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APHIS Home Page
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Licensing and Registration Under the Animal Welfare Act
Guidelines for Dealers, Exhibitors, Transporters, and Researchers
Introduction
Animal Dealers
Animal Exhibitors
Animal Transporters
Research Facilities
Reference Index
Reference Index
Animal Dealers
- Basic Information
- Animal Sales (general):
- Laboratory Animal Trade:
- Pet Animal Trade:
- Exotic Animal Trade:
Return to reference index
Animal Exhibitors
- Basic Information
- Zoological Parks:
- Businesses With Nonperforming Animals:
- Businesses With Performing Animals:
- Competition Involving Animals:
Return to reference index
Animal Transporters
Return to reference index
Research Facilities
Return to reference index
Introduction
Ensuring proper animal care and comfort is not just good business--it
is also required by law under the Animal Welfare Act. Passed by Congress
in 1966 and amended in 1970, 1976, 1985, and 1990, the law protects
many animals not raised for food or fiber. It also sets stiff penalties
for sponsors and promoters of outlawed animal-fighting ventures.
Many businesses that buy or sell warmblooded animals, exhibit them
to the public, transport them commercially, or use them in experiments
or teaching must be licensed or registered by the U.S. Department
of Agriculture (USDA). Normal farm-type operations that raise, or
buy and sell, animals only for food and fiber, and businesses that
use only fish and other coldblooded animals are exempt by law; those
that use only rats, mice, or birds are exempt by regulation. The rabbit
business is exempt from regulation if the rabbits are intended only
for food or fiber. If any rabbits are designated for use in the pet,
exhibit, or laboratory-animal trade, the business is regulated. Certain
other types of businesses are specifically exempt by law or regulation.
No exempt business has to be licensed or registered.
This pamphlet lists the major types of regulated and exempt businesses,
but it does not cover all cases. If in doubt about your status, telephone
or write the Regional Office of the USDA, Animal and Plant Health
Inspection Service (APHIS), Animal Care (AC) for your State (see page
19). AC personnel will answer your questions and provide a copy of
the Code of Federal Regulations, Title 9, Chapter 1, Subchapter A,
which gives the legal requirements for businesses regulated by the
Animal Welfare Act.
If you are an owner or the person in charge of a regulated business,
the law requires you to be licensed or registered with USDA. Failure
to become licensed or registered is a punishable violation of the
Animal Welfare Act.
On the basis of information you supply, APHIS determines whether
your business should be licensed, registered, or both. Licensing involves
a yearly fee; registration is free. The owner, operator, or manager
has responsibility for knowing about licensing or registration requirements.
The annual license fee for licensed animal dealers (Class A or B)
ranges from $30 to $750, depending on your annual dollar volume of
business in regulated animals. (Class A licensees are breeders and
deal only in animals they breed and raise. Class B licensees include
brokers, bunchers, and operators of auction sales.) The annual license
fee for licensed animal exhibitors (Class C) ranges from $30 to $300,
depending on the number of regulated animals held. In addition to
the annual license fee, an application fee of $10 must be paid with
all yearly license applications.
The same standards of animal care apply to all registered and licensed
businesses, and APHIS field inspectors make periodic unannounced visits
to all locations where animals are held to see that regulations and
standards are followed.
Basically, the Federal animal care standards cover humane handling,
housing, space, feeding and watering, sanitation, ventilation, shelter
from extremes of weather, adequate veterinary care, separation of
incompatible animals, transportation, and handling in transit.
If your facilities or practices do not meet Federal standards when
you apply, you will receive up to three inspections within a period
not to exceed 90 days to correct any deficiencies. Licenses are not
issued until all deficiencies are corrected. If you do not pass inspection
within the 90-day period, you must wait at least 6 months before reapplying
for a license. Legal action results if you operate a regulated business
without a license.
Return to reference
index
Animal Dealers
If your business falls under any of the categories of "dealers" listed
below, you must be licensed by USDA. You cannot be licensed or registered
as an exhibitor. You must be licensed according to what type of activity
is your predominant business. When first contacting APHIS, indicate
the species you handle, the type of business you are in, and the type
of business to which you sell animals. You can hold one type of license
only.
Return to reference index
Regulated Businesses
Pet Wholesalers--Anyone importing,
buying, selling, or trading pets in wholesale channels must be licensed.
Annual license fees are based on the amount received from the sale
of regulated animals less the amount paid for these animals.
Pet Breeders--Anyone breeding pets for the
wholesale trade must be licensed. You also may have to be licensed
if you sell dogs as breeding stock to other breeders. Some small-scale
breeders can qualify for an exemption (see "Hobby Breeders"). Annual license fees are based on 50 percent
of gross sales of regulated animals.
Laboratory Animal Dealers--Anyone importing,
buying, selling, or trading laboratory animals, either directly to
research institutions or through other dealers, must be licensed.
This licensing requirement includes "bunchers," who supply dealers
with dogs, cats, and other regulated animals collected from random
sources; it also includes research institutions (except State or Federal
facilities) that sell or trade surplus animals to others. Annual license
fees are based on the amount received from the sale of regulated animals
less the amount paid for these animals.
Laboratory Animal Breeders--Anyone breeding
regulated animals for laboratory-animal trade must be licensed. Annual
license fees are based on 50 percent of gross sales of regulated animals.
Animal Brokers--Anyone who deals in regulated
animals but does not take physical possession must be licensed. If
you meet this definition of a broker, you are exempt from certain
regulations imposed on dealers who handle animals, but you need the
same type of license. Annual license fees are based on income from
commissions and brokerage fees (with no deductions).
Return to reference index
Auction Operators--Anyone who operates an
auction at which regulated animals are sold must be licensed. For
example, licenses must be acquired by radio and television stations
that conduct auctions with telephone bids on regulated animals--whether
or not the proceeds go to charity. Annual license fees for auction
operators are based on income from commissions and fees from selling
regulated animals.
Promoters Giving Animal Prizes--A carnival
concessionaire or other promoter who gives regulated animals as prizes
must be licensed. Annual license fees are based on the amount paid
to the promoter to offer animal prizes less the amount paid for these
animals.
Exotic Animal Dealers--Anyone importing,
buying, selling, or trading animals foreign to the United States (wild
or domesticated) must be licensed. You also must be licensed if you
sell domestically bred exotic animals. Annual license fees are based
on the amount received from the sale of regulated animals less the
amount paid for these animals.
Wild Animal Dealers--A business or individual selling wild
animals must be licensed. "Wild animals" means any animal that is
now or historically has been found in the wild, or in the wild state,
within the boundaries of the United States, its territories, or possessions.
This term includes, but is not limited to, animals such as deer, skunk,
raccoon, mink, armadillo, coyote, squirrel, fox, and wolf.
If you sell any wild or exotic animals, you are not eligible to
claim exemption as a retail pet store. You become a full-fledged dealer,
and you must comply with standards of care for all regulated animals--not
just wild or exotic animals. Annual license fees are based on the
amount received from the sale of regulated animals less the amount
paid for these animals.
Suppliers of Specimens--Anyone who sells dead animals that
are regulated or who sells the blood, serum, or parts of these animals
must be licensed. Annual license fees are based on income from specimens
less cost of the specimens or the animals from which they were prepared.
Return to reference index
Exempt Businesses
Retail Pet Stores--Anyone whose
entire business consists of selling domestic animals to pet owners
is exempt. However, if as part of your business you exhibit animals,
you may have to be licensed as an exhibitor.
For example, you need an exhibitor's license if
you take animals outside the store for teaching or promotion or if
you set up a petting display. You must be licensed as a dealer if
you sell wild or exotic animals, or if you sell regulated animals
to other retailers, research institutions, exhibitors, or other animal
dealers. You need to be licensed as an exhibitor if you display a
monkey or other wild animal inside the store.
Exemptions for retail pet stores are on an all-or-nothing basis.
If you qualify for exemption, none of your business is regulated or
inspected. If you do not qualify, you are a full-fledged dealer, and
all your regulated animals are inspected.
Retail Chain Stores--Centrally managed
stores that sell pets entirely at retail are exempt. Like independent
retailers, chains are treated as business entities on an all-or-nothing
basis. If all outlets qualify as retail pet stores, the entire chain
is free from regulation. Conversely, if any outlet does not qualify
as a retail pet store, the company must be licensed as a dealer, and
all regulated animals at all outlets are inspected.
Direct Sales--Anyone who sells domestic
pets directly to pet owners is exempt, regardless of sales volume.
Such sales can be made in person or by mail.
Hobby Breeders--Small-scale breeders with
gross sales under $500 per year are exempt, as long as these sales
do not include wild or exotic animals, dogs, or cats. If you own no
more than three breeding female dogs or cats and sell the offspring,
into the pet channels only, you are exempt.
Return to reference index
Public Pounds--Animal shelters that are
part of State, county, or local governments are exempt. The exemption
covers only the pound's own activities. You must have a dealer's license
if you purchase animals from pounds for resale or acquire them on
contract for resale. The Pet Protection Act of 1990 places some restrictions
on pounds and shelters, such as a specific holding period for animals
before they may be sold to a dealer.
Private Shelters--Animal shelters operated
by humane societies and other private groups are exempt unless animals
are disposed of through trade channels as pets or to research institutions
for use as laboratory animals, or animals are taken off the premises
for exhibition to the public.
Trade-Day Sales Sponsors--Anyone arranging
occasions for people to make private sales or trades of animals is
exempt. The exemption holds only if the sponsor does not act as intermediary
in the transaction. The buyers, sellers, and traders at trade-day
sales, however, must be licensed if they meet the definition of a
dealer.
Boarding Kennels--Anyone housing animals
for others is exempt, except for intermediate handlers and holding
facilities. You must be registered as an intermediate handler if,
as part of your services, you receive shipment of regulated animals
traveling on public carriers. You have to agree in writing to observe
USDA's standards of animal care if you operate a holding facility--meaning
that you board regulated animals for licensed dealers or research
facilities. APHIS inspects regulated animals in holding facilities
to ensure that they receive the required care; dealers or research
facilities need prior APHIS approval to board regulated animals with
you.
Dealers in a Nonregulated Species--There is a blanket exemption
for anyone handling only those animals not included under Federal
law or regulations (see Introduction). Examples of businesses not needing licensing
or registration are those restricted to birds, fish, reptiles, and
amphibians.
Return to reference index
Animal Transporters
If you are involved in any way in the transportation of regulated
animals as part of your business operation, you must be licensed as
a dealer or registered as an intermediate handler or carrier. When
contacting APHIS, indicate whether you are applying for a license
as a private carrier or are being registered as an intermediate handler
or public carrier, as described below.
Return to reference index
Regulated Businesses
Carriers--Any enterprise transporting
regulated animals for hire as a common carrier must be registered
as a carrier. This includes airlines, railroads, motor carriers, shipping
lines, and other enterprises. As a carrier, all your facilities where
animals are kept or held are regulated, including terminals and freight
storage. You are responsible for enforcing all restrictions on animals
that can be legally shipped by your customers. You also are responsible
for proper crating, whether the shipper or receiver is a private pet
owner, a business, an institution, or a Government agency. Pets transported
by their owners as carryon baggage are not subject to these restrictions.
Intermediate Handlers--Anyone taking custody
of regulated animals in connection with transporting them on public
carriers must be registered as an intermediate handler. This requirement
covers boarding kennels that take responsibility for shipping animals
or receiving them after or during shipment, as well as freight forwarders
and freight handlers.
Contract Carriers--Anyone transporting regulated
animals by contract or agreement must obtain a license as a dealer
and is responsible for complying with all regulations and standards.
This requirement covers those that are not involved as common carriers
or intermediate handlers but do transport animals for profit or compensation,
such as transporting animals for licensed dealers to airports, pet
stores, etc.
Return to reference index
Exempt Businesses
Transporters of Nonregulated Species--There
is a blanket exemption for anyone transporting only animals not included
under Federal law or regulations (see Introduction). Examples of carriers
not needing licensing or registration are those restricting their
services to birds, fish, reptiles, and amphibians.
Animal Taxis--Individuals who transport
private pets to and from the veterinarian, groomer, etc.
Return to reference
index
Animal Exhibitors
If you have animals on display to the public or conduct performances
featuring animals, you must become licensed as an exhibitor. When
first contacting APHIS about a license, indicate the number and species
of exhibit animals you have on hand because the license fee is determined
by the number of animals held or exhibited. Also, indicate the annual
income you receive from exhibiting animals and from trading in animals.
The annual license fees for an exhibitor are based on the number of
animals held or exhibited.
Under special circumstances, exhibitors may be registered instead
of licensed, which requires no fee. This applies to some noncommercial
exhibits, such as municipal deer parks that do not charge admission
and exhibit only animals native to the area.
If you have a traveling animal show that goes to more than one State,
send your itinerary along with your license application to the AC
Regional Office in the area where you have your permanent office or
winter quarters. Inspections may be conducted at sites where your
show is performing.
Return to reference index
Regulated Businesses
Zoological Parks--Animal exhibits
open to the public must be licensed whether they are owned by States,
counties, or other local governments; corporations; foundations; or
private individuals. Zoos run by agencies of the Federal Government
are not licensed or registered, but the animals in these zoos are
inspected and are subject to these same USDA standards of animal care.
Petting zoos with regulated animals, including rabbits, must be licensed
and are subject to special regulations protecting animals and the
public.
Marine Mammal Shows--Exhibits, shows, and
acts with marine mammals must be licensed. This includes public aquariums,
amusement parks, and zoos. However, exhibits in which free-living
marine mammals are viewed in their natural state are exempt; examples
are coastal seal rookeries or commercial whale sightseeing tours.
Marine mammals include polar bears, sea otters, whales, porpoises,
dolphins, manatees, dugongs, seals, sea lions, walruses, and other
mammals that have fins or flippers. Marine mammals are protected by
a separate set of standards for care and handling.
Animal Performances--Any owner exhibiting
animals doing tricks or shows must be licensed. This includes each
person owning animals performing in circuses, marine mammal shows,
amusement parks, carnivals, independent animal acts, television shows,
movies, or educational exhibits. All animals must receive the same
quality of housing and other care, regardless of whether they are
currently performing.
Roadside Zoos--Tourist attractions exhibiting
regulated animals must be licensed even if only a single regulated
animal is on exhibit.
Carnivals--Concessionaires who exhibit regulated
animals must be licensed as exhibitors. (If you give live regulated
animals as prizes, you must be licensed as a dealer.) Carnivals cannot
be included in the exemption of an agricultural show, such as a fair
with a midway.
Promotional Exhibits--Anyone who uses regulated
animals to promote or advertise goods and services must be licensed.
(If you give away or sell animals as a prize, you must be licensed
as a dealer.) You must be licensed even if you do promotions with
only a single animal, such as a bear at a gasoline service station,
a monkey at a trade show, or an elephant at a shopping center. You
also must be licensed if you use animals to promote photographs or
photography.
Animal-Fighting Ventures--Staged dogfights,
bear or raccoon baiting, and similar animal-fighting ventures are
prohibited by the Animal Welfare Act, with stiff penalties for convicted
sponsors and promoters. Cockfights are permitted only in the few States
that have no law against them. Animal-fighting ventures cannot be
licensed or registered under the Act.
Return to reference index
Exempt Businesses
Private Collections--Anyone who
collects animals but does not exhibit them to the public is exempt.
The exemption does not apply, however, if you sell (for other than
fur) any animal in the collection.
Amusement Parks--Amusement parks not owning
animals are exempt. A person owning animals that perform in an amusement
park must be licensed as an exhibitor and must comply with USDA requirements
for facilities, conditions, and situations where animals are exhibited.
Amusement parks exhibiting marine mammals must be licensed, and their
facilities must be inspected by USDA.
Farm Animal Exhibition--Anyone who arranges
and takes part in showing farm animals at agricultural shows, fairs,
and exhibits is exempt. However, anyone exhibiting farm animals for
nonagricultural purposes (such as petting zoos) must be licensed.
Exhibitors of foreign farm animals not commonly kept on American farms,
including camels, must be licensed.
Booking Agents--Licensed Acts: Anyone
booking or arranging animal acts without owning any animals is exempt.
However, as an agent you should realize that the exhibitors you book
must comply with USDA requirements for facilities, conditions, and
situations where animals are exhibited.
Unlicensed Acts (foreign): If foreign circuses, acts, or shows
enter the United States to exhibit, their U.S. agent is required to
be licensed and be responsible for the show.
Pet Shows--Sponsors and participants at
pet shows, such as dog, cat, or rabbit shows, are exempt by law.
Horse Shows--Trainers, owners, riders, and
sponsors of horse shows--þevents where horses perform in certain gaits--are
not regulated under the Animal Welfare Act. APHIS does regulate them,
however, under the Horse Protection Act, which forbids the inhumane
practice of making a horse sore to enhance its performance. This law
does not require registration or licensing.
Rodeos--Competitive events featuring only
farm animals and horses are exempt from both the Animal Welfare Act
and the Horse Protection Act. Two examples would be bull riding and
barrel racing. Circus-type acts performed at rodeos are not exempt
and must be licensed as exhibitors.
Animal Preserves--Game preserves, hunting
preserves, and similar enterprises that keep animals in the wild state
are exempt. However, if you maintain special exhibits for compensation
or promotional activities, you must be licensed or registered as an
exhibitor. If you sell animals to exhibits, research, or the pet trade,
you must be licensed as a dealer.
Hunts--Hunting events are not regulated.
Sponsors are not considered exhibitors if they keep animals only for
sport--not for exhibition purposes. Hunting is not considered animal
fighting, even if dogs, falcons, or other animals are used to help
bring down game.
Shows of Nonregulated Animals--Anyone
with exhibits limited to species of animals not covered by law or
regulated is exempt. Typicalexamples would be aviaries, reptile houses,
and aquariums not showing marine mammals.
Return to reference index
Research Facilities
Institutions using any regulated live animals for research, testing,
teaching, or experimentation must register with the USDA as "research
facilities." If the institution is part of a larger organization,
the parent organization must acquire the registration. Individual
researchers and their attending veterinarians should make sure their
institution is legally registered and all USDA regulations and standards
are followed.
Included under research, testing, teaching, or experimentation are:
- Investigations on animal propagation and control--such as wildlife
ecology;
- Laboratory tests--including pregnancy tests, allergy tests, and
other diagnostic procedures;
- Quality-control studies--such as studies on the safety, effectiveness,
durability, or other quality tests of commercial products; and
- College instruction--whether for research, or education for the
improvement of medical treatment techniques and methods.
Registration is required to ensure that laboratory animals are provided
with care and comfort meeting USDA standards. The law and regulations
require the use of appropriate pain-relieving drugs wherever possible.
Registered research facilities and all agencies of the Federal Government
using animals in research must submit an annual report stating how
many regulated animals were used and if any painful experiments were
conducted. The report must include the number and species of animals
used in painful procedures and an explanation as to why it was
necessary to omit pain relief.
Return to reference index
Regulated Institutions
State-Owned and Local Government
Facilities-- Public research institutions administered and/or
funded by a State or local government must be registered. State-run
or locally run institutions do not have to be licensed as dealers
even if they sell or trade regulated animals, but they must be licensed
as exhibitors if they exhibit animals.
Private research or testing institutions must be registered as research
facilities. If private institutions sell, exhibit, or trade regulated
animals to others, the institutions must be licensed as animal dealers
or exhibitors.
Drug Firms--Manufacturers of vaccines, drugs,
and other medicines must be registered as research facilities if they
do research, development, or quality-control tests on regulated animals.
Institutions must be registered under the Animal Welfare Act even
if they have USDA establishment licenses to produce biologics under
the Virus-Serum-Toxin Act. APHIS enforces both acts, and the same
inspector may check for compliance with both laws.
Teaching Institutions--Facilities involved
in using animals for teaching purposes above the secondary-school
level must be registered under the Animal Welfare Act--for example,
college or university medical schools, veterinary schools, biology
departments, etc.
Diagnostic Laboratories--All diagnostic
laboratories using regulated animals must be registered.
Marine Mammal Facilities--Facilities using
marine mammals for behavioral, biomedical, and related studies must
be registered. (If the facility is open as an exhibit to the public,
it must also be licensed as an exhibitor.) The same standards of animal
care required for exhibitors apply to marine mammal research facilities.
Return to reference index
Exempt Institutions
Federal Facilities--Agencies of
the Federal Government that do research are not required to register
with USDA and are not inspected by APHIS, but each Federal agency
is responsible for complying with all USDA standards of animal care
and for submitting an annual report to USDA on the use of regulated
laboratory animals. Federal agencies that exhibit regulated animals
are not required to be licensed but are inspected by USDA.
School Laboratories--Elementary, secondary,
and all other schools below the college level are by law exempt from
registration.
Agricultural Research Institutions--Research
institutions that perform work involving food, fiber, or agriculture
and that use horses and domestic farm animals, including rabbits,
are exempt by regulation and do not have to be registered. However,
if such institutions are doing nonagricultural biomedical research,
they do need to be registered.
Institutions Using Only Biologic Specimens--
If only dead biologic specimens--no live animals--are used, an
institution is exempt. Suppliers of dead specimens made from regulated
animals or dead animals, however, have to be licensed as dealers.
Institutions Using Only Nonregulated Species--
A research institution is exempt if it uses only laboratory animals
exempted by law or regulation. Examples are birds and domestic rats
and mice. Wild species of rats and mice are regulated.
Return to reference index
Further Information
If you need more information about the Animal Welfare Act or your
responsibilities in animal care under this legislation, please contact
the Animal Care Regional Office for your State. You may also send
us an electronic mail message at the address below, or visit our home
page on the World Wide Web.
E-mail: ace@aphis.usda.gov
World Wide Web: http://www.aphis.usda.gov/ac
Animal Care Regional Offices
AC consolidated its Western and Central Regions into one Western Regional
office located in Fort Collins, CO. Records maintained at the former
locations in Sacramento, CA, for the West and Fort Worth, TX, for the
Central Region will be relocated to Fort Collins in June 2002.
Eastern Region
Alabama, Connecticut, Delaware, District of Columbia, Florida, Georgia,
Illinois, Indiana, Kentucky, Maine, Maryland, Massachusetts, Michigan,
Minnesota, Mississippi, New Hampshire, New Jersey, New York, North
Carolina, Ohio, Pennsylvania, Puerto Rico, Rhode Island, South Carolina,
Tennessee, Vermont, Virginia, West Virginia, Wisconsin
USDA, APHIS, AC
920 Main Campus Drive, Suite 200, Unit 3040
Raleigh, NC 27606
Telephone: (919) 855–7100
Fax: (919) 855–7123
Western Region
Alaska, Arizona, Arkansas, California, Colorado, Hawaii,
Idaho, Iowa, Kansas, Louisiana, Missouri, Montana, Nebraska, Nevada,
New Mexico, North Dakota, Oklahoma, Oregon, South Dakota, Texas, Utah,
Washington, Wyoming
USDA, APHIS, AC
2150 Centre Avenue, Building B, Mailstop 3W11
Fort Collins, CO 80526
Telephone: (970) 494–7480
Fax: (970) 494–7460
Return to reference index
The U.S. Department of Agriculture (USDA) prohibits discrimination
in all its programs and activities on the basis of race, color, national
origin, sex, religion, age, disability, political beliefs, sexual orientation,
or marital or family status. (Not all prohibited bases apply to all
programs.) Persons with disabilities who require alternative means for
communication of program information (Braille, large print, audiotape,
etc.) should contact USDA’s TARGET Center at (202) 720–2600
(voice and TDD).
To file a complaint of discrimination, write USDA, Director, Office
of Civil Rights, Room 326–W, Whitten Building, 14th and Independence
Avenue, SW, Washington, DC 20250–9410 or call (202) 720–5964
(voice and TDD). USDA is an equal opportunity provider and employer.
Issued April 1992
Slightly revised April 2004
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