[Federal Register Volume 87, Number 35 (Tuesday, February 22, 2022)]
[Proposed Rules]
[Pages 9880-9913]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-03565]



[[Page 9879]]

Vol. 87

Tuesday,

No. 35

February 22, 2022

Part IV





Department of Agriculture





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Animal and Plant Health Inspection Service





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9 CFR Parts 1, 2, and 3





Standards for Birds Not Bred for Use in Research Under the Animal 
Welfare Act; Proposed Rule

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

[[Page 9880]]


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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

AGENCY: Animal and Plant Health Inspection Service, USDA.

ACTION: Proposed rule.

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SUMMARY: 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].

SUPPLEMENTARY INFORMATION:

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 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.
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    \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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    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

[[Page 9881]]

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\
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    \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/
80846063820C52F6852584EB005413E4/$file/19-5015-1823484.pdf.
    \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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    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 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.
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    \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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Exemptions From Licensing

    The current regulations in Sec.  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 
in Sec.  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.
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    \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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    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

[[Page 9882]]

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 burdensome and duplicative. Some 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 Sec.  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 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,'' ``non-domestic/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

[[Page 9883]]

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 Sec.  
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 warm-blooded 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 Sec.  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 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 Sec.  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 Sec.  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 Sec.  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 Sec.  3.150(e), we require that 
``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.'' 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, Sec.  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 Sec.  3.154 an environmental 
enrichment standard for birds requiring that perches and other objects 
provided to enrich a bird's environment be species-appropriate 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

[[Page 9884]]

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 self-regulation 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 
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 species-specific 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 performance-based 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 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 Sec.  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 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. 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 performance-based 
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

[[Page 9885]]

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.

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 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 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 Sec.  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

[[Page 9886]]

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

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 species-appropriate 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, Sec.  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 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 hand-rearing 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 Sec.  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 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

[[Page 9887]]

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 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 
rehabilitation and eventual release in 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 species-specific 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 Sec.  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 Sec.  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 Sec.  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

[[Page 9888]]

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

    \6\ Birds are otherwise covered under the definition of animal 
in the Act and the current regulations by the term ``warm-blooded 
animal.''
---------------------------------------------------------------------------

     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 MBTA-covered 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.

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 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, Sec.  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.
    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.

[[Page 9889]]

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 farm-type 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 Sec.  1.1 of 
the regulations and are inconsistent with the current definition of 
animal.

Weaned

    Currently, Sec.  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 has become accustomed to take food 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 Sec.  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 Sec.  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 Sec.  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 Sec.  
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 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, Sec.  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

[[Page 9890]]

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).

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--Sec.  2.1

    As noted previously, Sec.  2.1 of the regulations includes 
requirements for licensing, as well as exemptions from licensing. One 
such exception in Sec.  2.1(a)(3)(vi) exempts ``any person who buys, 
sells, transports, or negotiates the sale, purchase, or transportation 
of any animals used only for the purposes of food or fiber (including 
fur).'' 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 Sec.  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 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\
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    \7\ A list of migratory birds protected under the MBTA can be 
found at https://ecfr.federalregister.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.
---------------------------------------------------------------------------

    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 Sec.  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

[[Page 9891]]

involving migratory birds potentially covered under both APHIS and 
USFWS regulations.

Registration Requirements and Procedures--Sec.  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.

Institutional Animal Care and Use Committee (IACUC)--Sec.  2.31(d)

    Under Sec.  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 
Sec.  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 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.
---------------------------------------------------------------------------

    \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.
---------------------------------------------------------------------------

    Under current Sec.  2.31(d)(1)(ix), activities that involve surgery 
must include appropriate provision for pre-operative 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 Sec.  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 Sec.  2.31(d)(1)(ix) include appropriate provisions for 
aseptic surgery and pre-operative and post-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 Sec.  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.
---------------------------------------------------------------------------

    \11\ Guide for the Care and Use of Laboratory Animals, 8th 
Edition, National Research Council: https://grants.nih.gov/grants/olaw/guide-for-the-care-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.
---------------------------------------------------------------------------

Time and Method of Identification--Sec.  2.50

    We are proposing to amend Sec.  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

[[Page 9892]]

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 Sec.  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 Sec.  
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--Sec.  2.75

    Currently, Sec.  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 that would be necessary in Sec.  
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--Sec.  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 Sec.  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 Sec.  2.50 or Sec.  2.54, and a 
description of each animal. Currently, Sec.  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 
Sec.  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 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.

[[Page 9893]]

Facilities and Operating Standards

Facilities, General
Facilities, General: Structure; Construction--Proposed Sec.  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 Sec.  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 double-doored, 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.
Facilities, General: Condition and Site--Proposed Sec.  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 Sec.  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 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 Sec.  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 Sec.  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.
Facilities, General: Waste Disposal--Proposed Sec.  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 well-being 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 Sec.  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 Sec.  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.

[[Page 9894]]

Facilities, General: Toilets, Washrooms, and Sinks--Proposed Sec.  
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 Sec.  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 Sec.  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.
Facilities, Indoor: Lighting--Proposed Sec.  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 Sec.  
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 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 Sec.  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 Sec.  
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 Sec.  3.153(a)
    Primary enclosures would have to be designed and constructed of 
suitable materials so that they are structurally 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 Sec.  
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.

[[Page 9895]]

Primary Enclosures: Space Requirements--Proposed Sec.  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 well-being 
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 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 Sec.  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 Sec.  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 
Sec.  3.154
    As evidenced by first-hand observation and scientific studies, many 
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, Sec.  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 Sec.  3.154.
    Under the proposed requirements, dealers, exhibitors, and research 
facilities would need to develop, document, and follow a species-
appropriate 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 Sec.  3.154(a)
    Under proposed Sec.  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

[[Page 9896]]

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 
well-being 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.
Environment Enhancement To Promote Psychological Well-Being: 
Environmental Enrichment--Proposed Sec.  3.154(b)
    Proposed Sec.  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.
Environment Enhancement To Promote Psychological Well-Being: Special 
Considerations--Proposed Sec.  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 birds that are unable to see and hear birds of their 
own or compatible species.
Environment Enhancement To Promote Psychological Well-Being: Restraint 
Devices--Proposed Sec.  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 Sec.  3.154(e)
    Proposed Sec.  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 Sec.  2.80 and must be 
made available to APHIS officials, and also to officials of any 
pertinent funding agency upon request.

Animal Health and Husbandry Standards

Feeding--Proposed Sec.  3.155
    The nutritional needs of birds vary greatly. Therefore, we are 
proposing a general feeding standard that is flexible enough to ensure 
the health and well-being 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 Sec.  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 Sec.  3.156
    Under proposed Sec.  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 Sec.  3.158 as often as necessary to keep them free 
of contamination. Used water

[[Page 9897]]

receptacles must be cleaned and sanitized before they may be used to 
provide water to birds maintained in a separate enclosure. Finally, 
group-housed birds would have to have multiple water receptacles where 
needed to ensure that all birds have access to sufficient water.
Water Quality--Proposed Sec.  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.
Cleaning, Sanitization, Housekeeping, and Pest Control
Cleaning--Proposed Sec.  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 Sec.  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 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 Sec.  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 Sec.  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 Sec.  3.159
    A sufficient number of adequately trained employees or attendants 
would

[[Page 9898]]

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.
Compatibility and Separation--Proposed Sec.  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 
well-being 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 Sec. Sec.  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 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 Sec.  
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.
    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 Sec.  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 Sec.  3.168. (As discussed 
below, Sec.  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 Sec.  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:

[[Page 9899]]

Primary Enclosures: Construction of Primary Enclosures--Proposed Sec.  
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 Sec.  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 stress-prone 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 Sec.  3.162;
     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 would have to 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; 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 Sec.  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 
one-third 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 Sec.  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 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 Sec.  
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 Sec.  3.158 by the dealer, research facility, exhibitor, 
or operator of an auction sale.
Primary Enclosures: Compatibility--Proposed Sec.  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 Sec.  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 Sec.  
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 
Sec.  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

[[Page 9900]]

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 Sec.  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 Sec.  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 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 
Sec.  3.162(f) and in a manner that makes them easy to notice and read.
Care in Transit--Proposed Sec.  3.165
Care in Transit: Surface Transportation (Ground and Water)--Proposed 
Sec.  3.165(a)
    During surface transportation, we would require in Sec.  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 Sec.  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 Sec.  3.165(b)
    Similarly, when transported by air, we would require in Sec.  
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 Sec.  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 Sec.  3.165(c)
    Finally, in proposed Sec.  3.165(c), we would prohibit any person 
subject to the 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 Sec.  3.166
Terminal Facilities: Placement--Proposed Sec.  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 
Sec.  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 Sec.  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 Sec.  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 
Sec.  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 Sec.  3.168.
Handling--Proposed Sec.  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

[[Page 9901]]

environmental conditions be maintained in accordance with the proposed 
requirements in Sec.  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 
Sec.  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 well-being;
     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 well-being, 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 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 
Sec.  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 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\
---------------------------------------------------------------------------

    \12\ Only those research facilities that use wild-caught 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.
---------------------------------------------------------------------------

    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,

[[Page 9902]]

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]
------------------------------------------------------------------------
             Activity                      Certain potential costs
------------------------------------------------------------------------
Licensing.........................  $120/3 years.
Recordkeeping and Other             20 hours annually; $720/respondent.
 Information Collection.
Contingency Planning..............  1 to 2 hours preparation, and 1 hour
                                     training; $65 to $226/entity.
Plan of Veterinary Care...........  $150 per facility, new; $50 per
                                     facility for an update.
------------------------------------------------------------------------
                 Other Structural or Operational Changes
------------------------------------------------------------------------
Bird identification...............  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.

[[Page 9903]]

 
Veterinary care, as needed........  $46-$350/bird.
Facilities........................  $57-$114/repair.
Water and Electrical Power........  For facility with 20 birds $546 for
                                     plumbed water or $90-$300 for
                                     bottles; $400-$2,000/generator.
Temperature & Humidity............  Brood box thermometer $6-$150/each;
                                     Space heating $25-$200.
Ventilation.......................  Hardware cloth $20-$50; Attic fan
                                     $50-$200 plus installation; HEPA
                                     filter $100-$200.
Shelter...........................  Nest box $57-$114.
Primary enclosures................  Commercial enclosures $100 to $1,000/
                                     each; Repair or upgrade of existing
                                     enclosure $278-$432.
Environment enhancement...........  $100-$200/enclosure.
Cleaning, sanitation, and pest      Storage container/shed $150-$1,000;
 control.                            Label maker $20.
------------------------------------------------------------------------
                                Personnel
------------------------------------------------------------------------
Labor (includes other listed        1-10 hours/week; $1,477-$14,768/
 activities).                        year.
Training..........................  $45-$75/employee.
Nutrition.........................  Containers $10-$100; Commercial
                                     freezer $250-$1,500.
Primary enclosures during           Pet crates approved for air travel
 transport.                          $60-$350.
Food, water, and health monitoring  Brooder $150-$600.
 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

    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-
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 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;

[[Page 9904]]

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 species-appropriate 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 00-0000). 
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 for-
profit 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 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

0
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.

0
2. Section 1.1 is amended as follows:
0
a. By adding, in alphabetical order, definitions for ``Bird'' and 
``Bred for use in research'';
0
b. By revising the definitions of ``Carrier'', ``Exhibitor'', ``Farm 
animal'', ``Intermediate handler'', and ``Pet animal'';
0
c. By adding, in alphabetical order, a definition for ``Poultry''; and
0
d. By revising the definitions of ``Retail pet store'' and ``Weaned''.
    The additions and revisions read as follows:


Sec.  1.1  Definitions.

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

[[Page 9905]]

    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.
* * * * *
    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 farm-type 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;
    (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

0
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.

0
4. Section 2.1 is amended as follows:
0
a. In paragraph (a)(3)(vi), by adding ``, feathers,'' after the word 
``food''; and
0
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:


Sec.  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.
* * * * *


Sec.  2.31  [Amended]

0
5. In Sec.  2.31, paragraph (d)(1)(ix) is amended as follows:
0
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
0
b. In the fourth sentence, by adding the words ``and birds'' after the 
word ``rodents''.
0
6. In Sec.  2.50, paragraph (e) is amended as follows:

[[Page 9906]]

0
a. By redesignating paragraphs (e)(2) and (3) as paragraphs (e)(3) and 
(4), respectively, and adding a new paragraph (e)(2); and
0
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:


Sec.  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.
* * * * *
0
7. In Sec.  2.75, paragraph (b)(1) introductory text is amended by 
revising the last sentence to read as follows:


Sec.  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.
* * * * *
0
8. In Sec.  2.76, paragraph (a)(7) is revised to read as follows:


Sec.  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;
    (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

0
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.

0
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

0
11. Subpart G, consisting of Sec. Sec.  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


Sec.  3.150  Facilities, general.

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

[[Page 9907]]

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 Sec.  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 option of remaining dry.
    (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.


Sec.  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.


Sec.  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 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.


Sec.  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 Sec.  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

[[Page 9908]]

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 species-appropriate 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:
    (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 Sec.  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.


Sec.  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 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 well-being 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-

[[Page 9909]]

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 accordance with 
Sec.  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


Sec.  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 Sec.  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.


Sec.  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 Sec.  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 needed to ensure that all birds have 
access to sufficient water.


Sec.  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 well-being in accordance 
with current professionally accepted standards.


Sec.  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

[[Page 9910]]

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, 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.


Sec.  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.


Sec.  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


Sec.  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 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 Sec.  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 Sec.  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

[[Page 9911]]

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.


Sec.  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 
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 one-third 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 one-third 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 
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 Sec.  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.


Sec.  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 
Sec.  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.

[[Page 9912]]

    (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.


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


Sec.  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 Sec.  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 
Sec.  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.


Sec.  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 terminal facilities must be cleaned and sanitized in a manner 
prescribed in Sec.  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 Sec.  
3.168.


Sec.  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 Sec.  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.


Sec.  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,

[[Page 9913]]

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 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 
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 Sec.  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