[Federal Register Volume 65, Number 233 (Monday, December 4, 2000)]
[Proposed Rules]
[Pages 75635-75637]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-30765]


 ========================================================================
 Proposed Rules
                                                 Federal Register
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 This section of the FEDERAL REGISTER contains notices to the public of 
 the proposed issuance of rules and regulations. The purpose of these 
 notices is to give interested persons an opportunity to participate in 
 the rule making prior to the adoption of the final rules.
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  Federal Register / Vol. 65, No. 233 / Monday, December 4, 2000 / 
Proposed Rules  

[[Page 75635]]



DEPARTMENT OF AGRICULTURE

Animal and Plant Health Inspection Service

9 CFR Part 1

[Docket No. 99-087-1]


Licensing and Inspection Requirements for Dealers of Dogs 
Intended for Hunting, Breeding, or Security Purposes

AGENCY: Animal and Plant Health Inspection Service, USDA.

ACTION: Proposed rule.

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SUMMARY: We propose to amend the Animal Welfare regulations to reflect 
our policy of regulating wholesale dealers of dogs intended for 
hunting, breeding, or security purposes. We currently regulate these 
dealers under the same regulations in place for wholesale dealers of 
other dogs. This action would make the regulations consistent with our 
policy and would, therefore, clarify licensing and inspection 
requirements for affected dealers of dogs intended for hunting, 
breeding, or security purposes.

DATES: We invite you to comment on this docket. We will consider all 
comments that we receive by February 2, 2001.

ADDRESSES: Please send four copies of your comment (an original and 
three copies) to: Docket No. 99-087-1, 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. 99-087-1.
    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 dockets, are available on the Internet at 
http://www.aphis.usda.gov/ppd/rad/webrepor.html.

FOR FURTHER INFORMATION CONTACT: Dr. Jerry DePoyster, Senior Veterinary 
Medical Officer, Animal Care, APHIS, 4700 River Road Unit 84, 
Riverdale, MD 20737-1234; (301) 734-7586.

SUPPLEMENTARY INFORMATION:

Background

    The Animal Welfare Act (AWA) (7 U.S.C. 2131 et seq.) requires 
certain dealers to obtain a license from the Secretary of Agriculture 
in order to buy or sell animals. The AWA further authorizes the 
Secretary of Agriculture to promulgate standards and other requirements 
regarding the humane handling, care, treatment, and transportation of 
certain animals by these regulated dealers, as well as by research 
facilities, exhibitors, and carriers and intermediate handlers. The 
Secretary has delegated responsibility for administering the AWA to the 
Administrator of the Animal and Plant Health Inspection Service (APHIS) 
of the U.S. Department of Agriculture (USDA). Regulations established 
under the AWA are contained in the Code of Federal Regulations (CFR) in 
title 9, 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 contains 
general requirements for regulated parties. Part 3 contains specific 
requirements for the care and handling of certain animals. Subpart A of 
part 3 contains the requirements applicable to dogs and cats.
    Section 4 of the AWA (7 U.S.C. 2134) requires that a dealer may not 
sell an animal to a research facility, or for use as a pet or for 
exhibition, until he or she first obtains a license from the Secretary. 
Section 4 also requires a dealer to have a license to buy from or sell 
to another dealer (i.e., at wholesale). Because dogs sold for hunting, 
breeding, or security purposes are not sold to research facilities, or 
for use as pets or for exhibition, dealers in these dogs do not need a 
license to buy or sell them unless they do so at wholesale.
    Section 13 of the AWA (7 U.S.C. 2143) directs the Secretary to 
promulgate standards of care with which regulated dealers must comply. 
Because section 4 of the AWA requires the regulation only of wholesale 
dealers of hunting, breeding, and security dogs, retail dealers of such 
dogs are not subject to the standards promulgated under section 13 of 
the AWA.
    In accordance with the AWA, on July 19, 1999, we published in the 
Federal Register (Docket No. 97-018-4, 64 FR 38546-38548) a decision 
and policy statement that notified the public that, among other things, 
it is now our policy to license and inspect wholesale dealers of dogs 
intended primarily for hunting, breeding, or security purposes. This 
means that we currently regulate these dealers under the same 
regulations in place for wholesale dealers of other dogs. We instituted 
this policy to help ensure the humane handling, care, and treatment of 
hunting, breeding, and security dogs.
    However, the regulations at Sec. 2.1 require that all dealers of 
dogs must be licensed and inspected. Our current definition for 
``dealer'' in Sec. 1.1 includes both wholesale and retail dealers of 
hunting, breeding, and security dogs. These provisions are inconsistent 
with our published policy.
    Therefore, we propose to amend the regulations to require that only 
wholesale dealers of hunting, breeding, and security dogs be licensed 
and inspected. This change would be reflected in the definition for 
``dealer'' in Sec. 1.1. This action would bring our regulations into 
accord with our policy to regulate wholesale dealers of hunting, 
breeding, and security dogs.
    The licensing requirements for animal dealers are contained in 9 
CFR part 2, subpart A, and the care standards for dogs and cats are 
contained in 9 CFR part 3, subpart A. For information about becoming 
licensed as a dealer under the AWA, contact the person listed above 
under FOR FURTHER INFORMATION CONTACT.

Executive Order 12866 and Regulatory Flexibility Act

    This proposed rule has been reviewed under Executive Order 12866. 
The rule has been determined to be not significant for the purposes of 
Executive Order 12866 and, therefore, has not been reviewed by the 
Office of Management and Budget.

[[Page 75636]]

    In accordance with 5 U.S.C. 603, we have performed an initial 
regulatory flexibility analysis, which is set out below, regarding the 
effects of this proposed rule on small entities. We do not currently 
have all the data necessary for a comprehensive analysis of the effects 
of this proposed rule on small entities. Therefore, we are inviting 
comments concerning potential effects. In particular, we are interested 
in determining the number of small entities that would be affected by 
this proposed rule.
    In accordance with the Animal Welfare Act (AWA) (7 U.S.C. 2131 et 
seq.), the Secretary of Agriculture is authorized to promulgate 
standards and other requirements regarding the humane handling, care, 
treatment, and transportation of certain animals by dealers, research 
facilities, exhibitors, and carriers and intermediate handlers.
    We propose to amend the Animal Welfare regulations to reflect our 
policy of regulating only wholesale dealers of dogs intended for 
hunting, breeding, or security purposes. As such, this action would not 
result in any changes to our operations. We currently help ensure the 
humane handling, care, and treatment of hunting, breeding, and security 
dogs through the licensing and inspection of wholesale dealers of these 
types of dogs; we regulate these dealers under the same regulations in 
place for wholesale dealers of other types of dogs.
    To comply with our current policy and the regulations, wholesale 
dealers of dogs intended for hunting, breeding, or security purposes 
incur costs for licensing, as well as other expenses. The costs of 
licensing for affected dealers include an annual application fee of $10 
and an annual class ``A'' license fee based on 50 percent of total 
gross sales or compensation from leased animals. License fee amounts 
are determined according to ranges shown in Table 1 of 9 CFR part 2, 
Sec. 2.6.
    Among other costs incurred by wholesale dealers of hunting, 
breeding, and security dogs are expenses related to veterinary care, 
tagging or tattoo marking for animal identification, recordkeeping, 
health certification of dogs commercially transported, and maintenance 
of appropriate facilities and operating standards (see 9 CFR part 3, 
subpart A). It is reasonable to assume, however, that many of these 
responsibilities are met by affected dealers simply as a matter of good 
business practice. When dealers satisfy the facilities and operating 
standards of the regulations by, for example, providing a safe and 
healthy environment (including appropriate heating, cooling and 
ventilation of the dogs' housing to adequate feeding and exercising 
programs), those dealers are contributing to their dogs' eventual sale 
value. As another example, records of transactions can only further a 
wholesale dealer's business success. Therefore, it is in a dealer's 
financial interest to promote the health and well-being of his or her 
dogs in accordance with the regulations. However, if any wholesale 
dealers of hunting, breeding, or security dogs were not in compliance 
with the regulations in 9 CFR parts 2 and 3 prior to our policy 
announcement in July, they may have expenses related to these 
requirements. We do not have information at this time on the number of 
such dealers or what their expenses might be.
    The purpose of this proposed rule is actually to remove regulatory 
requirements covering dealers who sell hunting, breeding, or security 
dogs at the retail level. Those dealers would experience no economic 
effects from this action since we have never enforced those provisions.
    The Regulatory Flexibility Act requires that agencies consider the 
economic effects of rules on small entities. The Small Business 
Administration determines the criteria by which entities are classified 
as ``small,'' using Standard Industrial Classification (SIC) 
categories. Wholesale dealers of hunting, breeding, and security dogs 
are included within SIC category 0279, ``Animal Specialties, Not 
Elsewhere Classified.'' Small entities in this category are defined as 
ones with annual receipts of $0.5 million or less. Although data is not 
available on the number of wholesale dealers of hunting, breeding, and 
security dogs, or their incomes, it is presumed that the majority are 
small entities.
    While a substantial number of affected dealers may be small 
entities, we expect that the effect of the proposed rule on these 
dealers would be insignificant because licensing and inspection 
requirements would remain the same. This action would simply make our 
regulations consistent with our policy and would, therefore, clarify 
licensing and inspection requirements for affected dealers of dogs 
intended for hunting, breeding, and security purposes.
    The alternative to this proposed rule was to make no changes in the 
regulations. After consideration, we rejected this alternative since 
this action would make the regulations consistent with our policy to 
help ensure the humane handling, care, and treatment of hunting, 
breeding, and security dogs.
    This proposed rule contains information collection and 
recordkeeping requirements. These requirements are described in this 
document under the heading ``Paperwork Reduction Act.''

Executive Order 12988

    This proposed rule has been reviewed under Executive Order 12988, 
Civil Justice Reform. It is not intended to have retroactive effect. 
This rule would not preempt any State or local laws, regulations, or 
policies, unless they present an irreconcilable conflict with this 
rule. The Act does not provide administrative procedures which must be 
exhausted prior to a judicial challenge to the provisions of this rule.

Paperwork Reduction Act

    In accordance with section 3507(d) of the Paperwork Reduction Act 
of 1995 (44 U.S.C. 3501 et seq.), the information collection or 
recordkeeping requirements included in this proposed rule have been 
submitted for approval to the Office of Management and Budget (OMB). 
Please send written comments to the Office of Information and 
Regulatory Affairs, OMB, Attention: Desk Officer for APHIS, Washington, 
DC 20503. Please state that your comments refer to Docket No. 99-087-1. 
Please send a copy of your comments to: (1) Docket No. 99-087-1, 
Regulatory Analysis and Development, PPD, APHIS, suite 3C03, 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. A comment to OMB is best assured of having its 
full effect if OMB receives it within 30 days of publication of this 
proposed rule.
    This proposed rule would make our regulations consistent with our 
policy. Under our policy, affected wholesale dealers of dogs intended 
for hunting, breeding, or security purposes are required to apply for 
an initial license; apply annually for license renewal; keep and 
maintain records (for at least 1 year) regarding each animal, including 
those purchased, acquired, transported, sold, or otherwise disposed of; 
complete a written program of veterinary care for animals; and provide 
a health certificate for animals moving interstate or leaving the 
country.
    We are soliciting comments from the public (as well as affected 
agencies) concerning our proposed information collection and 
recordkeeping requirements. These comments will help us:
    (1) Evaluate whether the proposed information collection is 
necessary for

[[Page 75637]]

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).
    Estimate of burden: Public reporting burden for this collection of 
information is estimated to average .34 hours per response.
    Respondents: Certain wholesale dealers of dogs intended for 
hunting, breeding, or security purposes.
    Estimated annual number of respondents: 5.
    Estimated annual number of responses per respondent: 6.4.
    Estimated annual number of responses: 32.
    Estimated total annual burden on respondents: 11 hours.
    Copies of this information collection can be obtained from Mrs. 
Celeste Sickles, APHIS' Information Collection Coordinator, at (301) 
734-7477.

List of Subjects in 9 CFR Part 1

    Animal welfare, Pets, Reporting and recordkeeping requirements, 
Research.

    Accordingly, we propose to amend 9 CFR part 1 as follows:

PART 1--DEFINITION OF TERMS

    1. The authority citation for part 1 would be revised to read as 
follows:

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

    2. In Sec. 1.1, the definition for ``dealer'' would be revised to 
read follows:


Sec. 1.1  Definitions.

* * * * *
    Dealer means any person who, in commerce, for compensation or 
profit, delivers for transportation, or transports, except as a 
carrier, buys, or sells, or negotiates the purchase or sale of: Any dog 
or other animal whether alive or dead (including unborn animals, 
organs, limbs, blood, serum, or other parts) for research, teaching, 
testing, experimentation, exhibition, or for use as a pet; or any dog 
at the wholesale level for hunting, security, or breeding purposes. 
This term does not include: A retail pet store, as defined in this 
section, unless such store sells any animals to a research facility, an 
exhibitor, or a dealer (wholesale); any retail outlet where dogs are 
sold for hunting, breeding, or security purposes; or any person who 
does not sell or negotiate the purchase or sale of any wild or exotic 
animal, dog, or cat and who derives no more than $500 gross income from 
the sale of animals other than wild or exotic animals, dogs, or cats, 
during any calendar year.
* * * * *

    Done in Washington, DC, this 29th day of November 2000.
Bobby R. Acord,
Acting Administrator, Animal and Plant Health Inspection Service.
[FR Doc. 00-30765 Filed 12-1-00; 8:45 am]
BILLING CODE 3410-34-U