’’, ‘‘Exhibitor’’, ‘‘Farm animal’’,
‘‘Intermediate handler’’, and ‘‘Pet
animal’’;
■ c. By adding, in alphabetical order, a
definition for ‘‘Poultry’’; and
■ d. By revising the definitions of
‘‘Retail pet store’’ and ‘‘Weaned’’.
The additions and revisions read as
follows:
■
■

§ 1.1

Definitions.

*

*
*
*
*
Bird means any member of the class
Aves (excluding eggs).

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Bred for use in research means an
animal that is bred in captivity and is
being used or is intended for use for
research, teaching, testing, or
experimentation purposes.
*
*
*
*
*
Carrier means the operator of any
airline, railroad, motor carrier, shipping
line, or other enterprise which is
engaged in the business of transporting
any animals for hire. Except anyone
transporting a migratory bird covered
under the Migratory Bird Treaty Act
from the wild to a facility for
rehabilitation and eventual release in
the wild, or between rehabilitation
facilities, and has obtained
authorization from the U.S. Fish and
Wildlife Service for that purpose, is not
a ‘‘carrier’’.
*
*
*
*
*
Exhibitor means any person (public or
private) exhibiting any animals, which
were purchased in commerce or the
intended distribution of which affects
commerce, or will affect commerce, to
the public for compensation, as
determined by the Secretary. This term
includes carnivals, circuses, animal acts
(including free-flighted bird shows),
zoos, and educational exhibits,
exhibiting such animals whether
operated for profit or not. This term
excludes retail pet stores, horse, dog,
and pigeon races, an owner of a
common, domesticated household pet
who derives less than a substantial
portion of income from a nonprimary
source (as determined by the Secretary)
for exhibiting an animal that exclusively
resides at the residence of the pet
owner, organizations sponsoring and all
persons participating in State and
country fairs, livestock shows, rodeos,
field trials, coursing events, purebred
dog and cat shows, bird fancier shows,
and any other fairs or exhibitions
intended to advance agricultural arts
and sciences, as may be determined by
the Secretary.
*
*
*
*
*
Farm animal means any domestic
species of cattle, sheep, swine, goats,
llamas, horses, or poultry, which are
normally and have historically been
kept and raised on farms in the United
States and used or intended for use as
food or fiber, or for improving animal
nutrition, breeding, management, or
production efficiency, or for improving
the quality of food or fiber. This term
also includes animals such as rabbits,
mink, chinchilla, and ratites when they
are used solely for purposes of meat, fur,
feathers, or skins, and animals such as
horses and llamas when used solely as
work and pack animals.
*
*
*
*
*

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Intermediate handler means any
person, including a department, agency,
or instrumentality of the United States
or of any State or local government
(other than a dealer, research facility,
exhibitor, any person excluded from the
definition of a dealer, research facility,
or exhibitor, an operator of an auction
sale, or a carrier), who is engaged in any
business in which he receives custody
of animals in connection with their
transportation in commerce. Except
anyone transporting a migratory bird
covered under the Migratory Bird Treaty
Act from the wild to a facility for
rehabilitation and eventual release in
the wild, or between rehabilitation
facilities, and has obtained
authorization from the U.S. Fish and
Wildlife Service for that purpose, is not
an ‘‘intermediate handler’’.
*
*
*
*
*
Pet animal means any animal that has
commonly been kept as a pet in family
households in the United States, such as
dogs, cats, guinea pigs, rabbits,
hamsters, and birds. This term also
includes but is not limited to such birds
as parrots, canaries, cockatiels,
lovebirds, and budgerigar parakeets.
This term excludes exotic animals and
wild animals.
*
*
*
*
*
Poultry means any species of
chickens, turkeys, swans, partridges,
guinea fowl, and pea fowl; ducks, geese,
pigeons, and doves; grouse, pheasants,
and quail.
*
*
*
*
*
Retail pet store means a place of
business or residence at which the
seller, buyer, and the animal available
for sale are physically present so that
every buyer may personally observe the
animal prior to purchasing and/or
taking custody of that animal after
purchase, and where only the following
animals are sold or offered for sale, at
retail, for use as pets: Dogs, cats, rabbits,
guinea pigs, hamsters, gerbils, rats,
mice, gophers, chinchillas,
domesticated ferrets, domesticated farmtype animals, birds, and coldblooded
species. Such definition excludes—
(1) Establishments or persons who
deal in dogs used for hunting, security,
or breeding purposes;
(2) Establishments or persons
exhibiting, selling, or offering to exhibit
or sell any wild or exotic or other
nonpet species of warmblooded animals
such as skunks, raccoons, nonhuman
primates, squirrels, ocelots, foxes,
coyotes, etc.;
(3) Any establishment or person
selling warmblooded animals (except
laboratory rats and mice) for research or
exhibition purposes;

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(4) Any establishment wholesaling
any animals (except rats and mice); and
(5) Any establishment exhibiting pet
animals in a room that is separate from
or adjacent to the retail pet store, or in
an outside area, or anywhere off the
retail pet store premises.
*
*
*
*
*
Weaned means that a mammal has
become accustomed to take solid food
and has so done, without nursing, for a
period of at least 5 consecutive days; or
that a bird has become accustomed to
take food and has so done, without
supplemental feeding from a parent or
human caretaker, for a period of at least
5 consecutive days. Signs that an animal
has become accustomed to take food
include the animal’s ability to maintain
a constant body weight during those 5
days.
*
*
*
*
*
PART 2—REGULATIONS
3. The authority citation for part 2
continues to read as follows:

■

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

4. Section 2.1 is amended as follows:
a. In paragraph (a)(3)(vi), by adding ‘‘,
feathers,’’ after the word ‘‘food’’; and
■ b. In paragraph (b)(2)(ii), by removing
the words ‘‘subparts A through F’’ in the
first sentence and adding the words
‘‘subparts A through G’’ in their place
and revising the last sentence.
The revision reads as follows:
■
■

§ 2.1

Requirements and application.

*

*
*
*
*
(b) * * *
(2) * * *
(ii) * * * A licensee must obtain a
new license before using any animal
beyond those types or numbers of
animals authorized under the existing
license. Notwithstanding these
provisions, a licensee in possession of
birds on [Effective date of final rule],
may continue to operate under that
license until its scheduled expiration
date. APHIS encourages such persons to
apply for a new license at least 90 days
before expiration of the current one.
*
*
*
*
*
§ 2.31

[Amended]

5. In § 2.31, paragraph (d)(1)(ix) is
amended as follows:
■ a. In the third sentence, by removing
the word ‘‘non-rodents’’ and adding the
words ‘‘animals, other than rodents and
birds,’’ in its place; and
■ b. In the fourth sentence, by adding
the words ‘‘and birds’’ after the word
‘‘rodents’’.
■ 6. In § 2.50, paragraph (e) is amended
as follows:
■

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a. By redesignating paragraphs (e)(2)
and (3) as paragraphs (e)(3) and (4),
respectively, and adding a new
paragraph (e)(2); and
■ b. In newly redesignated paragraph
(e)(3) introductory text, by removing the
words ‘‘dogs or cats’’ and adding the
words ‘‘dogs, cats, or birds’’ in their
place.
The addition reads as follows:
■

§ 2.50

Time and method of identification.

*

*
*
*
*
(e) * * *
(2) When one or more birds are
confined in a primary enclosure, the
bird shall be identified by:
(i) A label attached to the primary
enclosure which shall bear a description
of the birds in the primary enclosure,
including:
(A) The number of birds;
(B) The species of the birds;
(C) Any distinctive physical features
of the birds; and
(D) Any identifying marks on the
birds; or
(ii) A leg or wing band applied to each
bird in the primary enclosure by the
dealer or exhibitor that individually
identifies each bird by description or
number; or
(iii) A transponder (microchip) placed
in a standard anatomical location for the
species in accordance with
professionally accepted standards,
provided that the receiving facility has
a compatible transponder (microchip)
reader that is capable of reading the
transponder (microchip) and that the
reader is readily available for use by an
APHIS official and/or facility employee
accompanying the APHIS official.
*
*
*
*
*
■ 7. In § 2.75, paragraph (b)(1)
introductory text is amended by revising
the last sentence to read as follows:
§ 2.75

Records: Dealers and exhibitors.

*

*
*
*
*
(b)(1) * * * The records shall include
any offspring born or hatched of any
animal while in his or her possession or
under his or her control.
*
*
*
*
*
■ 8. In § 2.76, paragraph (a)(7) is revised
to read as follows:

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§ 2.76 Records: Operators of auction sales
and brokers.

(a) * * *
(7) A description of the animal which
shall include:
(i) The species and the breed or type
of animal;
(ii) The sex of the animal; or if the
animal is a bird, only if the sex is
readily determinable;

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(iii) The date of birth or hatch date; or,
if unknown, the approximate age or
developmental stage; and
(iv) The color and any distinctive
markings; and
*
*
*
*
*
PART 3—STANDARDS
9. The authority citation for part 3
continues to read as follows:

■

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

10. The heading for subpart F is
revised to read as follows:

■

Subpart F—Specifications for the
Humane Handling, Care, Treatment,
and Transportation of Warmblooded
Animals Other Than Dogs, Cats,
Rabbits, Hamsters, Guinea Pigs,
Nonhuman Primates, Marine Mammals,
and Birds
11. Subpart G, consisting of §§ 3.150
through 3.168, is added to read as
follows:

■

Subpart G—Specifications for the
Humane Handling, Care, Treatment,
and Transportation of Birds
Sec.
Facilities and Operating Standards
3.150 Facilities, general.
3.151 Facilities, indoor.
3.152 Facilities, outdoor.
3.153 Primary enclosures.
3.154 Environmental enhancement to
promote psychological well-being.
Animal Health and Husbandry Standards
3.155 Feeding.
3.156 Watering.
3.157 Water quality.
3.158 Cleaning, sanitization, housekeeping,
and pest control.
3.159 Employees.
3.160 Compatibility and separation.
Transportation Standards
3.161 Consignments to carriers and
intermediate handlers.
3.162 Primary enclosures used to transport
live birds.
3.163 Primary conveyances (motor vehicle,
rail, air, and marine).
3.164 Food and water requirements.
3.165 Care in transit.
3.166 Terminal facilities.
3.167 Handling.
3.168 Climate and environmental
conditions during transportation.

Subpart G—Specifications for the
Humane Handling, Care, Treatment,
and Transportation of Birds
Facilities and Operating Standards
§ 3.150

Facilities, general.

(a) Structure; construction. Housing
facilities for birds must be designed and

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constructed so that they are structurally
sound for the species of bird housed in
them. They must be kept in good repair,
protect the birds from injury, and
restrict other animals from entering.
Housing facilities must employ security
measures that contain all birds securely.
Such measures may include safety
doors, entry/exit doors to the primary
enclosure that are double-door, or other
equivalent systems designed to prevent
escape of the birds. Birds that are flightrestricted or cannot fly and are allowed
to roam free within the housing facility
or a portion thereof must have access to
safety pens, enclosures, or other areas
that offer the birds protection during
overnight periods and at times when
their activities are not monitored.
(b) Condition and site. Housing
facilities and areas used for storing
animal food or bedding must be free of
any accumulation of trash, waste
material, other discarded materials,
junk, weeds, and brush. Housing
facilities must be kept neat and free of
clutter, including equipment, furniture,
and stored material, but may contain
materials actually used and necessary
for cleaning the area, and fixtures or
equipment necessary for proper
husbandry practices or research needs.
(c) Surfaces. The surfaces of housing
facilities must be constructed in a
manner and made of materials that
allow them to be readily cleaned and/
or sanitized, or removed and replaced
when worn or soiled. Interior surfaces
and surfaces that come in contact with
birds must be:
(1) Nontoxic to the bird;
(2) Free of rust or damage that affects
the structural integrity of the surface or
prevents cleaning; and
(3) Free of jagged edges or sharp
points that could injure the birds.
(d) Water and electric power. The
facility must have reliable electric
power adequate for heating, cooling,
ventilation, and lighting, and for
carrying out other husbandry
requirements in accordance with the
regulations in this subpart. The facility
must provide adequate potable water for
the birds’ drinking needs and adequate
water for cleaning and carrying out
other husbandry requirements.
(e) Storage. Supplies of food,
including food supplements, bedding,
and substrate must be stored in a
manner that protects the supplies from
spoilage, contamination, and vermin
infestation. The supplies must be stored
off the floor and away from the walls,
to allow cleaning underneath and
around the supplies. All food must be
stored at appropriate temperatures and
in a manner that prevents
contamination and deterioration of its

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nutritive value. Food must not be used
beyond its shelf-life date or expiration
date listed on the label. All open
supplies of food and bedding must be
kept in waterproof containers with
tightly fitting lids to prevent
deterioration and contamination, except
for live, frozen, or refrigerated food. Live
food must be maintained in a manner to
ensure wholesomeness. Substances such
as cleaning supplies and disinfectants
that are harmful to the birds but that are
required for normal husbandry practices
must not be stored in food storage and
preparation areas but may be stored in
cabinets in the animal areas, provided
that they are stored in properly labeled
containers that are adequately secured
to prevent potential harm to the birds.
Animal waste and dead animals and
animal parts not intended for food must
not be kept in food storage or food
preparation areas, food freezers, food
refrigerators, and animal areas.
(f) Waste disposal. Housing facility
operators must provide for regular and
frequent collection, removal, and
disposal of animal and food wastes,
substrate, dead animals, debris, garbage,
water, and any other fluids and wastes,
in a manner that minimizes
contamination and disease risk. Trash
containers in housing facilities and in
food storage and preparation areas must
be leakproof and have tightly fitted lids.
(g) Drainage. Housing facilities must
be equipped with disposal and drainage
systems that are constructed and
operated so that animal wastes and
water, except for water located in pools
or other aquatic areas (e.g., ponds,
waterfalls, fountains, and other water
features), are rapidly eliminated so the
animals have the option of remaining
dry. Pools and other aquatic areas must
be maintained in accordance with the
regulations in § 3.157. Disposal and
drainage systems must minimize vermin
and pest infestation, insects, odors, and
disease hazards. All drains must be
properly constructed, installed, and
maintained so that they effectively drain
water. If closed drainage systems are
used, they must be equipped with traps
and prevent the backflow of gases and
the backup of sewage. If the facility uses
sump ponds, settlement ponds, or other
similar systems for drainage and animal
waste disposal, the system must be
located a sufficient distance from the
bird area of the housing facility to
prevent odors, diseases, insects, pests,
and vermin infestation in the bird area.
If drip or constant flow watering devices
are used to provide water to the
animals, excess water must be rapidly
drained out of the animal areas by
gutters or pipes so that animals have the
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(h) Toilets, washrooms, and sinks.
Toilets and washing facilities such as
washrooms, basins, sinks, or showers
must be provided for animal caretakers
and must be readily accessible.
§ 3.151

Facilities, indoor.

(a) Temperature and humidity. The
air temperature and, if present, pool or
other aquatic area (e.g., ponds,
waterfalls, fountains, and other water
features), and air humidity levels in
indoor facilities must be sufficiently
regulated and appropriate to bird
species to protect the birds from
detrimental temperature and humidity
levels, to provide for their health and
well-being, and to prevent discomfort or
distress, in accordance with current
professionally accepted standards.
Prescribed temperature and humidity
levels must be part of the written
program of veterinary care or part of the
full-time veterinarian’s records.
(b) Ventilation. Indoor housing
facilities must be sufficiently ventilated
at all times when birds are present to
provide for their health, to prevent their
discomfort or distress, accumulations of
moisture condensation, odors, and
levels of ammonia, chlorine, and other
noxious gases. The ventilation system
must minimize drafts.
(c) Lighting. Indoor housing facilities
must have lighting, by natural or
artificial means, or both, of appropriate
quality, distribution, and duration for
the species of birds involved. Such
lighting must be sufficient to permit
routine inspection and cleaning.
Lighting of primary enclosures must be
designed to protect the birds from
excessive illumination that may cause
discomfort or distress.
(d) Indoor pool or other aquatic areas.
Indoor pools or other aquatic areas (e.g.,
ponds, waterfalls, fountains, and other
water features) must have sufficient
vertical air space above the pool or other
aquatic area to allow for behaviors
typical to the species of bird under
consideration. Such behaviors may
include, but are not limited to, diving
and swimming.
§ 3.152

Facilities, outdoor.

(a) Acclimation. Birds may not be
housed in outdoor facilities unless the
air humidity and temperature ranges
and, if applicable, pool or other aquatic
area (e.g., ponds, waterfalls, fountains,
and other water features) temperature
ranges do not adversely affect bird
health and comfort. Birds may not be
introduced to an outdoor housing
facility until they are acclimated to the
ambient temperature and humidity and,
if applicable, pool or other aquatic area

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temperature range which they will
encounter therein.
(b) Shelter from inclement weather.
Outdoor housing facilities must provide
adequate shelter, appropriate to the
species and physical condition of the
birds, for the local climatic conditions
to protect the birds from any adverse
weather conditions. Shelters must be
adequately ventilated in hot weather
and have one or more separate areas of
shade or other effective protection that
is large enough to comfortably contain
all the birds at one time and prevent
their discomfort from direct sunlight,
precipitation, or wind. Shelter must also
be constructed to provide sufficient
space to comfortably hold all of the
birds at the same time without adverse
intraspecific aggression or grouping of
incompatible birds. For birds that form
dominance hierarchies and that are
maintained in social groupings,
shelter(s) must be constructed so as to
provide sufficient space to comfortably
hold all the birds at the same time,
including birds that are low in the
hierarchy.
§ 3.153

Primary enclosures.

(a) General requirements. Primary
enclosures must be designed and
constructed of suitable materials so that
they are structurally sound. The primary
enclosures must be kept in good repair.
(1) Primary enclosures must be
constructed and maintained so that
they:
(i) Have no sharp points or edges that
could injure the birds;
(ii) Protect the birds from injury;
(iii) Contain the birds securely;
(iv) Restrict other animals from
entering the enclosure;
(v) Ensure that birds have the option
to remain dry and clean;
(vi) Provide shelter and protection for
each bird from climatic and
environmental conditions that may be
detrimental to its health and well-being;
(vii) Provide sufficient shade to
comfortably shelter all birds housed in
the primary enclosure at one time,
including low ranking birds that are
maintained in social groupings that
form dominance hierarchies;
(viii) Provide all the birds with easy
and convenient access to clean food and
potable water;
(ix) Ensure that all surfaces in contact
with the birds may be readily cleaned
and/or sanitized in accordance with
§ 3.158 or be replaced when worn or
soiled; and
(x) Have floors that are constructed in
a manner that protects the birds’ feet
and legs from injury. If flooring material
is suspended, it must be sufficiently taut
to prevent excessive sagging under the

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bird’s weight. If substrate is used in the
primary enclosure, the substrate must be
clean and made of a suitably absorbent
material that is safe and nontoxic to the
birds.
(2) Furniture-type objects, such as
perches and other objects that enrich a
bird’s environment, must be speciesappropriate and be designed,
constructed, and maintained so as to
prevent harm to the bird. If the
enclosure houses birds that rest by
perching, there must be perches
available that are appropriate to the age
and species of birds housed therein and
a sufficient number of perches of
appropriate size, shape, strength,
texture, and placement to comfortably
hold all the birds in the primary
enclosure at the same time, including
birds that are ranked low in a
dominance hierarchy.
(3) Primary enclosures that are
adjacent to one another or that share a
common side with another enclosure
must be suitably screened from each
other or kept at a sufficient distance
apart in order to prevent injury of the
occupants due to predation, territorial
disputes, or aggression.
(b) Space requirements. Primary
enclosures must be constructed and
maintained so as to allow each bird to
make normal postural and social
adjustments, such as dust-bathing and
foraging, with adequate freedom of
movement and freedom to escape from
aggression demonstrated by other
animals in the enclosure according to
the program of veterinary care
developed, documented in writing, and
signed by the attending veterinarian.
Both part-time and full-time attending
veterinarians at a facility must
document and maintain a record that
the space in all enclosures housing birds
are adequate and allow for normal
postural and social adjustments.
Inadequate space may be indicated by
evidence of malnutrition, poor
condition, debility, stress, or abnormal
behavior patterns. The normal postural
and social adjustments of a bird may be
restricted:
(1) When the attending veterinarian
determines that making species-typical
postural or social adjustments, such as
dust-bathing, foraging, or running,
would be detrimental to the bird’s good
health and well-being. The attending
veterinarian must document the reason
and recommended duration for the
restriction and make such records
available for review by an APHIS
inspector.
(2) When the birds are tethered in
accordance with current professionally
accepted standards. Birds must not be
tethered unless:

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(i) It is appropriate for the species of
bird;
(ii) It will not cause harm to the birds;
(iii) The birds are maintained on
perches appropriate for the species and
age of the bird while tethered;
(iv) The birds have sufficient space to
fully extend their wings without
obstruction; and
(v) The tether does not entangle the
birds.
(3) When dealers, exhibitors, and
research facilities breed or intend to
breed their birds, such birds must be
provided with structures and/or
materials that meet the reproductive
needs of the species during the
appropriate season or time periods. A
sufficient number of structures and
materials must be provided to meet the
needs of all breeding birds in an
enclosure and to minimize aggression.
(4) Birds intended for breeding sale,
in need of medical care, exhibited in
traveling exhibits, or traveling for other
reasons must be kept in enclosures that,
at minimum, meet the individual
specific space, safety, bedding, perch,
and physical environment (including,
but not limited to, temperature,
humidity, sun and wind exposure)
requirements for transport enclosures as
specified in § 3.162. At all other times,
birds must be housed in enclosures that
meet the space requirements of this
section.
(c) Special space requirements for
wading and aquatic birds. Primary
enclosures housing wading and aquatic
birds must contain a pool or other
aquatic area (e.g., ponds, waterfalls,
fountains, and other water features) and
a dry area that allows easy ingress or
egress of the pool or other aquatic area.
Pools and other aquatic areas must be of
sufficient surface area and depth to
allow each bird to make normal postural
and social adjustments, such as
immersion, bathing, swimming, and
foraging, with adequate freedom of
movement and freedom to escape from
aggression demonstrated by other birds
in the enclosure. Dry areas must be of
sufficient size to allow each bird to
make normal postural and social
adjustments with adequate freedom of
movement and freedom to escape from
aggression demonstrated by other birds
in the enclosure. Inadequate space may
be indicated by evidence of
malnutrition, poor condition, debility,
stress, or abnormal behavior patterns.
§ 3.154 Environment enhancement to
promote psychological well-being.

Dealers, exhibitors, and research
facilities must develop, document, and
follow a species-appropriate plan for
environment enhancement adequate to

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promote the psychological well-being of
birds. The plan is part of the required
program of veterinary care and must be
approved by a veterinarian and must be
in accordance with the regulations in
this subpart and with currently accepted
professional standards. This plan must
be made available to APHIS upon
request, and, in the case of research
facilities, to officials of any pertinent
funding agency. The plan, at a
minimum, must address each of the
following:
(a) Social grouping. The environment
enhancement plan must include specific
provisions to address the social needs of
species of birds known to exist in social
groups in nature. Such specific
provisions must be in accordance with
currently accepted professional
standards. The plan may provide for the
following exceptions:
(1) If a bird exhibits vicious or overly
aggressive behavior, or is debilitated as
a result of age or other conditions (e.g.,
arthritis), it can be housed separately if
approved by the veterinarian;
(2) Additionally, birds that have or are
suspected of having a contagious
disease must be isolated from healthy
animals in the colony as directed by the
attending veterinarian. When an entire
group or room of birds is known to have
been or believed to be exposed to an
infectious agent, the group may be kept
intact during the process of diagnosis,
treatment, and control.
(3) Birds may not be housed with
other species of birds or animals unless
they are compatible, do not prevent
access to food, water, or shelter by
individual animals, and are not known
to be hazardous to the health and wellbeing of each other. Compatibility of
birds must be determined in accordance
with generally accepted professional
practices and actual observations by the
attending veterinarian during his or her
regularly scheduled visits to the facility.
Individually housed social species of
birds must be able to see and hear birds
of their own or compatible species
unless the attending veterinarian
determines that it would endanger their
health, safety, or well-being.
(b) Environmental enrichment. The
physical environment in the primary
enclosures must be enriched by
materials or activities that would
provide the birds with the means to
express noninjurious species-typical
activities. Species differences should be
considered when determining the type
or methods of enrichment. Examples of
environmental enrichments include
providing perches, swings, mirrors, and
other increased cage complexities;
providing objects to manipulate; varied
food items; using foraging or task-

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Federal Register / Vol. 87, No. 35 / Tuesday, February 22, 2022 / Proposed Rules
oriented feeding methods; and
providing interaction with the care giver
or other familiar and knowledgeable
person consistent with personnel safety
precautions.
(c) Special considerations. Certain
birds must be provided special attention
regarding enhancement of their
environment, based on the needs of the
individual species and in accordance
with the instructions of the attending
veterinarian. Birds requiring special
attention are the following:
(1) Infants and young juveniles;
(2) Those that show signs of being in
psychological distress through behavior
or appearance;
(3) Those used in research for which
the Institutional Animal Care and Use
Committee (IACUC)-approved protocol
requires restricted activity; and
(4) Individually housed social species
of birds that are unable to see and hear
birds of their own or compatible
species.
(d) Restraint devices. Birds must not
be permitted to be maintained in
restraint devices unless required for
health reasons as determined by the
attending veterinarian or by a research
proposal approved by the IACUC at
research facilities. Any restraining
actions must be for the shortest period
possible. If the bird is to be restrained
for more than 12 hours, it must be
provided the opportunity daily for
unrestrained activity for at least 1
continuous hour during the period of
restraint, unless continuous restraint is
required by the research proposal
approved by the IACUC at research
facilities.
(e) Exemptions. (1) The attending
veterinarian may exempt an individual
bird from participation in the
environment enhancement plan because
of its health or condition, or in
consideration of its well-being. The
basis of the exemption must be recorded
by the attending veterinarian for each
exempted bird. Unless the basis for the
exemption is a permanent condition, the
exemption must be reviewed at least
every 30 days by the attending
veterinarian.
(2) For a research facility, the IACUC
may exempt an individual bird from
participation in some or all of the
otherwise required environment
enhancement plans for scientific
reasons set forth in the research
proposal. The basis of the exemption
shall be documented in the approved
proposal and must be reviewed at
appropriate intervals as determined by
the IACUC, but not less than annually.
(3) Records of any exemptions must
be maintained by the dealer, exhibitor,
or research facility for at least 1 year in

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accordance with § 2.80 of this
subchapter and must be made available
to APHIS upon request, and, in the case
of research facilities, to officials of any
pertinent funding agency.
Animal Health and Husbandry
Standards
§ 3.155

Feeding.

(a) The diet for birds must be
appropriate for the species, size, age,
and condition of the bird. The food
must be wholesome, palatable to the
birds, and free of contamination. It must
be of sufficient quantity and nutritive
value to maintain a healthy condition
and weight range of the bird and to meet
its normal daily nutritional
requirements. Birds must be fed at least
once a day except as directed by the
attending veterinarian. If birds are
maintained in group housing, measures
appropriate for the species must be
taken to ensure that all the birds receive
a sufficient quantity of food.
(b) Food and, if used, food receptacles
must be readily accessible to all the
birds being fed. Food and any food
receptacles must be located so as to
minimize any risk of contamination by
excreta, precipitation, and pests. Food
receptacles and feeding areas must be
kept clean and sanitized in accordance
with § 3.158. Used food receptacles
must be cleaned and sanitized before
they can be used to provide food to
birds maintained in a separate
enclosure. Measures must be taken to
ensure there is no molding,
deterioration, contamination, or caking
or undesirable wetting or freezing of
food within or on food receptacles. Food
receptacles must be made of a durable
material that can be easily cleaned and
sanitized or be replaceable when worn
or soiled. Group-housed birds must
have multiple food receptacles where
needed to ensure that all birds have
access to sufficient feed.
§ 3.156

Watering.

Potable water must be provided in
sufficient quantity to every bird housed
at the facility, unless restricted by the
attending veterinarian. If potable water
is not continually available to the birds,
it must be offered to them as often as
necessary to ensure their health and
well-being. Water receptacles must be
kept clean and sanitized in accordance
with § 3.158 as often as necessary to
keep them clean and free of
contamination. Used water receptacles
must be cleaned and sanitized before
they may be used to provide water to
birds maintained in a separate
enclosure. Group-housed birds must
have multiple water receptacles where

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needed to ensure that all birds have
access to sufficient water.
§ 3.157

Water quality.

(a) The primary enclosure or any
other area in which birds may enter
must not contain pools or other aquatic
areas (e.g., ponds, waterfalls, fountains,
and other water features) that are
detrimental to the health of the birds
contained therein.
(1) Particulate animal and food waste,
trash, or debris that enters the pool or
other aquatic area must be removed as
often as necessary to maintain the
required water quality and minimize
health hazards to the birds.
(2) Pools or other aquatic areas with
drainage systems must provide adequate
drainage and must be located so that all
of the water contained in such pools or
other aquatic areas may be effectively
eliminated when necessary for cleaning
the pool or other aquatic area or for
other purposes. Pools or other aquatic
areas without drainage systems must be
aerated and have an incoming flow of
fresh water or be managed in a manner
that maintains appropriate water quality
in accordance with current
professionally accepted standards
appropriate for the species.
(b) When the water is chemically
treated, the chemicals must be added in
a manner that does not cause harm,
discomfort, or distress to the animals.
Should birds appear to be harmed by
water quality, appropriate action must
be taken immediately.
(c) Pools and other aquatic areas must
be salinized for birds that require such
water for their good health and wellbeing in accordance with current
professionally accepted standards.
§ 3.158 Cleaning, sanitization,
housekeeping, and pest control.

(a) Cleaning. (1) Excreta and food
waste must be removed from primary
enclosures and from under and around
primary enclosures as often as necessary
to prevent excessive accumulation of
feces and food waste, to prevent soiling
of the birds contained in the primary
enclosures, and to reduce disease
hazards, insects, pests, and odors. When
steam or water is used to clean primary
enclosures, measures must be taken to
protect birds from being harmed, wetted
involuntarily, or distressed in the
process. Standing water, except for such
water in pools or other aquatic areas
(e.g., ponds, waterfalls, fountains, and
other water features), must be removed
from the primary enclosure.
(2) Scheduled cleaning may be
modified or delayed during breeding,
egg-sitting, or feeding of chicks for birds
that are easily disrupted during such

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behaviors. Scheduled cleaning must
resume when such cleaning no longer
disrupts breeding, egg-sitting, or feeding
of chicks. A schedule of cleaning must
be documented and must include when
breeding season began, when the
primary enclosure was last cleaned, and
when cleaning is expected to resume.
Such records must be available for
review by an APHIS inspector.
(b) Sanitization. (1) Primary
enclosures and food and water
receptacles for birds must be sanitized
as often as necessary to prevent
accumulation of dirt, debris, food waste,
excreta, and other disease hazards.
Provided, however, that sanitization
may be modified or delayed during
breeding, egg-sitting, or feeding of
chicks for those birds that are easily
disrupted during such behaviors.
Sanitization must resume when such
activity no longer disrupts breeding,
egg-sitting, or feeding of chicks. A
schedule of sanitization must be
documented that includes when
breeding season began, when the
primary enclosure was last sanitized,
and when sanitization is expected to
resume. Such records must be available
for review by an APHIS inspector.
(2) The hard surfaces of primary
enclosures and food and water areas and
equipment must be sanitized before a
new bird is brought into a housing
facility or if there is evidence of
infectious disease among the birds in
the housing facility.
(3) Primary enclosures using materials
that cannot be sanitized using
conventional methods, such as gravel,
sand, grass, earth, planted areas, or
absorbent bedding, must be sanitized by
removing all contaminated material as
necessary or by establishing a natural
composting and decomposition system
that is sufficient to prevent wasted food
accumulation, odors, disease, pests,
insects, and vermin infestation.
(c) Housekeeping for premises.
Premises where housing facilities are
located, including buildings,
surrounding grounds, and exhibit areas,
must be kept clean and in good repair
in order to protect the birds from injury
and disease, to facilitate the husbandry
practices required in this subpart, and to
reduce or eliminate breeding and living
areas for rodents, pests, and vermin.
Premises must be kept free of
accumulations of trash, junk, waste
products, and discarded matter. Weeds,
grasses, and bushes must be controlled
so as to facilitate cleaning of the
premises and pest control, and to
protect the health and well-being of the
birds.
(d) Pest control. A safe and effective
program for the control of insects,

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ectoparasites, and avian and
mammalian pests must be established
and maintained so as to promote the
health and well-being of the birds and
reduce contamination by pests in
animal areas. Insecticides, chemical
agents, or other pest control products
that may be harmful to the birds must
not be applied to primary enclosures
and other bird contact surfaces unless
the application is consistent with
manufacturer recommendations or
otherwise approved for use and does not
harm birds.
§ 3.159

Employees.

A sufficient number of adequately
trained employees or attendants must be
utilized to maintain the professionally
acceptable level of husbandry and
handling practices set forth in this
subpart. Such practices must be
conducted under the supervision of a
bird caretaker who has appropriate
experience in the husbandry and care of
birds that are being managed in a given
setting.
§ 3.160

Compatibility and separation.

(a) Socially dependent birds, such as
clutch-mates, must be housed in social
groups, except where the attending
veterinarian exempts an individual bird
because of its health or condition, or in
consideration of its well-being, or for
specific management needs, or where
such social grouping is not in
accordance with a research proposal
and the proposal has been approved by
the research facility IACUC.
(b) Birds may not be housed with
other animals, including members of
their own species, unless they are
compatible, do not prevent access to
food, water, or shelter by individual
animals, and are not known to be
hazardous to the health and well-being
of each other. Compatibility must be
determined in accordance with
generally accepted professional
practices and by actual observations to
ensure that the birds are, in fact,
compatible.
(c) Birds that have or are suspected of
having a contagious disease or
communicable condition must be
separated from healthy animals that are
susceptible to the disease as directed by
the attending veterinarian.
Transportation Standards
§ 3.161 Consignments to carriers and
intermediate handlers.

(a) Carriers and intermediate handlers
must not accept a live bird for transport
in commerce more than 4 hours before
the scheduled departure time of the
primary conveyance on which the
animal is to be transported. However, a

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carrier or intermediate handler may
agree with anyone consigning a bird to
extend this time by up to 2 hours if
specific prior scheduling of the animal
shipment to a destination has been
made, provided that the extension is not
detrimental to the health and well-being
of the bird as determined by the
consignor.
(b) Carriers and intermediate handlers
must not accept a live bird for transport
in commerce unless they are provided
with the name, address, and telephone
number of the consignee.
(c) Carriers and intermediate handlers
must not accept a live bird for transport
in commerce unless the consignor
certifies in writing to the carrier or
intermediate handler that the bird was
offered food and water during the 4
hours prior to delivery to the carrier or
intermediate handler; provision for
unweaned birds is made in paragraph
(g) of this section. The certification must
be securely attached to the outside of
the primary enclosure in a manner that
makes it easy to notice and read. The
certification must include the following
information for each live bird:
(1) The consignor’s name, address,
telephone number, and email address;
(2) The number of birds;
(3) The species or common names of
the birds;
(4) The time and date the bird was last
fed and watered and the specific
instructions for the next feeding(s) and
watering(s) for a 24-hour period; and
(5) The consignor’s signature and the
date and time the certification was
signed.
(d) Carriers and intermediate handlers
must not accept a live bird for transport
in commerce unless the primary
enclosure in which the birds are
contained meets the requirements of
§ 3.162. A carrier or intermediate
handler must not accept a live bird for
transport if the primary enclosure is
defective or damaged and cannot be
expected to contain the bird safely and
comfortably.
(e) Carriers and intermediate handlers
shall not accept a live bird for transport
in commerce unless their animal
holding area maintains climatic and
environmental conditions in accordance
with the requirements of § 3.168.
(f) Carriers and intermediate handlers
must attempt to notify the consignee at
least once in every 6-hour period
following the arrival of any live birds at
the bird holding area of the terminal
cargo facility. The time, date, and
method of each attempted notification
and the final notification to the
consignee and the name of the person
notifying the consignee must be
recorded on the copy of the shipping

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document retained by the carrier or
intermediate handler and on a copy of
the shipping document accompanying
the bird shipment.
(g) Carriers and intermediate handlers
must not accept unweaned birds for
transport unless transport instructions
are specified as a part of the consignee’s
program of veterinary care.

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§ 3.162 Primary enclosures used to
transport live birds.

Any person subject to the Animal
Welfare regulations (parts 1, 2, and 3 of
this subchapter) must not transport or
deliver for transport in commerce a bird
unless the following requirements are
met:
(a) Construction of primary
enclosures. The bird must be contained
in a primary enclosure such as a
compartment, transport cage, carton, or
crate. Primary enclosures used to
transport birds must be constructed so
that:
(1) The primary enclosure is strong
enough to contain the bird securely and
comfortably and to withstand the
normal rigors of transportation;
(2) The interior of the enclosure has
no sharp points or edges and no
protrusions that could injure the bird
contained therein;
(3) The bird is at all times securely
contained within the enclosure and
cannot put any part of its body outside
the enclosure in a way that could result
in injury to itself, to handlers, or to
other persons or to animals nearby;
(4) The bird can be easily and quickly
removed from the enclosure in an
emergency;
(5) Unless the enclosure is
permanently affixed to the conveyance,
adequate handholds or other devices
such as handles are provided on its
exterior, and enable the enclosure to be
lifted without tilting it, and ensure that
anyone handling the enclosure will not
be in contact with the bird contained
inside;
(6) Unless the enclosure is
permanently affixed to the conveyance,
it is clearly marked on top and on one
or more sides with the words ‘‘Live
Animals,’’ in letters at least 1 inch (2.5
centimeters) high, and with arrows or
other markings to indicate the correct
upright position of the primary
enclosure;
(7) Any material, treatment, paint,
preservative, or other chemical used in
or on the enclosure is nontoxic to the
bird and not harmful to its health or
well-being;
(8) A bird that has a fractious or
stress-prone disposition must be
contained in an enclosure that is
padded on the top and sides and has

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protective substrate on the bottom to
prevent injury to the bird during
transport;
(9) Proper ventilation is provided to
the animal in accordance with
paragraph (b) of this section; and
(10) The primary enclosure has a
solid, leak-proof bottom or a removable,
leak-proof collection tray. If a mesh or
other nonsolid floor is used in the
enclosure, it must be designed and
constructed so that the bird cannot put
any part of its body through the holes
in the mesh or the openings in the
nonsolid floor. If substrate (newspaper,
towels, litter, straw, etc.) is used in the
primary enclosure, the substrate must be
clean and made of a suitably absorbent
material that is safe and nontoxic to the
birds.
(b) Ventilation. (1) Unless the primary
enclosure is permanently affixed to the
conveyance, there must be ventilation
openings located on two vertical walls
of the primary enclosure that are at least
16 percent of the surface area of each
such wall or ventilation openings
located on all four walls of the primary
enclosure that are at least 8 percent of
the total surface area of each such wall;
Provided, however, That at least onethird of the total minimum area required
for ventilation of the primary enclosure
must be located on the lower one-half of
the primary enclosure and at least onethird of the total minimum area required
for ventilation of the primary enclosure
must be located on the upper one-half
of the primary enclosure.
(2) Unless the primary enclosure is
permanently affixed to the conveyance,
projecting rims or other devices must be
on the exterior of the outside walls with
any ventilation openings to prevent
obstruction of the ventilation openings.
The projecting rims or similar devices
must be large enough to provide a
minimum air circulation space of 0.75
inches (1.9 centimeters) between the
primary enclosure and anything the
enclosure is adjacent to, unless 90
percent or greater of the surface area of
the enclosure wall is open (e.g., cage
mesh).
(3) Any visually obscuring mesh used
to provide security for the bird in the
enclosure must not interfere with proper
ventilation.
(4) If a primary enclosure is
permanently affixed within the animal
cargo space of the primary conveyance
so that the front opening is the only
source of ventilation for such primary
enclosure, the front opening must open
directly to the outside or to an
unobstructed aisle or passageway within
the primary conveyance. Such front
ventilation opening must be at least 90
percent of the total surface area of the

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front wall of the primary enclosure and
covered with bars, wire mesh, or smooth
expanded metal.
(c) Cleaning of primary enclosures. A
primary enclosure used to hold or
transport birds in commerce must be
cleaned and sanitized before each use in
accordance with § 3.158 by the dealer,
research facility, exhibitor, or operator
of an auction sale.
(d) Compatibility. Live birds
transported in the same primary
enclosure must be of the same species
or compatible species and maintained in
compatible groups. Socially dependent
birds must be able to see and hear each
other.
(e) Space and placement. Primary
enclosures used to transport live birds
must be large enough to ensure that
each bird contained therein has
sufficient space to turn about freely and
to make normal postural adjustments;
Provided, however, That certain species
may be restricted in their movements
according to professionally accepted
standards when such freedom of
movement would constitute a danger to
the birds, their handlers, or other
persons.
(f) Accompanying documents and
records. Documents accompanying the
shipment must be attached in an easily
accessible manner to the outside of a
primary enclosure which is part of such
shipment and must not obstruct
ventilation openings.
§ 3.163 Primary conveyances (motor
vehicle, rail, air, and marine).

(a) The animal cargo space of primary
conveyances used in transporting live
birds must be designed, constructed,
and maintained in a manner that at all
times protects the health and well-being
of the animals transported in them,
ensures their safety and comfort, and
prevents the entry of exhaust from the
primary conveyance during
transportation.
(b) The animal cargo space must have
a supply of air that is sufficient for the
normal breathing of all the animals
being transported in it.
(c) Each primary enclosure containing
birds must be positioned in the animal
cargo space in a manner that provides
protection from the elements and that
allows each bird enough air for normal
breathing.
(d) During transportation, the climatic
conditions in the animal cargo area shall
be maintained in accordance with the
requirements of § 3.168.
(e) Primary enclosures must be
positioned in the primary conveyance in
a manner that allows the birds to be
quickly and easily removed from the
primary conveyance in an emergency.

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(f) The interior of the bird cargo space
must be kept clean.
(g) Live birds may not be transported
with any material, substance (e.g., dry
ice), or device which may reasonably be
expected to be injurious to the health
and well-being of the birds unless
proper precaution is taken to prevent
such injury.

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§ 3.164

Food and water requirements.

(a) All weaned birds must be offered
food and potable water within 4 hours
before being transported in commerce.
(b) Dealers, exhibitors, research
facilities, and operators of auction sales
must provide potable water to all
weaned birds transported in their own
primary conveyance at least every 12
hours after such transportation is
initiated, except for birds which,
according to professionally accepted
standards or under the direction of the
attending veterinarian, require watering
or feeding more or less frequently.
Carriers and intermediate handlers must
provide potable water to all live,
weaned birds at least every 12 hours
after accepting them for transportation
in commerce, except for birds which,
according to professionally accepted
standards or under the direction of the
attending veterinarian, require watering
or feeding more or less frequently.
(c) All weaned birds must be fed at
least once in each 24-hour period,
except as directed by veterinary
treatment, normal fasts, or other
professionally accepted standards. Birds
that require feeding more or less
frequently must be fed accordingly.
(d) A sufficient quantity of food and
water or other source of hydration must
accompany the bird to provide food and
water for such bird during period of
transport, except as directed by
veterinary treatment and other
professionally accepted standards.
(e) Any dealer, research facility,
exhibitor, or operator of an auction sale
offering any live bird to any carrier or
intermediate handler for transportation
in commerce must securely affix to the
outside of the primary enclosure used
for transporting the bird written
instructions for the in-transit food and
water requirements of the bird
contained in the enclosure. The
instructions must be attached in
accordance with § 3.162(f) and in a
manner that makes them easily noticed
and read.
(f) No carrier or intermediate handler
may accept any live bird for
transportation in commerce unless
written instructions concerning the food
and water requirements of such bird
while being so transported is affixed to
the outside of its primary enclosure. The

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instructions must be attached in
accordance with § 3.162(f) and in a
manner that makes them easily noticed
and read.
§ 3.165

Care in transit.

(a) Surface transportation (ground
and water). During surface
transportation, any person subject to the
Animal Welfare regulations in parts 1, 2,
and 3 of this subchapter transporting
birds in commerce must ensure that the
operator of the conveyance, or a person
accompanying the operator, visually
observes the birds as frequently as
circumstances may allow, but not less
than once every 4 hours, to ensure that
the birds are receiving sufficient air for
normal breathing, that climatic and
environmental conditions are being
maintained in accordance with the
requirements in § 3.168, and that all
other applicable standards are met. The
regulated person must ensure that the
operator or person accompanying the
operator determines whether any of the
birds are in physical distress and
obtains any veterinary care needed for
the birds as soon as possible.
(b) Air transportation. When
transported by air, live birds must be
visually observed by the carrier as
frequently as circumstances may allow,
but not less than once every 4 hours, if
the animal cargo space is accessible
during flight. If the animal cargo space
is not accessible during flight, the
carrier must visually observe the live
birds whenever they are loaded and
unloaded and whenever the bird cargo
space is otherwise accessible to ensure
that they are receiving sufficient air for
normal breathing, that climatic and
environmental conditions are being
maintained in accordance with the
requirements in § 3.168, and that all
other applicable standards are met. The
carrier must determine whether any
such live birds are in physical distress
and arrange for any needed veterinary
care as soon as possible.
(c) Prohibition on the transport of ill,
injured, or distressed birds. Any person
subject to the Animal Welfare
regulations in parts 1, 2, and 3 of this
subchapter may not transport in
commerce birds that are ill, injured, or
in physical distress, except to receive
veterinary care for the condition.
§ 3.166

Terminal facilities.

(a) Placement. Carriers and
intermediate handlers must not
commingle shipments of live birds with
other animals or inanimate cargo in
animal holding areas of terminal
facilities.
(b) Cleaning, sanitization, and pest
control. All animal holding areas of

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terminal facilities must be cleaned and
sanitized in a manner prescribed in
§ 3.158 as often as necessary to prevent
an accumulation of debris or excreta
and to minimize vermin infestation and
disease hazards. Terminal facilities
must follow an effective program in all
animal holding areas for the control of
insects, ectoparasites, and other pests of
birds.
(c) Ventilation. Ventilation must be
provided in any animal holding area in
a terminal facility containing birds, by
means of windows, doors, vents, or air
conditioning. The air must be circulated
by fans, blowers, or air conditioning so
as to minimize drafts, odors, and
moisture condensation.
(d) Climatic and environmental
conditions. The climatic and
environmental conditions in an animal
holding area containing live birds shall
be maintained in accordance with the
requirements of § 3.168.
§ 3.167

Handling.

(a) Any person subject to the Animal
Welfare regulations (parts 1, 2, and 3 of
this subchapter) who moves (including
loading and unloading) live birds
within, to, or from the animal holding
area of a terminal facility or a primary
conveyance must do so as quickly and
efficiently as possible and must provide
the following during movement of the
live birds:
(1) Shelter from sunlight and extreme
heat. Sufficient shade shall be provided
to protect the live birds from the direct
rays of the sun.
(2) Shelter from rain and snow.
Sufficient protection shall be provided
to allow the live birds the option to
remain dry during rain, snow, and other
precipitation.
(3) Climatic and environmental
conditions. Climatic and environmental
conditions during movement shall be
maintained in accordance with the
requirements of § 3.168.
(b) Any person handling a primary
enclosure containing a live bird must
use care and must avoid causing
physical harm or distress to the bird.
(c) A primary enclosure containing a
live bird must not be tossed, dropped,
or tilted, and must not be stacked in a
manner which may reasonably be
expected to result in its falling.
§ 3.168 Climatic and environmental
conditions during transportation.

(a)(1) Transportation of all live birds
shall be done in a manner that does not
cause overheating, excessive cooling, or
adverse environmental conditions that
could cause discomfort or stress. When
climatic or environmental conditions,
including temperature, humidity,

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

lotter on DSK11XQN23PROD with PROPOSALS4

exposure, ventilation, pressurization,
time, or other environmental conditions,
or any combination thereof, present a
threat to the health or well-being of a
live bird, appropriate measures must be
taken immediately to alleviate the
impact of those conditions. The
different climatic and environmental
factors prevailing during a journey must
be considered when arranging for the
transportation of and when transporting
live birds. Corrections may include, but
would not be limited to:
(i) The temperature and humidity
level of any enclosure used during
transportation of live birds must be
controlled by adequate ventilation or
any other means necessary;
(ii) Appropriate care must be taken to
ensure that live birds are not subjected
to prolonged drafts detrimental to their
health or well-being;
(iii) Appropriate care must be taken to
ensure that live birds are not exposed to

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direct heat or cold if detrimental to their
health or well-being; and
(iv) During prolonged air transit stops
in local climatic conditions that could
produce excessive heat for live birds
held in aircraft compartments, the
aircraft doors must be opened and, if
necessary, ground equipment must be
used to control the condition of the air
within compartments containing live
birds.
(2) In order to determine what
climatic and environmental conditions
are appropriate for a live bird, factors
such as, but not limited to, the bird’s
age, species, physiological state, last
feeding and watering, and acclimation
shall be considered when such
information is available.
(b) Birds that are not able to maintain
a constant body temperature at ambient
temperatures must be transported in a
brooder or other temperature-regulating
unit that effectively assists the bird in

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maintaining a constant body
temperature during transport.
(1) The temperature of the brooder or
other temperature-regulating unit must
be monitored during transportation and
appropriate for the live bird.
(2) Written instructions for the
temperature requirements of birds
transported in brooders or other
temperature-regulating units must be
securely affixed to the outside of the
primary enclosure used for transporting
the bird. The instructions must be
attached in accordance with § 3.162(f) in
a manner that makes them easily
noticed and read.
Done in Washington, DC, this 14th day of
February 2022.
Jennifer Moffitt,
Under Secretary for Marketing and Regulatory
Programs.
[FR Doc. 2022–03565 Filed 2–18–22; 8:45 am]
BILLING CODE 3410–34–P

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