Licensing Requirements for Dogs and Cats

DEPARTMENT OF AGRICULTURE

Animal and Plant Health Inspection Service

9 CFR Parts 1, 2, and 3

[Docket No. 97-018-4]

RIN 0579-AA95

Licensing Requirements for Dogs and Cats

AGENCY: Animal and Plant Health Inspection Service, USDA.

ACTION: Decision and policy statement.

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SUMMARY: This document announces our response to a petition submitted

to us by the Doris Day Animal League. The petition requested that we

amend the definition of ``retail pet store'' to include only

nonresidential business establishments and that we regulate dealers of

hunting, breeding, and security dogs in the same manner as dealers of

other types of dogs.

We have decided to retain our current definition of ``retail pet

store.'' Based on our experience enforcing the regulations, we have

determined that the current definition is sufficient to ensure the

humane handling, care, and treatment of dogs and cats and is consistent

with the congressional intent of the Animal Welfare Act.

We have also decided to begin regulating wholesale dealers of dogs

intended for hunting, breeding, and security purposes. We will regulate

these dealers under the same regulations currently in place for

wholesale dealers of other dogs. We believe this action will help

ensure the humane handling, care, and treatment of hunting, breeding,

and security dogs.

EFFECTIVE DATE: July 19, 1999.

FOR FURTHER INFORMATION CONTACT: Dr. Bettye K. Walters, Staff

Veterinarian, Animal Care, APHIS, 4700 River Road Unit 84, Riverdale,

MD 20737-1234; (301) 734-7833.

SUPPLEMENTARY INFORMATION: Under the Animal Welfare Act (AWA) (7 U.S.C.

2131 et seq.), the Secretary of Agriculture is authorized to promulgate

standards and other requirements regarding the humane handling, care,

treatment, and transportation of certain animals by dealers, research

facilities, exhibitors, and carriers and intermediate handlers. The

Secretary has delegated responsibility for administering the AWA to the

Animal and Plant Health Inspection Service (APHIS) of the U.S.

Department of Agriculture (USDA). Regulations established under the AWA

are contained in the Code of Federal Regulations (CFR) in title 9,

parts 1, 2, and 3. Part 1 contains definitions for terms used in parts

2 and 3. Part 2 contains general requirements for regulated parties.

Part 3 contains specific requirements for the care and handling of

certain animals. Subpart A of part 3 contains the requirements

applicable to dogs and cats.

On March 25, 1997, we published in the Federal Register (62 FR

14044-14047, Docket No. 97-018-1) a petition for rulemaking, sponsored

by the Doris Day Animal League, that requested two changes to the

regulations in parts 1 and 3. The requested changes were: (1) To

redefine the term ``retail pet store'' in part 1 as ``a nonresidential

business establishment used primarily for the sale of pets to the

ultimate customer''; and (2) to regulate dealers of dogs intended for

hunting, security, and breeding under the provisions applicable to

dealers of other types of dogs in part 3.

Based on comments we received from the public on the petition and

our review of the issues, on June 24, 1998, we published in the Federal

Register (63 FR 34333-34335, Docket No. 97-018-2) an advance notice of

proposed rulemaking to explain changes to the regulations that we were

considering and to solicit public comments on the effect those changes

could have on affected persons. Specifically, we were considering:

Amending the definition of ``retail pet store'' to include

only nonresidential, commercial retail stores;

Increasing the total number of breeding female dogs and/or

cats that a person may maintain on his or her premises and be exempt

from licensing and inspection requirements; and

Regulating dealers of hunting, breeding, and security dogs

in the same manner as dealers of other types of dogs.

We solicited comments on the advance notice of proposed rulemaking

for 60 days, ending August 24, 1998. However, on August 26, 1998, at

the request of several commenters, we published in the Federal Register

(63 FR 45417, Docket No. 97-018-3) a document to reopen and extend the

comment period for 30 days, ending September 23, 1998. By September 23,

1998, we received approximately 11,472 comments. They were from dealers

of dogs and cats, representatives of industry, members of animal

protectionist organizations, and other interested persons.

After careful consideration of the experience we have gained from

more than 30 years of implementing the AWA and careful review of the

comments we received from the public, we have decided to:

Retain our current definition of ``retail pet store'';

Retain our current threshold for the total number of

breeding female dogs and/or cats a person may maintain on his or her

premises and be exempt from licensing and inspection requirements; and

Require licensing and inspection for wholesale dealers of

dogs intended primarily for hunting, breeding, and security purposes.

A discussion of each of these decisions follows.

Definition of Retail Pet Store

In accordance with the AWA, retail pet stores are exempt from the

licensing and inspection requirements in part 2. Other retail dealers

and wholesale pet dealers must be licensed and inspected in accordance

with the regulations. The definition of retail pet store in 9 CFR part

1 was established to ensure that the appropriate retail facilities were

exempt from licensing and inspection requirements.

We define ``retail pet store'' in 9 CFR part 1, Sec. 1.1, as ``any

outlet 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, chinchilla, domestic ferrets, domestic

farm animals, birds, and cold-blooded species.'' The definition of

``retail pet store'' goes on to describe certain establishments that do

not qualify as retail pet stores, even if they sell animals at retail.

Those establishments that do not qualify as retail pet stores are: (1)

Establishments or persons who deal in dogs used for hunting, security,

or breeding purposes; (2) establishments or persons exhibiting,

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selling, or offering to exhibit or sell any wild or exotic or other

nonpet species of warm-blooded animals (except birds), such as skunks,

raccoons, nonhuman primates, squirrels, ocelots, foxes, coyotes, etc.;

(3) establishments or persons selling warm-blooded animals (except

birds, and laboratory rats and mice) for research or exhibition

purposes; (4) establishments wholesaling any animals (except birds,

rats, and mice); and (5) establishments 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.

All retail facilities that meet the definition of retail pet store,

even those that are not traditional retail pet stores, are exempt from

licensing and inspection requirements.

As part of our continuing efforts to ensure that animals covered by

the AWA receive humane handling, care, and treatment, we considered

amending the definition of ``retail pet store'' to cover only

traditional ``stores''--nonresidential, commercial retail businesses--

that sell primarily pets and pet products. If this change had been

adopted, many retail pet dealers would no longer have been considered

retail pet stores, and, unless otherwise exempt under the regulations,

would have been required to be licensed and inspected in accordance

with part 2.

However, after careful consideration of comments we received from

the public and further review of this issue, we have decided to retain

the current definition of ``retail pet store.'' We based this decision

on our experience enforcing the regulations, specifically the several

factors discussed below.

First, we believe that our current definition of ``retail pet

store'' conforms with Congress' intention that the AWA focus primarily

on dealers who sell wholesale. During congressional revisions to the

AWA, Congress has not challenged our definition of ``retail pet

store.'' Therefore, we are confident that our current definition

accurately reflects the original and continuing intent of Congress.

Further, we believe our implementation of the AWA has significantly

improved the well-being of animals owned by the wholesale dealers we

regulate, as well as that of the animals owned by retail dealers. Many

retail outlets have improved the living standards of their animals in

order to meet the standards of their wholesale counterparts.

Second, we have determined that retail dealers, especially those

who sell from their homes, are already subject to a degree of self-

regulation and oversight by persons who purchase animals from the

retailers' homes, as well as by breed and registry organizations. Breed

and registry organizations, such as kennel clubs, require their

registrants to meet certain guidelines related to the health and

genetic makeup of animals bred and to the education of the registrants.

These organizations also monitor the conditions under which animals are

bred and raised. Wholesale dealers typically do not have this type of

oversight from the public.

Third, we have determined that amending the definition of ``retail

pet store'' to include only nonresidential, commercial retail

businesses would not offer us the regulatory flexibility we need to

concentrate our resources on those facilities that present the greatest

risk of noncompliance with the regulations. If we were to amend the

definition of ``retail pet store,'' it is conceivable that a

significant portion of our annual personnel and financial resources

would be used to regulate a very small fraction of the animals covered

under our regulations. This disproportionate expenditure of funds would

not be in the best interest of animal welfare.

Fourth, retail outlets are not unregulated. There are already many

State and local laws and ordinances in place to monitor and respond to

allegations of inhumane treatment of and inadequate housing for animals

owned by private retail dealers. If we were to regulate these dealers

along with State and local officials, it would clearly not be the most

efficient use of our resources.

Fifth, our inspectors would have to enforce cleaning, sanitation,

handling, and other regulatory requirements in private homes, because

most small retail dealers operate from their homes. Many commenters

stated that they would regard this as an unnecessary intrusion by the

Federal Government and a serious invasion of privacy.

Based on these factors, we have determined that a change to the

definition of ``retail pet store'' would not improve animal welfare in

general or our current regulatory program. Therefore, we are retaining

our current definition of ``retail pet store.''

Number of Breeding Females

In 9 CFR part 2, Sec. 2.1, paragraph (a)(3) lists those persons who

are exempt from licensing requirements. In addition to retail pet

stores, those who are exempt from licensing requirements include any

person who maintains a total of three or fewer breeding female dogs

and/or cats and who sells the offspring of these dogs or cats, which

were born and raised on his or her premises, for pets or exhibition,

and who is not otherwise required to obtain a license (see

Sec. 2.1(a)(3)(iii)).

We considered raising this threshold so that fewer establishments

would become subject to our licensing and inspection requirements if we

amended the definition of retail pet store. The current threshold of

three or fewer breeding female dogs and/or cats maintained on a

premises is based on a determination that small facilities usually pose

less risk to the welfare of animals than do large facilities. We still

agree with that determination.

Further, if the threshold were increased, hundreds of wholesale

dealers of dogs and cats who are currently required to be licensed

would no longer have to be licensed. We do not think that exempting

these wholesale dealers from regulatory requirements is in the best

interest of animal welfare because, as discussed earlier, wholesale

dealers typically do not have the same degree of oversight from

potential customers, breed or registry organizations, or other members

of the public as retail dealers. This means that, if the threshold were

raised, many wholesale dealers of dogs and cats would go essentially

unmonitored. Any decision to cease regulation of small wholesale

dealers could lead to a significant drop in animal well-being at many

of these premises. We believe that maintaining the current threshold

will help ensure the continued humane care, treatment, and handling of

dogs and cats.

For these reasons, we have decided to retain the current threshold

of three for the number of breeding female dogs and/or cats a person

may maintain on his or her premises and be exempt from licensing and

inspection requirements.

Regulation of Dealers of Hunting, Breeding, and Security Dogs

The AWA defines a dealer as, among other things, a person who sells

any dog for hunting, breeding, or security purposes (7 U.S.C. 2132).

The AWA goes on to require that a dealer have a valid license to:

Sell or offer to sell any animal to a research facility,

or for exhibition or use as a pet; or

Sell any animal to another dealer or exhibitor. (7 U.S.C.

2134).

Because hunting, breeding, and security dogs are sold for purposes

other than research, exhibition, or use as a pet, dealers of hunting,

breeding, and security dogs do not have to be licensed under the first

set of conditions in 7 U.S.C. 2134. Therefore, the AWA

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requires licensing of only wholesale dealers (i.e., those dealers who

sell animals to other dealers) of hunting, breeding, and security dogs.

In accordance with the AWA, we will now require licensing and

inspection for wholesale dealers of dogs intended primarily for

hunting, breeding, and security purposes. We are instituting this

policy to help ensure the humane handling, care, and treatment of

hunting, breeding, and security dogs.

Although it has been our policy until now not to require dealers of

hunting, breeding, and security dogs to be licensed and inspected, our

regulations do. Specifically, the regulations at Sec. 2.1 require that

all dealers of dogs must be licensed and inspected. Our current

definition of ``dealer'' in Sec. 1.1 includes both wholesale and retail

dealers of hunting, breeding, and security dogs. These dealers are not

provided any exemption from licensing and inspection under the

definition of ``retail pet store'' in Sec. 1.1. Therefore, in the near

future, we will publish a document in the Federal Register to propose

changing the regulations to require only wholesale dealers of hunting,

breeding, and security dogs to be licensed and inspected. This action

will bring our regulations into accord with the AWA and with our new

policy, now in effect, to regulate wholesale dealers of hunting,

breeding, and security dogs. The proposal will also solicit public

comment on the new policy.

The AWA licensing requirements for animal dealers are contained in

9 CFR part 2, subpart A, and the care standards for dogs and cats are

contained in 9 CFR part 3, subpart A. For information about becoming

licensed as a dealer under the AWA, contact the person listed above

under FOR FURTHER INFORMATION CONTACT.

Authority: 7 U.S.C. 2131-2159; 7 CFR 2.22, 2.80, and 371.2(g).

Done in Washington, DC, his 12th day of July 1999.

Charles P. Schwalbe,

Acting Administrator, Animal and Plant Health Inspection Service.

[FR Doc. 99-18319 Filed 7-16-99; 8:45 am]

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