Federal Statutes Protecting Domesticated and Captive Animals

Federal Statutes Protecting Domesticated and Captive Animals

Federal Statutes Protecting Domesticated and February 5, 2021
Captive Animals
Erin H. Ward
A number of federal laws aim to protect the health, safety, and well-being of animals under
Legislative Attorney
human control. These laws extend to pets, domesticated livestock, service animals, test subjects,

and wild animals kept for exhibition, scientific, or educational purposes, among others. Some of
them prohibit specific harmful acts, others prescribe standards for certain types of activities, and

others require owners to have permits and meet certain criteria to possess various types of
animals. This report provides brief summaries of federal laws that aim to protect domesticated and captive animals. The laws,
or components thereof, that address animals owned by humans represent a subset of the federal laws that aim to protect and
conserve animals.
A principal statute governing the humane treatment of animals is the Animal Welfare Act (AWA). Enacted in 1966, the
AWA “is the only Federal law in the United States that regulates the treatment of animals in research, exhibition, transport,
and dealers,” according to the Department of Agriculture. The AWA prescribes the minimum standards of care for certain
animals that are used for research, sold or transported commercially, or exhibited to the public. Other statutes and policies
refer to the AWA as the “minimum acceptable standard” for animal care and use.
The laws summarized in this report are categorized by topic. Due to its expansiveness and central role in animal protection
law, the AWA is discussed first and in greater detail than the other laws. Laws that exclusively address the protection or
conservation of animals in the wild were omitted from this report. To the extent a law applies to both animals in the wild and
animals in captivity, such as the Endangered Species Act or the Lacey Act, the summary provided in this report focuses on
the provisions that apply specifically to animals in captivity, such as permitting or import requirements. This report also does
not include laws that only incidentally address animal protection or that address but do not aim to protect animals.
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Contents
Animal Welfare Act ......................................................................................................................... 1
Federal Service Animals .................................................................................................................. 5
Adoption of Military Animals ................................................................................................... 5
Disposition of Unfit Horses and Mules ..................................................................................... 5
Federal Law Enforcement Animal Protection Act of 2000 ....................................................... 6
Health and Disease Control ............................................................................................................. 6
Animal Cancer Research Act .................................................................................................... 6
Animal Health Protection Act ................................................................................................... 6
Federal Food, Drug, and Cosmetic Act ..................................................................................... 7
Food Security Act of 1985 ........................................................................................................ 7
Safety and Welfare........................................................................................................................... 8
Animal Enterprise Terrorism Act .............................................................................................. 8
Dog and Cat Protection Act of 2000 ......................................................................................... 8
Horse Protection Act ................................................................................................................. 9
Preventing Animal Cruelty and Torture Act .............................................................................. 9
Robert T. Stafford Disaster Relief and Emergency Assistance Act ......................................... 10
Scientific Research ........................................................................................................................ 10
Interagency Coordinating Committee on the Validation of Alternative Methods
Authorization Act of 2000 .................................................................................................... 10
Public Health Service Act ........................................................................................................ 11
Slaughter ........................................................................................................................................ 12
Export Administration Amendments Act of 1985 ................................................................... 12
Humane Slaughter Act of 1978 ............................................................................................... 12
Prohibitions on Horse Slaughter in Appropriations Acts ........................................................ 13
Transportation ................................................................................................................................ 13
Livestock Transportation Act .................................................................................................. 13
Wendell H. Ford Aviation Investment and Reform Act for the 21st Century ......................... 14
Wildlife in Captivity ...................................................................................................................... 14
Bald and Golden Eagle Protection Act .................................................................................... 14
Endangered Species Act of 1973 ............................................................................................. 15
Lacey Act ................................................................................................................................ 16
Marine Mammal Protection Act of 1972 ................................................................................. 17
Migratory Bird Treaty Act ....................................................................................................... 18
Tariff Act of 1930 .................................................................................................................... 18
Wild Bird Conservation Act of 1992 ....................................................................................... 19

Contacts
Author Information ........................................................................................................................ 19

Congressional Research Service

link to page 4 Federal Statutes Protecting Domesticated and Captive Animals

number of federal laws aim to protect the health, safety, and well-being of animals under
human control. These laws extend to pets, domesticated livestock, service animals, test
A subjects, and wild animals kept for exhibition, scientific, or educational purposes, among
others. Some of them prohibit specific harmful acts, others prescribe specific standards for certain
types of activities, and others require owners to have permits and meet certain criteria to possess
various types of animals. This report provides brief summaries of federal laws that aim to protect
domesticated and captive animals. The laws summarized in this report are categorized by topic.
A principal statute governing the humane treatment of animals is the Animal Welfare Act (AWA).
Enacted in 1966, the AWA “is the only Federal law in the United States that regulates the
treatment of animals in research, exhibition, transport, and dealers,” according to the Department
of Agriculture.1 The AWA prescribes the minimum standards of care for certain animals that are
used for research, sold or transported commercially, and exhibited to the public.2 Other statutes
and policies reference the AWA as the “minimum acceptable standard” for animal care and use.3
Due to its expansiveness and central role in animal protection law, the AWA is discussed first and
in greater detail.
The laws, or components thereof, that address animals owned by humans represent a subset of the
federal laws that aim to protect and conserve animals. Many laws address protection and
conservation of animals in the wild.4 Laws that exclusively address the protection or conservation
of animals in the wild were omitted from this report. To the extent a law applies to both animals
in the wild and animals in captivity, such as the Endangered Species Act or the Lacey Act, the
summary provided in this report focuses on the provisions that apply specifically to animals in
captivity, such as permitting or import requirements. This report also does not include laws that
only incidentally address animal protection5 or that address but do not aim to protect animals.
Animal Welfare Act
Citation: 7 U.S.C. §§ 2131-2159; 18 U.S.C. § 49

1 Animal Welfare Act, NAT’L AGRICULTURAL LIBRARY, U.S. DEP’T OF AGRIC., https://www.nal.usda.gov/awic/animal-
welfare-act (last visited Oct. 29, 2020).
2 Id.; see generally 7 U.S.C. §§ 2131-2159.
3 NAT’L AGRICULTURAL LIBRARY, supra note 1.
4 For example, the Endangered Species Act, Marine Mammal Protection Act, Fur Seal Act, the Lacey Act, the Wild
Horse Act, and other laws prohibit certain actions with respect to specific species of fish or wildlife. 16 U.S.C.
§§ 1531-1544; id. §§ 1361-1423h; id. §§ 1151-1175. The Lacey Act, Nonindigenous Aquatic Nuisance Prevention and
Control Act, and other laws protect domestic wildlife from invasive species. 18 U.S.C. § 42; 16 U.S.C. §§ 4701-4751.
The Fish and Wildlife Act of 1956, National Wildlife Refuge System Administration Act, and other laws direct federal
agencies to manage public land for wildlife conservation or set aside specific public land for such purposes. 16 U.S.C.
§§ 742a–742j-2; id. §§ 668dd-668ee. For more information on statutes relating to the U.S. Fish and Wildlife Service,
see CRS Report R45265, U.S. Fish and Wildlife Service: An Overview, by R. Eliot Crafton. The Magnuson-Stevens
Fishery Conservation and Management Act and others laws aim to limit resource depletion (e.g., hunting or
commercial fishing) in order to attain sustainable harvest rates. 16 U.S.C. §§ 1801-1891d. The Multinational Species
Conservation Fund, African Elephant Conservation Act, Asian Elephant Conservation Act, Rhinoceros and Tiger
Conservation Act, and other laws provide funding to state or nongovernmental entities for conservation projects. 16
U.S.C. § 4246; id. §§ 4201-4245; id. §§ 4261-4266; id. §§ 5301-5306.
5 See, e.g., 7 U.S.C. §§ 1000, 1010-1013a (Bankhead-Jones Farm Tenant Act); 16 U.S.C. §§ 791a-825r (Federal Power
Act); 33 U.S.C. §§ 1251-1388 (Federal Water Pollution Control Act); 16 USCA §§ 460l-31 to 460l-34; 43 U.S.C.
§§ 390h, 390h-1 to 390h-12, 390h-12a to 390h-12p, 390h-13 to 390h-39 (Reclamation Projects Authorization and
Adjustment Act of 1992); 33 U.S.C. § 540 (River and Harbor Act of 1938); 43 U.S.C. §§ 620a-1, 620a-2, 620c-1,
620d-1, 1501-1556 (Colorado River Basin Project Act).
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The Animal Welfare Act (AWA) requires humane treatment of certain animals used for research,
in exhibitions, and as pets.6 The AWA does not apply to all animals. The act defines “animal” to
apply only to warm-blooded animals.7 The animals may be living or dead, but the act only applies
if they are being used “for research, testing, experimentation, or exhibition purposes, or as a pet.”8
Further, the definition of “animal” specifically excludes “(1) birds, rats of the genus Rattus, and
mice of the genus Mus, bred for use in research, (2) horses not used for research purposes, and (3)
other farm animals.”9
Humane Standards. The AWA requires the Secretary of Agriculture to “promulgate standards to
govern the humane handling, care, treatment, and transportation of animals by dealers, research
facilities, and exhibitors,” including federal research facilities and exhibitors.10 The standards
must include “minimum requirements for handling, housing, feeding, watering, sanitation,
ventilation, shelter from extremes of weather and temperatures, adequate veterinary care, and
separation by species” if necessary.11 The AWA requires the standards to “ensure that animal pain
and distress are minimized” in connection with experimental procedures.12 Although many of
these standards are left to the discretion of the Secretary of Agriculture—and in practice, the
promulgated standards are highly specific to particular animals—the AWA specifies a few
additional requirements for specific animals. For example, it requires that the standards include
minimum requirements for the exercise of dogs and for an adequate physical environment to
promote the psychological well-being of primates.13 The Secretary of Agriculture must also
promulgate standards for the humane treatment of animals while transported in commerce.14
The AWA requires every research facility (including federal facilities) to establish a committee,
referred to as an Institutional Animal Committee or an Institutional Animal Care and Use
Committee (IACUC),15 to “assess animal care, treatment, and practices” in the facility’s
experimental research.16 The committee must inspect the facility’s animal study areas and animal
facilities on a semi-annual basis to review, among other things, the condition of the animals and
the facility’s practices that may cause pain to animals.17 Research facilities must also provide

6 7 U.S.C. §§ 2131-2159. For additional information on the Animal Welfare Act, see CRS Report RS22493, The
Animal Welfare Act: Background and Selected Animal Welfare Legislation. The statute’s stated policy is to ensure that
animals used as pets, for research, or for exhibitions are treated humanely, including while they are transported, and to
prevent animal theft by preventing the sale or use of stolen animals. 7 U.S.C. § 2131. The act is also known as the
Federal Laboratory Animal Welfare Act and the Laboratory Animal Act of 1966.
7 7 U.S.C. § 2132(g).
8 7 U.S.C. § 2132(g).
9 7 U.S.C. § 2132(g).
10 7 U.S.C. §§ 2143(a)(1) & 2144. The standards that the Secretary of Agriculture has promulgated to implement these
statutory requirements are codified in 9 C.F.R. Part 3.
11 7 U.S.C. § 2143(a)(2)(A).
12 7 U.S.C. § 2143(a)(3)(A).
13 7 U.S.C. § 2143(a)(2)(B).
14 7 U.S.C. § 2143(a)(4).
15 7 U.S.C. § 2132(n); 9 C.F.R. § 2.31.
16 7 U.S.C. § 2143(b)(1) & (c). The act defines “research facility” as “any school (except an elementary or secondary
school), institution, organization, or person that uses or intends to use live animals in research, tests, or experiments,
and that (1) purchases or transports live animals in commerce, or (2) receives funds under a grant, award, loan, or
contract from a department, agency, or instrumentality of the United States for the purpose of carrying out research,
tests, or experiments.” Id. § 2132(e). The Secretary may exempt by regulation certain facilities from being considered
research facilities. Id.
17 7 U.S.C. § 2143(b)(3).
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training for their scientists, animal technicians, and other personnel involved in caring for and
treating the animals, with a focus on humane standards and minimizing or eliminating the use of
animals or their pain or distress.18
Licensing and Registration. To support the humane standards it requires, the AWA establishes a
system of licensure and registration. The specific registration requirements that apply depend on
what kind of activity a party intends to engage in.
Dealers and exhibitors must obtain licenses from the Secretary of Agriculture in order to (1) sell
or transport any animals to research facilities, for exhibition, or for use as a pet or (2) buy, sell, or
transport any animals to or from another dealer or exhibitor.19 The Secretary may also require
operators of auction sales where cats or dogs are sold to obtain a license under conditions the
Secretary may prescribe.20 To receive a license, the person must demonstrate compliance with the
humane standards of animal welfare promulgated by the Secretary.21 In turn, research facilities
may purchase dogs or cats only from licensed dealers or exhibitors.22
The AWA defines a dealer as a person who delivers for transportation, transports, buys, or sells in
commerce for profit (1) any living or dead animal “for research, teaching, exhibition, or use as a
pet” or (2) any dog for hunting, security, or breeding.23 However, the definition of a dealer
excludes retail pet stores that do not sell “animals to a research facility, an exhibitor, or a
dealer.”24 The AWA defines “exhibitor” as a person who exhibits any animals to the public for
compensation.25 The definition of exhibitor includes carnivals, circuses, and zoos regardless of
whether they are operated for profit.26 It specifically excludes retail pet stores, state and country
fairs, livestock shows, rodeos, and purebred dog and cat shows.27
The act requires research facilities, intermediate handlers, carriers, and any exhibitors not
required to obtain a license to register with the Secretary.28 Dealers, exhibitors, research facilities,
intermediate handlers, and carriers must maintain records of their transactions.29 In addition,
dealers, exhibitors, research facilities, and auction sale operators are subject to inspection of their
animals and records by law enforcement agencies searching for lost animals.30
Selling Cats and Dogs. In addition to its more general requirements, the AWA prescribes some
requirements that are specific to cats and dogs. Under the AWA, dealers and exhibitors cannot sell
or otherwise dispose of any cats or dogs for five business days after acquiring the animal.31 The
AWA also requires public and private pounds and shelters, as well as licensed research facilities,

18 7 U.S.C. § 2143(d).
19 7 U.S.C. §§ 2133 & 2134. The licensing regulations are found in 9 C.F.R. Part 2 Subpart A.
20 7 U.S.C. § 2142.
21 7 U.S.C. § 2133.
22 7 U.S.C. § 2137.
23 7 U.S.C. § 2132(f).
24 7 U.S.C. § 2132(f).
25 7 U.S.C. § 2132(h).
26 7 U.S.C. § 2132(h).
27 7 U.S.C. § 2132(h).
28 7 U.S.C. § 2136. The registration regulations are found in 9 C.F.R. Part 2 Subpart B.
29 7 U.S.C. § 2140. The recordkeeping regulations are found in 9 C.F.R. Part 2 Subpart G.
30 7 U.S.C. §§ 2143(a)(7) & 2147.
31 7 U.S.C. § 2135. The Secretary of Agriculture may prescribe an alternative timeframe. Id. This restriction does not
apply to auction sale operators that are subject to the AWA. Id.
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to “hold and care for” any dog or cat they acquire “for a period of not less than five days to
enable such dog or cat to be recovered by its original owner or adopted by other individuals
before such entity sells such dog or cat to a dealer.”32 A dealer must provide a certification that
contains information about the transaction, the animal, and compliance with the holding period
requirement, among other things, to a recipient of a cat or dog obtained from a pound, shelter, or
individual.33 Research facilities may purchase cats or dogs only from licensed dealers, exhibitors,
or auction sale operators subject to the AWA.34 Similarly, federal agencies may acquire cats or
dogs for research, experimentation, or exhibition purposes only from licensed dealers, exhibitors,
or auction sale operators subject to the AWA.35
With some exceptions, the act also prohibits any person from importing a dog into the United
States for purposes of resale unless “the dog is in good health, has received all necessary
vaccinations, and is at least six months of age.”36
Animal Fighting. The AWA prohibits knowingly (1) sponsoring or exhibiting animals in animal
fighting ventures, (2) attending animal fighting ventures, or (3) causing individuals under 16 to
attend animal fighting ventures.37 The act also prohibits knowingly selling, buying, possessing,
training, transporting, delivering, or receiving animals for use in animal fighting ventures.38 In
addition, within the bounds of the interstate commerce clause, the act prohibits knowingly
purchasing, selling, transporting, or delivering any “knife, a gaff, or any other sharp instrument
attached, or designed or intended to be attached, to the leg of a bird for use in an animal fighting
venture,” and it prohibits advertising or promoting animal fighting or related goods.39 The Animal
Fighting Prohibition Enforcement Act of 2007 provided for additional criminal penalties,
including fines, imprisonment, or both, for violating certain of these animal fighting provisions.40

32 7 U.S.C. § 2158(a).
33 7 U.S.C. § 2158(b).
34 7 U.S.C. § 2137. Research facilities may, however, purchase cats or dogs from dealers or exhibitors that are exempt
from obtaining a license by 7 U.S.C. §§ 2133, 2137.
35 7 U.S.C. § 2138. Federal agencies may, however, purchase or otherwise acquire cats or dogs from dealers or
exhibitors that are exempt from obtaining a license by 7 U.S.C. §§ 2133, 2138.
36 7 U.S.C. § 2148(b)(1). Resale, as defined by the act, “includes any transfer of ownership or control of an imported
dog of less than 6 months of age to another person, for more than de minimis consideration.” Id. § 2148(a)(2). By
regulation, the required vaccines are distemper, hepatitis, leptospirosis, parvovirus, parainfluenza virus, and rabies. 9
C.F.R. § 2.151(a)(1)-(2).
This prohibition may not apply, however, if the dog is being imported for research or veterinary care. 7 U.S.C. §
2148(b)(2)(A). Under regulations implemented by the Secretary of Agriculture pursuant to the AWA, a dog need not
meet one or more of the three statutory requirements if the person importing the dog provides satisfactory evidence that
meeting those requirements “would interfere with the dog’s use in [the person’s] research, tests, or experiments.” Id.; 9
C.F.R. § 2.151(b)(1). The regulations also provide that a dog need not meet the three statutory requirements if it is
being imported for veterinary treatment that cannot be obtained in the export country and if it is confined until certain
conditions are met pursuant to a veterinary treatment agreement with the U.S. Department of Agriculture. 7 U.S.C. §
2148(b)(2)(A); 9 C.F.R. § 2.151(b)(2).
In addition, dogs that are in good health and have received the necessary vaccinations may be imported into Hawaii
from the British Isles, Australia, Guam, or New Zealand for resale so long as they are not transported out of Hawaii for
resale before they are six months old. 7 U.S.C. § 2148(b)(2); 9 C.F.R. § 2.151(b)(3).
37 7 U.S.C. § 2156(a).
38 7 U.S.C. § 2156(a)-(b).
39 7 U.S.C. § 2156(c)-(e).
40 18 U.S.C. § 49. Section 26 of the Animal Welfare Act is codified at 7 U.S.C. § 2156.
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Penalties. The act authorizes the Secretary of Agriculture to assess a civil penalty of not more
than $10,000 for any violation of any provision of the AWA, or of any rule, regulation, or
standard promulgated by the Secretary.41 The act also provides for criminal penalties: knowing
violations of the act by dealers, exhibitors, or auction sale operators may be punishable by
imprisonment of up to one year, fines of up to $2,500, or both.42 The Secretary may also seek a
temporary restraining order or injunction against any dealer, carrier, exhibitor, or intermediate
handler that the Secretary has reason to believe is dealing in stolen animals or placing animals’
health in serious danger in violation of the AWA and associated regulations and standards.43
Unlike some other statutes, such as the Endangered Species Act, the AWA does not include a
citizen suit provision, which would allow private citizens to file lawsuits alleging AWA
violations.
Federal Service Animals
Adoption of Military Animals
Citation: 10 U.S.C. § 2583
The Adoption of Military Animals Act provides for the transfer or adoption of military animals
deemed suitable for transfer or adoption (1) at the end of their “useful life,” (2) when justified by
unusual or extraordinary circumstances such as the animal’s handler being killed in action, or (3)
when the animal is otherwise in excess of the military’s needs.44 The military animal may be
adopted by or transferred to the animal’s handler, other persons or organizations capable of
humanely caring for the animal, or a law enforcement agency.45 Military animals are defined by
the statute to mean military working dogs and horses, mules, or donkeys owned by the
Department of Defense.46 For retired military working dogs, the statute expresses a preference for
the dogs to be adopted by their former handlers unless it is not in the dog’s best interest.47 The
statute provides for veterinary screening and care for and transportation of military working dogs
to be retired.48 The statute limits the United States’ liability for any claim arising from military
animals adopted or transferred pursuant to the statute.49
Disposition of Unfit Horses and Mules
Citation: 40 U.S.C. § 1308

41 7 U.S.C. § 2149(b). Specifically, civil penalties may be assessed against dealers, exhibitors, research facilities,
intermediate handlers, carriers, or operators of auction sales subject to the AWA. Id.
42 7 U.S.C. § 2149(d). Section 49 of Title 18 under the Animal Fighting Prohibition Enforcement Act of 2007 provides
criminal penalties for violating certain animal fighting venture prohibitions. 7 U.S.C. § 2156(j).
43 7 U.S.C. § 2159.
44 10 U.S.C. § 2583(a).
45 10 U.S.C. § 2583(c).
46 10 U.S.C. § 2583(i).
47 10 U.S.C. § 2583(h).
48 10 U.S.C. § 2583(f) & (g).
49 10 U.S.C. § 2583(e).
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This statute provides that, subject to applicable regulations, “horses and mules belonging to the
Federal Government that have become unfit for service may be destroyed or put out to pasture.”50
The horses and mules may be pastured “either on pastures belonging to the Government or those
belonging to financially sound and reputable humane organizations whose facilities permit them
to care for the horses and mules during the remainder of their natural lives, at no cost to the
Government.”51
Federal Law Enforcement Animal Protection Act of 2000
Citation: 18 U.S.C. § 1368
The Federal Law Enforcement Animal Protection Act of 2000 criminalizes “willfully and
maliciously harm[ing]” any dog or horse employed by a Federal agency for law enforcement
purposes, or “attempt[ing] or conspir[ing] to do so.”52 Violations are punishable by fines or
imprisonment, with a higher maximum prison term if the animal is permanently disabled or
disfigured.53
Health and Disease Control
Animal Cancer Research Act
Citation: 7 U.S.C. §§ 3901-3904
In the 1980 Animal Cancer Research Act, Congress found that “basic research in diagnosis,
prevention, and control of malignant tumors in animals and birds has not been adequately
coordinated”54 and that basic research is “essential to protect the health of domestic animals,
poultry, and wildlife, including birds.”55 The statute directs the “Secretary of Agriculture [to]
conduct a program of basic research on cancer in animals and birds.”56 It also directs the
Secretary and the Director of the National Institutes of Health (NIH) to coordinate this program
with the National Cancer Institute research program.57
Animal Health Protection Act
Citation: 7 U.S.C. §§ 8301-8321
The Animal Health Protection Act addresses the prevention, detection, control, and eradication of
animal diseases and pests, particularly as they relate to livestock.58 The act allows the Secretary of
Agriculture to restrict the import, export, or trade in animals or goods that may contain pests or
disease or the means of conveying them if necessary “to prevent the introduction into or

50 40 U.S.C. § 1308.
51 40 U.S.C. § 1308.
52 18 U.S.C. § 1368(a).
53 18 U.S.C. § 1368(a).
54 7 U.S.C. § 3901(a).
55 7 U.S.C. § 3901(c).
56 7 U.S.C. § 3902.
57 7 U.S.C. § 3903.
58 7 U.S.C. § 8301.
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dissemination within the United States of any pest or disease of livestock.”59 The act authorizes
the Secretary to conduct inspections of and to seize, quarantine, or dispose of animals, articles,
and means of conveyance under certain circumstances60 Under the act, the Secretary may also
undertake efforts “to detect, control, or eradicate any pest or disease of livestock (including the
drawing of blood and diagnostic testing of animals), including animals at a slaughterhouse,
stockyard, or other point of concentration.”61 The statute prescribes criminal and civil penalties
for violations.62
Federal Food, Drug, and Cosmetic Act
Citation: 21 U.S.C. §§ 301-399g
The Federal Food, Drug, and Cosmetic Act (FD&C Act) has been amended several times to
include specific requirements for animal drugs. The Animal Drug Amendments of 1968
prescribed standards for when a new animal drug or an animal feed bearing or containing a new
animal drug shall be considered unsafe under FD&C Act provisions relating to adulterated drugs,
devices, and food.63 As amended, the FD&C Act prescribes an application process for approving
new animal drugs.64 The Minor Use and Minor Species Animal Health Act of 2004 amended the
FD&C Act to allow for conditional approval of new animal drugs intended (1) for minor use or to
treat minor species; (2) to treat serious or life-threatening conditions; or (3) when demonstrating
effectiveness is particularly difficult.65 As amended in 2004, the FD&C Act also allows the
Secretary to declare a new animal drug for a minor use or use in a minor species to be a
“designated new animal drug,” which qualifies the sponsor for grants and contracts to develop the
drug and generally provides 7 years of marketing exclusivity if approved or conditionally
approved.66
Food Security Act of 1985
Citation: 21 U.S.C. §§ 151-158
Two statutes, first enacted in 1914 and then amended as part of the Food Security Act of 1985,
make it unlawful to import, export, prepare, or trade in any “worthless, contaminated, dangerous,
or harmful virus, serum, toxin, or analogous product intended for use in the treatment of domestic
animals.”67 Any virus, serum, toxin, or analogous product intended for treating domestic animals

59 7 U.S.C. §§ 8303(a), 8304(a), 8305.
60 7 U.S.C. §§ 8306, 8307.
61 7 U.S.C. § 8308(a).
62 7 U.S.C. § 8313.
63 21 U.S.C. § 360b.
64 21 U.S.C. § 360b.
65 21 U.S.C. § 360ccc. Major species are “cattle, horses, swine, chickens, turkeys, dogs, and cats,” and any other
species added to this definition by regulation. 21 U.S.C. § 321(nn)-(oo). Minor species, for purposes of this provision,
includes all other animals. The term minor use is defined as “the intended use of a drug in a major species for an
indication that occurs infrequently and in only a small number of animals or in limited geographical areas and in only a
small number of animals annually.” 21 U.S.C. § 321(pp).
66 21 U.S.C. § 360ccc-2. The 7-year exclusivity period prevents FDA from approving another application for the same
new animal drug and intended use as the drug with exclusivity. Id. For more information about regulatory exclusivities
under the FD&C Act, see CRS In Focus IF11217, Drug Pricing and the Law: Regulatory Exclusivities, by Erin H.
Ward
67 21 U.S.C. § 151. Specifically, the statute prohibits preparing, selling, bartering, or exchanging such items “in the
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must also be prepared in accordance with regulations issued by the Secretary of Agriculture and
at a facility licensed by the Secretary of Agriculture.68 To implement these provisions, the act
authorizes the Secretary to inspect imports;69 implement regulations;70 and issue, revoke, and
suspend licenses and permits.71 The act provides criminal penalties for violations and includes
enforcement provisions.72
Safety and Welfare
Animal Enterprise Terrorism Act
Citation: 18 U.S.C. § 43
The Animal Enterprise Terrorism Act, which amended the Animal Enterprise Protection Act of
1992,73 applies to “animal enterprises.” Those enterprises include:
(A) a commercial or academic enterprise that uses or sells animals or animal products for
profit, food or fiber production, agriculture, education, research, or testing;
(B) a zoo, aquarium, animal shelter, pet store, breeder, furrier, circus, rodeo, or other lawful
competitive animal event; or
(C) any fair or similar event intended to advance agricultural arts and sciences.74
The act protects such enterprises by criminalizing using interstate or foreign commerce to damage
or interfere intentionally with an animal enterprise by damaging real or personal property it uses
or placing a person associated with it in reasonable fear of death or serious injury through various
forms of intimidation.75 The statute provides penalties for violating the act and restitution for
damages caused by a violation of the act.76
Dog and Cat Protection Act of 2000
Citation: 19 U.S.C. § 1308
The Dog and Cat Protection Act of 2000 makes it unlawful “to import into, or export from, the
United States any dog or cat fur product” or to engage in interstate commerce in any dog or cat
fur product.77 This prohibition does not apply to “a personal pet that is deceased, including a pet

District of Columbia, or the Territories, or any place under the jurisdiction of the United States” and prohibits shipping
or delivering for shipment such items “in or from the United States, the District of Columbia, any territory of the
United States, or any place under the jurisdiction of the United States.” Id.
68 21 U.S.C. § 152.
69 21 U.S.C. § 153.
70 21 U.S.C. § 154; see also 9 C.F.R. subch. E.
71 21 U.S.C. §§ 154, 154a, 155, & 156.
72 21 U.S.C. §§ 158-159.
73 Animal Enterprise Protection Act of 1992, Pub. L. No. 102-346, 106 Stat. 928 (codified at 18 U.S.C. § 43).
74 18 U.S.C. § 43(d)(1).
75 18 U.S.C. § 43(a).
76 18 U.S.C. § 43(b)-(c).
77 19 U.S.C. § 1308(b)(1).
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preserved through taxidermy.”78 Violators may be subject to civil penalties as well as debarment
from trading in fur products and forfeiture of dog or cat fur products.79
Horse Protection Act
Citation: 15 U.S.C. §§ 1821-1831
The Horse Protection Act prohibits showing, exhibiting, selling, or transporting sore horses.80
“Soring” may be employed to change a horse’s gait for purposes of competition or show.81 For
purposes of the statute, a horse is considered “sore” when a substance or device, such as an
irritating agent or a tack, is used to inflict pain, inflammation, or lameness when the horse is
moving, though the term excludes practices undertaken as part of a therapeutic treatment
supervised by a veterinarian.82 The act also requires managers of horse shows, exhibits, sales, or
auctions to disqualify or exclude sore horses.83 To monitor compliance, the act creates an
inspection regime of public and private horse inspectors.84 Violations of the statute are punishable
by civil or criminal penalties.85
Preventing Animal Cruelty and Torture Act
Citation: 18 U.S.C. § 48
The Preventing Animal Cruelty and Torture Act defines “animal crushing” as “actual conduct in
which one or more living non-human mammals, birds, reptiles, or amphibians is purposely
crushed, burned, drowned, suffocated, impaled, or otherwise subjected to serious bodily injury.”86
An animal crush video, under the statute, is “any photograph, motion-picture film, video or digital
recording, or electronic image that—(A) depicts animal crushing; and (B) is obscene.”87 The
findings of the act interpret obscene in this context to mean that the depictions “(A) appeal to the
prurient interest in sex; (B) are patently offensive; and (C) lack serious literary, artistic, political,
or scientific value.”88 The act prohibits, to the extent of federal jurisdiction, “purposely
engag[ing] in animal crushing” and “knowingly creat[ing] an animal crush video.”89 This
prohibition (with some exceptions) also extends to “the knowing sale, marketing, advertising,
exchange, distribution, or creation of an animal crush video outside the United States” if the
person intends or has reason to know the video will be transported into the United States or its

78 19 U.S.C. § 1308(b)(2).
79 19 U.S.C. § 1308(c).
80 15 U.S.C. § 1824.
81 Horse Protection Act, Animal & Plant Health Inspection Serv., U.S. Dep’t of Ag. (Aug. 4, 2020),
https://www.aphis.usda.gov/aphis/ourfocus/animalwelfare/sa_hpa.
82 15 U.S.C. § 1821.
83 15 U.S.C. §§ 1823(a)-(b), 1824(3)-(6).
84 15 U.S.C. § 1823(c).
85 15 U.S.C. § 1825.
86 18 U.S.C. § 48(f)(1).
87 18 U.S.C. § 48(f)(2).
88 Pub. L. No. 111-294 § 2, 124 Stat. 3177 (2010); see also United States v. Richards, 755 F.3d 269, 274-75 (5th Cir.
2014) (discussing the meaning of obscene in the act).
89 18 U.S.C. § 48(a).
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territories or the video is so transported.90 Violators may be fined, “imprisoned for not more than
7 years, or both.”91
Robert T. Stafford Disaster Relief and Emergency Assistance Act
Citation: 42 U.S.C. §§ 5121-5207
The Pets Evacuation and Transportation Standards Act of 2006 amended the Robert T. Stafford
Disaster and Emergency Assistance Act to provide for pets and service animals during
emergencies.92 The underlying statute allowed federal agencies to perform services essential to
saving lives and protecting property or the public health and safety during an emergency. The
2006 amendment included pets and service animals in this authorization, allowing agencies to
provide “rescue, care, shelter, and essential needs to individuals with household pets and service
animals[,] and to such pets and animals.”93 As amended, the act also requires state and local
emergency preparedness operational plans to “take into account the needs of individuals with
household pets and service animals.”94 The 2006 amendment also included pets and service
animals in provisions authorizing the Administrator of the Federal Emergency Management
Agency to “study and develop emergency preparedness measures designed to afford adequate
protection of life and property,”95 and to provide financial assistance to “the States and local
authorities for animal emergency preparedness purposes.”96
Scientific Research
Interagency Coordinating Committee on the Validation of
Alternative Methods Authorization Act of 2000
Citation: 42 U.S.C. §§ 285l-2 to 285l-6
A 2000 statute formally established the Interagency Coordinating Committee on the Validation of
Alternative Methods (ICCVAM). The Committee is organized as part of the National Institutes of
Health, and is composed of the heads (or their designees) of 15 named federal agencies plus
“[a]ny other agency that develops, or employs tests or test data using animals, or regulates on the
basis of the use of animals in toxicity testing.”97 The Committee’s purpose is to “reduce, refine, or
replace the use of animals in testing, where feasible.”98 Among the ICCVAM’s functions is to
“[f]acilitate appropriate interagency and international harmonization of acute or chronic

90 18 U.S.C. § 48(b). The exceptions include veterinary and animal husbandry practices, slaughtering animals for food,
hunting and other legal sporting activities, medical research, and protecting a person’s life or property. Id. § 48(d).
91 18 U.S.C. § 48(c).
92 Pub. L. No. 109-308, 109th Cong. (2006).
93 42 U.S.C. § 5170b(a)(3)(j).
94 42 U.S.C. § 5196b(g).
95 42 U.S.C. § 5196(e)(4).
96 42 U.S.C. § 5196(j)(2).
97 42 U.S.C. § 285l-3; see also About ICCVAM, NAT’L INSTIT. OF HEALTH, U.S. DEP’T OF HEALTH & HUMAN SERV.,
https://ntp.niehs.nih.gov/whatwestudy/niceatm/iccvam/index.html (last updated Nov. 25, 2020).
98 42 U.S.C. § 285l-3(a)-(b).
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toxicological test protocols that encourage the reduction, refinement, or replacement of animal
test methods.”99
Public Health Service Act
Citation: 42 U.S.C. §§ 201 to 300mm-61
Among other things, the Public Health Service Act (PHSA) addresses animals used in scientific
research. The Health Research Extension Act of 1985 amended the act to require the NIH
Director to establish guidelines for research facilities on the proper care and treatment of animals
used for research, including the appropriate use of tranquilizing and euthanizing agents and
proper pre- and post-surgical care.100 Entities that conduct biomedical and behavioral research
with NIH funds must establish animal care committees to review the care and treatment of
animals in the research entity’s study areas and facilities at least semi-annually.101 Failure to
comply with the guidelines and take corrective action as needed may be grounds for suspending
or revoking NIH grants or contracts.102
The National Institutes of Health Revitalization Act of 1993 amended the PHSA to direct the NIH
Director to research “methods of biomedical research and experimentation that do not require the
use of animals[,] . . . that reduce the number of animals used[,] . . . that produce less pain and
distress in animals [used,] and . . . that involve the use of marine life (other than marine
mammals)” and to encourage the use of such methods in the scientific community.103
The PHSA has been amended specifically to address the use of chimpanzees in research. The
1993 Departments of Labor, Health and Human Services, and Education, and Related Agencies
Appropriations Act prohibited using federal funds on “any project that entails the capture or
procurement of chimpanzees obtained from the wild.”104 In 2000, the Chimpanzee Health
Improvement, Maintenance, and Protection Act (CHIMP Act) amended the PHSA to require the
Secretary of Health and Human Services (HHS) to establish and operate a sanctuary system “to
provide for the lifetime care of chimpanzees that have been used, or were bred or purchased for
use, in research conducted or supported by . . . agencies of the Federal Government” when the
chimpanzees are no longer needed for research.105 Chimpanzees that were not used in federally-
connected research that meet certain criteria may also be accepted into the sanctuary system.106
The act prescribes standards that apply to chimpanzees in the system, including that they
generally may not be used in research except as specified in the statute and they must be cared for
in accordance with the Animal Welfare Act.107

99 42 U.S.C. § 285l-3(e).
100 42 U.S.C. § 289d(a); PHS Policy on Humane Care and Use of Laboratory Animals, Nat’l Instit. of Health, U.S.
Dep’t of Health & Human Serv. (2015), https://olaw.nih.gov/policies-laws/phs-policy.htm. The guidelines are not,
however, to be “construed to prescribe methods of research.” Id.
101 42 U.S.C. § 289d(b).
102 42 U.S.C. § 289d(d).
103 42 U.S.C. § 283e(a).
104 42 U.S.C. § 289d note (Pub. L. No. 102-394).
105 42 U.S.C. § 283m(a).
106 42 U.S.C. § 283m(c).
107 42 U.S.C. § 283m(d).
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Slaughter
Export Administration Amendments Act of 1985
Citation: 15 U.S.C. § 1824a
The Export Administration Amendments Act of 1985 effectively prohibits exporting horses for
slaughter under certain circumstances. That statute provides that “no horse may be exported by
sea from the United States, or any of its territories or possessions, unless such horse is part of a
consignment of horses with respect to which” the Secretary of Commerce has granted a waiver.108
Such waivers may be granted only if “no horse in that consignment is being exported for purposes
of slaughter.”109 It prescribes criminal and civil penalties for violating the statute.110
Humane Slaughter Act of 1978
Citation: 7 U.S.C. §§ 1901-1906
The Humane Methods of Slaughter Act of 1958 requires that slaughtering of livestock be
humane. It prescribes two methods of slaughtering and handling livestock that comply with that
requirement.111 First, for non-religious slaughtering, the livestock must be “rendered insensible to
pain by a single blow or gunshot or an electrical, chemical or other means that is rapid and
effective, before being shackled, hoisted, thrown, cast, or cut.”112 Second, animals may be
slaughtered “in accordance with the ritual requirements of the Jewish faith or any other religious
faith,” where the slaughter is performed by “simultaneous and instantaneous severance of the
carotid arteries with a sharp instrument.”113 The act also directs the Secretary of Agriculture to
research methods of slaughter and handling of livestock that are practicable and humane and to
designate such methods by publication in the Federal Register.114
Sections 901 to 905 of the Federal Agriculture Improvement and Reform Act of 1996, entitled
Commercial Transportation of Equine for Slaughter, allowed the Secretary of Agriculture to
regulate “the commercial transportation of equine for slaughter by persons regularly engaged in
that activity within the United States.”115 The act specifically directed the Secretary to “review the
food, water, and rest provided to equine for slaughter in transit, the segregation of stallions from
other equine during transit, and such other issues as the Secretary considers appropriate.”116 The
Secretary subsequently promulgated regulations, which are published at 9 C.F.R. Part 88.

108 15 U.S.C. § 1824a(a)-(b). This act amended an 1891 act about the humane treatment of cattle during export which
has since been repealed. Act of Mar. 3, 1891, ch. 521 § 1-2 (codified at 46 U.S.C. §§ 466a-466b, moved to 46 U.S.C.
§§ 3901-3902, repealed by Pub. L. No. 107-171, § 10418(a)(2) (2002)).
109 15 U.S.C. § 1824a(b).
110 15 U.S.C. § 1824a(c).
111 7 U.S.C. § 1902.
112 7 U.S.C. § 1902(a).
113 7 U.S.C. § 1902(b); see also 7 U.S.C. § 1906.
114 7 U.S.C. § 1904; see also 9 C.F.R. Parts 313 & 500.
115 7 U.S.C. § 1901 note (Pub. L. No. 104-127 § 903(a)).
116 7 U.S.C. § 1901 note (Pub. L. No. 104-127 § 903(b)).
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Prohibitions on Horse Slaughter in Appropriations Acts
The Federal Meat Inspection Act requires inspection of horses (among other amenable species)
before they can be slaughtered for human consumption.117 In its 2006 appropriations act for the
Department of Agriculture, Congress prohibited the use of federal funds to “pay the salaries or
expenses of personnel to inspect horses” under the Federal Meat Inspection Act.118 On February
8, 2006, however, the Department of Agriculture issued a regulation allowing slaughter plants to
pay for inspections by the Department of Agriculture’s Food Safety and Inspection Service so that
horses could continue to be slaughtered for human consumption.119 For the 2008 fiscal year, the
110th Congress again prohibited using appropriated funds to pay salaries and expenses for horse
inspection under the Federal Meat Inspection Act, and the Secretary of Agriculture from
expending funds to implement or enforce the February 2006 regulation.120 With some exceptions,
Congress has generally continued this prohibition on using appropriated funds for horse slaughter
purposes since the 2008 fiscal year.121
Transportation
Livestock Transportation Act
Citation: 49 U.S.C. § 80502
The Livestock Transportation Act122 limits the duration of confinement for animals being
transported. The act prohibits “a rail carrier, express carrier, or common carrier (except by air or
water), a receiver, trustee, or lessee of one of those carriers, or an owner or master of a vessel
transporting animals” across state lines from “confin[ing] animals in a vehicle or vessel for more
than 28 consecutive hours without unloading the animals for feeding, water, and rest.”123 When
the animals are unloaded, the act requires that they be “unloaded in a humane way into pens
equipped for feeding, water, and rest for at least 5 consecutive hours.”124 The statute does not
apply if the animals “have food, water, space, and an opportunity for rest” in the transportation

117 21 U.S.C. §§ 601, 603.
118 Pub. L. No. 109-97, § 794, 119 Stat. 2120 (2006).
119 9 C.F.R. § 352.19; 71 Fed. Reg. 6337 (Feb. 8, 2006).
120 Consolidated Appropriations Act, 2008, Pub. L. No. 110-161 § 741. 121 Stat. 1844 (2007).
121 See, e.g., Consolidated Appropriations Act, 2021, Pub. L. No. 116-260, Div. A, § 795 (2020); Further Consolidated
Appropriations Act, 2020, Pub. L. No. 116-94 § 739 (2019); Consolidated Appropriations Act, 2019, Pub. L. No. 116-6
§ 750 (2019); Consolidated Appropriations Act, 2018, Pub. L. No. 115-141 § 782 (2018); Consolidated Appropriations
Act, 2017, Pub. L. No. 115-31 § 762 (2017); Consolidated Appropriations Act, 2016, Pub. L. No. 114-113 § 767
(2015); Consolidated Appropriations Act, 2015, Pub. L. No. 113-483 § 750 (2014); Consolidated Appropriations Act,
2014, Pub. L. No. 113-76 § 745 (2014); Agriculture, Rural Development, Food and Drug Administration, and Related
Agencies Appropriations Act, 2010, Pub. L. No. 111-80 § 744 (2009); Omnibus Appropriations Act, 2009, Pub. L. No.
111-8 § 738 (2009).
122 This act is also known as the Cruelty to Animals Act, the Food and Rest Law, and the Twenty-Eight Hour Law.
123 49 U.S.C. § 80502(a)(1).
124 49 U.S.C. § 80502(b).
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vehicle.125 The 28-hour period may be extended under certain circumstances.126 The statute
provides civil penalties for violations.127
Wendell H. Ford Aviation Investment and Reform Act for the 21st
Century
Citation: 49 U.S.C. § 41721
Section 710 of the Wendell H. Ford Aviation Investment and Reform Act for the 21st Century
requires passenger airlines to submit monthly reports to the Secretary of Transportation “on any
incidents involving the loss, injury, or death of an animal” during air transport.128 The regulations
cover “any warm- or cold-blooded animal which, at the time of transportation, is being kept as a
pet in a family household in the United States” and any dog or cat in a “commercial shipment on
a scheduled passenger flight.”129 The data from these reports must be published and shared with
the Secretary of Agriculture.130 The statute also requires the Secretary to work with the airlines to
improve employee training on transporting animals and passenger notification about the
conditions under which their animals are transported.131
Wildlife in Captivity
Bald and Golden Eagle Protection Act
Citation: 16 U.S.C. §§ 668-668d
The Bald and Golden Eagle Protection Act largely pertains to bald eagles and golden eagles in the
wild. It prohibits taking such eagles and any commerce in eagles (alive or dead), parts of eagles
(including feathers), eggs, or nests.132 However, the act allows the Secretary of the Interior to
permit taking, possessing, or transporting bald or golden eagles “for the scientific or exhibition
purposes of public museums, scientific societies, and zoological parks, or for the religious
purposes of Indian tribes” if it is compatible with preserving the eagles.133 The Secretary may also
permit such activities as necessary “for the protection of wildlife or of agricultural or other
interests in any particular locality.”134 In addition, the Secretary may permit taking, possessing,
and transporting golden eagles “for the purposes of falconry,” but only if the golden eagles that

125 49 U.S.C. § 80502(c).
126 49 U.S.C. § 80502(a)(2).
127 49 U.S.C. § 80502(d).
128 49 U.S.C. § 41721(a). Under the statute, “the air transport of an animal includes the entire period during which an
animal is in custody of an air carrier, from check-in of the animal prior to departure until the animal is returned to the
owner or guardian of the animal at the final destination of the animal.” Id. § 41721(e).
129 14 C.F.R. § 235.1 (2019).
130 49 U.S.C. § 41721(c)-(d).
131 49 U.S.C. § 41721(b).
132 16 U.S.C. § 668(a)-(b); 50 C.F.R. § 22.1. The act defines “take” to include “pursue, shoot, shoot at, poison, wound,
kill, capture, trap, collect, molest or disturb.” 16 U.S.C. § 668c. The act provides for civil and criminal penalties for
violations. Id. § 668(a)-(b). The act must be done knowingly or “with wanton disregard for the consequences” to incur
criminal penalties. Id. § 668(a).
133 16 U.S.C. § 668a.
134 16 U.S.C. § 668a.
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are taken would have been “taken because of depredations on livestock or wildlife.”135 Finally,
upon request by the governor of a state, the Secretary is required to allow the taking of golden
eagles to seasonally protect domesticated flocks and herds in the state.136 The regulations
governing bald and golden eagle permits are found in 50 C.F.R. Part 22.
Endangered Species Act of 1973
Citation: 16 U.S.C. §§ 1531-1544
The ESA aims to conserve threatened and endangered fish, wildlife, and plants and the
ecosystems upon which they rely.137 The Secretary of the Interior or the Secretary of Commerce,
depending on the type of species, determines whether a species is threatened or endangered
pursuant to five statutory factors.138 Listing a species as endangered or threatened triggers many
of the act’s protections.139 In general, the ESA prohibits takes of or commerce in endangered
species,140 and the Secretary may extend most of these prohibitions to threatened species.141
Further restrictions apply to international trade by prohibiting trading or possessing specimens in
contravention of the Convention on International Trade in Endangered Species of Wild Fauna and
Flora (CITES).142 Violators may incur civil or criminal penalties.143
The ESA allows for certain exemptions to these prohibitions and restrictions that, among other
things, allow for the captive breeding or exhibition of endangered species.144 For example, the
Secretary may permit acts otherwise prohibited by the ESA with respect to endangered species
“for scientific purposes or to enhance the propagation or survival of the affected species,
including, but not limited to, acts necessary for the establishment and maintenance of
experimental populations.”145 The U.S. Fish and Wildlife Service (FWS) and National Marine
Fisheries Service (NMFS) (together, the Services) have promulgated regulations governing ESA
permits.146 FWS also excludes wildlife that were captive-bred in the United States (and meet
certain other criteria) from many of the ESA’s prohibitions.147 A person must register with FWS
to breed listed species in captivity.148

135 16 U.S.C. § 668a.
136 16 U.S.C. § 668a.
137 16 U.S.C. § 1531.
138 16 U.S.C. § 1533. Threatened species and endangered species are defined in 16 U.S.C. § 1532.
139 16 U.S.C. §§ 1536, 1538.
140 16 U.S.C. § 1538. The act defines “take” to mean “to harass, harm, pursue, hunt, shoot, wound, kill, trap, capture, or
collect, or to attempt to engage in any such conduct.” Id. § 1532(19).
141 16 U.S.C. § 1533(d).
142 16 U.S.C. § 1538(c).
143 16 U.S.C. § 1540(a)-(b).
144 16 U.S.C. § 1539
145 16 U.S.C. § 1539(a)(1)(A).
146 50 C.F.R. §§ 17.22; id. Part 222 Subpart C.
147 50 C.F.R. § 17.21(g)-(h). FWS defines “bred in captivity or captive-bred” to refer to “wildlife including eggs, born
or otherwise produced in captivity from parents that mated or otherwise transferred gametes in captivity, if
reproduction is sexual, or from parents that were in captivity when development of the progeny began, if development
is asexual.” Id. § 17.3.
148 50 C.F.R. § 17.21(g)(2)-(3); see also Permits | Frequently Asked Questions, U.S. FISH & WILDLIFE SERV.,
https://www.fws.gov/endangered/permits/faq.html (last updated Jan. 30, 2020).
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For threatened species, FWS regulations also allow permits to be issued for zoological
exhibitions, educational purposes, and “special purposes consistent with the purposes of the
[ESA].”149 The Services may also allow for certain actions with respect to a threatened species
when extending prohibitions to that species.150 For example, FWS regulations allow captive
Canada lynx to be taken without a permit; imported or exported in accordance with CITES; and
made the object of interstate commerce.151
However, the ESA’s provisions still apply unless authorized by a permit or exception, even to a
specimen in captivity. For example, a zoo holding endangered or threatened species may still be
liable for harming or harassing the animals in violation of the prohibition on take.152
Lacey Act
Citation: 16 U.S.C. § 701; 16 U.S.C. §§ 3371-3378; 18 U.S.C. §§ 41-42, 46-47
The Lacey Act consists of two components. The Lacey Act title 18 provisions prohibit—among
other things—importing or shipping certain species determined to be “injurious to human beings,
to the interests of agriculture, horticulture, forestry, or to wildlife or the wildlife resources of the
United States.”153 But the Secretary may permit injurious species to be imported “for zoological,
educational, medical, and scientific purposes” upon finding a “proper showing of responsibility
and continued protection of the public interest and health.”154
The title 16 provisions prohibit commerce in any fish or wildlife taken, possessed, transported, or
sold in violation of U.S. or tribal law.155 They also prohibit engaging in those activities in
interstate or foreign commerce with fish or wildlife taken, possessed, transported, or sold in
violation of state or foreign law.156
The Captive Wildlife Safety Act amended title 16 of the Lacey Act further to prohibit commerce
in any “prohibited wildlife species,”157 defined to mean lions, tigers, leopards, cheetahs, jaguars,
cougars, or hybrids of such species.158 However, this prohibition does not apply to persons
licensed or registered by a federal agency with respect to that species; state colleges, universities,

149 50 C.F.R. § 17.32. NMFS has similar regulations specifically for sea turtles and Middle Columbia River steelhead,
but not general regulations allowing such permits for listed marine and anadromous species. 50 C.F.R. §§ 223.206,
223.201, 223.309.
150 16 U.S.C. § 1533(d).
151 50 C.F.R. § 17.40(k). The regulation defines a captive lynx as one who “was in captivity at the time of the listing,
born in captivity, or lawfully imported into the contiguous United States” provided they have not subsequently been
released into the wild. Id. § 1740(k)(3).
152 See, e.g., People for Ethical Treatment of Animals v. Wildlife in Need & Wildlife in Deed, No. 4:17-cv-00186, 2020
WL 4448481 (S.D. Ind. 2020); Kuehl v. Sellner, 161 F. Supp. 3d 678 (N.D. Iowa 2016), aff’d by Kuehl v. Sellner, 887
F.3d 845 (8th Cir. 2018).
153 18 U.S.C. § 42(a)(1). Specifically, the statute prohibits “any shipment [of injurious species] between the continental
United States, the District of Columbia, Hawaii, the Commonwealth of Puerto Rico, or any possession of the United
States.” 18 U.S.C. § 42(a)(1). In U.S. Association of Reptile Keepers v. Zinke, the D.C. Circuit held that this prohibition
applies only to shipment from one of the listed jurisdictions to another but not to interstate shipments within the
continental United States. 852 F.3d 1131, 1142 (D.C. Cir. 2017).
154 18 U.S.C. § 42(a)(3).
155 16 U.S.C. § 3372(a)(1).
156 16 U.S.C. § 3372(a)(2).
157 16 U.S.C. § 3372(a)(2); Pub. L. No. 108-191, 117 Stat. 2871 (2003).
158 16 U.S.C. § 3371(g).
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or agencies; state-licensed wildlife rehabilitators or veterinarians; accredited wildlife sanctuaries
that meet certain criteria; or persons who have custody of the species solely to transport it to a
permissible recipient.159
Marine Mammal Protection Act of 1972
Citation: 16 U.S.C. §§ 1361-1423h
The Marine Mammal Protection Act of 1972 (MMPA) imposes a moratorium on taking or
importing marine mammals or products thereof.160 However, the Secretary of Commerce or the
Secretary of the Interior (depending on the type of animal) may grant permits to take or import
marine mammals “for purposes of scientific research, public display, photography for educational
or commercial purposes, or enhancing the survival or recovery of a species or stock.”161 Only
permits for scientific research or to enhance the survival or recovery of the species may allow the
permit holder to take pregnant or nursing marine mammals or marine mammals taken from
depleted stocks or in inhumane manners.162 Unlike the Endangered Species Act, the MMPA
regulations do not exempt captive-bred marine mammals from the act’s prohibitions. The
National Marine Fisheries Service regulations, however, identify whether the animal was born in
captivity as a consideration when deciding to issue a permit.163 The act provides civil and criminal
penalties for violations.164

159 16 U.S.C. § 3372(e).
160 16 U.S.C. § 1371. Under the act, a marine mammal is “any mammal which (A) is morphologically adapted to the
marine environment (including sea otters and members of the orders Sirenia, Pinnipedia and Cetacea), or (B) primarily
inhabits the marine environment (such as the polar bear); and, for the purposes of this chapter, includes any part of any
such marine mammal, including its raw, dressed, or dyed fur or skin.” 16 U.S.C. § 1362(6). The act defines “take” to
mean “to harass, hunt, capture, or kill, or attempt to harass, hunt, capture, or kill any marine mammal.” 16 U.S.C. §
1362(13).
161 16 U.S.C. §1371(a). The act also allows the Secretary of Defense to exempt any action or category of actions taken
by the Department of Defense from compliance with the MMPA as needed for national defense purposes. Id. § 1371(f).
The National Defense Authorization Act of 1987 implemented a provision to allow the Secretary of Defense to
“authorize the taking of not more than 25 marine mammals [not a member of an endangered or threatened species] each
year for national defense purposes. Any such authorization may be made only with the concurrence of the Secretary of
Commerce after consultation with the Marine Mammal Commission.” 10 U.S.C. § 8754.
162 16 U.S.C. § 1372(b).
163 50 C.F.R. § 222.308.
164 16 U.S.C. § 1375.
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Migratory Bird Treaty Act
Citation: 16 U.S.C. §§ 703-711
The Migratory Bird Treaty Act165 prohibits certain activities with respect to “migratory bird
species that are native to the United States or its territories.”166 For example, the act prohibits the
take or capture of such birds and commerce in the birds or their parts, eggs, or nests.167 Violators
may be subject to criminal penalties, including fines, imprisonment, and forfeiture of property
used in connection with the violation.168 The Secretary of the Interior may issue regulations
prescribing exceptions to the unlawful actions listed in the statute, including for hunting.169 The
implementing regulations, found in 50 C.F.R. Part 21, allow the U.S. Fish and Wildlife Service to
issue permits for a number of activities, including banding or marking birds, scientific collection
for research or education purposes, taxidermy, falconry, raptor propagation, and rehabilitating
birds.170 Permit holders may only undertake permitted activities with the covered birds and must
comply with certain criteria to obtain and comply with the permit.171
Tariff Act of 1930
Citation: 19 U.S.C. § 1527
The Tariff Act of 1930 (also known as the “Hawley-Smoot Tariff Act” and the “Smoot-Hawley
Act”) require certification for animal-related imports. An importer must certify that any imported
wild mammal or bird, or any part or product thereof was not acquired or exported in violation of
the laws or regulations of the country of origin.172 The Lacey Act contains a similar provision, and
the Tariff Act applies only to the extent the Lacey Act or other laws do not already prohibit
importing the animal, part, or product.173 Any animal, part, or product imported in violation of

165 This act implements the Convention for the Protection of Migratory Birds in the United States and Canada of 1916,
signed by Great Britain on behalf of Canada, and has been amended to incorporate similar agreements between the
United States and Mexico, Japan, and Russia. Convention for the Protection of Migratory Birds in the United States
and Canada, Can.-U.S., Aug. 16, 1916, 39 Stat. 1702; Convention between the United States of America and the United
Mexican States for the Protection of Migratory Birds and Game Mammals, Mex.-U.S., Feb. 7, 1936, 50 Stat. 1311
(implemented by Act of June 20, 1936, Pub. L. No. 74-728, 49 Stat. 1555 (1936)); Mex.-U.S., Mar. 10, 1972, 23 U.S.T.
260; Convention between the Government of the United States of America and the Government of Japan for the
Protection of Migratory Birds and Birds in Danger of Extinction, and Their Environment, Japan-U.S., Mar. 4, 1972, 25
U.S.T. 3329 (implemented by Act of June 1, 1974, Pub. L. No. 93-300, 88 Stat. 190 (1974)); Convention between the
United States of America and the Union of Soviet Socialist Republics Concerning the Conservation of Migratory Birds
and Their Environment, Russ.-U.S., Nov. 19, 1976, 29 U.S.T. 4647 (implemented by Act of Nov. 8, 1978, Pub. L. No.
95-616, 92 Stat. 3111 (1978)).
166 16 U.S.C. § 703(b)(1). The act defines “native to the United States” to mean “occurring in the United States or its
territories as the result of natural biological or ecological processes.” Id. § 703(b)(2)(A).
167 16 U.S.C. § 703(a). Although the act does not define “take,” U.S. Fish and Wildlife Service regulations interpret
“take” to mean “pursue, hunt, shoot, wound, kill, trap, capture, or collect” or attempt to do any of those acts. 50 C.F.R.
§ 10.12.
168 16 U.S.C. § 707.
169 16 U.S.C. § 704.
170 50 C.F.R. §§ 21.1–21.61. Raptors include vultures, kites, eagles, hawks, caracaras, falcons, and owls. Id. § 21.30(a).
The regulations exempt certain persons or entities from the permit requirements under specified conditions. Id.
§§ 21.12–21.15.
171 50 C.F.R. §§ 21.21–21.31.
172 19 U.S.C. § 1527(a). The certification must be from the U.S. consul for the consular district from which the animal,
part, or product was exported. Id.
173 19 U.S.C. § 1527(c).
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this prohibition may be seized and forfeited.174 The Tariff Act does not prohibit importing such
animals, parts, or products if they are “imported for scientific or educational purposes.”175
Wild Bird Conservation Act of 1992
Citation: 16 U.S.C. §§ 4901-4916
The Wild Bird Conservation Act of 1992, also known as the Wild Exotic Bird Conservation Act,
generally prohibits importing certain exotic birds, including those listed under the Convention on
International Trade of Endangered Species of Wild Fauna and Flora (CITES).176 The Secretary of
the Interior may, however, permit otherwise prohibited birds to be imported for some purposes,
including scientific research, zoological display, or cooperative breeding programs that meet
certain criteria.177
The Secretary has implemented permitting regulations in part 15 of title 50 of the Code of Federal
Regulations. Certain approved captive-bred species are also excluded from the importation
prohibition.178

Author Information

Erin H. Ward

Legislative Attorney

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174 19 U.S.C. § 1527(b).
175 19 U.S.C. § 1527(c).
176 16 U.S.C. §§ 4904, 4905, 4907, 4910; see also Wild Bird Conservation Act: Summary of Regulations & Effects,
U.S. FISH & WILDLIFE SERV. (Aug. 2016), https://www.fws.gov/international/pdf/factsheet-wild-bird-conservation-act-
summary-of-effects-2013.pdf.
177 16 U.S.C. § 4911.
178 16 U.S.C. § 4905(b).
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