[Federal Register Volume 65, Number 34 (Friday, February 18, 2000)]
[Proposed Rules]
[Pages 8318-8321]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-3920]


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DEPARTMENT OF AGRICULTURE

Animal and Plant Health Inspection Service

9 CFR Parts 2 and 3

[Docket No. 97-001-4]
RIN 0579-AA85


Animal Welfare; Draft Policy on Training and Handling of 
Potentially Dangerous Animals

AGENCY: Animal and Plant Health Inspection Service, USDA.

ACTION: Draft policy statement and request for comments.

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SUMMARY: We have developed a draft policy statement to provide guidance 
to exhibitors and other regulated entities on how to comply with the 
regulations regarding training and handling of potentially dangerous 
animals (e.g., lions, tigers, bears, and elephants). We are seeking 
public comment on the policy statement before we implement it.

DATES: We invite you to comment. We will consider all comments that we 
receive by April 18, 2000.

ADDRESSES: Please send your comment and three copies to: Docket No. 97-
001-4 Regulatory Analysis and Development PPD, APHIS Suite 3C03, 4700 
River Road, Unit 118, Riverdale, MD 20737-1238 Please state that your 
comment refers to Docket No. 97-001-4.
    You may read any comments that we receive on this docket in our 
reading room. The reading room is located in room 1141 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) 690-2817 before coming.
    APHIS documents published in the Federal Register, and related 
information, including the names of organizations and individuals who 
have commented on APHIS rules, are available on the Internet at http://www.aphis.usda.gov/ppd/rad/webrepor.html.

FOR FURTHER INFORMATION CONTACT: Dr. Barbara Kohn, Senior Staff 
Veterinarian, AC, APHIS, 4700 River Road Unit 84, Riverdale, MD 20737-
1234; (301)734-7833.

SUPPLEMENTARY INFORMATION: The Animal Welfare Act (AWA) (7 U.S.C. 2131 
et seq.) authorizes the Secretary of Agriculture to promulgate 
standards and other requirements governing the humane handling, care, 
treatment, and transportation of certain animals by dealers, 
exhibitors, and other regulated entities. The Secretary of Agriculture 
has delegated the responsibility for enforcing the AWA to the 
Administrator of the Animal and Plant Health Inspection Service 
(APHIS). Regulations established under the AWA are contained in 9 CFR 
parts 1, 2, and 3. The APHIS Animal Care program ensures compliance 
with the AWA regulations by conducting inspections of premises with 
regulated animals.
    Regulations regarding training and handling of animals are found in 
9 CFR part 2. Section 2.131 contains provisions for the humane training 
and handling of animals. In Sec. 2.131, paragraph (a) states that 
handling of all animals must be done as expeditiously and carefully as 
possible in a manner that does not cause trauma, overheating, excessive 
cooling, behavioral stress, physical harm, or unnecessary discomfort. 
Paragraph (a) also prohibits physical abuse and deprivation of food or 
water as tools to train, work, or otherwise handle animals (except that 
short-term withholding of food or water is allowed as long as the 
animals receive their full dietary requirements each day). Paragraphs 
(b) and (c) of Sec. 2.131 set forth humane conditions for public 
exhibition of animals, including providing that animals must be handled 
in a manner that minimizes risk to the animals and the public, be given 
rest periods, not be exposed to rough handling or extended periods of 
exhibition that would be inconsistent with their good health and well-
being, and be under the supervision and control of knowledgeable 
handlers at all times.
    Regulations regarding personnel qualifications for trainers and 
handlers are found in 9 CFR part 3, Sec. Sec. 3.85, 3.108, and 3.132. 
These sections generally require that personnel have adequate knowledge 
and experience to care for and handle the animals. Section 3.85 
concerns nonhuman primates, Sec. 3.108 concerns marine mammals, and 
Sec. 3.132 concerns animals such as bears, big cats, and elephants.
    The general public, regulated industries, and APHIS inspectors have 
requested that we provide more guidance on how to meet the requirements 
of the regulations as they pertain to potentially dangerous animals. On 
July 24, 1997 (62 FR 39802, Docket No. 97-001-1), we published a notice 
in the Federal Register requesting information concerning what 
practices are currently used for training and handling potentially 
dangerous animals and what training and experience levels trainers and 
handlers of such animals have. We requested this information to help us 
more thoroughly examine all issues pertaining to the training and 
handling of potentially dangerous animals. We received over 400 
comments in response to the request for information. Some comments 
contained guidance or training manuals used by individual facilities in 
caring for and handling specific animals (elephants, big cats). Many 
comments supported efforts to clarify the existing regulations to help 
ensure the safe and humane handling of animals in exhibition.
    Based on information received in the comments and our experience in 
enforcing the AWA and the regulations, we have developed a draft policy 
statement to provide more guidance to our inspectors and regulated 
entities as to what we consider acceptable under the regulations for 
the safe and humane handling and training of potentially dangerous 
animals. We intend this policy to be used by exhibitors of potentially 
dangerous animals as a basis for assessing the qualifications of their 
personnel and evaluating their training and handling procedures. We 
also intend that the policy statement place regulated entities on 
notice regarding APHIS' interpretation of the regulations.
    This policy statement is not a comprehensive guide on training and 
handling potentially dangerous animals, nor is the policy intended to 
replace any existing regulations or any existing industry standards. We 
are unaware of any written standards recognized by the industry as a 
whole. However, individual facility guides and many books and articles 
exist that contain standards used by members of the industry for 
training and handling a variety of potentially dangerous animals, and 
adoption of this policy would not preclude use of those guides and 
information. We believe the

[[Page 8319]]

guidance provided in this draft policy is reflective of industry 
standards as they relate to the specific requirements in the AWA 
regulations and is based on our experience in enforcing the AWA.
    Further, the draft policy addresses a wide array of situations and 
a variety of animals that have very different training and handling 
needs. We recognize, for example, that what works for a polar bear may 
not be applicable to a large cat. Likewise, what works for a permanent 
exhibit may not be applicable to a traveling one. We intend the draft 
policy to be used with this in mind, recognizing that certain 
situations may warrant alternative arrangements, but with the goal 
always being the safe and humane handling and training of the 
particular animal in question.
    The policy appears at the end of this document.
    The draft policy statement is divided into three sections: 
Personnel, Handling Techniques and Procedures, and Contingency Plans. 
It describes what levels of knowledge and experience handlers, 
trainers, and other personnel should have, what handling techniques and 
procedures are unacceptable or inadvisable under the regulations 
because they could result in harm to the animals or the public, and 
what contingency plans should cover in the event that an animal becomes 
aggressive.
    We are seeking public comment on the content of the draft policy 
statement before we implement it. We will also be holding a public 
meeting at which the draft policy will be discussed further. The date 
and location of the public meeting will be announced in a separate 
notice in the Federal Register.
    The draft policy is as follows:

Policy on Potentially Dangerous Animals; Personnel Requirements and 
Training and Handling Requirements

References

Animal Welfare Act, section 13
9 CFR part 2, subpart I, section 2.131
9 CFR part 3, subpart D, section 3.85
9 CFR part 3, subpart E, section 3.108 (for polar bears only)
9 CFR part 3, subpart F, section 3.132

History

    This is a new policy statement.

Justification

    Personnel and training and handling regulations currently in use 
under the Animal Welfare Act (AWA)(7 U.S.C. 2131 et seq.) are 
performance-based. The general public, regulated industries, and APHIS 
inspectors have requested over the past few years that we provide more 
guidance to our inspectors and regulated entities on how to comply with 
these regulations. Recent incidents of injury and/or death to members 
of the public, handlers, and regulated animals have brought these 
issues to the forefront. The following draft policy statement has been 
developed to address these concerns and to assist regulated entities by 
providing more guidance on how to comply with the regulations. This 
policy statement is not intended to replace any existing regulations or 
any existing industry standards, and adoption of this policy does not 
preclude use of available industry guidance. The guidance provided in 
this policy is reflective of industry standards as they relate to the 
specific requirements in the AWA regulations and is based on our 
experience in enforcing the AWA. Further, this policy addresses a wide 
array of situations and a variety of animals that have very different 
training and handling needs. We intend the draft policy to be used with 
this in mind, recognizing that certain situations may warrant 
alternative arrangements, but with the goal always being the safe and 
humane handling and training of the particular animal in question in 
accordance with the requirements of the regulations.

Policy

    This draft policy is divided into three sections: Personnel, 
Handling Techniques and Procedures, and Contingency Plans.

Section 1--Personnel

    This section of the policy clarifies the requirements of 
Secs. 2.131(c)(2) and (c)(3), 3.85, 3.108, and 3.132. In Sec. 2.131, 
paragraph (c)(2) requires that, during periods of public contact (with 
any type of animal) a responsible, knowledgeable, and readily 
identifiable employee or attendant must be present at all times. 
Paragraph (c)(3) of Sec. 2.131 requires that, during public exhibition, 
potentially dangerous animals must be under the direct control and 
supervision of a knowledgeable and experienced animal handler. Sections 
3.85 (for nonhuman primates), 3.108 (for marine mammals), and 3.132 
(for animals such as big cats, elephants, wolves, and bears) generally 
require that there be a sufficient number of adequately trained 
employees to maintain husbandry and care of the animals and that such 
practices be under the supervision of someone who has a background in 
care of that type of animal. The only marine mammals that APHIS 
considers ``potentially dangerous'' within the context of this policy 
statement are polar bears.
    The following guidelines apply to personnel (trainers, handlers, 
and attendants, whether volunteers or employees) who handle potentially 
dangerous animals, including, but not limited to, big cats, elephants, 
bears (including polar bears), and nonhuman primates. Questions or 
concerns regarding personnel qualifications should be referred to the 
appropriate Animal Care Regional Office for resolution.
    What constitutes a sufficient number and adequate knowledge and 
experience for animal handlers must be measured in the context of the 
virtually infinite variety of public contact exhibitions. Sometimes the 
animals are allowed to interact physically with the public; an example 
would be photography sessions for the public with a lion cub. In other 
cases it is intended that the animal will only be observed from a safe 
distance although it is not physically confined as in a facility or 
structure; an example would be an elephant in a circus ring.
    A handler should have demonstrable knowledge of and skill in 
currently accepted professional standards and techniques in animal 
training and handling and in the husbandry and care requirements of the 
species he or she is exhibiting. A handler should also be able to 
recognize normal and abnormal behavior and signs of behavioral distress 
for the species he or she is exhibiting. It is essential that the 
handler be experienced and able to apply this knowledge for the safe 
exhibition of the animal. Although it is difficult to quantify the 
necessary length of experience, APHIS will closely scrutinize 
situations where animals are placed under the care and control of a 
handler without at least 2 years experience involving the species being 
exhibited, including at least 1 year of experience handling that type 
of animal in public contact situations.
    As required by the regulations, every facility must use a 
sufficient number of adequately trained employees or attendants for 
normal husbandry and care, and, during public contact, must use 
knowledgeable and experienced handlers. This is necessary to ensure the 
safety and well-being of the animals, facility personnel, and the 
public. To meet these requirements, a sufficient number of handlers 
relative to the number of potentially dangerous animals should be 
present whenever there is a public contact venue or high possibility of 
public contact. Although it is difficult to quantify the number of 
personnel which might be required, APHIS will closely scrutinize 
situations

[[Page 8320]]

where there are not at least two qualified handlers present. In 
addition, it may be necessary to have employees to guard against 
members of the public inappropriately approaching animals; these 
employees would need to be responsible but would not necessarily need 
much experience in handling dangerous animals. APHIS will closely 
scrutinize situations where attendants hired as day-labor or for the 
term of a performance at a particular location are employed for any of 
these purposes.

Section 2--Handling Techniques and Procedures

    This section of the draft policy clarifies the requirements of--
2.131(a)(1), (a)(2)(i), (b)(1), (b)(3), and (c)(1-3). Paragraph (a)(1) 
requires that handling of any animal must be done expeditiously and 
carefully so as to not cause trauma, overheating, excessive cooling, 
behavioral distress, physical harm, or discomfort. Paragraph (a)(2)(i) 
prohibits the use of physical abuse to train, work, or handle any 
animal. Paragraph (b)(1) requires that animals be handled during public 
exhibition so there is minimal risk of harm to the animal and the 
public, with sufficient distance and/or barriers between the animal and 
the public to assure the safety of both. Paragraph (b)(3) prohibits 
young or immature animals from being exposed to rough or excessive 
public handling or from being exhibited for periods of time that would 
be detrimental to their health or well-being. Paragraphs (c)(1) through 
(c)(3) provide that the length and conditions of exhibition for any 
animal must be consistent with the animal's health and well-being; a 
responsible, knowledgeable, and readily identifiable employee or 
attendant must be present at all times during public contact; and 
potentially dangerous animals must be under the direct control and 
supervision of a knowledgeable and experienced animal handler during 
public exhibition.
    Potentially dangerous animals can become aggressive during public 
handling or exhibition and can cause serious harm to themselves, their 
handlers, and members of the public. These regulations are intended to 
ensure the safety and welfare of animals when they are being worked or 
trained and to minimize the risk of harm to animals, facility 
personnel, and the public during public exhibition.
    We consider the following factors to be ones that may contribute to 
physical harm or behavioral stress or be inconsistent with the animal's 
good health and well-being. Other factors may also be harmful under the 
regulations to the well-being of exhibited animals.

 Excessive environmental noise
 Excessive crowding around the animal
 Inappropriate age of the animal (too young or too old for the 
type of exhibition)
 Excessive repeated posing or repositioning of the animal
 Failure to maintain flight (escape) distance
 Lifting animals by their limbs
 Too many or too long interactive sessions
 Threatening or aggressive postures or movements by other 
animals or persons
    This list is, of course, only representative of the virtually 
infinite variety of practices which may be harmful and prohibited.
    Dangerous animals such as bears and big cats should not be walked 
or ``paraded'' among the public on a leash or tether unless the 
licensee can show that the handler (alone or with other handlers and 
attendants) has such physical control of the animal and the situation 
so as to prevent contact with the public. Animals with a history of 
aggressive or uncontrolled behavior should not be used for this 
purpose.
    During any activity in which a member of the public rides a 
regulated animal (such as an elephant), an experienced handler must be 
in direct physical control of the animal. In these situations and 
others where the animal is restrained primarily by its training rather 
than by physical means, an animal with a prior history (including even 
a single incident) of aggressive and uncontrolled behavior should not 
be used.
    Photo booths open to the general public should not use animals that 
cannot be physically restrained by the handler. APHIS will closely 
scrutinize situations involving animals which weigh more than 75 pounds 
or are over 4 months of age. Once again, an animal with a prior history 
(including even a single incident) of aggressive and uncontrolled 
behavior should not be used for this purpose.
    Public contact venues must provide adequate safety barriers for 
members of the general viewing public. These may include physical 
barriers of sufficient strength and location to protect the public from 
unwanted contact with animals, sufficient space between animals and the 
public to afford the same protection, use of a sufficient number of 
trained attendants to prevent unwanted contact, and/or equivalent 
measures to assure the safety of the animals and the public.
    Animals used in public contact venues should have sufficient 
training and exposure to a variety of people and environmental 
situations, for example, noise, crowds, and bright colors. This 
training should be accomplished under rigidly controlled circumstances 
that do not put people at risk. Once again, an animal with a prior 
history (including even a single incident) of aggressive and 
uncontrolled behavior should not be used for this purpose.
    Exhibitors engaged in theatrical or entertainment activities 
(television programs, movies, stage productions, commercials, photo 
shoots, etc.) that use potentially dangerous animals where there is the 
potential for direct contact with actors or models should use only 
animals appropriately trained for the circumstances.
    All fights (i.e., movie, television, theatrical productions, etc.) 
between two or more animals should be simulated. Protected or staged 
fights, in which one or more animals are muzzled, are discouraged and 
would be closely scrutinized.
    The following must also be considered in order to ensure that 
handling is done in a manner that does not cause trauma, behavioral 
stress, physical harm, or unnecessary discomfort, as required by 
Sec. 2.131(a)(1), and because physical abuse to train, work, or handle 
animals is prohibited under Sec. 2.131(a)(2)(i):
     Hot shots, shocking collars, or shocking belts should not 
be used for training or to handle the animals during exhibition and any 
such use will be closely scrutinized.
     An ankus may not be used in an abusive manner that causes 
wounds or other injuries.
    We would be remiss if we did not note that macaques should not be 
used in situations where public contact is likely because they present 
a risk of serious and fatal disease transmission and because of other 
health and safety concerns (macaques carry diseases that are 
particularly harmful to humans).

Section 3--Contingency Plans

    Section 2.131(b)(1) of the regulations requires that handling of 
animals during public exhibition must minimize the risk to animals and 
the public. We would be remiss if we did not emphasize the importance 
of contingency plans for addressing emergency situations and extended 
periods of travel. In the event that a potentially dangerous animal 
behaves in an aggressive or unexpected manner, contingency plans 
provide methods to prevent the animal from harming the trainer, 
handler, or members of the

[[Page 8321]]

public, which in turn minimizes the risk to the animal. A good 
contingency plan can prevent the need to take action resulting in 
injury to the animal in order to bring the animal under control.
    We will closely scrutinize public exhibitions that do not employ 
meaningful contingency plans. All employees responsible for using 
emergency and recapture equipment should be trained in their use. 
Contingency plans should be available to employees at all traveling 
unit sites and home sites.
    Contingency plans and related standard operating procedures should 
address, but not be limited to, the following:
     Procedures for handling and recapturing escaped animals, 
including, but not limited to, equipment to be used, people to be 
contacted, and the chain of command during such a crisis.
     Criteria for deciding when to use various restraint 
methods, and identification of the person who is responsible for making 
such a decision. The level of force used, up to and including lethal 
force, should be consistent with the situation.
     Protocols for euthanasia (for example, how the decision is 
made; when lethal force is required and when an animal needs to be 
euthanized for humane and/or safety reasons; methods to be used).
     Provisions concerning when to contact local law 
enforcement and/or animal control officials and who to contact.
    Based on the species, venue, and type of activities undertaken, the 
availability and appropriate use of any or all of the following 
emergency equipment should be considered in a contingency plan:
     CO2 Fire Extinguishers--These are a well-
accepted means of breaking up fights between big cats and of breaking 
off an attack on a person. Operational CO2 fire 
extinguishers, or an equivalent distraction, should be available 
whenever cats are in contact with the handlers or the public.
     High Pressure Hoses/Fire Hoses--These can be used in the 
same manner as CO2 fire extinguishers.
     Pepper Sprays/Mace, etc.--The effectiveness may vary 
between species and individuals, but these may be a useful emergency 
tool.
     Darting Equipment--Consider use of darting equipment in 
contingency planning, although reliability, onset of tranquilization, 
and safety of the public need to be evaluated.
     Radios--Radios allow for quick communication to management 
and support personnel. Also, during public contact exhibition, handlers 
and other personnel should carry radios.
     Capture Nets--These may be useful in controlling/capturing 
escaped or uncooperative animals.
     Cell Phones--Consider use whenever animals are moved off-
site for demonstrations/exhibition.
     Crowd Control Fencing--This fencing (such as rolls of 
plastic fencing) can be used to keep the viewing public out of 
restricted areas.

    Done in Washington, DC, this 14th day of February 2000.
Bobby R. Acord,
Acting Administrator, Animal and Plant Health Inspection Service.
[FR Doc. 00-3920 Filed 2-17-00; 8:45 am]
BILLING CODE 3410-34-P