08 CFR 235.10 U.S. Citizen Identification Card.
(a) General. The U.S. Citizen Identification Card, Form I-197, is no
longer issued by the Service but valid existing cards will continue to
be acceptable documentation of U.S. citizenship. Possession of the
identification card is not mandatory for any purpose. A U.S. Citizen
Identification Card remains the property of the United States. Because
the identification card is no longer issued, there are no provisions for
replacement cards.
(b) Surrender and voidance -- (1) Institution of proceeding under
section 236, 242 or 342 of the Act. A U.S. citizen identification card
must be surrendered provisionally to a Service office upon notification
by the district director that a proceeding under section 236, 242 or 342
of the Act is being instituted against the person to whom the card was
issued. The card shall be returned to the person if the final order in
the proceeding does not result in voiding the card under this paragraph.
A U.S. Citizen Identification Card is automatically void if the person
to whom it was issued is determined to be an alien in a proceeding
conducted under section 236 or 242 of the Act, or if a certificate,
document, or record relating to that person is cancelled under section
342 of the Act.
(2) Investigation of validity of identification card. A U.S.
Citizen Identification Card must be surrendered provisionally upon
notification by a district director that the validity of the card is
being investigated. The card shall be returned to the person who
surrendered it if the investigation does not result in a determination
adverse to his or her claim to be a United States citizen. When an
investigation results in a tentative determination adverse to the
applicant's claim to be a United States citizen, the applicant shall be
notified by certified mail directed to his or her last known address.
The notification shall inform the applicant of the basis for the
determination and of the intention of the district director to declare
the card void unless within 30 days the applicant objects and demands an
opportunity to see and rebut the adverse evidence. Any rebuttal,
explanation, or evidence presented by the applicant must be included in
the record of proceeding. The determination whether the applicant is a
United States citizen must be based on the entire record and the
applicant shall be notified of the determination. If it is determined
that the applicant is not a U.S. citizen, the applicant shall be
notified of the reasons, and the card deemed void. There is no appeal
from the district director's decision.
(3) Admission of alienage. A U.S. Citizen Identification Card is
void if the person to whom it was issued admits in a statement signed
before an immigration officer that he or she is an alien and consents to
the voidance of the card. Upon signing the statement the card must be
surrendered to the immigration officer.
(4) Surrender of void card. A void U.S. Citizen Identification Card
which has not been returned to the Service must be surrendered without
delay to an immigration officer or to the issuing office of the Service.
(c) U.S. Citizen Identification Card previously issued on Form I-179.
A valid U.S. Citizen Identification Card issued on Form I-179 continues
to be valid subject to the provisions of this section.
(48 FR 9504, Mar. 7, 1983)
08 CFR 235.11 Admission of conditional permanent residents.
(a) General. An alien seeking admission to the United States with an
immigrant visa as the spouse, son or daughter of a United States citizen
or lawful permanent resident shall be examined to determine whether the
conditions of section 216 of the Act apply. If so, the alien shall be
admitted conditionally for a period of two years. At the time of
admission, the alien shall be notified that the alien and the
petitioning spouse must file a Joint Petition to Remove the Conditional
Basis of Alien's Permanent Residence (Form I-751) within the 90-day
period immediately preceding the second anniversary of the alien's
admission for permanent residence.
(b) Correction of endorsement on immigrant visa. If the alien is
subject to the provisions of section 216 of the Act, but the
classification endorsed on the immigrant visa does not so indicate, the
endorsement shall be corrected and the alien admitted as a lawful
permanent resident on a conditional basis if otherwise admissible.
Conversely, if the alien is not subject to the provisions of section
216, but the visa classification endorsed on the immigrant visa
indicates that the alien is subject thereto (e.g., if the second
anniversary of the marriage upon which the immigrant visa is based
occurred after the issuance of the visa and prior to the alien's
application for admission) the endorsement on the visa shall be
corrected and the alien admitted as a lawful permanent resident without
conditions, if otherwise admissible.
(c) Expired conditional resident alien status. The lawful permanent
resident alien status of a conditional resident automatically terminates
if the conditional basis of such status is not removed by the Service
through approval of a Joint Petition to Remove the Conditional Basis of
Alien's Permanent Resident Status (Form (I-751) or of an Application for
Waiver of Requirement to File Joint Petition for Removal of Conditions
(Form I-752). Therefore, an alien who is seeking admission as a
returning resident subsequent to the second anniversary of the date on
which conditional residence was obtained (except as provided in part
211.1(b)(1) of this Chapter) and whose conditional basis of such
residence has not been removed pursuant to section 216(c) of the Act,
shall be placed under exclusion proceedings. However, exclusion
proceedings may be terminated and the alien admitted as a returning
resident if the required petition is filed jointly by the alien and
petitioning spouse and approved by the Service, or if an Application for
Waiver of Requirement to File Joint Petition for Removal of Conditions
(Form I-752) is filed by the alien and approved by the Service.
(53 FR 30021, Aug. 10, 1988)
08 CFR 235.12 Northern Mariana identification card.
(a) General. A Northern Mariana identification card to identify the
holder as a United States citizen, may be issued to the following
persons and their children under 18 years of age, who were born on or
before November 3, 1986, and were not citizens or nationals of the
United States, and did not owe allegiance to any foreign state on that
date:
(1) A person in the Northern Mariana Islands (NMI), and as of
November 2, 1986, was a citizen of the Trust Territory of the Pacific
Islands and was domiciled as of that date in the Commonwealth of the
Northern Mariana Islands (CNMI) or the United States, or any territory
or possession of the United States; or
(2) A citizen of the Trust Territory of the Pacific Islands on
November 2, 1986, who had been domiciled continuously in the NMI for the
preceeding five years and who, unless under age, registered to vote in
elections for the NMI District legislature or for any municipal election
in the NMI prior to January 1, 1975; or
(3) A person domiciled in the NMI on November 2, 1986, who although
not a citizen of the Trust Territory of the Pacific Islands on that
date, had been continuously domiciled in the NMI beginning prior to
January 1, 1974.
(b) Application. The Form I-777, Application for Issuance or
Replacement of Northern Mariana Card shall be submitted to the Service
office in the United States which has jurisdiction over the applicant's
residence. The initial card application Form I-89 shall be completed
and forwarded to the Immigration Card Facility with the word ''MARIANA''
block printed or stamped in the upper right-hand corner (side 1). A
replacement card application shall be made on Form I-777 for a lost,
mutilated, or destroyed card.
(c) Duration of application period. The Northern Mariana
identification card will be issued during a two year period to end on
July 1, 1990. All cards issued are valid indefinitely subject to the
provisions of this section. Replacement cards shall continue to be
issued upon application on Form I-777.
(53 FR 23380, June 22, 1988)
08 CFR 235.12 PART 236 -- EXCLUSION OF ALIENS
Sec.
236.1 Authority of immigration judges.
236.2 Hearing.
236.3 Applications for asylum or withholding of deportation.
236.4 Renewal of application for adjustment of status under section
245 of the Act.
236.5 Decision of the immigration judge; notice to the applicant.
236.6 Finality of order.
236.7 Appeals.
236.8 Fingerprinting of excluded aliens.
236.9 Visa Waiver Pilot Program.
Authority: 8 U.S.C. 1103, 1182, 1224, 1225, 1226, 1362.
08 CFR 236.1 Authority of immigration judges.
In determining cases referred for further inquiry as provided in
section 235 of the Act, immigration judges shall have the powers and
authority conferred upon them by the Act and this chapter. Subject to
any specific limitation prescribed by the Act and this chapter,
immigration judges shall also exercise the discretion and authority
conferred upon the Attorney General by the Act as is appropriate and
necessary for the disposition of such cases.
(42 FR 46045, Sept. 14, 1977)
08 CFR 236.2 Hearing.
(a) Opening. Exclusion hearings shall be closed to the public,
unless the alien at his own instance requests that the public, including
the press, be permitted to attend; in that event, the hearing shall be
open, provided that the alien states for the record that he is waiving
the requirement in section 236 of the Act that the inquiry shall be kept
separate and apart from the public. When the hearing is to be open,
depending upon physical facilities, reasonable limitation may be placed
upon the number in attendance at any one time, with priority being given
to the press over the general public. The Immigration Judge shall
ascertain whether the applicant for admission is the person to whom Form
I-122 was previously delivered by the examining immigration officer as
provided in part 235 of this chapter; enter a copy of such form in
evidence as an exhibit in the case; inform the applicant of the nature
and purpose of the hearing; advise him of the privilege of being
represented by an attorney of his own choice at no expense to the
Government, and of the availability of free legal services programs
qualified under part 292a of this chapter and organizations recognized
pursuant to 292.2, of this chapter located in the district where his
exclusion hearing is to be held; and shall ascertain that the applicant
has received a list of such programs; and request him to ascertain then
and there whether he desires representation; advise him that he will
have a reasonable opportunity to present evidence in his own behalf, to
examine and object to evidence against him, and to cross-examine
witnesses presented by the Government; and place the applicant under
oath.
(b) Procedure. The immigration judge shall receive and adduce
material and relevant evidence, rule upon objections, and otherwise
regulate the course of the hearing.
(c) General attorney. The district director shall direct the chief
legal officer to assign a general attorney to each case in which an
applicant's nationality is in issue. The district director may direct
the chief legal officer to assign a general attorney to any case in
which the district director deems such assignment necessary or
advantageous. The duties of the general attorney include, but are not
limited to, the presentation of evidence and the interrogation,
examination, and cross-examination of the applicant and other witnesses.
Nothing contained herein diminishes the authority of an immigration
judge to conduct proceedings under this part.
(d) Depositions. The procedures specified in 242.14(e) of this
chapter shall apply.
(e) Record. The hearing before the immigration judge, including the
testimony and exhibits, the immigration judge's decision, and all
written orders, motions, appeals, and other papers filed in the
proceeding shall constitute the record in the case. The hearing shall
be recorded verbatim except for statements made off the record with the
permission of the immigration judge.
(42 FR 46045, Sept. 14, 1977, as amended at 44 FR 4653, Jan. 23,
1979; 46 FR 43956, Sept. 2, 1981)
08 CFR 236.3 Applications for asylum or withholding of deportation.
(a) If an alien expresses fear of persecution or harm upon return to
his country of origin or to a country to which he may be deported after
exclusion from the United States pursuant to part 237 of this chapter,
the Immigration Judge shall:
(1) Advise the alien that he may apply for asylum in the United
States or withholding of deportation to that other country; and
(2) Make available the appropriate application forms.
(b) An application for asylum or withholding of deportation must be
filed with the Office of the Immigration Judge, pursuant to 208.4(b) of
this chapter. Upon receipt of the application, the Office of the
Immigration Judge shall forward a copy to the Bureau of Human Rights and
Humanitarian Affairs of the Department of State for their comments
pursuant to 208.11 of this chapter, and shall calendar the case for
hearing, which shall be deferred pending receipt of the Department of
State's comments. The reply, if any, from the Department of State,
unless classified under E.O. 12356 (3 CFR, 1982 Comp., p. 166), shall be
given to both the applicant and to the Trial Attorney representing the
government.
(c) Applications for asylum or withholding of deportation so filed
will be decided by the Immigration Judge pursuant to the requirements
and standards established in part 208 of this chapter after an
evidentiary hearing that is necessary to resolve material factual issues
in dispute. An evidentiary hearing extending beyond issues related to
the basis for a mandatory denial of the application pursuant to 8 CFR
208.14 or 208.16 is not necessary once the Immigration Judge has
determined that such a denial is required.
(1) Evidentiary hearings on applications for asylum or withholding of
deportation will be closed to the public unless the applicant expressly
requests that it be open pursuant to 8 CFR 236.2.
(2) Nothing in this section is intended to limit the authority of the
Immigration Judge properly to control the scope of any evidentiary
hearing.
(3) During the exclusion hearing, the applicant shall be examined
under oath on his application and may present evidence and witnesses on
his own behalf. The applicant has the burden of establishing that he is
a refugee as defined in section 101(a)(42) of the Act pursuant to the
standard set forth in 208.13 of this chapter.
(4) The Trial Attorney for the government may call witnesses and
present evidence for the record, including information classified under
E.O. 12356 (3 CFR, 1982 Comp., p. 166), provided the Immigration Judge
or the Board has determined that such information is relevant to the
hearing. When the Immigration Judge receives such classified
information he shall inform the applicant. The agency that provides the
classified information to the Immigration Judge may provide an
unclassified summary of the information for release to the applicant
whenever it determines it can do so consistently with safeguarding both
the classified nature of the information and its source. The summary
should be as detailed as possible, in order that the applicant may have
an opportunity to offer opposing evidence. A decision based in whole or
in part on such classified information shall state that such information
is material to the decision.
(d) The decision of an Immigration Judge to grant or deny asylum or
withholding of deportation shall be communicated to the applicant and to
the Trial Attorney for the government. An adverse decision will state
why asylum or withholding of deportation was denied.
(55 FR 30686, July 27, 1990)
08 CFR 236.4 Renewal of application for adjustment of status under
section 245 of the Act.
An adjustment application by an alien paroled under section 212(d)(5)
of the Act, which has been denied by the district director, may be
renewed in exclusion proceedings under section 236 of the Act before an
immigration judge under the following two conditions: First, the denied
application must have been properly filed subsequent to the applicant's
earlier inspection and admission to the United States; second, the
applicant's later absence from and return to the United States must have
been under the terms of an advance parole authorization on Form I-512
granted to permit the applicant's absence and return to pursue the
previously filed adjustment application.
(43 FR 16445, Apr. 19, 1978)
08 CFR 236.5 Decision of the immigration judge; notice to the
applicant.
(a) Decision. The Immigration Judge shall inform the applicant of
his or her decision in accordance with 3.35 of this chapter.
(b) Advice to alien ordered excluded. An alien ordered excluded
shall be furnished with Form I-296, Notice to Alien Ordered Excluded by
Immigration Judge, at the time of an oral decision by the immigration
judge or upon service of a written decision.
(c) Holders of refugee travel documents. Aliens who are the holders
of valid unexpired refugee travel documents may be ordered excluded only
if they are found to be inadmissible under section 212(a) (9), (10),
(12), (23), (27), (28), (29), or (31) of the Act, and it is determined
that on the basis of the acts for which they are inadmissible there are
compelling reasons of national security or public order for their
exclusion. If the immigration judge finds that the alien is
inadmissible but determines that there are no compelling reasons of
national security or public order for exclusion, the immigration judge
shall remand the case to the district director for parole.
(42 FR 46045, Sept. 14, 1977. Redesignated at 43 FR 16445, Apr. 19,
1978, and amended at 52 FR 2939, Jan. 29, 1987)
08 CFR 236.6 Finality of order.
The decision of the Immigration Judge shall become final in
accordance with 3.37 of this chapter.
(52 FR 2939, Jan. 29, 1987)
08 CFR 236.7 Appeals.
Except as limited by section 236 of the Act, an appeal from a
decision of an Immigration Judge under this part may be taken by either
party pursuant to 3.36 of this chapter.
(52 FR 2939, Jan. 29, 1987)
08 CFR 236.8 Fingerprinting of excluded aliens.
Every alien 14 years of age or older who is excluded from admission
to the United States by an immigration judge shall be fingerprinted,
unless during the preceding year he has been fingerprinted at an
American consular office.
(42 FR 46045, Sept. 14, 1977. Redesignated at 43 FR 16445, Apr. 19,
1978)
08 CFR 236.9 Visa Waiver Pilot Program.
Pursuant to section 217(b)(4)(A) of the Act, an alien who applies for
admission to the United States under the provisions of that section must
waive any right to review or appeal an immigration officer's
determination as to the admissibility of the alien at a port of entry,
other than on the basis of an application for asylum. An alien
applicant for admission under section 217 of the Act shall be removed
from the United States upon a determination by an immigration officer
(port director, officer-in-charge, or officer acting in either capacity)
that the alien is inadmissible in accordance with procedures in
217.4(b) of this chapter except that such an alien who applies for
asylum in the United States shall be referred to an immigration judge
for further inquiry as provided in section 235 of the Act and 236.3 of
this part.
(53 FR 24903, June 30, 1988)
08 CFR 236.9 PART 237 -- DEPORTATION OF EXCLUDED ALIENS
Sec.
237.1 Stay of deportation of excluded alien.
237.2 Notice to surrender for deportation.
237.3 Cost of maintenance not assessed.
237.4 (Reserved)
237.5 Notice to transportation line of alien's exclusion.
237.6 Deportation.
Authority: 8 U.S.C. 1103, 1227, and 1255.
08 CFR 237.1 Stay of deportation of excluded alien.
The district director in charge of the port of arrival may stay the
immediate deportation of an excluded alien pursuant to sections 237 (a)
and (d) of the act under such conditions as he may prescribe.
(23 FR 5818, Aug. 1, 1958)
08 CFR 237.2 Notice to surrender for deportation.
An alien who has been finally excluded pursuant to Part 236 of this
chapter may at any time surrender himself to the custody of the Service
and shall surrender himself to such custody upon notice in writing of
the time and place for his surrender. The Service may take the alien
into custody at any time. An alien taken into custody either upon
notice to surrender or by arrest shall not be deported less than 72
hours thereafter without his consent thereto filed in writing with the
district director in charge of the place of his detention. An alien in
foreign contiguous territory shall be informed that he may remain there
in lieu of surrendering to the Service, but that he will be deemed to
have acknowledged the execution of the order of exclusion and
deportation in his case upon his failure to surrender at the time and
place prescribed.
(30 FR 4411, Apr. 6, 1965)
08 CFR 237.3 Cost of maintenance not assessed.
A claim pursuant to section 237(a)(2)(B) of the Act shall be
established to the satisfaction of the district director in charge of
the port of arrival, from whose adverse decision no appeal shall lie.
The district director shall afford the line a reasonable time within
which to submit affidavits and briefs to support its claim.
(23 FR 5818, Aug. 1, 1958. Redesignated at 26 FR 2113, Mar. 11, 1961)
237.4 (Reserved)
08 CFR 237.5 Notice to transportation line of alien's exclusion.
(a) An excluded alien shall, immediately or as promptly as the
circumstances permit, be offered for deportation to the master,
commanding officer, purser, person in charge, agent, owner, or consignee
of the vessel or aircraft on which the alien is to be deported, as
determined by the district director, with a written notice specifying
the cause of exclusion, the class of travel in which such alien arrived
and is to be deported, and with the return of any documentation which
will assist in effecting his deportation. If special care and attention
is required, the provisions of 243.7 of this chapter shall apply.
(b) Failure of the carrier to accept for removal an alien who has
been ordered excluded and deported shall result in the carrier being
assessed any costs incurred by the Service for detention after the
carrier's failure to accept the alien for removal including the cost of
any transportation. The User Fee Account shall not be assessed for
expenses incurred because of the carrier's violation of the provisions
of section 237 of the Immigration and Nationality Act and this
paragraph. The Service will, at the carriers option, retain custody of
the excluded alien for an additional seven days beyond the date of the
deportation/exclusion order. If, after the third day of this additional
seven day period, the carrier has not made all the necessary
transportation arrangements for the excluded alien to be returned to
his/her point of embarkation by the end of the additional seven day
period, the Service will make the arrangements and bill the carrier for
its costs.
(27 FR 1479, Feb. 17, 1962, as amended at 54 FR 102, Jan. 4, 1989)
08 CFR 237.6 Deportation.
(a) Definitions of terms. For the purposes of this section, the
following terms mean:
(1) Adjacent island -- as defined in section 101(b)(5) of the Act.
(2) Foreign contiguous territory -- any country sharing a common
boundary with the United States.
(3) Residence in foreign contiguous territory or adjacent island --
any physical presence, regardless of intent, in a foreign contiguous
territory or an adjacent island if the government of such territory or
island agrees to accept the alien.
(4) Aircraft or vessel -- any conveyance and other mode of travel by
which arrival is effected.
(5) Next available flight -- is to be the carrier's next regularly
scheduled departure to the excluded alien's point of embarkation
regardless of seat availability. If the carrier's next regularly
scheduled departure to the excluded aliens point of embarkation is full,
the carrier has the option of arranging for return transportation on
other carriers which service the excluded aliens point of embarkation.
(b) Place to which deported. Any alien (other than an alien
crewmember or an alien who boarded an aircraft or vessel in foreign
contiguous territory or an adjacent island) who is ordered excluded
shall be deported to the country where the alien boarded the vessel or
aircraft on which the alien arrived in the United States. If that
country refuses to accept the alien, the alien shall be deported to:
(1) The country of which the alien is a subject, citizen, or
national;
(2) The country where the alien was born;
(3) The country where the alien has a residence; or
(4) Any country willing to accept the alien.
(c) Contiguous territory and adjacent islands. Any alien ordered
excluded who boarded an aircraft or vessel in foreign contiguous
territory or in any adjacent island shall be deported to such foreign
contiguous territory or adjacent island if the alien is a native,
citizen, subject, or national of such foreign contiguous territory or
adjacent island, or if the alien has a residence in such foreign
contiguous territory or adjacent island. Otherwise, the alien shall be
deported, in the first instance, to the country in which is located the
port at which the alien embarked for such foreign contiguous territory
or adjacent island.
(d) Land border pedestrian arrivals. Any alien ordered excluded who
arrived at a land border on foot shall be deported in the same manner as
if the alien had boarded a vessel or aircraft in foreign contiguous
territory.
(47 FR 44237, Oct. 7, 1982, as amended at 54 FR 102, Jan. 4, 1989)
08 CFR 237.6 PART 238 -- CONTRACTS WITH TRANSPORTATION LINES
Sec.
238.1 Contracts.
238.2 Transportation lines bringing aliens to the United States from
or through foreign contiguous territory or adjacent islands and lines
bringing aliens destined to the United States into such territory or
islands.
238.3 Aliens in immediate and continuous transit.
238.4 Preinspection outside the United States.
238.5 Aliens entering Guam pursuant to section 14 of Pub. L.
99-396, ''Omnibus Territories Act''.
Authority: 8 U.S.C. 1103, 1228; 8 CFR part 2.
08 CFR 238.1 Contracts.
The contracts with transportation lines referred to in section 238(a)
of the Act shall be made by the regional commissioner in behalf of the
government and shall be on Form I-421. The contracts with
transportation lines referred to in section 238(b) of the Act shall be
made by the regional commissioner in behalf of the government and shall
be on Form I-420. The contracts with transportation lines referred to
in section 238(d) of the Act shall be made by the Commissioner in behalf
of the government and shall be on Form I-426. The contracts with
transportation lines desiring their passengers and crews preinspected at
places outside the United States shall be made by the Commissioner in
behalf of the government and shall be on Form I-425; except that
contracts for irregularly operated charter flights may be made by the
regional commissioner having jurisdiction over the location where the
inspection will take place.
(45 FR 82154, Dec. 15, 1980)
08 CFR 238.2 Transportation lines bringing aliens to the United States
from or through foreign contiguous territory or adjacent islands and
lines bringing aliens destined to the United States into such territory
or islands.
(a) Land-border agreements and overseas agreements. Forms I-420 and
I-421 shall be signed in duplicate and forwarded to the regional
counsel. After acceptance, the district office and the signatory line
shall be furnished with one copy of the agreement. The transmittal
letter to the regional commissioner shall indicate whether the signatory
to the agreement is a subsidiary or affiliate of a line which has
already signed a similar agreement. Correspondence regarding ancillary
contracts for office space and other facilities to be furnished by
transportation lines at Service stations in Canada shall be similarly
handled. Forms I-420 or I-421 shall not be used to cover special
situations such as mechanical difficulties, accidents, severe weather
conditions or other emergencies which result in nonscheduled diversions
to a port in foreign contiguous territory or adjacent islands; instead
the facts shall be presented to the regional commissioner in order that
an appropriate agreement may be drafted. If humane considerations are
involved, the Service maintains inspection facilities, and neither the
alien nor the transportation line could have foreseen that application
for admission to the United States would be made within 2 years, a nunc
pro tunc agreement may be entered into on Form I-421 appropriately
modified by adding the following paragraph:
5. That the provisions of this agreement shall be effective only to
the extent that they concern ------------------ / who arrived at
------------ on ------------ on the ------------ .
(b) Agreements with transportation lines -- (1) Canada. Currently
effective agreements on Form I-421 (Rev. 6-29-58) exist with the
following transportation lines regarding arrivals in Canada pursuant to
section 238(a) of the Act:
Ab Atlanttrafik Line.
Achille Lauro Armatore (Lauro Lines) (see Home Lines Agency, Inc.).
Ahrenkiel & Bene.
Air Canada.
Air France (Compagnie Nationale Air France -- French National
Airline).
Aktieselskabet Borgestad.
Alaska Coastal-Ellis Airlines.
Alexandria Navigation Co.
Alfred C. Toepfer Schiffahrtsgesellschaft, M.G.H.
Alfred Hold & Company.
Alitalia.
American Export Lines, Inc.
American Mail Line, Ltd.
And. Smith Rederiaktiebolag.
Arosa Line, Inc.
Baltic Steamship Co., The.
Belgian Line (Compagnie Maritime Belge).
Messrs. Bernhard Schulte.
The Booth Steamship Company, Ltd.
The Bristol City Line of Steamships, Ltd.
British Overseas Airways Corporation.
British United Airways, Ltd.
The Cairn Line of Steamships, Ltd.
Caledonian Airways (Prestwick) Ltd.
Canadian Pacific Airlines.
Canadian Pacific Steamships, Ltd.
China Merchants Steam Navigation Co., Ltd.
China Union Lines, Ltd.
Christensen Canadian African Lines.
Columbus Line.
Compagnie Maritime Belge (see Belgian Line).
Compagnie Nationale Air France (see Air France).
Corporacion Peruana de Vapores.
County Line, Ltd.
Cunard Steamship Co., Ltd.
Daido Kaiun Kaisha, Ltd. (Daido Line).
Det Dansk-Franske Dampskibsselskab.
Det Forenede Dampskibs-Selskab of Copenhagen.
Deutsche Lufthansa Aktiengesellschaft (Lufthansa German Airlines).
Ditlev-Simonsen Lines (General Steamship Corp., Ltd.).
Donaldson Line, Ltd.
East Asiatic Company, The.
Egon Oldendorff Steamship Co.
Eikland & Salamis (I. M. Skaugen Shipowners).
El Al Israel Airlines.
Elder Dempster Lines, Inc.
Ellerman & Bucknall Steamship Co., Ltd.
Ellerman's Wilson Line.
Ernst Russ Reiderl.
Europe-Canada Line.
Farmand Shipping, Inc.
Fearnley & Eger, Inc.
Federal Motorship Corp.
Fjell Line.
Fredrik Hoyer, Skein, Norway.
French Line.
Fruit Express Line.
Furness Withy & Co., Ltd. (including Furness Warren Line, Furness Red
Cross Line, Furness Prince Line).
Gestioni Esevcizio Navi.
Greek Line (General Steam Navigation Company of Greece, Ltd.).
Grimaldi Siosa Lines of Canada.
Gdynia America Line, Inc.
Halcyon Lijn N.V.
Hamburg-Amerika Linie.
Hamburg-Atlantik Linie G.m.b.H. (see Home Lines Agency, Inc.).
Hamburg Chicago Line (designation of a service operated by
independent signatory lines A. Kirsten, Sartori & Berger and Ahrenkiel &
Bene).
Hanseatische Reederei, Emil Offen & Co.
Head Line (see Ulster Steamship Co., Ltd.).
Heimdal Steamship Co., Ltd.
Heinrich Schmidt, G.m.b.H.
Holland-America Line.
Home Lines Agency, Inc., as agents for Home Lines, Inc., National
Hellenic American Line, S.A., Achille Lauro Armatore (Lauro Lines), and
Hamburg-Atlantik Linie G.m.b.H.
Hugo-Stinnes Zweigniederlassung, Brennstoffeisen und Schiffahrts
Gesellschaft.
Incres Steamship Co., Ltd.
Interocean Line.
Interocean Marine, Ltd.
Irish International Airlines.
Irish Shipping Ltd.
Island Navigation Co., Tokyo.
''Italia'' Societa Di Navigazione (Italian Line).
Japan Air Lines Company, Ltd.
Johnson Line.
Johs, Fritzen & Sohn.
A. Kirsten.
A. F. Klaveness & Co., A/S.
Knutsen Line.
Koninklijke Luchtvaart Maatschappij N.V. (K.L.M. Royal Dutch
Airlines).
Lamport & Holt Line, Ltd.
J. Lauritzen Line.
Lauro Lines (see Home Lines Agency, Inc.)
Leif Hoegh & Co. A/S.
Lord Line (see Ulster Steamship Co., Ltd.).
Lovenskiold Og Hoyers Rederi (formerly Sameiet Fossum A/S).
Lufthansa German Airlines (see Deutsche Lufthansa
Aktiengesellschaft).
Lunham & Moore Shipping, Ltd.
Manchester Lines, Ltd.
Maritime Central Airways, Ltd.
Montship Lines, Ltd.
N. V. Maatschappij Zeevaart.
N. V. Stoomboot-Maatschappij ''Hillegersberg''.
National Hellenic American Line, S.A. (see Home Lines Agency, Inc.).
Netherland Line (Nederland).
Netherlands Ministry of Transport & Waterstaat Directorate-General of
Shipping.
Nihonkai Kisen Kabushiki Kaisha (Pacific Ocean Line).
Nippon Yusen Kaisha (N.Y.K. Line).
Nissan Kisen Kaisha, Ltd.
Norddeutscher Lloyd (North German Lloyd).
Nordstern Reederei G.m.b.H. and C. Mackprang, Jr.
Northwest Airlines, Inc.
Norwegian American Line.
The Oceanic Steamship Co. (Matson Navigation Co.).
Oranje Line (Maatschappij Zeetransport N.V.).
Orient Steam Navigation Co. (Orient & Pacific Lines or Peninsular &
Oriental Steam Navigation Co.).
Osaka Shosen Kaisha, Ltd. (Williams, Dimond & Co., authorized
Agents).
Ove Skou.
Pacific Islands Transport Line.
Pacific Shipowners, Ltd.
Pacific Western Airlines.
Pan American World Airways System.
Pehrson & Wessel.
Port Line, Ltd.
Poseidon Lines.
Qantas Empire Airways, Ltd.
Rederiaktiebolaget Ragne.
Rodney Steamship Co., Ltd.
Royal Air Force Transport Command of the British Air Ministry.
Royal Mail Lines, Ltd.
Royal Rotterdam Lloyd (Lloydmail).
Sabena Belgian World Airlines.
Sameiet Fossum A/S (Now Lovenskiold Og Hoyers Rederi).
San Juan Airlines, Inc.
Sartori & Berger.
Scandinavian Airlines System, Inc.
Schulte & Bruns.
Schinnihon Steamship Co., Ltd.
States Steamship Co.
Stoomvaart M. C. Oostzee, Directors: Vinke & Co.
Swedish American Line.
Swiss Air Transport Co., Ltd., Swissair.
Swiss (Suisse) Atlantic S.A.
Taiwan Navigation Company Ltd.
Transmaris, Ltd.
Ulster Steamship Co., Ltd., The (Head Line and Lord Line).
Union Steam Ship Co. of New Zealand, Ltd.
United States Lines.
USSR-Aeroflot, The Ministry of Civil Aviation of the.
H. Vogemann.
Wallenius Line.
Watts, Watts & Co., Ltd.
Westfal-Larsen Line.
Wrangell, H. M., & Co.
YNGVAR HVISTENDAHL (Scandia Shipping Agencies, Ltd.).
Zim-Israel America Lines.
Zim-Israel Navigation Co., Ltd.
(2) Bermuda. Currently effective agreements on Form I-421 (Rev.
6-29-58) exist with the following transportation lines regarding
arrivals in Bermuda pursuant to section 238(a) of the Act:
American Airlines, Inc.
British Overseas Airways Corp.
Guest Aerovias Mexico, S.A.
Iberia Airlines.
Linea Aeropostal Venezolana.
P & O Lines (North America) Inc.
(3) Nassau. Currently effective agreements on Form I-421 (Rev.
6-29-58) exist with the following transportation lines regarding
arrivals in Nassau pursuant to section 238(a) of the Act:
British Overseas Airway Corporation
International Air Bahama.
(32 FR 9629, July 4, 1967, as amended at 32 FR 13755, Oct. 3, 1967;
33 FR 5255, Apr. 2, 1968; 33 FR 7485, May 21, 1968; 33 FR 10504, July
24, 1968; 33 FR 17136, Nov. 19, 1968; 34 FR 1008, Jan. 23 1969; 35
FR 7638, May 16, 1970; 36 FR 8294, May 4, 1971; 37 FR 3745, Feb. 19,
1972; 40 FR 50702, Oct. 31, 1975; 48 FR 14594, Apr. 5, 1983)
08 CFR 238.3 Aliens in immediate and continuous transit.
(a) Form I-246 agreements. A transportation line bringing aliens to
the United States pursuant to 212.1(f)(1) of this chapter shall enter
into an agreement on Form I-426. Such agreement shall be negotiated
directly by the Central Office and the head offices of the
transportation lines.
(b) Signatory lines. Currently effective agreements on Form I-426
exist with the following:
Achille Lauro -- Armatore, Naples, Italy.
Aerlinte Eireann Teoranta (Irish Air Lines).
Aero Coach Aviation International, Inc.
Aeroflot-Soviet Airlines.
Aerolineas Argentinas.
Aerolineas INI and CIA S.A.
Aerolineas Nicaraguenses, S.A. (Aeronica).
Aerolineas Peruanas, S.A.
Aeronaves de Mexico, S.A.
AeroPeru (see Empresa de Transporte Aereo del Peru).
AeroTours Dominicano Airlines.
Aerovias Condor de Colombia Ltda.
Aerovias Interamericanas de Panama, S.A. (Aerovias Panama Airways).
Aerovias Nacionales de Colombia (AVIANCA).
Aerovias Quis-queyana.
Aerovias Venezolanas, S.A. (AVENSA).
Air Afrique.
Air B.V.I. Ltd.
Air Canada.
Air Club International Inc.
Air Espana (dba Air Europa).
Air Florida.
Air-India International Corp.
Air Jamaica (1968) Ltd.
Air Manila, Inc.
Air Micronesia, Inc.
Air Nauru.
Air New Zealand, Ltd.
Air One, Inc.
Air Pacific, Inc.
Air Pacific, Ltd.
Air Panama Internacional.
Air Siam Air Company, Ltd.
Air Specialties Corp. d.b.a. Total Air.
Air Tungaru Corp.
Air West, Inc.
Alaska Airlines, Inc.
''ALCIONE'', Soc. di Navigazione p. A., Palermo.
Alfred C. Toepfer Schiffahrtsgesellschaft M.B.H.
ALIA -- The Royal Jordanian Airline.
All Islands Air Taxi, Inc.
ALM-Dutch Antillean Airlines.
Aloha Airlines, Inc.
American Airlines, Inc.
American Banner Lines, Inc.
American Export Lines, Inc.
American Flyers Airline Corp.
American International Airways, Inc.
American President Lines, Ltd.
American Trans Air, Inc.
ANA All Nippon Airways.
Antone Sylvester Tug Services, Inc.
AREA, Aerovias Ecuatorianas C. Ltda.
''ARETUSA'', Soc. di Navigazione p. A., Palermo.
Argonaut Airways Corp.
Arista International Airlines, Inc.
Arosa Line, Inc., ''Panama.''
Arrow Airways, Inc.
Aspen Airways (dba United Express).
Athina Maritime Co., Ltd.
Atlantic Freighters, Ltd.
Atlantic Gulf Airlines.
Atlantic Oil Carriers, Ltd.
Atlantic Tankers, Ltd.
Atlantis Airlines, Ltd.
AUA Austrian Airlines.
Avensa Airlines
Aviation Services, Ltd. dba Freedom Air.
Aviacion Y Comercio, S.A. (Aviaco Airlines).
BAHAMASAIR.
Bahamas Airways, Ltd.
Balair AG.
Barber-Wilhelmsen Line, F.M.C. No. 7489 (Barber Steamship Lines,
Inc., U.S.A. General Agents).
Belize Airways, Ltd.
Blue Star Line, Inc., The.
Braniff Airways, Inc.
Brazalian International Airlines (Real-Aerovias Brazil, S.A.).
Britannia Airways Limited.
British Airways (British Airways Board).
British Caledonian Airways Limited
British Car Carriers, Ltd., and Nerdrum Lines.
British Midland Airways, Ltd.
British West Indian Airways, Ltd.
Brodin Line.
BWIA International.
Canadian Airlines International, Ltd.
Canadian National Railway Co.
Canadian Pacific Air Lines, Ltd.
Canadian Pacific Railway Co.
Capitol Airways, Inc.
Caribbean Atlantic Airlines, Inc.
Caribbean Express, Inc.
Caribbean International Airways, Ltd.
Catamaran Cruiselines
Cathay Pacific Airways, Ltd.
Cayman Airways, Ltd.
Ceskoslovenske Aerolinie (Czechoslovak Airlines) Chandris America
Lines Inc., as general agents for: Okeania S.A. (Australis), Chandris
America Lines S.A. (Amerikanis), Australian Line S.A. (Ellinis), and
Themistocles Nav. S.A. (Queen Frederica).
Challenge International Airlines.
Chandris (USA) Inc., as agents for Chandris Lines.
Chandris (USA) Inc., as agents for Mariblanca Navegacion S.A. and
Compania Panamena Europea Navegacion Ltda. S.A.
China Airlines, Ltd.
China Merchants Steam Navigation Co., Ltd.
China Navigation Co. Ltd., The
China Union Lines, Ltd.
Compagnia Genovese di Armemento
Compagnie Generale Transatlantique (French Line).
Compagnie Nationale Air France.
Companhia Colonial de Navegacao.
Compania Cubana de Aviacion, S.A.
Compania Dominicana de Aviacion, C. por A.
Compania Mexicana de Aviacion, S.A. (CMA).
Companhia Nacional de Navegacao, S.A.R.L.
Compania Nacional de Turismo Aereo Limitada.
Compania Panamena de Aviacion S.A. (COPA).
Compania Transatlantica Espanola, S.A.
Condor Flugdienst GmbH.
Continental Air Lines, Inc.
Continental/Air Micronesia.
Cunard Steamship Company, Ltd.
Daido Kaiun Kaisha, Ltd., (Daido Line).
Daiwa Navigation Co., Ltd., The.
Dan-Air Services, Ltd.
Delaware and Hudson Railroad Corp.
Delta Air Lines, Inc.
A. Demades & Owners -- SS AXIOS
Den Norske Amerikalinje A/S (See Norwegian America Line).
Ditlev-Simonsen Lines.
Dominion Far East Line (Hong Kong) Ltd.
Dominion Navigation Co., Ltd.
Donaldson International Airways.
Dorado Wings.
East African Airways.
Eastern Airlines, Inc.
Egyptair.
El Al Israel Airlines.
''ELIOS'', Soc. di Navigazione p. A., Palermo.
Ellerman's Wilson Line, Ltd.
Empresa Ecuatoriana de Aviacion.
Empresa de Transporte Aereo del Pero (Aero-Peru).
S.A. Empresa de Viacao Aerea Rio Grandense (Varig Airlines).
Empresa Guatemalteca de Aviacion.
Epirotiki Lines, Inc.
''Erice'', Soc. di Navigazione p.A., Palermo.
Eugenie Maritime Co., Ltd.
Europe-Canada Line.
Evergreen International Airlines, Inc.
Executive Air Charter.
EXPRINTER (SUCRS, S.A.).
Facilities Management Corp.
Faucett Peruvian Airlines
Fern-Ville Lines.
Fiesta Cruise Lines, Inc.
Finnair Oy.
Five Star Airlines.
Flugfelag Islands, H.F. (Iceland Airways).
Flying Tiger Line Inc., The
Furness-Withy and Co., Ltd.
Garuda Indonesia.
General Airways, Inc.
General Steam Navigation Co., Ltd., of Greece -- Greek Line.
German Atlantic Line (North German Lloyd Passenger Agency, Inc.,
for).
Giacomo Costa fu Andrea (Linea ''C''), Genoa.
Global Chartering & Brokerage Co., Inc.
Globe Air Ltd. Basel, Switzerland.
Great Eastern Line.
Gray Coach Lines, Ltd.
Grey Goose Bus Lines, Ltd.
Greyhound Lines-East, Division of Greyhound Lines, Inc.
Grimaldi Siosa Lines Joint Service.
Guest Aerovias Mexico, S.A.
Guy-America Airways, Inc.
Guyana Airways Corp.
Haiti Air.
Hamburg American Line.
Hapag/Lloyd A.G./North German Lloyd Passenger Agency, Inc.
Harbor Airlines, Inc.
Hawaiian Airlines.
Holland-America Line.
Home Lines Agency Inc., as agent for Home Lines Inc.
Horizon Airlines Industries, Inc.
Horn-Linie.
Hugo Stinnes Transozean Schiffahrts, gmbh, Mulheim-Ruhr, Germany.
Iberia Air Lines of Spain.
Iberia Lineas Aereas Espansolas.
Icelandic Airlines, Inc. (Loftleidir, H.F.).
Iiho Kaium Kaisha, Ltd.
Indo-China Steam Navigation Co., Ltd., The.
Inexadria Airways.
Intercontinental, U.S., Inc.
International Aircraft Services, Inc.
International Airlines, Inc.
Interocean Airways, S.A., Luxembourg.
Iran National Airlines Corporation.
Island Aviation Incorporated.
Italian Line, ''Italia'' Societa per Azioni di Navigazione, Genoa.
Jadrolinija Steamship Co.
Japan Airlines.
Japan Airlines Co., Inc.
Jat-Yugoslav Airlines.
Jugoslavenska Linijska Plovidba and/or Jugolinija.
Kambara Kisen Co. Ltd.
Kawasaki Kisen Kaisha, Ltd.
Klaveness Line.
Koninklijke Luchtvaart Maatschappij N. V. (K.L.M. Royal Dutch
Airlines).
Korea Shipping Corp., Ltd., Seoul, Korea.
Korean Air Lines Co., Ltd.
Kulukundis Shipping Agency, Inc.
Laeisz, F., Hamburg, Germany.
Laker Airways Limited.
LAP-Lineas Aereas Paraguayas.
Lauretizen, J.
Leeward Islands Air Transport Services (LIAT).
Linea Aerea del Cobre, S.A. ''LADECO''.
Linea Aerea Nacional, Chile.
Linea Aeropostal Venezolana (LAV).
Lineas Aereas Costarricenses, S.A. (LACSA).
Lineas Aereas de Nicaragua, S.A.
Lineas Aereas Taxader S.A.
Linee Aeree Italiane (ALITALIA).
Livanos Maritime Co., Ltd.
Lloyd Aero Boliviano S.A.
Lloyd International Airways, Ltd.
Lot-Polish Airlines.
LTU Lufttransport Unternehmen KG.
Lufthansa German Airlines (Deutsche Lufthansa Aktiengesellschaft).
Mackey Airlines, Inc.
Malaysian Airline System.
Malev Hungarian Airlines
Mall Airways, Inc.
Marchessini Lines.
Marine Mercante Nicaraguense, S.A. (Mamenic Line).
Maritime Central Airways, Ltd.
Maritime Company of the Philippines.
Martinair Holland, N.V.
Maui Airlines, Inc.
McCormick Shipping Corp.
''MEGRA'' Soc. di Navigazione p.A., Palermo.
Middle East Airlines.
Mitsui Steamship Co., Ltd.
Montana Flugbetrieb.
Murray Hill Limousine Service Ltd.
N. V. Scheepvaart Maatschappij ''Transocean'' (Trans-Ocean Steamship
Co.).
Naess Shipping Co., Inc.
National Airlines, Inc.
NATUMEX Lines -- Naviera Truistica Mexicana S.A.
Nauru Pacific Line.
Naviera Aznar Sociedad Anonima.
Nederland Line.
Netherlands Ministry of Transport and Waterstaad Directorate-General
of Shipping.
New Zealand Shipping Co., Ltd., Norton, Lilly & Co., Inc., General
Agents.
Nigeria Airways Limited.
Nihonkai Kisen Kaisha.
Nippon Cargo Airlines Co., Ltd.
Nippon Yusen Kaisha (N.Y.K. Line).
Nolisair International, Inc. (dba Nationair Canada)
Nordair Ltd.
North Central Airlines Inc.
Northeast Airlines, Inc.
North German Lloyd Passenger Agency, Inc. (see Hapag/Lloyd
A.G./North German Lloyd Passenger Agency, Inc.)
Northwest Airlines, Inc.
Norwegian America Line (Den Norske Amerikalinje A/S).
Norwegian Caribbean Lines.
Ocean Cargo Line, Ltd.
Ocean Tanker Line, Ltd. (Lavino Shipping Co., Philadelphia, Agents).
Ocean Tankers, Ltd.
Oceanic Steamship Co., The
Olsen Line, Fred (Fred Olsen & Co.).
Olympic Airways, S.A.
Ontario Central Airlines, Ltd.
Ontario Express, Ltd. (dba Canadian Partner)
Orient Overseas Line.
Orient Steam Navigation Co., Ltd.
Osaka Shosen Kaisha, Ltd.
Overseas National Airways.
Ozean/Stinnes Linien.
Pacific Australian Direct Line.
Pacific Far East Line, Inc.
Pacific Islands Transport Line A/S THORDAHL.
Pacific Micronesian Line, Inc.
Pacific Ocean Line.
Pacific Shipowners, Ltd., Suva, Fiji.
Pacific Steam Navigation Co.
Pacific Western Airlines, Ltd.
Pakistan International Airlines Corp.
Pan American World Airways, Inc.
Pan Am Express.
Panoceanic Tanker Line, Ltd.
Peninsular & Occidental Steamship Co.
Peninsular & Oriental Steam Navigation Co.
Penn Central Co., The
Phillippine Air Lines.
Piedmont Aviation, Inc.
Pilgrim Aviation & Airlines, Inc., (d/b/a Pilgrim Airlines).
''POLINNIA'' Soc. di Navigazione p.A., Palermo.
Pomair N.V.
President Airlines, Inc.
Presidential Airways, Inc.
P.R. Express.
Pro Air Services.
Provo Air, Inc.
Puerto Rico International Airlines, Inc.
Qantas Empire Airways, Ltd.
REAL S/A -- Transportes Aereos.
Red Carpet Airlines, Inc.
Rederiaktiebolaget Nordstjernan (Johnson Line), Stockholm.
Republic Airlines, Inc.
Resort Commuter, Inc. (dba Resorts)
Rich International Airways, Inc.
Riddle Airlines, Inc.
Royal Air Maroc.
Royal Hawaiian Air Service.
Royal Mail Lines, Ltd.
Royal Netherlands Steamship Co.
Royal Rotterdam Lloyd.
Sabena Belgian Air Lines.
Sahsa Honduras Airlines.
Samoa Airlines.
San Juan Airlines.
Saturn Airways, Inc.
Saudi Arabian Airlines.
Scandinavian Airlines System, Inc.
Scindia Steam Navigation Co., Ltd.
Seven Seas Airlines, Inc.
Shawnee Airlines, Inc.
Shinwa Kaiun Kaisha, Ltd.
Showa Shipping Co., Ltd.
Sicula Oceanica, S.A. (SIOSA Lines).
Singapore Airlines.
Skylink Airlines, Ltd.
Skystar International, Inc.
Skyworld Airlines (dba Ports of Call Air)
Societa Italiana di Armamento ''SIDARMA''.
Societa Italiana Transporti Marittimi of Genoa (Sitmar Line).
South African Airways.
South Pacific Air Lines.
Southern Airways, Inc.
Southern Air Transport, Inc.
Spantax S.A.
Standard Airway, Inc.
States Steamship Co.
Sterling Airways A/S.
SUEDFLUG, Sued-deutsche Fluggesellscharft mbH, Stuttgart.
SUN LAND Air Lines, Inc.
Surinam Airways Ltd.
Swedish American Line.
Swiss Air Transport Co., Ltd. (SWISSAIR).
TACA International Airlines, S.A.
Taiwan Navigation Co., Ltd.
Texas International Airlines, Inc.
Thai Airways International, Ltd.
The Eastern & Australian Steamship Co., Ltd.
Theofano Maritime Co., Ltd.
Time Air, Inc.
Tower Air, Inc.
Toyo Yusen Co., Ltd.
Transair Limited-Winnipeg, Manitoba.
Transamerica Airlines.
Transatlantic Steamship Co., Ltd. (Rederiaktiebolaget Transatlantic).
Trans Caribbean Airways, Inc.
Transavia Holland N.V.
Transcontinental S.A. de Transportes C.El.
Transglobe Airways, Ltd.
Trans Meridian Flying Services, Ltd.
Trans Micronesian Airways.
Transocean Airlines.
Transportation Corp. of America (Trans Caribbean Airways).
Transportes Aeros Nacionales, S.A. (TAN Airlines).
Transportes Aereos Portugueses S.A.R.L.
Trans World Airlines, Inc.
Trent Maritime Co., Ltd.
Triton Shipping, Inc.
Twentieth Century Airlines.
Union de Transports Aeriens -- U.T.A.
United Air Lines, Inc.
United Philippine Line.
United States Lines, Inc.
United States Overseas Airlines, Inc.
United White Shipping Co., Ltd.
Universal Airlines, Inc.
U.S. Air, Inc.
Varig S.A. (Brasilian Airlines).
Venezuelan International Airlines, Inc.
VIA Rail Canada Inc.
Virgin Atlantic Airways, Ltd.
Wardair Canada Inc.
Western Airlines.
Westfal Larsen Line.
White Star Maritime Co., Ltd.
Wien Consolidated Airlines, Inc.
Winchester, J. H., & Co., as agents for Costa Line.
Windward Islands Airways International.
World Airways, Inc.
Wamashita Steamship Co., Ltd.
Ybarra & Co., Inc.
Y. Guahan Airways, Inc./Guam Marianas Air
Zim Israel Navigation Co., Ltd.
(c) Carrier responsibility. Nothing contained within the provisons
of section 286 of the Act shall be deemed to waive the carrier's
liability for detention, transportation, and other expenses incurred in
the bringing of aliens to the United States under the terms of this
section.
(32 FR 9630, July 4, 1967)
Editorial Note: For Federal Register citations affecting 238.3, see
List of CFR Sections Affected in the Finding Aids section of this
volume.
08 CFR 238.4 Preinspection outside the United States.
The following transportation lines have entered into agreements on
Form I-425 for the preinspection of their passengers and crews at places
outside the United States:
Air Florida, Inc.
Air Venturers of Houston, Inc.
American Airlines, Inc. (Charter Flights only).
American Eagle Airlines, Inc.
American Flyers Airline Corp.
Braniff Airways, Inc.
British Airways (British Airways Board).
Capitol Airways, Inc.
Continental Airlines
Delta Air Lines, Inc.
Eastern Air Lines, Inc.
Flying Tiger Line Inc., The.
Furness, Withy and Co., Ltd.
Guest Aerovias Mexico, S.A.
Northeast Airlines, Inc.
Northeastern International Airways, Inc.
Pan American World Airways, Inc.
Piedmont Airlines
Saturn Airways.
Standard Air Ways, Inc.
Swedish American Line Agency, Inc.
Trans International Airlines.
Trans World Airlines, Inc.
United Air Lines.
U.S. Air
World Airways, Inc.
Air Canada
America West Airlines, Inc.
American Airlines, Inc.
Big Sky Airlines.
Canadian Airlines International, Ltd.
Canadian Pacific Airlines.
Cascade Airways, Inc.
Northwest Airlines, Inc.
Pacific Western Airlines, Ltd.
Time Air, Inc.
United Airlines, Inc.
Wardair Canada, Inc.
Western Airlines Inc.
Air Canada.
Canadian Airlines International, Ltd.
Canadian Pacific Airlines.
Continental Airlines.
Delta Airlines, Inc.
Northwest Airlines, Inc.
Pacific Western Airlines.
Republic Airlines.
Wardair Canada, Inc.
Western Air Lines, Inc.
Aerocoach Aviation International, Inc.
Aerostar Airlines, Inc.
Air Florida, Inc.
Airways International, Inc.
Bahamas Air Holdings Ltd.
Caribbean Express, Inc.
Comair, Inc.
Delta Air Lines Inc.
Eastern Air Lines Inc.
Evergreen International Airlines, Inc.
Gulf Air Transport, Inc.
Gull Air, Inc.
Key Airlines, Inc.
Mackey International Airlines.
Midway Airlines.
Northeastern International Airways, Inc.
Pan American World Airways, Inc.
Rich International Airways, Inc.
Sun Country Airlines
U.S. Air, Inc.
United Airlines, Inc.
Air Alliance, Inc.
Air Canada.
Air Florida, Inc.
Air France.
Air Ontario, Limited.
American Airlines, Inc.
American Flyers Airline Corp.
Braniff Airways, Inc.
British Airways (British Airways Board).
Canadian Airlines International, Ltd.
Canadian Pacific Airlines, Ltd.
Capitol Airways, Inc.
Continental Airlines.
Delta Air Lines, Inc.
Deutsche Lufthansa Aktiengesellschaft (Lufthansa German Airlines).
Eagle Airways (Bermuda) Ltd.
Eastern Air Lines, Inc.
Eastern Provincial Airways (1963) Limited.
McCulloch International Airlines.
Nordair Ltee -- Nordair Ltd.
Northeast Airlines, Inc.
Northwest Airlines
Northwest Airlines, Inc.
Odyssey International
Ozark Air Lines, Inc.
Pilgrim Aviation and Airlines, Inc.
Pan American World Airways, Inc.
Piedmont Aviation, Inc.
Quebecair.
Quebec/Air Quebec, Inc., (dba Intercanadian)
Republic Airlines, Inc.
Saturn Airways, Inc.
Trans-Florida Airlines, Inc.
Trans World Airlines, Inc.
Transair Limited.
United Air Lines, Inc.
U.S. Air, Inc.
Wardair Canada, Inc.
Western Skyways, Inc.
World Airways, Inc.
World Wide Airways, Inc.
Worldway Airlines Ltd.
Wright Air Lines Inc.
Aerostar Airlines, Inc.
Air Canada.
Air Venturers of Houston, Inc.
American Flyers Airline Corp.
American International Airways.
American Trans Air
Bahamasair Holdings Ltd.
Bahamas Airways, Ltd.
Best Airlines, Inc.
British Airways (British Airways Board).
Capitol Airways, Inc.
Challenge International Airlines.
Delta Air Lines, Inc.
Eagle Airways (Bermuda), Ltd.
Eastern Air Lines.
Executive Jet Aviation, Inc.
Flying Tiger Line, Inc., The.
Great Lakes Airlines Limited.
International Air Bahama, Ltd.
Mackey International Airlines.
McCormick Shipping Corp., Eastern Shipping Corp. Agents.
Midway Airlines.
Modern Air Transport, Inc.
National Airlines, Inc.
Northeastern International Airways, Inc.
Pan American World Airways, Inc.
Piedmont Airlines
Pro Air Services.
Rich International Airways, Inc.
Sun Country Airlines
Trans Caribbean Airways, Inc.
Trans World Airlines, Inc.
United Air Lines, Inc.
U.S. Air.
World Airways, Inc.
State of Alaska Department of Public Works. Westours, Inc.
Air Canada.
Air Florida, Inc.
Air France.
Air Ontario, Limited.
American Airlines, Inc.
American Flyers Airline Corp.
Braniff Airways, Inc.
British United Airways (Services), Ltd.
British West Indian Airways.
Caledonian Airways (Prestwick), Ltd.
Canadian Airlines International, Ltd.
Canadian Pacific Air Lines, Ltd.
Capitol Airways, Inc.
Dan-Air Services, Ltd.
Eastern Air Lines, Inc.
Eastern Provincial Airways (1963) Limited.
McCulloch International Airlines.
Nolisair International, Inc., (dba Nationair Canada)
Nordair Ltee -- Nordair Ltd.
North Central Airlines, Inc.
Northwest Airlines, Inc.
Odyssey International
Ozark Air Lines, Inc.
Pan American World Airways, Inc.
Piedmont Aviation, Inc.
Pilgrim Aviation and Airlines, Inc.
Quebecair.
Quebec/Air Quebec, Inc., (dba Intercanadian)
Saturn Airways, Inc.
Standard Airways, Inc.
Trans World Airlines, Inc.
Transair Limited.
United Air Lines, Inc.
U.S. Air, Inc.
Vacationair.
Wardair Canada, Inc.
Wright Air Lines.
World Airways, Inc.
Worldways Canada Limited.
Yugoslav Airlines.
American Trans Air
Gulf Air, Inc. (dba TransOcean Airways)
Admiral Cruiselines
AirBC.
AirCal, Inc.
Air Canada.
American Airlines, Inc.
American Flyers Airline Corp.
British Airways (British Airways Board).
Canadian Airlines International, Ltd.
Canadian Pacific Air Lines, Ltd.
Continental Airlines.
Costa Cruise Line.
Delta Airlines, Inc.
Great American Airways, Inc.
Great Northern Airways, Ltd.
Harbor Airlines, Inc.
Holland America Cruises.
International Jet Air, Ltd.
Monarch Cruise Lines, Inc.
Nomads, Inc.
P. & O. Inc.
P & O Lines (North America) Inc.
Pacific Interstate Airlines.
Pacific Western Airlines, Ltd.
Paquet Cruise Lines, Inc.
San Juan Airlines, Inc.
Skylink Airlines
South Pacific Island Airways.
Standard Airways, Inc.
Sundance Cruises, Inc.
Trans World Airlines, Inc.
United Air Lines, Inc.
Universal Airlines, Inc.
VCHC Enterprises, Limited.
Wardair Canada, Inc.
Western Airlines, Inc.
World Airways, Inc.
Airwest Canada
B.C. Stena Line, Ltd.
Black Ball Transport, Inc.
British Columbia Coast Steamship Service.
British Columbia Steamship Co. (1975), Ltd.
Canadian Airlines International, Ltd.
Canadian Pacific Railway Co.
Clipper Navigation, Inc.
Island Jetfoil Corporation.
Northwest Hydrofoil Lines, Inc.
Royal Cruise Line.
Washington State Ferries.
Yarmouth Cruises, Inc.
Aero Trades (Western) Ltd.
Air Canada.
Aspen Airways (dba United Express)
Canadian Airlines International, Ltd.
CP Air.
Frontier Airlines, Inc.
Holiday Air of America.
Nordair Limited.
North Central Airlines.
Northwest Airlines, Inc.
Pacific Western Airlines, Ltd.
Trans Air, Ltd.
Trans World Airlines, Inc.
VCHC Enterprises, Limited.
Wardair Canada, Inc.
(32 FR 9630, July 4, 1967)
Editorial Note: For Federal Register citations affecting 238.4, see
List of CFR Sections Affected in the Finding Aids section of this
volume.
08 CFR 238.5 Aliens entering Guam pursuant to section 14 of Pub. L.
99-396, ''Omnibus Territories Act''.
(a) Form I-760 agreements. A transportation line bringing aliens to
Guam under the visa waiver provisions of 212.1(e) of this chapter shall
enter into an agreement on Form I-760. Such agreements shall be
negotiated directly by the Central Office and head offices of the
transportation lines.
(b) (Reserved)
(52 FR 48084, Dec. 18, 1987)
08 CFR 238.5 PART 239 -- SPECIAL PROVISIONS RELATING TO AIRCRAFT:
DESIGNATION OF PORTS OF ENTRY FOR ALIENS ARRIVING BY CIVIL AIRCRAFT
Sec.
239.1 Definitions.
239.2 Landing requirements.
239.3 Aircraft; how considered.
239.4 International airports for entry of aliens.
Authority: 8 U.S.C. 1103, 1221, and 1229; 66 Stat. 173, 195, 203.
08 CFR 239.1 Definitions.
(a) Scheduled Airline. This term means any individual, partnership,
corporation, or association engaged in air transportation upon regular
schedules to, over, or away from the United States, or from one place to
another in the United States, and holding a Foreign Air Carrier permit
or a Certificate of Public Convenience and Necessity issued pursuant to
the Federal Aviation Act of 1958 (72 Stat. 731).
(b) International Airport. An international airport is one
designated by the Commissioner for the entry of aliens with the prior
approval of the Secretary of Commerce, Secretary of the Treasury and the
Secretary of Health and Human Services.
(c) Landing Rights Airport. An airport, although not designated as
international, at which permission to land has been granted to aircraft
operated by scheduled airlines by the Commissioner of Customs.
(49 FR 50018, Dec. 26, 1984)
08 CFR 239.2 Landing requirements.
(a) Place of landing. Aircraft carrying passengers or crew required
to be inspected under the Act shall land at the international air ports
of entry enumerated in part 100 of this chapter unless permission to
land elsewhere shall first be obtained from the Commissioner of Customs
in the case of aircraft operated by scheduled airlines, and in all other
cases from the district director of Customs or other Customs officer
having jurisdiction over the Customs port of entry nearest the intended
place of landing. Notwithstanding the foregoing, aircraft carrying
passengers or crew required to be inspected under the Act on flights
originating in Cuba shall land only at Fort Lauderdale-Hollywood
Airport, Fort Lauderdale, Florida, unless advance permission to land
elsewhere has been obtained from the District Director of the
Immigration and Naturalization Service at Miami, Florida.
(b) Advance notice of arrival. Aircraft carrying passengers or crew
required to be inspected under the Immigration and Nationality Act,
except aircraft of a scheduled airline arriving in accordance with the
regular schedule filed with the Service at the place of landing, shall
furnish notice of the intended flight to the immigration officer at or
nearest the intended place of landing, or shall furnish similar notice
to the district director of Customs or other Customs officer in charge
at such place. Such notice shall specify the type of aircraft, the
registration marks thereon, the name of the aircraft commander, the
place of last departure, the airport of entry, or other place at which
landing has been authorized, number of alien passengers, number of
citizen passengers, and the estimated time of arrival. The notice shall
be sent in sufficient time to enable the officers designated to inspect
the aircraft to reach the airport of entry or such other place of
landing prior to the arrival of the aircraft.
(c) Permission to discharge or depart. Aircraft carrying passengers
or crew required to be inspected under the Immigration and Nationality
Act shall not discharge or permit to depart any passenger or crewman
without permission from an immigration officer.
(d) Emergency or forced landing. Should any aircraft carrying
passengers or crew required to be inspected under the Immigration and
Nationality Act make a forced landing in the United States, the
commanding officer or person in command shall not allow any passenger or
crewman thereon to depart from the landing place without permission of
an immigration officer, unless such departure is necessary for purposes
of safety or the preservation of life or property. As soon as
practicable, the commanding officer or person in command, or the owner
of the aircraft, shall communicate with the nearest immigration officer
and make a full report of the circumstances of the flight and of the
emergency or forced landing.
(22 FR 9795, Dec. 6, 1957, as amended at 32 FR 9631, July 4, 1967;
45 FR 29243, May 1, 1980; 49 FR 50019, Dec. 26, 1984; 54 FR 102, Jan.
4, 1989; 54 FR 1050, Jan. 11, 1989)
08 CFR 239.3 Aircraft; how considered.
Except as otherwise specifically provided in the Immigration and
Nationality Act and this chapter, aircraft arriving in or departing from
the continental United States or Alaska directly from or to foreign
contiguous territory or the French island of St. Pierre or Miquelon
shall be regarded for the purposes of the Immigration and Nationality
Act and this chapter as other transportation lines or companies arriving
or departing over the land borders of the United States. Aliens on
aircraft arriving overland in foreign contiguous territory on journeys
which did not begin outside of North or South America or islands
belonging to countries or to political subdivisions of these continents
shall not be held to be subject to section 212(a)(24) of the Immigration
and Nationality Act.
(22 FR 9795, Dec. 6, 1957)
08 CFR 239.4 International airports for entry of aliens.
International airports for the entry of aliens shall be those
airports designated as such by the Commissioner. An application for
designation of an airport as an international airport for the entry of
aliens shall be made to the Commissioner and shall state whether the
airport: (a) Has been approved by the Secretary of Commerce as a
properly equipped airport, (b) has been designated by the Secretary of
the Treasury as a port of entry for aircraft arriving in the United
States from any place outside thereof and for the merchandise carried
thereon, and (c) has been designated by the Secretary of Health,
Education, and Welfare as a place for quarantine inspection. An airport
shall not be so designated by the Commissioner without such prior
approval and designation, and unless it appears to the satisfaction of
the Commissioner that conditions render such designation necessary or
advisable, and unless adequate facilities have been or will be provided
at such airport without cost to the Federal Government for the proper
inspection and disposition of aliens, including office space and such
temporary detention quarters as may be found necessary. The designation
of an airport as an international airport for the entry of aliens may be
withdrawn whenever, in the judgment of the Commissioner, there appears
just cause for such action.
(22 FR 9795, Dec. 6, 1957)
08 CFR 239.4 PART 240 -- TEMPORARY PROTECTED STATUS FOR NATIONALS OF DESIGNATED STATES
08 CFR 239.4 Subpart A -- General Provisions
Sec.
240.1 Definitions.
240.2 Eligibility.
240.3 Applicability of grounds of inadmissibility.
240.4 Ineligible aliens.
240.5 Temporary treatment benefits for eligible aliens.
240.6 Application.
240.7 Filing the application.
240.8 Appearance.
240.9 Evidence.
240.10 Decision by the district director or Administrative Appeals
Unit (AAU).
240.11 Renewal of application; appeal to the Board of Immigration
Appeals.
240.12 Employment authorization.
240.13 Termination of temporary treatment benefits.
240.14 Withdrawal of Temporary Protected Status.
240.15 Travel abroad.
240.16 Confidentiality.
240.17 Annual registration.
240.18 Issuance of charging documents; detention.
240.19 Termination of designation.
240.20 -- 240.39 (Reserved)
08 CFR 239.4 Subpart B -- Temporary Protected Status for Salvadorans
240.40 General.
240.41 Definitions.
240.42 Eligibility.
240.43 Ineligibility.
240.44 Semiannual registration.
240.45 Employment authorization.
240.46 Travel abroad.
240.47 Departure at time of termination of designation.
240.48 Waiver of fees.
Authority: 8 U.S.C. 1103, 1254a, 1254a note.
Source: 56 FR 619, Jan. 7, 1991, unless otherwise noted.
08 CFR 239.4 Subpart A -- General Provisions
08 CFR 240.1 Definitions.
As used in this part:
Act means the Immigration and Nationality Act, as amended by the
Immigration Act of 1990.
Brief, casual, and innocent absence means a departure from the United
States that satisfies the following criteria:
(1) Each such absence was of short duration and reasonably calculated
to accomplish the purpose(s) for the absence;
(2) The absence was not the result of an order of deportation, an
order of voluntary departure, or an administrative grant of voluntary
departure without the institution of deportation proceedings; and
(3) The purposes for the absence from the United States or actions
while outside of the United States were not contrary to law.
Charging document means Form I-221 (Order to Show Cause and Notice of
Hearing), Form I-221S (Order to Show Cause, Notice of Hearing, and
Warrant for Arrest of Alien) or Form I-122 (Notice to Applicant for
Admission Detained for Hearing before Immigration Judge).
Continuously physically present means actual physical presence in the
United States for the entire period specified in the regulations. An
alien shall not be considered to have failed to maintain continuous
physical presence in the United States by virtue of brief, casual, and
innocent absences as defined within this section.
Continuously resided means residing in the United States for the
entire period specified in the regulations. An alien shall not be
considered to have failed to maintain continuous residence in the United
States by reason of a brief, casual and innocent absence as defined
within this section or due merely to a brief temporary trip abroad
required by emergency or extenuating circumstances outside the control
of the alien.
Felony means a crime committed in the United States, punishable by
imprisonment for a term of more than one year, regardless of the term
such alien actually served, if any, except: When the offense is defined
by the State as a misdemeanor and the sentence actually imposed is one
year or less regardless of the term such alien actually served. Under
this exception for purposes of section 244A of the Act, the crime shall
be treated as a misdemeanor.
Misdemeanor means a crime committed in the United States, either:
(1) Punishable by imprisonment for a term of one year or less,
regardless of the term such alien actually served, if any, or
(2) A crime treated as a misdemeanor under the term ''felony'' of
this section.
For purposes of this definition, any crime punishable by imprisonment
for a maximum term of five days or less shall not be considered a felony
or misdemeanor.
Prima facie means eligibility established with the filing of a
completed application for Temporary Protected Status containing factual
information that if unrebutted will establish a claim of eligibility
under section 244A(c) of the Act.
Register means to properly file, with the district director, a
completed application, with proper fee, for Temporary Protected Status
during the registration period designated under section 244A(b) of the
Act.
State means any foreign country or part thereof as designated by the
Attorney General pursuant to section 244A(b) of the Act.
(56 FR 619, Jan. 7, 1991, as amended at 56 FR 23497, May 22, 1991)
08 CFR 240.2 Eligibility.
Except as provided in 240.3 and 240.4, an alien may in the
discretion of the district director be granted Temporary Protected
Status if the alien establishes that he or she:
(a) Is a national, as defined in section 101(a)(21) of the Act, of a
state designated under section 244A(b) of the Act;
(b) Has been continuously physically present in the United States
since the effective date of the most recent designation of that state;
(c) Has continuously resided in the United States since such date as
the Attorney General may designate;
(d) Is admissible as an immigrant except as provided under 240.3;
(e) Is not ineligible under 240.4; and
(f) Timely registers for Temporary Protected Status.
(56 FR 619, Jan. 7, 1991, as amended at 56 FR 23497, May 22, 1991)
08 CFR 240.3 Applicability of grounds of inadmissibility.
(a) Grounds of inadmissibility not to be applied. Paragraphs (14),
(15), (20), (21), (25), and (32) of section 212(a) of the Act shall not
render an alien ineligible for Temporary Protected Status.
(b) Waiver of grounds of inadmissibility. Except as provided in
paragraph (c) of this section, the Service may waive any other provision
of section 212(a) of the Act in the case of individual aliens for
humanitarian purposes, to assure family unity, or when the granting of
such a waiver is in the public interest. If an alien is inadmissible on
grounds which may be waived as set forth in this paragraph, he or she
shall be advised of the procedures for applying for a waiver of grounds
of inadmissibility on Form I-601 (Application for waiver of grounds of
excludability).
(c) Grounds of inadmissibility that may not be waived. The Service
may not waive the following provisions of section 212(a) of the Act:
(1) Paragraphs (9) and (10) (relating to criminals);
(2) Paragraph (23) (relating to drug offenses), except as it relates
to a single offense of simple possession of 30 grams or less of
marijuana;
(3) Paragraphs (27) and (29) (relating to national security); or
(4) Paragraph (33) (relating to those who assisted in the Nazi
persecution).
08 CFR 240.4 Ineligible aliens.
An alien is ineligible for Temporary Protected Status if the alien:
(a) Has been convicted of any felony or two or more misdemeanors, as
defined in 240.1, committed in the United States, or
(b) Is an alien described in section 243(h)(2) of the Act.
(56 FR 619, Jan. 7, 1991, as amended at 56 FR 23497, May 22, 1991)
08 CFR 240.5 Temporary treatment benefits for eligible aliens.
(a) Prior to the registration period. Prior to the registration
period established by the Attorney General, a national of a state
designated by the Attorney General shall be afforded temporary treatment
benefits upon the filing, after the effective date of such designation,
of a completed application for Temporary Protected Status which
establishes the alien's prima facie eligibility for benefits under
section 244A of the Act. This application may be filed without fee.
Temporary treatment benefits, if granted, shall terminate unless the
registration fee is paid or a waiver is sought within the first thirty
days of the registration period designated by the Attorney General. If
the registration fee is paid or a waiver is sought within such thirty
day period, temporary treatment benefits shall continue until terminated
under 240.13. The denial of temporary treatment benefits prior to the
registration period designated by the Attorney General shall be without
prejudice to the filing of an application for Temporary Protected Status
during such registration period.
(b) During the registration period. Upon the filing of an
application for Temporary Protected Status, the alien shall be afforded
temporary treatment benefits, if the application establishes the alien's
prima facie eligibility for Temporary Protected Status. Such temporary
treatment benefits shall continue until terminated under 240.13.
(c) Denied benefits. There shall be no appeal from the denial of
temporary treatment benefits.
(56 FR 619, May 22, 1991, as amended at 56 FR 23497, May 22, 1991)
08 CFR 240.6 Application.
An application for Temporary Protected Status shall be made in
accordance with 103.2 of this chapter except as provided herein. Each
application must be filed with the fee as provided in 103.7 of this
chapter, by each individual seeking Temporary Protected Status, except
that the fee for Form I-765 will be charged only for those aliens who
are nationals of El Salvador, and are between the ages of 14 and 65
(inclusive), and are requesting work authorization. Each application
must consist of a completed Form I-104, Form I-765, Form I-821, two
completed fingerprint cards (Form FD-258) for every applicant who is
fourteen years of age or older; two identification photographs (1 1/2''
1 1/2''), and, supporting evidence as provided in 240.9.
(56 FR 619, Jan. 7, 1991, as amended at 56 FR 23497, May 22, 1991)
08 CFR 240.7 Filing the application.
(a) An application for Temporary Protected Status shall be filed with
the district director having jurisdiction over the applicant's place of
residence.
(b) An application for Temporary Protected Status must be filed
during the registration period established by the Attorney General.
(c) Each applicant must pay a fee, as determined at the time of the
designation of the foreign state, except as provided in 240.5(a).
(d) If the alien has a pending deportation or exclusion proceeding
before the immigration judge or Board of Immigration Appeals at the time
a state is designated under section 244A(b) of the Act, the alien shall
be given written notice concerning Temporary Protected Status. Such
alien shall have the opportunity to submit an application for Temporary
Protected Status to the district director under 240.7(a) during the
published registration period unless the basis of the charging document,
if established, would render the alien ineligible for Temporary
Protected Status under 240.3(c) or 240.4. Eligibility for Temporary
Protected Status in the latter instance shall be decided by the
Executive Office for Immigration Review during such proceedings.
(56 FR 619, Jan. 7, 1991, as amended at 56 FR 23497, May 22, 1991)
08 CFR 240.8 Appearance.
The applicant may be required to appear in person before an
immigration officer. The applicant may be required to present
documentary evidence to establish his or her eligibility. The applicant
may have a representative as defined in 292.1 of this chapter present
during any examination. Such representative shall not directly
participate in the examination; however, such representative may
consult with and provide advice to the applicant. The record of
examination shall consist of the application, documents relating to the
application, and the decision of the district director.
(56 FR 619, Jan. 7, 1991, as amended at 56 FR 23497, May 22, 1991)
08 CFR 240.9 Evidence.
(a) Documentation. Applicants shall submit all documentation as
required in the instructions or requested by the Service. The Service
may require proof of unsuccessful efforts to obtain documents claimed to
be unavailable. If any required document is unavailable, an affidavit
or other credible evidence may be submitted.
(1) Evidence of identity and nationality. Each application must be
accompanied by evidence of the applicant's identity and nationality, if
available. If these documents are unavailable, the applicant shall file
an affidavit showing proof of unsuccessful efforts to obtain such
identity documents, explaining why the consular process is unavailable,
and affirming that he or she is a national of the designated state. A
personal interview before an immigration officer shall be required for
each applicant who fails to provide documentary proof of identity or
nationality. During this interview, the applicant may present any
secondary evidence that he or she feels would be helpful in showing
nationality. Acceptable evidence in descending order of preference may
consist of:
(i) Passport;
(ii) Birth certificate accompanied by photo identification; and/or
(iii) Any national identity document from the alien's country of
origin bearing photo and/or fingerprint.
(2) Proof of residence. Evidence to establish proof of continuous
residence in the United States during the requisite period of time may
consist of any of the following:
(i) Employment records, which may consist of pay stubs, W-2 Forms,
certification of the filing of Federal, State, or local income tax
returns; letters from employer(s) or, if the applicant has been self
employed, letters from banks, and other firms with whom he or she has
done business. In all of the above, the name of the alien and the name
of the employer or other interested organization must appear on the form
or letter, as well as relevant dates. Letters from employers must be in
affidavit form, and shall be signed and attested to by the employer
under penalty of perjury. Such letters from employers must include:
(A) Alien's address(es) at the time of employment;
(B) Exact period(s) of employment;
(C) Period(s) of layoff; and
(D) Duties with the company.
(ii) Rent receipts, utility bills (gas, electric, telephone, etc.),
receipts, or letters from companies showing the dates during which the
applicant received service;
(iii) School records (letters, report cards, etc.) from the schools
that the applicant or his or her children have attended in the United
States showing name of school and period(s) of school attendance;
(iv) Hospital or medical records showing medical treatment or
hospitalization of the applicant or his or her children, showing the
name of the medical facility or physician as well as the date(s) of the
treatment or hospitalization;
(v) Attestations by churches, unions, or other organizations of the
applicant's residence by letter which:
(A) Identifies applicant by name;
(B) Is signed by an official whose title is also shown;
(C) Shows inclusive dates of membership;
(D) States the address where applicant resided during the membership
period;
(E) Includes the seal of the organization impressed on the letter or
is on the letterhead of the organization, if the organization has
letterhead stationery;
(F) Establishes how the attestor knows the applicant; and
(G) Establishes the origin of the information being attested to.
(vi) Additional documents to support the applicant's claim, which may
include:
(A) Money order receipts for money sent in or out of the country;
(B) Passport entries;
(C) Birth certificates of children born in the United States;
(D) Bank books with dated transactions;
(E) Correspondence between the applicant and other persons or
organizations;
(F) Social Security card;
(G) Selective Service card;
(H) Automobile license receipts, title, vehicle registration, etc;
(I) Deeds, mortgages, contracts to which applicant has been a party;
(J) Tax receipts;
(K) Insurance policies, receipts, or letters; and/or
(L) Any other relevant document.
(3) Evidence of eligibility under section 244A(c)(2) of the Act. An
applicant has the burden of showing that he or she is eligible for
benefits under this part.
(b) Sufficiency of evidence. The sufficiency of all evidence will be
judged according to its relevancy, consistency, credibility, and
probative value. To meet his or her burden of proof the applicant must
provide supporting documentary evidence of eligibility apart from his or
her own statements.
(c) Failure to timely respond. Failure to timely respond to a
request for information, or to appear for a scheduled interview, without
good cause, will be deemed an abandonment of the application and will
result in a denial of the application for lack of prosecution. Such
failure shall be excused if the request for information, or the notice
of the interview was not mailed to the applicant's most recent address
provided to the Service.
(56 FR 619, Jan. 7, 1991, as amended at 56 FR 23497, May 22, 1991)
08 CFR 240.10 Decision by the district director or Administrative
Appeals Unit (AAU).
(a) Temporary treatment benefits. The district director shall grant
temporary treatment benefits to the applicant if the applicant
establishes prima facie eligibility for Temporary Protected Status in
accordance with 240.5.
(b) Temporary Protected Status. Upon review of the evidence
presented, the district director may approve or deny the application for
Temporary Protected Status in the exercise of discretion, consistent
with the standards for eligibility in 240.2, 240.3, and 240.4.
(c) Denial by district director. The decision of the district
director to deny Temporary Protected Status, a waiver of grounds of
inadmissibility, or temporary treatment benefits shall be in writing
served in person or by mail to the alien's most recent address provided
to the Service and shall state the reason(s) for the denial. Except as
otherwise provided in this section, the alien shall be given written
notice of his or her right to appeal a decision denying Temporary
Protected Status. To exercise such right, the alien shall file a notice
of appeal, Form I-290B, with the district director who issued the
denial. If an appeal is filed, the administrative record shall be
forwarded to the AAU for review and decision, pursuant to authority
delegated in 103.1(f)(2), except as otherwise provided in this section.
(1) If the basis for the denial of the Temporary Protected Status
constitutes a ground for deportability or excludability which renders
the alien ineligible for Temporary Protected Status under 240.4 or
inadmissible under 240.3(c), the decision shall include a charging
document which sets forth such ground(s).
(2) If such a charging document is issued, the alien shall not have
the right to appeal the district director's decision denying Temporary
Protected Status as provided in this subsection. The decision shall
also apprise the alien of his or her right to a de novo determination of
his or her eligibility for Temporary Protected Status in deportation or
exclusion proceedings pursuant to 240.11 and 240.18.
(d) Decision by AAU. The decision of the AAU shall be in writing
served in person, or by mail to the alien's most recent address provided
to the Service, and, if the appeal is dismissed, the decision shall
state the reason(s) for the denial.
(1) If the appeal is dismissed by the AAU under 240.18(b), the
decision shall also apprise the alien of his or her right to a de novo
determination of eligibility for Temporary Protected Status in
deportation or exclusion proceedings.
(2) If the appeal is dismissed by the AAU, the district director may
issue a charging document if no charging document is presently filed
with the Office of the Immigration Judge.
(3) If a charging document has previously been filed or is pending
before the Office of the Immigration Judge, either party may move to
recalendar the case after the decision by the AAU.
(e) Grant of temporary treatment benefits.
(1) Temporary treatment benefits shall be evidenced by the issuance
of an employment authorization document. The alien shall be given, in
English and in the language of the designated state or a language that
the alien understands, a notice of the registration requirements for
Temporary Protected Status and a notice of the following benefits:
(i) Temporary stay of deportation; and
(ii) Temporary employment authorization.
(2) Unless terminated under 240.13, temporary treatment benefits
shall remain in effect until a final decision has been made on the
application for Temporary Protected Status.
(f) Grant of temporary protected status. (1) The decision to grant
Temporary Protected Status shall be evidenced by the issuance of an
alien registration document. For those aliens requesting employment
authorization, the employment authorization document will act as alien
registration.
(2) The alien shall be provided with a notice, in English and in the
language of the designated state or a language that the alien
understands, of the following benefits:
(i) The alien shall not be deported while maintaining Temporary
Protected Status;
(ii) Employment authorization;
(iii) The privilege to travel abroad with the prior consent of the
district director as provided in 240.15;
(iv) For the purposes of adjustment of status under section 245 of
the Act and change of status under section 248 of the Act, the alien is
considered as being in, and maintaining, lawful status as a nonimmigrant
while the alien maintains Temporary Protected Status.
(3) The benefits contained in the notice are the only benefits the
alien is entitled to under Temporary Protected Status.
(4) Such notice shall also advise the alien of the following:
(i) The alien must remain eligible for Temporary Protected Status;
(ii) The alien must register annually with the District Office having
jurisdiction over the alien's place of residence; and
(iii) The alien's failure to comply with paragraphs (f)(4) (i) or
(ii) of this section will result in the withdrawal of Temporary
Protected Status, including work authorization granted under this
Program, and may result in the alien's deportation from the United
States.
(56 FR 619, Jan. 7, 1991, as amended at 56 FR 23497, May 22, 1991)
08 CFR 240.11 Renewal of application; appeal to the Board of
Immigration Appeals.
If a charging document is served on the alien with a notice of denial
or withdrawal of Temporary Protected Status, an alien may renew the
application for Temporary Protected Status in deportation or exclusion
proceedings. The decision of the immigration judge as to eligibility
for Temporary Protected Status may be appealed to the Board of
Immigration Appeals pursuant to 3.3 of this chapter. The provisions of
this section do not extend the benefits of Temporary Protected Status
beyond the termination of a state's designation pursuant to 240.19.
(56 FR 619, Jan. 7, 1991, as amended at 56 FR 23497, May 22, 1991)
08 CFR 240.12 Employment authorization.
(a) Upon approval of an application for Temporary Protected Status,
the district director shall grant an employment authorization document
valid during the initial period of the state's designation (and any
extensions of such period) or twelve (12) months, whichever is shorter.
(b) If the alien's Temporary Protected Status is withdrawn under
240.14, employment authorization expires upon notice of withdrawal or on
the date stated on the employment authorization document, whichever
occurs later.
(c) If Temporary Protected Status is denied by the district director,
employment authorization shall terminate upon notice of denial or at the
expiration of the employment authorization document, whichever occurs
later.
(d) If the application is renewed or appealed in deportation or
exclusion proceedings, or appealed to the Administrative Appeals Unit
pursuant to 240.18(b), employment authorization will be extended during
the pendency of the renewal and/or appeal.
(56 FR 619, Jan. 7, 1991, as amended at 56 FR 23498, May 22, 1991)
08 CFR 240.13 Termination of temporary treatment benefits.
(a) Temporary treatment benefits terminate upon a final determination
with respect to the alien's eligibility for Temporary Protected Status.
(b) Temporary treatment benefits terminate, in any case, sixty (60)
days after the date that notice is published of the termination of a
state's designation under section 244A(b)(3) of the Act.
08 CFR 240.14 Withdrawal of Temporary Protected Status.
(a) Authority of district director. The district director may
withdraw the status of an alien granted Temporary Protected Status under
section 244A of the Act at any time upon the occurrence of any of the
following:
(1) The alien was not in fact eligible at the time such status was
granted, or at any time thereafter becomes ineligible for such status;
(2) The alien has not remained continuously physically present in the
United States from the date the alien was first granted Temporary
Protected Status under this part. For the purpose of this provision, an
alien granted Temporary Protected Status under this part shall be deemed
not to have failed to maintain continuous physical presence in the
United States if the alien departs the United States after first
obtaining permission from the district director to travel pursuant to
240.15;
(3) The alien fails without good cause to register with the Attorney
General annually within thirty (30) days before the end of each 12-month
period after the granting of Temporary Protected Status.
(b) Decision by district director. (1) Withdrawal of an alien's
status under paragraph (a) of this section shall be in writing and
served by personal service pursuant to 103.5(a) of this chapter. If
the ground for withdrawal is 240.14(a)(3), the notice shall provide
that the alien has thirty (30) days within which to provide evidence of
good cause for failure to register. If the alien fails to respond
within thirty (30) days, Temporary Protected Status shall be withdrawn
without further notice.
(2) Withdrawal of the alien's Temporary Protected Status under
paragraph (b)(1) of this section may subject the applicant to exclusion
or deportation proceedings under section 236 or section 242 of the Act
as appropriate.
(3) If the basis for the withdrawal of Temporary Protected Status
constitutes a ground of deportability or excludability which renders an
alien ineligible for Temporary Protected Status under 240.4 or
inadmissible under 240.3(c), the decision shall include a charging
document which sets forth such ground(s) with notice of the right of a
de novo determination of eligibility for Temporary Protected Status in
deportation or exclusion proceedings. If the basis for withdrawal does
not constitute such a ground, the alien shall be given written notice of
his or her right to appeal to the AAU. Upon receipt of an appeal, the
administrative record will be forwarded to the AAU for review and
decision pursuant to the authority delegated under 103.1(f)(2).
Temporary Protected Status benefits will be extended during the pendency
of an appeal.
(c) Decision by AAU. If a decision to withdraw Temporary Protected
Status is entered by the AAU, the AAU shall notify the alien of the
decision and the right to a de novo determination of eligibility for
Temporary Protected Status in deportation or exclusion proceedings, if
the alien is then deportable or excludable, as provided by 240.10(d).
(56 FR 619, Jan. 7, 1991, as amended at 56 FR 23498, May 22, 1991)
08 CFR 240.15 Travel abroad.
(a) After the grant of Temporary Protected Status, the alien must
remain continuously physically present in the United States under the
provisions of section 244A(c)(3)(B) of the Act. The grant of Temporary
Protected Status shall not constitute permission to travel abroad.
Permission to travel may be granted by the district director pursuant to
the Service's advance parole provisions. There is no appeal from a
denial of advance parole.
(b) Failure to obtain advance parole prior to the alien's departure
from the United States may result in the withdrawal of Temporary
Protected Status and/or the institution or recalendering of deportation
or exclusion proceedings against the alien.
(56 FR 619, Jan. 7, 1991, as amended at 56 FR 23498, May 22, 1991)
08 CFR 240.16 Confidentiality.
The information contained in the application and supporting documents
submitted by an alien shall not be released in any form whatsoever to a
third party requester without a court order, or the written consent of
the alien. For the purpose of this provision, a third party requester
means any requester other than the alien, his or her authorized
representative, an officer of the Department of Justice, or any federal
or State law enforcement agency. Any information provided under this
part may be used for purposes of enforcement of the Act or in any
criminal proceeding.
08 CFR 240.17 Annual registration.
(a) Aliens granted Temporary Protected Status must register annually
with the District Office having jurisdiction over their place of
residence. Such registration will apply to nationals of those countries
designated or redesignated for more than one year by the Attorney
General pursuant to section 244A(b) of the Act. Registration may be
accomplished by mailing or submitting in person, depending on the
practice in place at the District Office, completed Forms I-821 and
I-765 within the thirty (30) day period prior to the anniversary of the
grant of Temporary Protected Status (inclusive of such anniversary
date). Form I-821 will be filed without fee. Form I-765 will be filed
with fee only if the alien is requesting employment authorization.
Completing the block on the I-821 attesting to the continued maintenance
of the conditions of eligibility will generally preclude the need for
supporting documents or evidence. The Service, however, reserves the
right to request additional information and/or documentation on a
case-by-case basis.
(b) Unless the Service determines otherwise, registration by mail
shall suffice to meet the alien's registration requirements. However,
as part of the registration process, an alien will generally have to
appear in person in order to secure a renewal of employment
authorization unless the Service determines that employment
authorization will be extended in another fashion due to operational
need. The Service may also request that an alien appear in person as
part of the registration process. In such cases, failure to appear
without good cause shall be deemed a failure to register under this
chapter.
(c) Failure to register without good cause will result in the
withdrawal of the alien's Temporary Protected Status.
(56 FR 619, Jan. 7, 1991, as amended at 56 FR 23498, May 22, 1991)
08 CFR 240.18 Issuance of charging documents; detention.
(a) A charging document may be issued against an alien granted
Temporary Protected Status on grounds of deportability or excludability
which would have rendered the alien statutorily ineligible for such
status pursuant to 240.3(c) and 240.4. Aliens shall not be deported
for a particular offense for which the Service has expressly granted a
waiver. If the alien is deportable on a waivable ground, and no such
waiver for the charged offense has been previously granted, then the
alien may seek such a waiver in deportation or exclusion proceedings.
The charging document shall constitute notice to the alien that his or
her status in the United States is subject to withdrawal. A final order
of deportation or exclusion against an alien granted Temporary Protected
Status shall constitute a withdrawal of such status.
(b) The filing of the charging document by the Service with the
Office of the Immigration Judge renders inapplicable any other
administrative, adjudication or review of eligibility for Temporary
Protected Status. The alien shall have the right to a de novo
determination of his or her eligibility for Temporary Protected Status
in the deportation or exclusion proceedings. Review by the Board of
Immigration Appeals shall be the exclusive administrative appellate
review procedure. If an appeal is already pending before the
Administrative Appeals Unit, the district director shall notify the
Administrative Appeals Unit of the filing of the charging document, in
which case the pending appeal shall be dismissed and the record of
proceeding returned to the district where the charging document was
filed.
(c) Upon denial of Temporary Protected Status by the Administrative
Appeals Unit, the Administrative Appeals Unit shall immediately forward
the record of proceeding to the district director having jurisdiction
over the alien's place of residence. The district director shall, as
soon as practicable, file a charging document with the Office of the
Immigration Judge if the alien is then deportable or excludable under
section 241(a) or section 212(a) of the Act, respectively.
(d) An alien who is determined by the Service to be deportable or
excludable upon grounds which would have rendered the alien ineligible
for such status as provided in 240.3(c) and 240.4 may be detained
under the provisions of this chapter pending deportation or exclusion
proceedings. Such alien may be removed from the United States upon
entry of a final order of deportation or exclusion.
(56 FR 619, Jan. 7, 1991, as amended at 56 FR 23498, May 22, 1991)
08 CFR 240.19 Termination of designation.
Upon the termination of designation of a state, those nationals
afforded temporary Protected Status shall, upon the sixtieth (60th) day
after the date notice of termination is published in the Federal
Register, or on the last day of the most recent extension of designation
by the Attorney General, automatically and without further notice or
right of appeal, lose Temporary Protected Status in the United States.
Such termination of a state's designation is not subject to appeal.
240.20 -- 240.39 (Reserved)
08 CFR 240.19 Subpart B -- Temporary Protected Status for Salvadorans
08 CFR 240.40 General.
Except as provided in this part, the provisions of part 240 of this
chapter shall apply to nationals of El Salvador.
08 CFR 240.41 Definitions.
Continuously physically present as used in section 303 of the Act,
means actual physical presence of a Salvadoran in the United States
since September 19, 1990. Any departure not authorized by the Service
(e.g., under advance parole), including any brief, casual, and innocent
departure, shall be deemed to break an alien's continuous physical
presence.
(56 FR 619, Jan. 7, 1991, as amended at 56 FR 23498, May 22, 1991)
08 CFR 240.42 Eligibility.
Any alien who is a national of El Salvador, except an alien who is
ineligible for Temporary Protected Status pursuant to 240.43, may be
granted Temporary Protected Status in the discretion of the district
director if the alien:
(a) Establishes by evidence as provided for under 240.9, that he or
she is a national of El Salvador;
(b) Establishes that he or she has been continuously physically
present in the United States since September 19, 1990, as defined in
240.41;
(c) Establishes that he or she is admissible as an immigrant, except
as provided under section 244A(c)(2) of the Act; and
(d) Registers for Temporary Protected Status during the period from
January 2, 1991 until October 31, 1991.
(56 FR 619, Jan. 7, 1991, as amended at 56 FR 23498, May 22, 1991;
56 FR 41445, Aug. 21, 1991)
08 CFR 240.43 Ineligibility.
An alien is ineligible for Temporary Protected Status under this
section if the alien:
(a) Has not established that he or she is a national of El Salvador;
(b) Has not been continuously physically present in the United States
since September 19, 1990, as defined in 240.41;
(c) Has been convicted of any felony or 2 or more misdemeanors
committed in the United States;
(d) Is an alien described in section 243(h)(2) of the Act, or
(e) Is inadmissible based upon a non-waivable ground of
inadmissibility pursuant to section 244A(c)(2)(A)(iii) of the Act.
(56 FR 619, Jan. 7, 1991, as amended at 56 FR 23498, May 22, 1991)
08 CFR 240.44 Semiannual registration.
Salvadorans granted Temporary Protected Status shall register in
accordance with 240.17. However, registration under this part shall
take place semiannually, within the thirty (30) day period prior to the
end of each six month period.
08 CFR 240.45 Employment authorization.
Employment authorization shall be granted upon the registration of
the eligible alien in increments of six months, as reflected on the
employment authorization document, until June 30, 1992. Employment
authorization may be renewed by an eligible alien upon re-registration
for Temporary Protected Status within the thirty (30) day period prior
to the expiration of each six month registration period.
08 CFR 240.46 Travel abroad.
Permission to travel abroad shall be granted under 240.15 if the
alien demonstrates to the satisfaction of the district director that
emergency and extenuating circumstances beyond the control of the alien
require the departure of the alien for a brief, temporary trip abroad.
(56 FR 23498, May 22, 1991)
08 CFR 240.47 Departure at time of termination of designation.
(a) At the registration which occurs at the end of the second six
month period as provided for under sections 244A(c)(3)(C) and 303(c)(3)
of the Act, the Service shall serve on the alien a charging document,
consistent with the Act, which establishes a date for exclusion or
deportation proceedings which is after June 30, 1992. The charging
document will be cancelled by the Service if El Salvador is subsequently
designated under section 244A(b) of the Act.
(b) If an alien provided with a charging document under paragraph (a)
of this section fails to appear at such exclusion or deportation
proceedings, the alien may be ordered excluded or deported in absentia
as provided for under section 236 or 242(b) of the Act.
(56 FR 619, Jan. 7, 1991, as amended at 56 FR 23498, May 22, 1991)
08 CFR 240.48 Waiver of fees.
(a) Any of the fees prescribed in 8 CFR 103.7(b) which relate to
applications to the district director or service center director for
Temporary Protected Status may be waived if the applicant establishes
that he or she is unable to pay the prescribed fee. The applicant will
have established his or her inability to pay when the adjudicating
officer concludes, on the basis of the requisite affidavit and of any
other information submitted, that it is more probable than not that:
(1) The applicant's gross income from all sources for the three month
period prior to the fee waiver request, including income received or
earned by any dependent in the United States, was equaled or exceeded by
essential expenditures for such three month period; and
(2) The applicant does not own, possess, or control assets sufficient
to indicate that the applicant can pay the fee without substantial
hardship.
(b) For purposes of this section, essential expenditures are limited
to reasonable expenditures for rent, utilities, food, transportation to
and from employment, and any essential extraordinary expenditures, such
as essential medical expenses, incurred during the three month period
prior to the filing of the fee waiver request.
(c) Documentation.
(1) The applicant seeking a fee waiver must submit an affidavit,
under penalty of perjury, setting forth information to establish that he
or she satisfies the requirements of this section. The affidavit shall
individually list:
(i) The applicant's monthly gross income from each source for each of
the three months prior to the fee waiver request;
(ii) All assets owned, possessed, or controlled by the applicant or
by his or her dependents;
(iii) The applicant's essential monthly expenditures from each source
for each of the three months prior to filing the fee waiver request,
including essential extraordinary expenditures, such as essential
medical expenses; and
(iv) The applicant's dependents in the United States, his or her
relationship to those dependents, the dependents' ages, any income
earned or received by those dependents, and the street address of each
dependent's place of residence.
(2) The applicant may also submit other documentation tending to
substantiate his or her inability to pay.
(d) If the adjudicating officer concludes based upon the totality of
the circumstances that the information presented in the affidavit and in
any other additional documentation is inaccurate or insufficient, the
adjudicating officer may require that the applicant submit the following
additional documents prior to the adjudication of a fee waiver:
(1) The applicant's employment records, pay stubs, W-2 forms,
letter(s) from employer(s), and proof of filing of a local, state, or
federal income tax return. The same documents may also be required from
the applicant's dependents in the United States.
(2) The applicant's rent receipts, bills for essential utilities (for
example, gas, electricity, telephone, water), food, medical expenses,
and receipts for other essential extraordinary expenditures, to
establish average monthly expenditures.
(3) Documentation to show all assets owned, possessed, or controlled
by the applicant or by dependents of the applicant.
(4) Evidence of the applicant's living arrangements in the United
States (living with relative, living in his or her own house or
apartment, etc), and evidence of whether his or her spouse, children, or
other dependents are residing in his or her household in the United
States.
(5) Evidence of the applicant's essential extraordinary expenditures
or those of his or her dependents residing in the United States (e.g.,
medical records).
(e) The adjudicating officer must consider the totality of the
information submitted in each case before requiring additional
information or rendering a final decision.
(f) All documents submitted by the applicant or required by the
adjudicating officer in support of a fee waiver request are subject to
verification by the Service.
(g) In requiring additional information, the adjudicating officer
should consider that some applicants may have little or no documentation
to substantiate their claims. An adjudicating officer may accept other
evidence, such as an affidavit from a member of the community of good
moral character, but only if the applicant provides an affidavit stating
that more direct documentary evidence is unavailable.
(56 FR 32501, July 17, 1991)
08 CFR 240.48 PART 241 -- CONTROLLED SUBSTANCE VIOLATIONS
Authority: 8 U.S.C. 1103, 1251, 1252, 1357; 8 CFR part 2.
08 CFR 241.1 Controlled substance convictions.
In determining the deportability of an alien who has been convicted
of a violation of any law or regulation of a State, the United States,
or a foreign country relating to a controlled substance, the term
controlled substance as used in section 241(a)(2)(B)(i) of the Act,
shall mean the same as that referenced in the Controlled Substances Act,
21 U.S.C. 801, et seq., and shall include any substance contained in
Schedules I through V of 21 CFR 1308.1, et seq. For the purposes of
this section, the term controlled substance includes controlled
substance analogues as defined in 21 U.S.C. 802(23) and 813.
(53 FR 9282, Mar. 22, 1988. Redesignated at 56 FR 8906, Mar. 4, 1991,
and amended at 56 FR 38333, Aug. 13, 1991)
08 CFR 241.1 PART 242 -- PROCEEDINGS TO DETERMINE DEPORTABILITY OF
ALIENS IN THE UNITED STATES: APPREHENSION, CUSTODY, HEARING, AND APPEAL
Sec.
242.1 Order to show cause and notice of hearing.
242.2 Apprehension, custody, and detention.
242.3 Confined aliens, incompetents, and minors.
242.4 Fingerprints and photographs.
242.5 Voluntary departure prior to commencement of hearing.
242.7 Cancellation proceedings.
242.7a Waiver of documents; returning residents.
242.8 Immigration judges.
242.9 Trial attorney.
242.10 Representation by counsel.
242.11 Incompetent respondents.
242.12 Interpreter.
242.13 Postponement and adjournment of hearing.
242.14 Evidence.
242.15 Contents of record.
242.16 Hearing.
242.17 Ancillary matters, applications.
242.18 Decision of special inquiry officer.
242.19 Notice of decision.
242.20 Finality of order.
242.21 Appeals.
242.22 Reopening or reconsideration.
242.23 Proceedings under section 242(f) of the Act.
242.24 Detention and release of juveniles.
Authority: 8 U.S.C. 1103, 1182, 1252; 8 CFR part 2.
08 CFR 242.1 Order to show cause and notice of hearing.
(a) Commencement. Every proceeding to determine the deportability of
an alien in the United States is commenced by the filing of an Order to
Show Cause with the Office of the Immigration Judge, except an alien who
has been admitted to the United States under the provisions of section
217 of the Act and part 217 of this chapter other than such an alien who
as applied for asylum in the United States. In the proceeding, the
alien shall be known as the respondent. Orders to show cause may be
issued by:
(1) District directors;
(2) Acting district directors;
(3) Deputy district directors;
(4) Assistant district directors for investigations;
(5) Deputy assistant district directors for investigations;
(6) Assistant district directors for deportation;
(7) Deputy assistant district directors for deportation;
(8) Assistant district directors for examinations;
(9) Deputy assistant district directors for examinations;
(10) Assistant district directors for anti-smuggling;
(11) Officers in charge (except foreign);
(12) Chief patrol agents;
(13) Deputy chief patrol agents;
(14) Associate chief patrol agents;
(15) Assistant chief patrol agents;
(16) The Assistant Commissioner, Investigations;
(17) Service center directors;
(18) Director, Organized Crime Drug Enforcement Task Force (OCDETF);
(19) Assistant Director, Organized Crime Drug Enforcement Task Force
(OCDETF), (New York, NY; Houston, TX; Los Angeles, CA; and Miami,
FL);
(20) The Assistant Commissioner, Refugees, Asylum and Parole;
(21) Supervisory asylum officers.
(b) Statement of Nature of Proceedings. The Order to Show Cause
shall contain a statement of the nature of the proceeding, the legal
authority under which the proceeding is conducted, a concise statement
of factual allegations informing the respondent of the act or conduct
alleged to be in violation of the law, and a designation of the charge
against the respondent and of the statutory provisions alleged to have
been violated. The Order shall require the respondent to show cause why
he should not be deported. The Order shall call upon the respondent to
appear before an Immigration Judge for a hearing at a time and place
which shall be specified by the Office of the Immigration Judge.
(c) Service. Service of the order to show cause may be accomplished
either by personal service or by routine service; however, when routine
service is used and the respondent does not appear for hearing or
acknowledge in writing that he has received the order to show cause, it
shall be reserved by personal service. When personal delivery of an
order to show cause is made by an immigration officer, the contents of
the order to show cause shall be explained and the respondent shall be
advised that any statement he makes may be used against him. He shall
also be advised of his right to representation by counsel of his own
choice at no expense to the Government. He shall also be advised of the
availability of free legal services programs qualified under part 292a
of this chapter and organizations recognized pursuant to 292.2 of this
chapter, located in the district where his deportation hearing will be
held. He shall be furnished with a list of such programs, and a copy of
Form I-618, Written Notice of Appeal Rights, regardless of the manner in
which the service of the order to show cause was accomplished. Service
of these documents shall be noted on Form I-213.
(d) Visa Waiver Pilot Program. Pursuant to section 217(b)(4)(B) of
the Act, an alien who has been admitted to the United States under the
provisions of that section has waived any right to contest any action
against him or her for deportation, other than on the basis of an
application for asylum. An alien admitted to the United States under
section 217 of the Act shall be taken into custody and removed from the
United States upon a determination by an immigration officer (district
director who has jurisdiction over the place where the alien is found)
that the alien is deportable in accordance with procedures in 217.4(c)
of this chapter, and without commencement of a proceeding under this
part, except that such an alien who applies for asylum in the United
States shall be brought into proceedings as otherwise provided in this
part.
(22 FR 9796, Dec. 6, 1957, as amended at 44 FR 4653, Jan. 23, 1979;
52 FR 2939, Jan. 29, 1987; 52 FR 3098, Jan. 30, 1987; 52 FR 5616, Feb.
25, 1987; 53 FR 24903, June 30, 1988; 55 FR 1579, Jan. 17, 1990; 55
FR 12627, Apr. 5, 1990; 56 FR 18502, Apr. 23, 1991; 56 FR 50812, Oct.
9, 1991)
08 CFR 242.2 Apprehension, custody, and detention.
(a) Detainers in general. (1) Only an immigration officer as defined
in section 101(a)(18) of the Act, or 103.1(q) of this chapter is
authorized to issue a detainer. Detainers may be issued only in the
case of an alien who is amenable to exclusion or deportation proceedings
under any provision of law.
(2) Availability of records. In order for the Service to accurately
determine the propriety of issuing a detainer, serving an order to show
cause, or taking custody of an alien in accordance with this section,
the criminal justice agency requesting such action or informing the
Service of a conviction or act which renders an alien excludable or
deportable under any provision of law shall provide the Service with all
documentary records and information available from the agency which
reasonably relates to the alien's status in the United States, or which
may have an impact on conditions of release.
(3) Telephonic detainers. Issuance of a detainer in accordance with
this section may be authorized telephonically, provided such
authorizations are confirmed in writing on Form I-247, or by electronic
communications transfer media (e.g. the National Law Enforcement
Telecommunications System (NLETS)) within twenty-four hours of the
telephonic authorization. The contents of the electronic transfer shall
contain substantially the same language as the Form I-247.
(4) Temporary detention at Service request. Upon a determination by
the Service to issue a detainer for an alien not otherwise detained by a
criminal justice agency, such agency shall maintain custody of the alien
for a period not to exceed forty-eight hours, in order to permit
assumption of custody by the Service.
(5) Financial responsibility for detention. No detainer issued as a
result of a determination made under this chapter shall incur any fiscal
obligation on the part of the Service, until actual assumption of
custody by the Service, except as provided in paragraph (a)(4) of this
section.
(b) Use of convictions. The term conviction as used in section
242(i) of the Act means that --
(1) There has been a conviction by a court of competent jurisdiction;
and
(2) All direct appeal rights have been exhausted or waived; or
(3) The appeal period has lapsed.
(c) Warrant of arrest. (1) At the time of issuance of the Order to
Show Cause, or at any time thereafter and up to the time the respondent
becomes the subject of a duly issued warrant of deportation, the
respondent may be arrested and taken into custody under the authority of
a warrant of arrest, provided that, in the case of a respondent
convicted on or after November 18, 1988, of an aggravated felony as
defined in section 101(a)(43) of the Act, the respondent shall not be
released from custody unless a determination is made by the District
Director that the respondent's departure cannot be effected, or until
respondent becomes subject to supervision under the authority contained
in section 242(d) of the Act. However, such warrant may be issued by no
other than a:
(i) District director;
(ii) Acting district director;
(iii) Deputy district director;
(iv) Assistant district director for investigations;
(v) Deputy assistant district director for investigations;
(vi) Assistant district director for deportation;
(vii) Deputy assistant district director for deportation;
(viii) Assistant district director for examinations;
(ix) Deputy assistant district director for examinations;
(x) Assistant district director for anti-smuggling;
(xi) Officer in charge (except foreign);
(xii) Chief patrol agent;
(xiii) Deputy chief patrol agent;
(xiv) Associate chief patrol agent;
(xv) Assistant chief patrol agent;
(xvi) The Assistant Commissioner, Investigations;
(xvii) Director, Organized Crime Drug Enforcement Task Force
(OCDETF);
(xviii) Assistant Director, Organized Crime Drug Enforcement Task
Force (OCDETF), (New York, NY; Houston, TX; Los Angeles, CA; and
Miami, FL).
(2) If, after the issuance of a warrant of arrest, a determination is
made not to serve it, any officer authorized to issue such warrant may
authorize its cancellation. When a warrant of arrest is served under
this part, the respondent shall have explained to him/her the contents
of the order to show cause, the reason for the arrest and the right to
be represented by counsel of his/her own choice at no expense to the
Government. He/she shall also be advised of the availability of free
legal services programs qualified under part 292a of this chapter and
organizations recognized pursuant to 292.2 of this chapter, located in
the district where the deportation hearing will be held. The respondent
shall be furnished with a list of such programs, and a copy of Form
I-618, Written Notice of Appeal Rights. Service of these documents
shall be noted on Form I-213. The respondent shall be advised that any
statement made may be used against him/her. He/she shall also be
informed whether custody is to be continued or, if release from custody
has been authorized, of the amount and conditions of the bond or the
conditions of release. Except in cases involving an alien convicted on
or after November 18, 1988, of an aggravated felony as defined in
section 101(a)(43) of the Act, a respondent on whom a warrant of arrest
has been served may apply to any officer authorized by this section to
issue such a warrant for release or for amelioration of the conditions
under which he/she may be released. When serving the warrant of arrest
and when determining any application pertaining thereto, the authorized
officer shall furnish the respondent with a notice of decision, which
may be on Form I-286, indicating whether custody will be continued or
terminated, specifying any conditions under which release is permitted,
and advising the respondent appropriately whether he/she may apply to an
immigration judge pursuant to paragraph (d) of this section for release
or modification of the conditions of release or whether he/she may
appeal to the Board. A direct appeal to the Board from a determination
by an officer authorized by this section to issue warrants shall not be
allowed except as authorized by paragraph (d) of this section.
(d) Authority of Immigration Judge; Appeals. After an initial
determination pursuant to paragraph (c) of this section, and at any time
before a deportation order becomes administratively final, upon
application by the respondent for release from custody or for
amelioration of the conditions under which he or she may be released, an
Immigration Judge may exercise the authority contained in section 242 of
the Act to continue to detain a respondent in, or release from custody,
and to determine whether a respondent shall be released under bond, and
the amount thereof, if any. Application for the exercise of such
authority must be made in the following order: First, if the alien is
detained, the Immigration Judge Office at or nearest the place of
detention; second, the Immigration Judge Office having administrative
control over the case; third, the Office of the Chief Immigration Judge
for designation of an appropriate Office of the Immigration Judge.
However, if the respondent has been released from custody, such
application must be made within seven (7) days after the date of such
release. Thereafter, application by a released respondent for
modification of the terms release may be made only to the District
Director. In connection with such application the Immigration Judge
shall advise the respondent of his right to representation by counsel of
his or her choice at no expense to the government. He or she shall also
be advised of the availability of free legal services programs qualified
under part 292(a) of this chapter and organizations recognized pursuant
to 292.2 of this chapter, located in the district where his or her
application is to be heard. The Immigration Judge shall ascertain that
the respondent has received a list of such programs, and the receipt by
the respondent of a copy of Form I-618, Written Notice of Appeal Rights.
Upon rendering a decision on an application under this section, the
Immigration Judge (or District Director if he renders the decision)
shall advise the alien of his or her appeal rights under this section.
The determination of the Immigration Judge in respect to custody status
or bond redetermination shall be entered on the appropriate EOIR form at
the time such decision is made, and the parties shall be promptly
informed orally or in writing as the reasons for the Judge's decision.
Consideration under this paragraph by the Immigration Judge of an
application or request of a alien regarding custody or bond shall be
separate and apart from any deportation hearing or proceeding under this
part, and shall form no part of such hearing or proceeding. The
determination of the Immigration Judge as to custody status or bond may
be based upon any information which is available to the Immigration
Judge or which is presented to him by the alien or the Service. The
alien and the Service may appeal to the Board of Immigration Appeals
from any such determination. If the determination is appealed, a
written memorandum shall be prepared by the Immigration Judge giving
reasons for the decision. After a deportation order becomes
administratively final, or if recourse to the Immigration Judge is no
longer available because of the expiration of the seven-day period
aforementioned, the respondent may appeal directly to the Board from a
determination by the District Director, Acting District Director, Deputy
District Director, Assistant District Director for Investigations, or
Officer in Charge of an office enumerated in 242.1(a), except that no
appeal shall be allowed when the Service notifies the alien that it is
ready to execute the order of deportation and takes him into custody for
that purpose. An appeal to the Board shall be taken from a
determination by an Immigration Judge pursuant to 3.36 of this chapter.
An appeal to the Board taken from an appealable determination by the
District Director, Acting District Director, Deputy District Director,
Assistant District Director for Investigations, or Officer in Charge of
an office enumerated in 242.1(a), shall be perfected by filing a notice
of appeal with the District Director within 10 days after the date when
written notification of the determination is served upon the respondent
and the Service. Upon the filing of a notice of appeal from a District
Director's determination, the District Director shall immediately
transmit to the Board all records and information pertaining to that
determination. The filing of an appeal from a determination of an
Immigration Judge or a District Director shall not operate to delay
compliance, during the pendency of the appeal, with the custody
directive from which appeal is taken, or to stay the administrative
proceedings or deportation.
(e) Revocation. When an alien who, having been arrested and taken
into custody, has been released, such release may be revoked at any time
in the discretion of the district director, acting district director,
deputy district director, assistant district director for
investigations, or officer in charge of an office enumerated in
242.1(a), in which event the alien may be taken into physical custody
and detained. If detained, unless a breach has occurred, any
outstanding bond shall be revoked and cancelled. The provisions of
paragraph (d) of this section shall govern availability to the
respondent of recourse to other administrative authority for release
from custody.
(f) Supervision. Until an alien against whom a final order of
deportation has been outstanding for more than six months is deported,
he shall be subject to supervision by a district director, acting
district director, deputy district director, assistant district director
for investigations, or officer in charge of an office enumerated in
242.1(a), and required to comply with the provisions of section 242(d)
of the Act relating to his availability for deportation.
(g) Privilege of communication. Every detained alien shall be
notified that he may communicate with the consular or diplomatic
officers of the country of his nationality in the United States.
Existing treaties require immediate communication with appropriate
consular or diplomatic officers whenever nationals of the following
countries are detained in exclusion or expulsion proceedings, whether or
not requested by the alien, and, in fact, even if the alien requests
that no communication be undertaken in his behalf:
Algeria3
Argentina3
Australia3
Austria3
Belgium3
Bolivia3
Brazil3
Cameroon3
Canada3
Chile3
China, People's Rep. of6
China, Rep. of
Colombia3
Costa Rica
Cuba3
Czechoslovakia3
Cyprus
Denmark3
Dominican Republic3
Ecuador3
Egypt3
El Salvador3
Fiji3
France3
Gabon3
Gambia
Germany, Fed Rep.3
Ghana
Guatemala3
Guyana3
Holy See3
Honduras3
Hungarian People's Rep.5
Iraq3
Ireland1
Italy3
Jamaica
Jordan3
Kenya
Kuwait
Laos3
Lesotho3
Liechtenstein3
Luxembourg3
Madagascar3
Malawi
Malaysia
Mali3
Malta
Mauritius3
Mexico3
Nepal3
New Zealand3
Niger3
Nigeria
Oman3
Pakistan3
Panama3
Paraguay3
Philippines
Poland2
Portugal3
Romania4
Rwanda3
Senegal3
Sierra Leone
Singapore
Somalia3
Spain3
Sweden3
Switzerland3
Tanzania
Tonga3
Trinidad & Tobago
Tunisia3
Uganda
United Kingdom
England
Northern Ireland
Scotland
Southern Rhodesia
Wales
Union of Soviet Socialist Rep. (USSR)
Uruguay3
Upper Volta3
Venezuela3
Viet-Nam, Rep.3
Yugoslavia3
Zambia
1Unless national requests that such information not be transmitted.
2If national is an alien admitted to lawful permanent residence,
communication will be made with Polish consulate only upon the request
of such national.
3If national requests his government be notified, INS must notify
immediately.
4Notification must be made within two days.
5Notification must be made within three days.
6Notification must be made within four days.
(h) Custody issues; release procedures. (1) A lawful permanent
resident alien convicted of an aggravated felony may be released from
custody, after having completed serving the sentence for such
conviction, if the Attorney General determines that he or she is not a
danger to the community and that he or she is likely to appear for all
scheduled hearings. Review of each case to determine custody or release
conditions shall include, but need not be limited to, consideration of
the following factors:
(i) Seriousness of the crime(s) of which convicted;
(ii) Prior criminal history, especially the nature of the crimes and
number of arrests;
(iii) Sentence(s) imposed and time actually served;
(iv) History of failures to appear for court (defaults);
(v) Probation history;
(vi) Evidence of rehabilitative effort or recidivism;
(vii) Equities in the United States;
(viii) Availability of relief from deportation and the likelihood of
its being granted; and
(ix) Prior immigration violations and history.
(2) If, after consideration of all factors listed in paragraph (h)(1)
of this section, it is determined that the alien is not a threat to
public safety and is likely to appear for all scheduled hearings, he or
she may be released from custody under such conditions as the Attorney
General may prescribe, including the giving of a bond. If an appearance
bond is prescribed as a condition of such release, it shall be in an
appropriate and sufficient amount to encourage compliance with demands
for appearance and with any other conditions of release.
(28 FR 8280, Aug. 13, 1963, as amended at 39 FR 20367, June 10, 1974;
39 FR 20959, June 17, 1974; 40 FR 30470, July 21, 1975; 48 FR 31005,
July 6, 1983; 51 FR 34081, Sept. 25, 1986; 52 FR 2939, Jan. 29, 1987;
52 FR 16372, May 5, 1987; 53 FR 9283, Mar. 22, 1988; 55 FR 1579, Jan.
17, 1990; 55 FR 24859, June 19, 1990; 55 FR 43327, Oct. 29, 1990; 56
FR 18503, Apr. 23, 1991; 56 FR 23214, May 21, 1991)
See footnotes at end of table.
08 CFR 242.3 Confined aliens, incompetents, and minors.
(a) Service. If the respondent is confined, or if he is an
incompetent, or a minor under the age of 14, the order to show cause,
and the warrant of arrest, if issued, shall be served in the manner
prescribed in 242.1(c) upon the person or persons named in 103.5a(c)
of this chapter.
(b) Service custody; cost of maintenance. An alien confined because
of physical or mental disability in an institution or hospital shall not
be accepted into physical custody by the Service until an order of
deportation has been entered and the Service is ready to deport the
alien. When such an alien is an inmate of a public or private
institution at the time of the commencement of the deportation
proceedings, expenses for the maintenance of the alien shall not be
incurred by the Government until he is taken into physical custody by
the Service.
(22 FR 9796, Dec. 6, 1957, as amended at 37 FR 11470, June 8, 1972;
43 FR 48620, Oct. 19, 1978)
08 CFR 242.4 Fingerprints and photographs.
Every alien 14 years of age or older against whom proceedings are
commenced under this part shall be fingerprinted. Any such alien,
regardless of his age, shall be photographed if a photograph is required
by the district director, acting district director, deputy district
director, or officer in charge authorized to issue an order to show
cause.
(28 FR 9504, Aug. 30, 1963)
08 CFR 242.5 Voluntary departure prior to commencement of hearing.
(a)(1) Authorized officers. The authority contained in section
242(b) of the act to permit aliens to depart voluntarily from the United
States may be exercised by district directors, district officers who are
in charge of investigations, officers in charge, chief patrol agents,
and service center directors, assistant district directors for
Examinations, Director, Organized Crime Drug Enforcement Task Force, or
Assistant Director, Organized Crime Drug Enforcement Task Force, (New
York, NY; Houston, TX; Los Angeles, CA; and Miami, FL).
(2) Authorization. Notwithstanding any other provision of this
section, an alien convicted on or after November 18, 1988, of an
aggravated felony as defined in section 101(a)(43) of the Act, shall not
be eligible for voluntary departure prior to commencement of hearing.
Voluntary departure may be granted to any alien who is statutorily
eligible: (i) Who is a native of a foreign contiguous territory and not
within the purview of class (vi) of this paragraph; or (ii) whose
application for extension of stay as a nonimmigrant is being denied; or
(iii) who has voluntarily surrendered himself to the Service; or (iv)
who presents a valid travel document and confirmed reservation for
transportation out of the United States within 30 days; or (v) who is
an F-1, F-2, J-1, or J-2 nonimmigrant and who has lost such status
solely because of a private bill introduced in his/her behalf; or (vi)
who is admissible to the United States as an immigrant and: (A) Who is
an immediate relative of a U.S. citizen, or (B) is otherwise exempt from
the numerical limitation on immigrant visa issuance, or (C) has a
priority date for an immigrant visa not more than 60 days later than the
date show in the latest Visa Office Bulletin and has applied for an
immigrant visa at an American Consulate which has accepted jurisdiction
over the case, or (D) who is a third-preference alien with a priority
date earlier than August 9, 1978, or (E) who is the beneficiary of an
approved sixth-preference petition who satisfies Examinations without
another petition that he/she can qualify for third preference and who
cannot obtain a visa solely because a visa number is unavailable, and
who has a priority date earlier than August 9, 1978; or (vii) who has
been granted asylum and has not been granted parole status or a stay of
deportation; or (viii) in whose case the district director has
determined there are compelling factors warranting grant of voluntary
departure.
(3) Periods of time. Except for classes (v), (vi), (vii), and (viii)
of paragraph (a)(2) of this section, any grant of voluntary departure
shall contain a time limitation of usually not more than 30 days, and an
extension of the original voluntary departure time shall not be
authorized except under meritorious circumstances. Upon failure to
depart, deportation proceedings will be pursued. Class (v) may be
granted voluntary departure in increments of 1 year conditioned upon the
F-1 or J-1 alien maintaining a full course of study at an approved
institution of learning, or upon abiding by the terms and conditions of
the exchange program within the limitations imposed by 22 CFR 514.23.
Classes (vi) (A), (B), and (C) may be granted voluntary departure until
the American consul is ready to issue an immigrant visa and, in the
discretion of the district director, may be in increments of 30 days,
conditioned upon continuing availability of an immigrant visa as shown
in the latest Visa Office Bulletin and upon the alien's diligent pursuit
of efforts to obtain the visa. Classes (vi) (D) and (E) may be granted
voluntary departure, conditioned upon the approved third- or
sixth-preference petition as appropriate, remaining valid as well as the
alien's retention of the status established in the petition, for an
indefinite period until an immigrant visa is available. Classes (vii)
and (viii) may be granted voluntary departure in increments of time, not
to exceed 1 year, as determined by the district director to be
appropriate in the case. Form I-94 issued to an alien granted voluntary
departure, who is within class (v), (vi), (vii), or (viii) of paragraph
(a)(2) of this section may be stamped with the legend ''Employment
Authorized'' if the alien seeks some indication from the Service that he
is entitled to be employed.
(b) Application. Any alien who believes himself or herself to be
eligible for voluntary departure under section 242(b) of the Act may
apply therefore at any office of the Service any time prior to the
commencement of deportation proceedings against him or her. The
officers designated in paragraph (a) of this section may deny or grant
the application and determine the conditions under which the alien's
departure shall be effected. An appeal shall not lie from a denial of
an application for voluntary departure under this section, but the
denial shall be without prejudice to the alien's right to apply for
relief from deportation under any provision of law.
(c) Revocation. If, subsequent to the granting of an application for
voluntary departure under this section, it is ascertained that the
application should not have been granted, that grant may be revoked
without notice by any district director, district officer in charge of
investigations, officer in charge, chief patrol agent, Director,
Organized Crime Drug Enforcement Task Force, or Assistant Director,
Organized Crime Drug Enforcement Task Force, (New York, NY; Houston,
TX; Los Angeles, CA; and Miami, FL).
(23 FR 9123, Nov. 26, 1958, as amended at 29 FR 13242, Sept. 24,
1964; 35 FR 16362, Oct. 20, 1970; 43 FR 29528, July 10, 1978; 45 FR
27917, Apr. 25, 1980; 46 FR 25598, May 8, 1981; 47 FR 49954, Nov. 4,
1982; 52 FR 2940, Jan. 29, 1987; 55 FR 12627, Apr. 5, 1990; 55 FR
24859, June 19, 1990; 56 FR 18503, Apr. 23, 1991)
08 CFR 242.7 Cancellation proceedings.
(a) Cancellation of an order to show cause. Any officer authorized
by 242.1(a) of this part to issue an order to show cause may cancel an
order to show cause prior to jurisdiction vesting with the Immigration
Judge pursuant to 3.14 of this chapter provided the officer is
satisfied that:
(1) The respondent is a national of the United States;
(2) The respondent is not deportable under immigration laws;
(3) The respondent is deceased;
(4) The respondent is not in the United States;
(5) The respondent was placed under proceedings for failure to file a
timely petition as required by section 216(c) of the Act, but his or her
failure to file a timely petition was excused in accordance with section
216(d)(2)(B) of the Act; or
(6) The Order to Show Cause was improvidently issued.
(b) Motion to dismiss. After commencement of proceedings pursuant to
3.14 of this chapter, any officer enumerated in paragraph (a) of this
section may move for dismissal of the matter on the grounds set out
under paragraph (a) of this section. Dismissal of the matter shall be
without prejudice to the alien or the Service.
(c) Motion for remand. After commencement of the hearing, any
officer enumerated in paragraph (a) of this section may move for remand
of the matter to district jurisdiction on the ground that the foreign
relations of the United States are involved and require further
consideration. Remand of the matter shall be without prejudice to the
alien or the Service.
(d) Warrant of arrest. When an order to show cause is cancelled or
proceedings are terminated under this section any outstanding warrant of
arrest is cancelled.
(e) Termination of deportation proceedings by immigration judge. An
immigration judge may terminate deportation proceedings to permit the
respondent to proceed to a final hearing on a pending application or
petition for naturalization when the respondent has established prima
facie eligibility for naturalization and the matter involves
exceptionally appealing or humanitarian factors; in every other case,
the deportation hearing shall be completed as promptly as possible
notwithstanding the pendency of an application for naturalization during
any state of the proceedings.
(47 FR 49954, Nov. 4, 1982; 47 FR 51351, Nov. 15, 1982, as amended
at 52 FR 2940, Jan. 29, 1987; 52 FR 3099, Jan. 30, 1987; 52 FR 5616,
Feb. 25, 1987; 53 FR 30022, Aug. 10, 1988)
08 CFR 242.7a Waiver of documents; returning residents.
Pursuant to the authority contained in section 211(b) of the Act, an
alien previously lawfully admitted to the United States for permanent
residence who, upon return from a temporary absence was excludable
because of failure to have or to present a valid passport, immigrant
visa, reentry permit, border crossing card, or other document required
at the time of entry, may be granted a waiver of such requirement in the
discretion of the district director: Provided, That such alien (a) was
not otherwise excludable at the time of entry, or (b) having been
otherwise excludable at the time of entry is with respect thereto
qualified for an exemption from deportability under section 241(a)(1)(H)
of the Act, and (c) is not otherwise subject to deportation. Denial of
a waiver by the district director shall not be appealable but shall be
without prejudice to renewal of an application and reconsideration in
proceedings before the immigration judge.
(29 FR 6002, May 7, 1964, as amended at 56 FR 38333, Aug. 13, 1991)
08 CFR 242.8 Immigration judges.
(a) Authority. In any proceeding conducted under this part the
immigration judge shall have the authority to determine deportability
and to make decisions, including orders of deportation, as provided by
section 242(b) of the Act; to reinstate orders of deportation as
provided by section 242(f) of the Act; to determine applications under
sections sections 208, 212(k), 241(a)(1)(E)(ii), 241(a)(1)(H), 244, 245
and 249 of the Act; to determine the country to which an alien's
deportation will be directed in accordance with section 243(a) of the
Act; to order temporary withholding of deportation pursuant to section
243(h) of the Act; and to take any other action consistent with
applicable law and regulations as may be appropriate. An immigration
judge may certify his or her decision in any case to the Board of
Immigration Appeals when it involves an unusually complex or novel
question of law or fact. Nothing contained in this part shall be
construed to diminish the authority conferred on immigration judges
under section 103 of the Act.
(b) Withdrawal and substitution of special inquiry officers. The
special inquiry officer assigned to conduct the hearing shall at any
time withdraw if he deems himself disqualified. If a hearing has begun
but no evidence has been adduced other than by the respondent's pleading
pursuant to 242.16(b), or if a special inquiry officer becomes
unavailable to complete his duties within a reasonable time, or if at
any time the respondent consents to a substitution, another special
inquiry officer may be assigned to complete the case. The new special
inquiry officer shall familiarize himself with the record in the case
and shall state for the record that he has done so.
(22 FR 9797, Dec. 6, 1957, as amended at 47 FR 44237, Oct. 7, 1982;
56 FR 38333, Aug. 13, 1991)
08 CFR 242.9 Trial attorney.
(a) Authority. When an additional immigration officer is assigned to
a proceedings under this part to perform the duties of a trial attorney,
he shall present on behalf of the Government evidence material to the
issues of deportability and any other issues which may require
disposition by the special inquiry officer. The trial attorney is
authorized to appeal from a decision of the special inquiry officer
pursuant to 242.21 and to move for reopening or reconsideration
pursuant to 242.22.
(b) Assignment. The district director shall direct the chief legal
officer to assign a general attorney to each case within the provisions
of 242.16(c) of this part, and to each case in which an unrepresented
respondent is incompetent or under 16 years of age, and is not
accompanied by a guardian, relative or friend. A general attorney shall
be assigned to every case in which the Commissioner approves the
submission of nonrecord information under 242.17(a) of this part. In
his discretion, whenever he deems such assignment necessary or
advantageous, the district director may direct the chief legal officer
to assign a general attorney to any other case at any stage of the
proceeding.
(27 FR 9646, Sept. 29, 1962, as amended at 32 FR 9631, July 4, 1967;
46 FR 43956, Sept. 2, 1981)
08 CFR 242.10 Representation by counsel.
The respondent may be represented at the hearing by an attorney or
other representative qualified under part 292 of this chapter.
(22 FR 9797, Dec. 6, 1957)
08 CFR 242.11 Incompetent respondents.
When it is impracticable for the respondent to be present at the
hearing because of mental incompetency, the guardian, near relative, or
friend who was served with a copy of the order to show cause shall be
permitted to appear on behalf of the respondent. If such a person
cannot reasonably be found or fails or refuses to appear, the custodian
of the respondent shall be requested to appear on behalf of the
respondent.
(22 FR 9797, Dec. 6, 1957)
08 CFR 242.12 Interpreter.
Any person acting as interpreter in a hearing before an Immigration
Judge under this part shall be sworn to interpret and translate
accurately, unless the interpreter is an employee of the United States
Government, in which event no such oath shall be required.
(52 FR 2940, Jan. 29, 1987)
08 CFR 242.13 Postponement and adjournment of hearing.
After the commencement of the hearing, the Immigration Judge may
grant a reasonable adjournment either at his or her own instance or, for
good cause shown, upon application by the respondent or the Service.
(52 FR 2940, Jan. 29, 1987)
08 CFR 242.14 Evidence.
(a) Sufficiency. A determination of deportability shall not be valid
unless it is found by clear, unequivocal and convincing evidence that
the facts alleged as grounds for deportation are true.
(b) (Reserved)
(c) Use of prior statements. The special inquiry officer may receive
in evidence any oral or written statement which is material and relevant
to any issue in the case previously made by the respondent or any other
person during any investigation, examination, hearing, or trial.
(d) Testimony. Testimony of witnesses appearing at the hearing shall
be under oath or affirmation administered by the special inquiry
officer.
(e) Depositions. The Immigration Judge may order the taking of
depositions pursuant to 3.33 of this chapter.
(22 FR 9797, Dec. 6, 1957, as amended at 32 FR 2883, Feb. 15, 1967;
52 FR 2940, Jan. 29, 1987)
08 CFR 242.15 Contents of record.
The hearing before the special inquiry officer, including the
testimony, exhibits, applications and requests, the special inquiry
officer's decision, and all written orders, motions, appeals, briefs,
and other papers filed in the proceedings shall constitute the record in
the case. The hearing shall be recorded verbatim except for statements
made off the record with the permission of the special inquiry officer.
In his discretion, the special inquiry officer may exclude from the
record any arguments made in connection with motions, applications,
requests, or objections, but in such event the person affected may
submit a brief.
(26 FR 12112, Dec. 19, 1961)
08 CFR 242.16 Hearing.
(a) Opening. The Immigration Judge shall advise the respondent of
his right to representation, at no expense to the Government, by counsel
of his own choice authorized to practice in the proceedings and require
him to state then and there whether he desires representation; advise
the respondent of the availability of free legal services programs
qualified under part 292a of this chapter and organizations recognized
pursuant to 292.2 of this chapter, located in the district where the
deportation hearing is being held; ascertain that the respondent has
received a list of such programs, and a copy of Form I -- 618, Written
Notice of Appeal Rights; advise the respondent that he will have a
reasonable opportunity to examine and object to the evidence against
him, to present evidence in his own behalf and to cross-examine
witnesses presented by the Government; place the respondent under oath;
read the factual allegations and the charges in the order to show cause
to the respondent and explain them in nontechnical language, and enter
the order to show cause as an exhibit in the record. Deportation
hearings shall be open to the public, except that the Immigration Judge
may, in his discretion and for the purpose of protecting witnesses,
respondents, or the public interest, direct that the general public or
particular individuals shall be excluded from the hearing in any
specific case. Depending upon physical facilities, reasonable
limitation may be placed upon the number in attendance at any one time,
with priority being given to the press over the general public.
(b) Pleading by respondent. The special inquiry officer shall
require the respondent to plead to the order to show cause by stating
whether he admits or denies the factual allegations and his
deportability under the charges contained therein. If the respondent
admits the factual allegations and admits his deportability under the
charges and the special inquiry officer is satisfied that no issues of
law or fact remain, the special inquiry officer may determine that
deportability as charged has been established by the admissions of the
respondent. The special inquiry officer shall not accept an admission
of deportability from an unrepresented respondent who is incompetent or
under age 16 and is not accompanied by a guardian, relative, or friend;
nor from an officer of an institution in which a respondent is an inmate
or patient. When, pursuant to this paragraph, the special inquiry
officer may not accept an admission of deportability, he shall direct a
hearing on the issues.
(c) Issues of deportability. When deportability is not determined
under the provisions of paragraph (b) of this section, the special
inquiry officer shall request the assignment of a trial attorney, and
shall receive evidence as to any unresolved issues, except that no
further evidence need be received as to any facts admitted during the
pleading. The respondent shall provide a court certified copy of a
Judicial Recommendation Against Deportation to the special inquiry
officer when such recommendation will be the basis of denying any
charge(s) brought by the Service in the proceedings against the
respondent. No Judicial Recommendation Against Deportation is effective
against a charge of deportability under section 241(a)(11) of the Act or
if the Judicial Recommendation Against Deportation was granted on or
after November 29, 1990.
(d) Additional charges. The Service may at any time during a hearing
lodge additional charges of deportability, including factual
allegations, against the respondent. Copies of the additional factual
allegations and charges shall be submitted in writing for service on the
respondent and entry as an exhibit in the record. The Immigration Judge
shall read the additional factual allegations and charges to the
respondent and explain them to him or her. The special inquiry officer
shall advise the respondent if he is not represented by counsel that he
may be so represented and also that he may have a reasonable time within
which to meet the additional factual allegations and charges. The
respondent shall be required to state then and there whether he desires
a continuance for either of these reasons. Thereafter, the provisions
of paragraph (b) of this section shall apply to the additional factual
allegations and lodged charges.
(27 FR 9646, Sept. 29, 1962, as amended at 29 FR 13243, Sept. 24,
1964; 32 FR 9632, July 4, 1967; 44 FR 4654, Jan. 23, 1979; 52 FR
2940, Jan. 29, 1987; 56 FR 8907, Mar. 4, 1991)
08 CFR 242.17 Ancillary matters, applications.
(a) Creation of the status of an alien lawfully admitted for
permanent residence. The respondent may apply to the immigration judge
for suspension of deportation under section 244(a) of the Act; for
adjustment of status under section 245 of the Act, or under section 1 of
the Act of November 2, 1966, or under section 101 or 104 of the Act of
October 28, 1977; or for the creation of a record of lawful admission
for permanent residence under section 249 of the Act. The application
shall be subject to the requirements of parts 244, 245 and 249 of this
chapter. The approval of any application made to the immigration judge
under section 245 of the Act by an alien spouse (as defined in section
216(g)(1) of the Act), shall result in the alien's obtaining the status
of lawful permanent resident on a conditional basis in accordance with
the provisions of section 216 of the Act. However, the Joint Petition
to Remove the Conditional Basis of Alien's Permanent Resident Status
required by section 216(c) of the Act shall be made to the director in
accordance with part 216 of this chapter. In conjunction with any
application for creation of status of an alien lawfully admitted for
permanent residence made to an immigration judge, if the respondent is
inadmissible under any provision of section 212(a) of the Act and
believes he meets the eligibility requirements for a waiver of the
ground of inadmissibility, he may apply to the immigration judge for
such waiver. The immigration judge shall inform the respondent of his
or her apparent eligibility to apply for any of the benefits enumerated
in this paragraph and shall afford the respondent an opportunity to make
application therefor during the hearing. In exercising discretionary
power when considering an application under this paragraph, the
immigration judge may consider and base the decision on information not
contained in the record and not made available for inspection by the
respondent, provided the Commissioner has determined that such
information is relevant and is classified under Executive Order No.
12356 (47 FR 14874, April 6, 1982) as requiring protection from
unauthorized disclosure in the interest of national security. Whenever
the immigration judge believes he or she can do so consistently with
safeguarding both the information and its source, the immigration judge
should inform the respondent of the general nature of the information in
order that the respondent may have an opportunity to offer opposing
evidence. A decision based in whole or in part on such classified
information shall state that the information is material to the
decision.
(b) Voluntary departure. The respondent may apply to the special
inquiry officer for voluntary departure in lieu of deportation pursuant
to section 244(e) of the Act and part 244 of this chapter.
(c) Applications for asylum or withholding of deportation. (1) The
Immigration Judge shall notify the respondent that if he is finally
ordered deported his deportation will in the first instance be directed
pursuant to section 243(a) of the Act to the country designated by the
respondent and shall afford him an opportunity then and there to make
such designation. The Immigration Judge shall then specify and state
for the record the country, or countries in the alternative, to which
respondent's deportation will be directed pursuant to section 243(a) of
the Act if the country of his designation will not accept him into its
territory, or fails to furnish timely notice of acceptance, or if the
respondent declines to designate a country.
(2) If the alien expresses fear of persecution or harm upon return to
any of the countries to which he might be deported pursuant to paragraph
(c)(1) of this section, the Immigration Judge shall:
(i) Advise the alien that he may apply for asylum in the United
States or withholding of deportation to those countries; and
(ii) Make available the appropriate application forms.
(3) An application for asylum or withholding of deportation must be
filed with the Office of the Immigration Judge, pursuant to 208.4(b) of
this chapter. Upon receipt of the application, the Office of the
Immigration Judge shall forward a copy to the Bureau of Human Rights and
Humanitarian Affairs of the Department of State for their comments
pursuant to 208.11 of this chapter, and shall calendar the case for
hearing, which shall be deferred pending receipt of the Department of
State's comments. The reply, if any, of the Department of State, unless
classified under E.O. 12356 (3 CFR, 1982 Comp., p. 166), shall be given
to both the applicant and to the Trial Attorney representing the
government.
(4) Applications for asylum or withholding of deportation so filed
will be decided by the Immigration Judge pursuant to the requirements
and standards established in part 208 of this chapter after an
evidentiary hearing that is necessary to resolve factual issues in
dispute. An evidentiary hearing extending beyond issues related to the
basis for a mandatory denial of the application pursuant to 8 CFR 208.14
or 208.16 is not necessary once the Immigration Judge has determined
that such a denial is required.
(i) Evidentiary hearings on applications for asylum or withholding of
deportation will be open to the public unless the applicant expressly
requests that it be closed.
(ii) Nothing in this section is intended to limit the authority of
the Immigration Judge properly to control the scope of any evidentiary
hearing.
(iii) During the deportation hearing, the applicant shall be examined
under oath on his application and may present evidence and witnesses in
his own behalf. The applicant has the burden of establishing that he is
a refugee as defined in section 101(a)(42) of the Act pursuant to the
standard set forth in 208.13 of this chapter.
(iv) The Trial Attorney for the government may call witnesses and
present evidence for the record, including information classified under
E.O. 12356 (3 CFR, 1982 Comp., p. 166), provided the Immigration Judge
or the Board has determined that such information is relevant to the
hearing. When the Immigration Judge receives such classified
information he shall inform the applicant. The agency that provides the
classified information to the Immigration Judge may provide an
unclassified summary of the information for release to the applicant,
whenever it determines it can do so consistently with safeguarding both
the classified nature of the information and its source. The summary
should be as detailed as possible, in order that the applicant may have
an opportunity to offer opposing evidence. A decision based in whole or
in part on such classified information shall state whether such
information is material to the decision.
(5) The decision of an Immigration Judge to grant or deny asylum or
withholding of deportation shall be communicated to the applicant and to
the Trial Attorney for the government. An adverse decision will state
why asylum or withholding of deportation was denied.
(d) Application for relief under sections 241(a)(1)(H) and
241(a)(1)(E)(ii). The respondent may apply to the immigration judge for
relief from deportation under sections 241(a)(1)(H) and 241(a)(1)(E)(ii)
of the Act.
(e) General. An application under this section shall be made only
during the hearing and shall not be held to constitute a concession of
alienage or deportability in any case in which the respondent does not
admit his alienage or deportability. The respondent shall have the
burden of establishing that he is eligible for any requested benefit or
privilege and that it should be granted in the exercise of discretion.
The respondent shall not be required to pay a fee on more than one
application within paragraphs (a) and (c) of this section, provided that
the minimum fee imposed when more than one application is made shall be
determined by the cost of the application with the highest fee. Nothing
contained herein is intended to foreclose the respondent from applying
for any benefit or privilege which he believes himself eligible to
receive in proceedings under this part.
(26 FR 12112, Dec. 19, 1961, as amended at 34 FR 13921, Aug. 30,
1969; 39 FR 25642, July 12, 1974; 39 FR 43055, Dec. 10, 1974; 43 FR
18644, May 2, 1978; 45 FR 41393, June 19, 1980; 47 FR 12133, Mar. 22,
1982; 47 FR 44237, Oct. 7, 1982; 47 FR 44990, Oct. 13, 1982; 53 FR
30022, Aug. 10, 1988; 55 FR 30687, July 27, 1990; 56 FR 38333, Aug.
13, 1991)
08 CFR 242.18 Decision of special inquiry officer.
(a) Contents. The decision of the special inquiry officer may be
oral or written. Except when deportability is determined on the
pleadings pursuant to 242.16(b), the decision of the special inquiry
officer shall include a discussion of the evidence and findings as to
deportability. The formal enumeration of findings is not required. The
decision shall also contain a discussion of the evidence pertinent to
any application made by the respondent under 242.17 and the reasons for
granting or denying the request. The decision shall be concluded with
the order of the special inquiry officer.
(b) Summary decision. Notwithstanding the provisions of paragraph
(a) of this section, in any case where deportability is determined on
the pleadings pursuant to 242.16(b) and the respondent does not make an
application under 242.17, or the respondent applies for voluntary
departure only and the special inquiry officer grants the application,
the special inquiry officer may enter a summary decision on Form I-38,
if deportation is ordered, or on Form I-39, if voluntary departure is
granted with an alternate order of deportation.
(c) Order of the special inquiry officer. The order of the special
inquiry officer shall direct the respondent's deportation, or the
termination of the proceedings, or such other disposition of the case as
may be appropriate. When deportation is ordered, the special inquiry
officer shall specify the country, or countries in the alternate, to
which respondent's deportation shall be directed. The special inquiry
officer is authorized to issue orders in the alternative or in
combination as he may deem necessary.
(26 FR 12112, Dec. 19, 1961)
08 CFR 242.19 Notice of decision.
(a) Written decision. A written decision shall be served upon the
respondent and the trial attorney, together with the notice referred to
in 3.3 of this chapter. Service by mail is complete upon mailing.
(b) Oral decision. An oral decision shall be stated by the special
inquiry officer in the presence of the respondent and the trail
attorney, if any, at the conclusion of the hearing. Unless appeal from
the decision is waived, the respondent shall be furnished with Notice of
Appeal, Form I-290A, and advised of the provisions of 242.21. A
typewritten copy of the oral decision shall be furnished at the request
of the respondent or the trial attorney.
(c) Summary decision. When the special inquiry officer renders a
summary decision as provided in 242.18(b), he shall serve a copy
thereof upon the respondent at the conclusion of the hearing. Unless
appeal from the decision is waived, the respondent shall be furnished
with Notice of Appeal, Form I-290A, and advised of the provisions of
242.21.
(26 FR 12212, Dec. 19, 1961, as amended at 27 FR 9647, Sept. 29,
1962)
08 CFR 242.20 Finality of order.
The decision of the Immigration Judge shall become final in
accordance with 3.37 of this chapter.
(52 FR 2941, Jan. 29, 1987)
08 CFR 242.21 Appeals.
(a) Pursuant to part 3 of this chapter an appeal shall lie from a
decision of a special inquiry officer under this part to the Board of
Immigration Appeals. An appeal shall be taken within 10 days after the
mailing of a written decision, or the stating of an oral decision, or
the service of a summary decision on Form I-38 or Form I-39. The
reasons for the appeal shall be stated briefly in the Notice of Appeal,
Form I-290A; failure to do so may constitute a ground for dismissal of
the appeal by the Board. When service of the decision is made by mail,
as authorized by this section, 3 days shall be added to the period
prescribed for the taking of an appeal.
(b) Prohibited appeals; legalization or applications. An alien
respondent defined in 245a.2(c) (6) or (7) of this chapter who fails to
file an application for adjustment of status to that of a temporary
resident within the prescribed period(s), and who is thereafter found to
be deportable by decision of an immigration judge, shall not be
permitted to appeal the finding of deportability based solely on refusal
by the immigration judge to entertain such an application in deportation
proceedings.
(29 FR 7236, June 3, 1964, as amended at 52 FR 16194, May 1, 1987;
53 FR 10064, Mar. 29, 1988; 54 FR 29439, July 12, 1989)
08 CFR 242.22 Reopening or reconsideration.
Except as otherwise provided in this section, a motion to reopen or
reconsider shall be subject to the requirements of 103.5 of this
chapter. The immigration judge may upon his/her own motion, or upon
motion of the trial attorney or the respondent, reopen or reconsider any
case in which he/she had made a decision, unless jurisdiction in the
case is vested in the Board of Immigration Appeals under part 3 of this
chapter. An order by the immigration judge granting a motion to reopen
may be made on Form I-328. A motion to reopen will not be granted
unless the immigration judge is satisfied that evidence sought to be
offered is material and was not available and could not have been
discovered or presented at the hearing; nor will any motion to reopen
for the purpose of providing the respondent with an opportunity to make
an application under 242.17 be granted if respondent's rights to make
such application were fully explained to him/her by the immigration
judge and he/she was afforded an opportunity to do so at the hearing,
unless circumstances have arisen thereafter on the basis of which the
request is being made. The filing of a motion under this section with
an immigration judge shall not serve to stay the execution of an
outstanding decision; execution shall proceed unless the immigration
judge who has jurisdiction over the motion specifically grants a stay of
deportation. The immigration judge may stay deportation pending his/her
determination of the motion and also pending the taking and disposition
of an appeal from such determination.
(52 FR 26470, July 15, 1987)
08 CFR 242.23 Proceedings under section 242(f) of the Act.
(a) Order to show cause. In the case of an alien within the
provisions of section 242(f) of the Act, the order to show cause shall
charge him with deportability under section 242(f) of the Act. The
prior order of deportation and evidence of the execution thereof,
properly identified, shall constitute prima facie cause for
deportability under this section.
(b) Applicable procedure. Except as otherwise provided in this
section, proceedings under section 242(f) of the Act shall be conducted
in general accordance with the rules prescribed in this part.
(c) Deportability. In determining the deportability of an alien
alleged to be within the purview of paragraph (a) of this section, the
issues shall be limited solely to a determination of the identity of the
respondent, i.e., whether the respondent is in fact an alien who was
previously deported, or who departed while an order of deportation was
outstanding; whether the respondent was previously deported as a member
of any of the classes described in paragraph (2), (3) or (4) of section
241(a) of the Act; and whether respondent has unlawfully reentered the
United States.
(d) Order. If deportability as charged in the order to show cause is
established, the Immigration Judge shall order that the respondent be
deported under the previous order of deportation in accordance with
section 242(f) of the Act.
(e) Trial attorney; additional charges. When a trial attorney is
assigned to a proceeding under this section and additional charges are
lodged against the respondent, the provisions of paragraphs (c) and (d)
of this section shall cease to apply.
(26 FR 12282, Dec. 28, 1961, as amended at 27 FR 9647, Sept. 29,
1962; 30 FR 2021, Feb. 13, 1965; 56 FR 38333, Aug. 13, 1991)
08 CFR 242.24 Detention and release of juveniles.
(a) Juveniles. A juvenile is defined as an alien under the age of
eighteen (18) years.
(b) Release. Juveniles for whom bond has been posted, for whom
parole has been authorized, or who have been ordered released on
recognizance, shall be released pursuant to the following guidelines:
(1) Juveniles shall be released, in order of preference, to: (i) A
parent; (ii) legal guardian; or (iii) adult relative (brother, sister,
aunt, uncle, grandparent) who are not presently in INS detention, unless
a determination is made that the detention of such juvenile is required
to secure his timely appearance before the Service or the immigration
court or to ensure the juvenile's safety or that of others.
In cases where the parent, legal guardian or adult relative resides
at a location distant from where the juvenile is detained, he or she may
secure release at an INS office located near the parent, legal guardian,
or adult relative.
(2) If an individual specified in paragraph (b)(1) of this section
cannot be located to accept custody of a juvenile, and the juvenile has
identified a parent, legal guardian, or adult relative in INS detention,
simultaneous release of the juvenile and the parent, legal guardian, or
adult relative shall be evaluated on a discretionary case-by-case basis.
(3) In cases where the parent or legal guardian is in INS detention
or outside the United States, the juvenile may be released to such
person as designated by the parent or legal guardian in a sworn
affidavit, executed before an immigration officer or consular officer,
as capable and willing to care for the juvenile's well-being. Such
person must execute an agreement to care for the juvenile and to ensure
the juvenile's presence at all future proceedings before the Service or
an immigration judge.
(4) In unusual and compelling circumstances and in the discretion of
the district director or chief patrol agent, a juvenile may be released
to an adult, other than those identified in paragraph (b)(1) of this
section, who executes an agreement to care for the juvenile's well-being
and to ensure the juvenile's presence at all future proceedings before
the INS or an immigration judge.
(c) Juvenile Coordinator. The case of a juvenile for whom detention
is determined to be necessary should be referred to the Juvenile
Coordinator, whose responsibilities should include, but not be limited
to, finding suitable placement of the juvenile in a facility designated
for the occupancy of juveniles. These may include juvenile facilities
contracted by the INS, state or local juvenile facilities, or other
appropriate agencies authorized to accommodate juveniles by the laws of
the state or locality.
(d) Detention. In the case of a juvenile for whom detention is
determined to be necessary, for such interim period of time as is
required to locate suitable placement for the juvenile, whether such
placement is under paragraph (b) or (c) of this section, the juvenile
may be temporarily held by INS authorities or placed in any INS
detention facility having separate accommodations for juveniles.
(e) Refusal of release. If a parent of a juvenile detained by the
INS can be located, and is otherwise suitable to receive custody of the
juvenile, and the juvenile indicates a refusal to be released to his/her
parent, the parent(s) shall be notified of the juvenile's refusal to be
released to the parent(s), and shall be afforded an opportunity to
present their views to the district director, chief patrol agent or
immigration judge before a custody determination is made.
(f) Notice to parent of application for relief. If a juvenile seeks
release from detention, voluntary departure, parole, or any form of
relief from deportation, where it appears that the grant of such relief
may effectively terminate some interest inherent in the parent-child
relationship and/or the juvenile's rights and interests are adverse with
those of the parent, and the parent is presently residing in the United
States, the parent shall be given notice of the juvenile's application
for relief, and shall be afforded an opportunity to present his or her
views and assert his or her interest to the district director or
immigration judge before a determination is made as to the merits of the
request for relief.
(g) Voluntary departure. Each juvenile apprehended in the immediate
vicinity of the border who resides permanently in Mexico or Canada,
shall be informed, prior to presentation of the voluntary departure
form, that he or she may make a telephone call to a parent, close
relative, a friend, or to an organization found on the free legal
services list. Each other juvenile apprehended shall be provided access
to a telephone and must in fact communicate with either a parent, adult
relative, friend, or with an organization found on the free legal
services list prior to presentation of the voluntary departure form. If
the juvenile, of his or her own volition, asks to contact a consular
officer, and does in fact make such contact the requirements of this
section are satisfied.
(h) Notice and Request for Disposition. When a juvenile alien is
apprehended, he or she must be given a Notice and Request for
Disposition. If the juvenile is under fourteen years of age or unable
to understand the notice, the notice shall be read and explained to the
juvenile in a language the juvenile understands. In the event a
juvenile who has requested a hearing pursuant to the Notice subsequently
decides to accept voluntary departure, a new Notice and Request for
Disposition shall be given to, and signed by the juvenile.
(53 FR 17450, May 17, 1988)
08 CFR 242.24 PART 243 -- DEPORTATION OF ALIENS IN THE UNITED STATES
Sec.
243.1 Final order of deportation.
243.2 Warrant of deportation.
243.3 Expulsion.
243.4 Stay of deportation.
243.5 Self-deportation.
243.6 Notice to transportation line.
243.7 Special care and attention for aliens.
243.8 Imposition of sanctions.
Authority: 8 U.S.C. 1103, 1253.
Source: 26 FR 12113, Dec. 19, 1961, unless otherwise noted.
08 CFR 243.1 Final order of deportation.
Except as otherwise required by section 242(c) of the Act for the
specific purposes of that section, an order of deportation, including an
alternate order of deportation coupled with an order of voluntary
departure, made by the special inquiry officer in proceedings under part
242 of this chapter shall become final upon dismissal of an appeal by
the Board of Immigration Appeals, upon waiver of appeal, or upon
expiration of the time allotted for an appeal when no appeal is taken;
or, if such an order is issued by the Board or approved by the Board
upon certification, it shall be final as of the date of the Board's
decision.
08 CFR 243.2 Warrant of deportation.
A Form I-205, Warrant of deportation, based upon the final
administrative order of deportation in the alien's case shall be issued
by a district director. The district director shall exercise the
authority contained in section 243 of the Act to determine at whose
expense the alien shall be deported and whether his/her mental or
physical condition requires personal care and attention en route to
his/her destination.
(54 FR 39337, Sept. 26, 1989)
08 CFR 243.3 Expulsion.
(a) Execution of Order. Except in the exercise of discretion by the
district director, and for such reasons as are set forth in 212.5(a) of
this chapter, once an order of deportation becomes final, an alien shall
be taken into custody and the order shall be executed. For the purposes
of this part, an order of deportation is final and subject to execution
upon the date when any of the following occurs:
(1) A grant of voluntary departure expires;
(2) An immigration judge enters an order of deportation without
granting voluntary departure or other relief, and the alien respondent
waives his or her right to appeal;
(3) The Board of Immigration Appeals enters an order of deportation
on appeal, without granting voluntary departure or other relief; or
(4) A federal district or appellate court affirms an administrative
order of deportation in a petition for review or habeas corpus action.
(b) Service of decision. In the case of an order entered by any of
the authorities enumerated above, the order shall be executed no sooner
than 72 hours after service of the decision, regardless of whether the
alien is in Service custody, provided that such period may be waived on
the knowing and voluntary request of the alien. Nothing in this
paragraph shall be construed, however, to preclude assumption of custody
by the Service at the time of issuance of the final order.
(51 FR 23042, June 25, 1986)
08 CFR 243.4 Stay of deportation.
Any request of an alien under a final administrative order of
deportation for a stay of deportation, except a request for withholding
of deportation pursuant to section 243(h) of the Act, shall be filed on
Form I-246 with the district director having jurisdiction over the place
where the alien is at the time of filing. The district director, in his
discretion, may grant a stay of deportation for such time and under such
conditions as he may deem appropriate. Written notice of the
disposition of the alien's request shall be served upon him and any
notice of denial shall include specific reasons therefor; however,
neither the making of the request nor the failure to receive notice of
disposition of the request shall relieve the alien from strict
compliance with any outstanding notice to surrender for deportation.
Denial by the district director of a request for a stay is not
appealable but such denial shall not preclude the Board from granting a
stay in connection with a motion to reopen or a motion to reconsider as
provided in part 3 of this chapter, nor such denial preclude the special
inquiry officer, in his discretion, from granting a stay in connection
with, and pending his determination of, a motion to reopen or a motion
to reconsider a case falling within his jurisdiction pursuant to 242.22
of this chapter, and also pending an appeal from such determination.
(40 FR 50702, Oct. 31, 1975)
08 CFR 243.5 Self-deportation.
A district director may permit an alien ordered deported to depart at
his own expense to a destination of his own choice. Any alien who has
departed from the United States while an order of deportation is
outstanding shall be considered to have been deported in pursuance of
law, except that an alien who departed before the expiration of the
voluntary departure time granted in connection with an alternate order
of deportation shall not be considered to have been so deported.
(29 FR 6485, May 19, 1964)
08 CFR 243.6 Notice to transportation line.
When a transportation line is responsible for the expenses of an
alien's deportation, notification shall be made to such line on Form
I-284, when applicable, and Form I-288. If special care and attention
is required, notification to this effect shall be placed on Form I-288.
08 CFR 243.7 Special care and attention for aliens.
When a transportation line is responsible for the expenses of an
alien's deportation, the alien shall be delivered to the master,
commanding officer, or the officer in charge of the vessel or aircraft
on which the alien will be deported, who shall be given Forms I-287,
I-287A, and I-287B. The reverse of Form I-287A shall be signed by the
officer of the vessel or aircraft to whom the alien has been delivered
and immediately returned to the immigration officer effecting delivery.
Form I-287B shall be retained by the receiving officer and subsequently
filled out by the agents or persons therein designated and returned by
mail to the district director named on the form. The transportation
line shall at its own expense forward the alien from the foreign port of
disembarkation to the final destination specified on Form I-287. The
special care and attention shall be continued to such final destination,
except when the foreign public officers decline to allow such attendant
to proceed and themselves take charge of the alien, in which case this
fact shall be recorded by the transportation line on the reverse of Form
I-287B. If the transportation line fails, refuses, or neglects to
provide the necessary special care and attention or comply with the
directions of Form I-287, the district director shall thereafter and
without notice employ suitable persons, at the expense of the
transportation line, and effect such deportation.
08 CFR 243.8 Imposition of sanctions.
The provisions of section 243(g) of the Act have been applied to
residents of the Union of Soviet Socialist Republics (USSR),
Czechoslovakia, and Cuba. These provisions do not apply to an alien who
is residing in Estonia, Latvia, or Lithuania who is not a national,
citizen, or subject of the Union of Soviet Socialist Republics. These
provisons also do not apply to an alien who is residing in Cuba and can
be classified as an immediate relative as defined in section 201(b) or a
returning resident as defined in section 101(a)(27)(A). The sanctions
imposed on residents of the Union of Soviet Socialist Republics,
Czechoslovakia pursuant to section 243(g) may be waived in an individual
case for the beneficiary of a petition accorded a status under section
201(b) or section 203(a) of the Act. The sanctions upon the USSR,
Czechoslovakia may be waived upon an individual request by the
Department of State in behalf of a visa applicant. Upon approval of a
visa petition or upon an individual request by the Department of State
in behalf of a visa applicant, the district director shall determine
whether sanctions shall be waived. However, the regional commissioner
or the Deputy Commissioner, may direct that any case or class of cases
be referred to him or her for any such determination. The consular
officer shall be notified of any determination made with respect to the
waiver of sanctions if a visa petition is approved. If the sanctions
are not waived, the notice informing the petitoner that the petition has
been approved shall also notfiy him or her that the sanctions imposed by
section 243(g) of the Act have not been waived.
(48 FR 39034, Aug. 29, 1983, as amended at 56 FR 48730, Sept. 26,
1991)
08 CFR 243.8 PART 244 -- SUSPENSION OF DEPORTATION AND VOLUNTARY
DEPARTURE
Sec.
244.1 Application.
244.2 Extension of time to depart.
Authority: 8 U.S.C. 1103, 1252, 1254; 8 CFR part 2.
08 CFR 244.1 Application.
Notwithstanding any other provision of this chapter, an alien who is
deportable because of a conviction on or after November 18, 1988, for an
aggravated felony as defined in section 101(a)(43) of the Act, shall not
be eligible for voluntary departure as prescribed in part 242 of this
chapter and section 244 of the Act. Pursuant to part 242 of this
chapter and section 244 of the Act an immigration judge may authorize
the suspension of an alien's deportation; or, if the alien establishes
that he/she is willing and has the immediate means with which to depart
promptly from the United States, an immigration judge may authorize the
alien to depart voluntarily from the United States in lieu of
deportation within such time as may be specified by the immigration
judge when first authorizing voluntary departure, and under such
conditions as the district director shall direct. An application for
suspension of deportation shall be made on Form I-256A.
(46 FR 25598, May 8, 1981, as amended at 55 FR 24859, June 19, 1990)
08 CFR 244.2 Extension of time to depart.
Authority to reinstate or extend the time within which to depart
voluntarily specified initially by an immigration judge or the Board is
within the sole jurisdiction of the district director, except that an
immigration judge or the Board may reinstate voluntary departure in a
deportation proceeding that has been reopened for a purpose other than
solely making an application for voluntary departure. A request by an
alien for reinstatement or an extension of time within which to depart
voluntarily shall be filed with the district director having
jurisdiction over the alien's place of residence. Written notice of the
district director's decision shall be served upon the alien and no
appeal may be taken therefrom.
(52 FR 24982, July 2, 1987)
08 CFR 244.2 PART 245 -- ADJUSTMENT OF STATUS TO THAT OF PERSON
ADMITTED FOR PERMANENT RESIDENCE
Sec.
245.1 Eligibility.
245.2 Application.
245.3 Adjustment of status under section 13 of the Act of September
11, 1957, as amended.
245.4 Documentary requirements.
245.5 Medical examination.
245.6 Interview.
245.7 Adjustment of status of certain Soviet and Indochinese parolees
under the Foreign Operations Appropriations Act for Fiscal Year 1990
(Pub. L. 101-167).
Authority: 8 U.S.C. 1101, 1103, 1151, 1154, 1182, 1186a, 1255 and
1257; 8 CFR part 2.
08 CFR 245.1 Eligibility.
(a) General. Any alien who was inspected and admitted or paroled
into the United States, except an alien who is ineligible to apply for
adjustment of status as noted in paragraph (b) of this section, may
apply for adjustment of status to permanent resident if the applicant is
eligible to receive an immigrant visa and an immigrant visa is
immediately available at the time of filing of the application.
(b) Ineligible aliens. The following categories of aliens are
ineligible to apply for adjustment of status to that of a lawful
permanent resident alien under section 245 of the Act:
(1) Any alien who entered the United States in transit without a
visa;
(2) Any alien who, on arrival in the United States, was serving in
any capacity on board a vessel or aircraft or was destined to join a
vessel or aircraft in the United States to serve in any capacity
thereon;
(3) Any alien who was not admitted or paroled following inspection by
an immigration officer;
(4) Any alien who, on or after January 1, 1977, was employed in the
United States without authorization prior to filing an application for
adjustment of status. This restriction shall not apply to an alien who
is:
(i) An immediate relative as defined in section 201(b) of the Act;
(ii) A special immigrant as defined in section 101(a)(27)(H) of the
Act;
(iii) Eligible for the benefits of Public Law 101-238 (the
Immigration Nursing Relief Act of 1989) and files an application for
adjustment of status on or before October 17; or
(iv) Eligible for the benefits of Public Law 101-238 (the Immigration
Nursing Relief Act of 1989), and has not entered into or continued in
unauthorized employment on or after November 29, 1990.
(5) Any alien who on or after November 6, 1986 is not in lawful
immigration status on the date of filing his or her application for
adjustment of status, except an applicant who is an immediate relative
as defined in section 201(b) or a special immigrant as defined in
section 101(a)(27) (H) or (I);
(6) Any alien who files an application for adjustment of status on or
after November 6, 1986, who has failed (other than through no fault of
his or her own or for technical reasons) to maintain continuously a
lawful status since entry into the United States, except an applicant
who is an immediate relative as defined in section 201(b) of the Act or
a special immigrant as defined in section 101(a)(27) (H) or (I) of the
Act;
(7) Any nonpreference alien who is seeking or engaging in gainful
employment in the United States who is not the beneficiary of a valid
individual or blanket labor certification issued by the Secretary of
Labor or who is not exempt from certification requirements under
212.8(b) of this chapter;
(8) Except for an alien who is applying for residence under the
provisions of section 133 of the Immigration Act of 1990, any alien who
has or had the status of an exchange visitor under section 101(a)(15)(J)
of the Act and who is subject to the foreign residence requirement of
section 212(e) of the Act, unless the alien has complied with the
foreign residence requirement or has been granted a waiver of that
requirement, under that section;
(9) Any alien who has nonimmigrant status under paragraph (15)(A),
(15)(E), or (15)(G) of section 101(a) of the Act, or has an occupational
status which would, if the alien were seeking admission to the United
States, entitle the alien to nonimmigrant status under those paragraphs,
unless the alien first executes and submits the written waiver required
by section 247(b) of the Act and part 247 of this chapter; and
(10) Any alien who claims immediate relative status under section
201(b) or preference status under sections 203(a) or 203(b) of the Act,
unless the applicant is the beneficiary of a valid unexpired visa
petition filed in accordance with part 204 of this chapter.
(11) Any alien admitted as a visitor under the visa waiver provisions
of 212.1(e) of this chapter.
(12) Any alien who is already an alien lawfully admitted to the
United States for permanent residence on a conditional basis pursuant to
section 216 or 216A of the Act, regardless of any other quota or
non-quota immigrant visa classification for which the alien may
otherwise be eligible.
(13) Any alien admitted to the United States as a nonimmigrant fiance
as defined in section 101(a)(15)(K) of the Act, unless the alien is
applying for adjustment of status based upon a marriage which was
contracted within 90 days of entry with the United States citizen who
filed a petition on behalf of the alien pursuant to 214.2(k) of this
chapter.
(14) Any alien who seeks to adjust status based upon a marriage which
occurred on or after November 10, 1986, and while the alien was in
deportation or exclusion proceedings, or judicial proceedings relating
thereto.
(i) Commencement of proceedings. The period during which the alien
is in deportation or exclusion proceedings, or judicial proceedings
relating thereto commences:
(A) With the issuance of the Order to Show Case and Notice of Hearing
(Form I-221) prior to June 20, 1991;
(B) With the filing of the Order to Show Cause and Notice of Hearing
(Form I-221) issued on or after June 20, 1991 with the Office of the
Immigration Judge; or
(C) With the issuance of the Notice to Applicant for Admission
Detained for Hearing before Immigration Judge (Form I-122).
(ii) Termination of Proceedings. The period during which the alien
is in deportation or exclusion proceedings, or judicial proceedings
relating thereto terminates:
(A) When the alien departs from the United States while an order of
deportation is outstanding or before the expiration of the voluntary
departure time granted in connection with an alternate order of
deportation under 8 CFR 243.5;
(B) When the alien departs from the United States pursuant to an
order of exclusion;
(C) When the alien is found not to be excludable or deportable from
the United States;
(D) When the Order to Show Cause is canceled pursuant to 8 CFR
242.7(a);
(E) When the proceedings are terminated by the immigration judge or
the Board of Immigration Appeals; or
(F) When a petition for review or an action for habeas corpus is
granted by a Federal Court on judicial review.
(iii) Exemptions. This prohibition shall no longer apply if:
(A) The alien is found not to be excludable or deportable from the
United States;
(B) The Order to Show Cause is canceled pursuant to 8 CFR 242.7(a);
(C) Proceedings are terminated by the immigration judge or Board of
Immigration Appeals;
(D) A petition for review or an action for habeas corpus is granted
by a Federal Court on judicial review;
(E) The alien has resided outside the United States for two or more
years following the marriage; or
(F) The alien establishes that the marriage is bona fide by providing
clear and convincing evidence that the marriage was entered into in good
faith and in accordance with the laws of the place where the marriage
took place, was not entered into for the purpose of procuring the
alien's entry as an immigrant, and no fee or other consideration was
given (other than to an attorney for assistance in preparation of a
lawful petition) for the filing of a petition.
(iv) Request for exemption. No application or fee is required to
request the exemption under section 245(e) of the Act. The request must
be made in writing and submitted with the Form I-485. Application for
Permanent Residence. The request must state the basis for requesting
consideration for the exemption and must be supported by documentary
evidence establishing eligibility for the exemption.
(v) Evidence to establish eligibility for the bona fide marriage
exemption. Section 204(g) of the Act provides that certain visa
petitions based upon marriages entered into during deportation,
exclusion or related judicial proceedings may be approved only if the
petitioner provides clear and convincing evidence that the marriage is
bona fide. Evidence that a visa petition based upon the same marriage
was approved under the bona fide marriage exemption to section 204(g) of
the Act will be considered primary evidence of eligibility for the bona
fide marriage exemption provided in this part. The applicant will not
be required to submit additional evidence to qualify for the bona fide
marriage exemption provided in this part, unless the district director
determines that such additional evidence is needed. In cases where the
district director notifies the applicant that additional evidence is
required, the applicant must submit documentary evidence which clearly
and convincingly establishes that the marriage was entered into in good
faith and not entered into for the purpose of procuring the alien's
entry as an immigrant. Such evidence may include:
(A) Documentation showing joint ownership of property;
(B) Lease showing joint tenancy of a common residence;
(C) Documentation showing commingling of financial resources;
(D) Birth certificates of children born to the applicant and his or
her spouse;
(E) Affidavits of third parties having knowledge of the bona fides of
the marital relationship, or
(F) Other documentation establishing that the marriage was not
entered into in order to evade the immigration laws of the United
States.
(vi) Decision. An application for adjustment of status filed during
the prohibited period shall be denied, unless the applicant establishes
eligibility for an exemption from the general prohibition.
(vii) Denials. The denial of an application for adjustment of status
because the marriage took place during the prohibited period shall be
without prejudice to the consideration of a new application or a motion
to reopen a previously denied application, if deportation or exclusion
proceedings are terminated while the alien is in the United States. The
denial shall also be without prejudice to the consideration of a new
application or motion to reopen the adjustment of status application, if
the applicant presents clear and convincing evidence establishing
eligibility for the bona fide marriage exemption contained in this part.
(viii) Appeals. An application for adjustment of status to lawful
permanent resident which is denied by the district director solely
because the applicant failed to establish eligibility for the bona fide
marriage exemption contained in this part may be appealed to the
Associate Commissioner, Examinations, in accordance with 8 CFR part 103.
The appeal to the Associate Commissioner, Examinations, shall be the
single level of appellate review established by statute.
(15) Any alien admitted as a Visa Waiver Pilot Program visitor under
the provisions of section 217 of the Act and part 217 of this chapter
other than an immediate relative as defined in section 201(b) of the
Act.
(c) Definitions -- (1) Lawful Immigration Status. For purposes of
section 245(c)(2) of the Act, the term ''lawful immigration status''
will only describe the immigration status of an individual who is:
(i) In lawful permanent resident status;
(ii) An alien admitted to the United States in nonimmigrant status as
defined in section 101(a)(15) of the Act, whose initial period of
admission has not expired or whose nonimmigrant status has been extended
in accordance with part 214 of this chapter;
(iii) In refugee status under section 207 of the Act, such status not
having been revoked;
(iv) In asylee status under section 208 of the Act, such status not
having been revoked;
(v) In parole status which has not expired, been revoked or
terminated; or
(vi) Eligible for the benefits of Public Law 101-238 (the Immigration
Nursing Relief Act of 1989) and files an application for adjustment of
status on or before October 17, 1991.
(2) No fault of the applicant or for technical reasons. The
parenthetical phrase other than through no fault of his or her own or
for technical reasons shall be limited to:
(i) Inaction of another individual or organization designated by
regulation to act on behalf of an individual and over whose actions the
individual has no control, if the inaction is acknowledged by that
individual or organization (as, for example, where a designated school
official certified under 214.2(f) of this chapter or an exchange
propram sponsor under 214.2(j) of this chapter did not provide required
notification to the Service of continuation of status, or did not
forward a request for continuation of status to the Service); or
(ii) A technical violation resulting from inaction of the Service (as
for example, where an applicant establishes that he or she properly
filed a timely request to maintain status and the Service has not yet
acted on that request). An individual whose refugee or asylum status
has expired through passage of time, but whose status has not been
revoked, will be considered to have gone out of status for a technical
reason.
(iii) A technical violation caused by the physical inability of the
applicant to request an extension of nonimmigrant stay from the Service
either in person or by mail (as, for example, an individual who is
hospitalized with an illness at the time nonimmigrant stay expires).
The explanation of such a technical violation shall be accompanied by a
letter explaining the circumstances from the hospital or attending
physician.
(iv) A technical violation resulting from the Service's application
of the maximum five/six year period of stay for certain H-1 nurses only
if the applicant was subsequently reinstated to H-1 status in accordance
with the terms of Public Law 101-656 (Immigration Amendments of 1988).
(3) Effect of departure. The departure and subsequent reentry of an
individual who was employed without authorization in the United States
after January 1, 1977 does not erase the bar to adjustment of status in
section 245(c)(2) of the Act. Similarly, the departure and subsequent
reentry of an individual who has not maintained a lawful immigration
status on any previous entry into the United States does not erase the
bar to adjustment of status in section 245(c)(2) of the Act for any
application filed on or after November 6, 1986.
(d) Special categories -- (1) Alien medical graduates. Any alien who
is a medical graduate qualified for special immigrant classification
under section 101(a)(27)(H) of the Act and is the beneficiary of an
approved petition as required under section 204(a)(1)(E)(i) of the Act
is eligible for adjustment of status. An accompanying spouse and
children also may apply for adjustment of status under this section.
Temporary absences from the United States for 30 days or less, during
which the applicant was practicing or studying medicine, do not
interrupt the continuous presence requirement. Temporary absences
authorized under the Service's advance parole procedures will not be
considered interruptive of continuous presence when the alien applies
for adjustment of status.
(2) Adjustment of certain nurses who were in H-1 nonimmigrant status
on September 1, 1989 (Pub. L. 101-238) -- (i) Eligibility. An alien is
eligible to apply for adjustment of status without regard to the
numerical limitations of sections 201 and 202 of the Act if:
(A) The applicant was in the United States in the status of a
nonimmigrant under section 101(a)(15)(H)(i) of the Act to perform
services as a registered nurse as of September 1, 1989,
(B) The applicant has been employed in the United States as a
registered nurse for an aggregate of three years prior to the date of
application for adjustment of status,
(C) The applicant's continued employment as a registered nurse meets
the standards established for certification described in section
212(a)(14) of the Act prior to June 1, 1991 or section 212(a)(5)(i) on
or after June 1, 1991,
(D) The applicant is the beneficiary of a valid, unexpired visa
petition filed in accordance with this chapter according him or her
preference status under the provisions of the Immigration and
Nationality Act, and
(E) The applicant properly files an application for adjustment of
status under the provisions of section 245 of the Act.
(ii) Application period. To benefit from the provisions of Public
Law 101-238 (the Immigration Nursing Relief Act of 1989), an alien must
properly file an application for adjustment of status under section 245
of the Act on or before March 15, 1995.
(iii) Application. An applicant for the benefits of Public Law
101-238 must file an application for adjustment of status on Form I-485,
accompanied by the fee and supporting documents described in 245.2 of
this part. Beneficiaries of Public Law 101-238 must also submit:
(A) A visa petition or evidence that the applicant is currently the
beneficiary of a valid unexpired visa petition, filed in compliance with
this chapter, which accords the applicant preference status under the
provisions of the Immigration and Nationality Act,
(B) A request for a determination by the district director that the
alien is qualified for and will engage in the occupation of registered
nurse, as currently listed on Schedule A (20 CFR part 656),
(C) Evidence, in the form of letters from employers stating the
beginning and ending dates of employment as a registered nurse, showing
that the applicant has been employed in the United States as a
registered nurse in the United States for an aggregate of three years
prior to the date the application for adjustment of status is filed,
(D) Evidence that the applicant was licensed as a registered nurse
during periods of qualifying employment, and
(E) Evidence which establishes that the applicant was in the United
States in H-1 nonimmigrant status for the purpose of performing services
as a registered nurse on September 1, 1989.
(iv) Effect of section 245(c)(2). An applicant for the benefits of
the adjustment of status provisions of Public Law 101-238 must establish
eligibility for adjustment of status under all provisions of section 245
unless those provisions have specifically been waived.
(A) Application for adjustment of status filed on or before October
17, 1991. An applicant who qualifies for the benefits of Public Law
101-238, who properly files an application for adjustment of status on
or before October 17, 1991, may be granted adjustment of status even
though the alien has engaged or is engaging in unauthorized employment.
For purposes of adjustment of status, the applicant will be considered
to have continuously maintained a lawful nonimmigrant status throughout
his or her stay in the United States as a nonimmigrant and to be in
lawful nonimmigrant status at the time the application is filed.
(B) Application for adjustment of status filed after October 17,
1991. An alien who files an application for adjustment of status after
October 17, 1991, will be subject to the provisions of section 245(c) of
the Act. The application for adjustment of status will be denied if the
applicant was employed without authorization after November 29, 1990.
The application will be denied if the alien failed to continuously
maintain a lawful nonimmigrant status (other than through no fault of
his or her own for technical reasons) or if the alien was not in lawful
nonimmigrant status at the time the application was filed.
(C) Motions to reopen. The Immigration Act of 1990 (Public Law
101-649) which became law on November 29, 1990, retroactively amended
the Immigration Nursing Relief Act of 1989 (Public Law 101-238). An
alien whose application for adjustment of status under the provisions of
the Immigration Nursing Relief Act of 1989 was denied before November
29, 1990, because of unauthorized employment, failure to continuously
maintain a lawful nonimmigrant status or not being in lawful immigration
status at the time of filing, may file a motion to reopen the
adjusmtment application. The motion to reopen must be made in
accordance with the provisions of 8 CFR 103.5. The service will reopen
the application for adjustment of staus and enter a new decision based
upon the provisions of the Immigration Nursing Relief Act, as amended by
the Immigration Act of 1990.
(v) Description of qualifying employment. Qualifying employment as a
registered nurse may have taken place at any time before the alien files
the application for adjustment of status. It may have occurred before,
on or after the enactment of Public Law 101-238. All qualifying
employment must have occurred in the United States. The qualifying
employment as a registered nurse may have occurred while the alien was
in any immigration status, provided that the alien was in H-1
nonimmigrant status for the purpose of performing services as a
registered nurse on September 1, 1989. The employment need not have
been continuous, provided the applicant can establish that he or she
engaged in qualifying employment for a total of three or more years.
Qualifying employment may include periods when the applicant possessed a
provisional or temporary license to perform services as a registered
nurse. Qualifying employment may not include periods when the applicant
was not licensed to perform duties as a registered nurse.
(vi) Effect of enactment on spouse or child -- (A) Spouse or child
accompanying principal alien. The accompanying spouse or child of an
applicant for adjustment of status who benefits from Public Law 101-238,
may also apply for adjustment of status. All benefits and limitations
of this section, including those resulting from the implementation of
the adjustment of status provisions of section 162(f) of Public Law
101-649, apply equally to the principal applicant and his or her
accompanying spouse or child.
(B) Spouse or child residing outside the United States or ineligible
for adjustment of status. A spouse or child who is ineligible to apply
for adjustment of status as an accompanying spouse or child is not
immediately eligible for issuance of an immigrant visa under the
provisions of Public Law 101-238. However, the spouse or child may be
eligible for visa issuance under other provisions of the Act.
(1) Existing relationship. A spouse or child acquired by the
principal alien prior to the approval of the principal's adjustment of
status application may be accorded the derivative priority date and
preference category of the principal alien. The spouse or child may use
the priority date and category when it becomes curent, in accordance
with existing limitations outlined in sections 201 and 202 of the Act.
The priority date is not considered immediately available for these
family members under Public Law 101-238.
(2) Relationship entered into after adjustment of status is approved.
An alien who acquires lawful permanent residence under the provisions
of Public Law 101-238 may file a petition under section 204 of the Act
for an alien spouse, unmarried son or unmarried daughter in accordance
with existing laws and regulations. The priority date is not considered
immediately available for these family members under Public Law 101-238.
(e) Concurrent applications to overcome exclusionary grounds. Except
as provided in parts 235 and 249 of this chapter, an application under
this part shall be the sole method of requesting the exercise of
discretion under section 212 (g), (h), (i), and (k) of the Act, as they
relate to the excludability of an alien in the United States. Any
applicant for adjustment under this part may also apply for the benefits
of section 212(c) of the Act, for permission to reapply after
deportation or removal under section 212(a)(17) of the Act, and for the
benefits of section 212(a)(28)(I)(ii) of the Act. No fee is required
for filing an application to overcome the exclusionary grounds of the
Act if filed concurrently with an application for adjustment of status
under the provisions of the Act of October 28, 1977, and of this part.
(f) Availability of immigrant visas under section 245 and priority
dates -- (1) Availability of immigrant visas under section 245. An
alien is ineligible for the benefits of section 245 of the Act unless an
immigrant visa is immediately available to him or her at the time the
application is filed. If the applicant is a preference alien, the
current Department of State Visa Office Bulletin on Availability of
Immigrant Visa Numbers will be consulted to determine whether an
immigrant visa is immediately available. An immigrant visa is
considered available for accepting and processing the application Form
I-485 if the preference category applicant has a priority date on the
waiting list which is not later than the date shown in the Bulletin (or
the Bulletin shows that numbers for visa applicants in his or her
category are current), and (if the applicant is seeking status pursuant
to section 203(b) of the Act) the applicant presents evidence that the
appropriate petition filed on his or her behalf has been approved. An
immigrant visa is also considered immediately available if the applicant
establishes eligibility for the benefits of Public Law 101-238.
Information concerning the immediate availability of an immigrant visa
may be obtained at any Service office.
(2) Priority dates. The priority date of an applicant who is seeking
the allotment of an immigrant visa number under one of the preference
classes specified in section 203(a) or 203(b) of the Act by virtue of a
valid visa petition approved in his or her behalf shall be fixed by the
date on which such approved petition was filed.
(g) Conditional basis of status. Whenever an alien spouse (as
defined in section 216(g)(1) of the Act), an alien son or daughter (as
defined in section 216(g)(2) of the Act), an alien entrepreneur (as
defined in section 216A(f)(1) of the Act), or an alien spouse or child
(as defined in section 216A(f)(2) of the Act) is granted adjustment of
status to that of lawful permanent residence, the alien shall be
considered to have obtained such status on a conditional basis subject
to the provisions of section 216 or 216A of the Act, as appropriate.
(Title I of Pub. L. 95-145 enacted Oct. 28, 1977 (91 Stat. 1223),
sec. 103 of the Immigration and Nationality Act (8 U.S.C. 1103).
Interpret or apply secs. 101, 212, 242 and 245 (8 U.S.C. 1101, 1182,
1252 and 1255))
(30 FR 14778, Nov. 30, 1965, as amended at 41 FR 55850, Dec. 29,
1976; 43 FR 18644, May 2, 1978; 45 FR 37396, June 2, 1980; 47 FR
12133, Mar. 22, 1982; 47 FR 44237, Oct. 7, 1982; 52 FR 6321, Mar. 3,
1987; 52 FR 48084, Dec. 18, 1987; 53 FR 24903, June 30, 1988; 53 FR
30022, Aug. 10, 1988; 54 FR 29441, July 12, 1989; 54 FR 47676, Nov.
16, 1989; 55 FR 10397, Mar. 21, 1990; 56 FR 28042, June 19, 1991; 56
FR 28313, June 20, 1991; 56 FR 49840, Oct. 2, 1991)
08 CFR 245.2 Application.
(a) General -- (1) Jurisdiction. An alien who believes he meets the
eligibility requirements of section 245 of the Act or section 1 of the
Act of November 2, 1966, and 245.1 of this chapter shall apply to the
district director having jurisdiction over his place of residence.
After an alien has been served with an order to show cause or warrant of
arrest, his application for adjustment of status under section 245 of
the Act or section 1 of the Act of November 2, 1966 shall be made and
considered only in proceedings under part 242 of this chapter. An
adjustment application by an alien paroled under section 212(d)(5) of
the Act, which has been denied by the district director, may be renewed
in exclusion proceedings under section 236 of the Act only under the
following two conditions: First, the denied application must have been
properly filed subsequent to the applicant's earlier inspection and
admission to the United States; second, the applicant's later absence
from and return to the United States must have been under the terms of
an advance parole authorization on Form I-512 granted to permit the
applicant's absence and return to pursue the previously filed adjustment
application.
(2) Proper filing of application --
(i) Under section 245. Before an application for adjustment of
status under section 245 of the Act may be considered properly filed, a
visa must be immediately available. If a visa would be immediately
available upon approval of a visa petition, the application will not be
considered properly filed unless such petition has first been approved.
If an immediate relative petition filed for classification under section
201(b)(2)(A)(i) of the Act or a preference petition filed for
classification under section 203(a) of the Act is submitted
simultaneously with the adjustment application, the adjustment
application shall be retained for processing only if approval of the
visa petition would make a visa immediately available at the time of
filing the adjustment application. If the visa petition is subsequently
approved, the date of filing the adjustment application shall be deemed
to be the date on which the accompanying petition was filed.
(ii) Under the Act of November 2, 1966. An application for the
benefits of section 1 of the Act of November 2, 1966 is not properly
filed unless the applicant was inspected and admitted or paroled into
the United States subsequent to January 1, 1959. An applicant is
ineligible for the benefits of the Act of November 2, 1966 unless he or
she has been physically present in the United States for one year
(amended from two years by the Refugee Act of 1980).
(3) Submission of documents -- (i) General. A separate application
shall be filed by each applicant for benefits under section 245, or the
Act of November 2, 1966. Each application shall be accompanied by an
executed Form G-325A, if the applicant has reached his or her 14th
birthday. Form G-325A shall be considered part of the application. An
application under this part shall be accompanied by the document
specified in the instructions which are attached to the application.
(ii) Under section 245. An application for adjustment of status is
submitted on Form I-485, Application for Permanent Residence. The
application must be accompanied by the appropriate fee as explained in
the instructions to the application.
(iii) Under the Act of November 2, 1966. An application for
adjustment of status is made on Form I-485A. The application must be
accompanied by Form I-643, Health and Human Services Statistical Data
Sheet. The application must include a clearance from the local police
jurisdiction for any area in the United States when the applicant has
lived for six months or more since his or her 14th birthday.
(4) Effect of departure -- (i) General. The effect of a departure
from the United States is dependent upon the law under which the
applicant is applying for adjustment.
(ii) Under section 245. The departure from the United States of an
applicant who is under deportation proceedings shall be deemed an
abandonment of the application constituting grounds for termination of
the deportation proceeding by reason of the departure. The departure of
an applicant who is not under deportation proceedings shall be deemed an
abandonment of his or her application constituting grounds for
termination, unless the applicant was previously granted advance parole
by the Service for such absence, and was inspected upon returning to the
United States. If the application of an individual granted advance
parole is subsequently denied, the applicant will be subject to the
exclusion provisions of section 236 of the Act. No alien granted
advance parole and inspected upon return shall be entitled to a
deportation hearing.
(iii) Under the Act of November 2, 1966. If an applicant who was
admitted or paroled subsequent to January 1, 1959, later departs from
the United States temporarily with no intention of abandoning his or her
residence, and is readmitted or paroled upon return, the temporary
absence shall be disregarded for purposes of the applicant's ''last
arrival'' into the United States in regard to cases filed under section
1 of the Act of November 2, 1966.
(5) Decision -- (i) General. The applicant shall be notified of the
decision of the district director and, if the application is denied, the
reasons for the denial.
(ii) Under section 245. If the application is approved, the
applicant's permanent residence shall be recorded as of the date of the
order approving the adjustment of status. An application for adjustment
of status as a preference or nonpreference alien shall not be approved
until an immigrant visa number has been allocated by the Department of
State, except when the applicant has established eligibility for the
benefits of Public Law 101-238. No appeal lies from the denial of an
application by the district director, but the applicant retains the
right to renew his or her application in proceedings under part 242 of
this chapter, or under part 236 if the applicant is a parolee and meets
the two conditions outlined in 245.2(a)(1). At the time of renewal of
the application, an applicant does not need to meet the statutory
requirement of section 245(c) of the Act, or the regulatory requirements
of 245.1(f), if in fact those requirements were met at the time the
renewed application was initially filed with the district director.
(iii) Under the Act of November 2, 1966. If the application is
approved, the applicant's permanent residence shall be recorded in
accordance with the provisions of section 1. No appeal lies from the
denial of an application by the district director, but the applicant
retains the right to renew his or her application in proceedings under
part 242 of this chapter, or under part 236, if the applicant is a
parolee and meets the two conditions outlined in paragraph 1 of
245.2(a)(1).
(b) Application under section 2 of the Act of November 2, 1966. An
application by a native or citizen of Cuba or by his spouse or child
residing in the United States with him, who was lawfully admitted to the
United States for permanent residence prior to November 2, 1966, and who
desires such admission to be recorded as of an earlier date pursuant to
section 2 of the Act of November 2, 1966, shall be made on Form I-485A.
The application shall be accompanied by the Alien Registration Receipt
Card, Form I-151 or I-551, issued to the applicant in connection with
his lawful admission for permanent residence, and shall be submitted to
the district director having jurisdiction over the applicant's place of
residence in the United States. The decision on the application shall
be made by the district director. No appeal shall lie from his
decision. If the application is approved, the applicant will be
furnished with a replacement of his Form I-151 or I-551 bearing the new
date as of which the lawful admission for permanent residence has been
recorded.
(c) Application under section 214(d). An application for permanent
resident status pursuant to section 214(d) of the Act shall be filed on
Form I-485 with the district director having jurisdiction over the
applicant's place of residence. A separate application shall be filed
by each applicant. If the application is approved, the district
director shall record the lawful admission of the applicant as of the
date of approval. The fee previously paid for filing the application
shall be considered payment of the required visa fees, as of the date of
the approval of the application. The applicant shall be notified of the
decision and, if the application is denied, of the reasons therefor. No
appeal shall lie from the denial of an application by the district
director but such denial shall be without prejudice to the alien's right
to renew his application in proceedings under part 242 of this chapter.
(30 FR 14778, Nov. 30, 1965)
Editorial Note: For Federal Register citations affecting 245.2, see
the List of CFR Sections Affected in the Finding Aids section of this
volume.
08 CFR 245.3 Adjustment of status under section 13 of the Act of
September 11, 1957, as amended.
Any application for benefits under section 13 of the Act of September
11, 1957, as amended, must be filed on Form I-485 with the district
director having jurisdiction over the applicant's place of residence.
The benefits under section 13 are limited to aliens who were admitted
into the United States under section 101, paragraphs (a)(15)(A)(i),
(a)(15)(A)(ii), (a)(15)(G)(i), or (a)(15)(G)(ii) of the Immigration and
Nationality Act who performed diplomatic or semi-diplomatic duties and
to their immediate families, and who establish that there are compelling
reasons why the applicant or the member of the applicant's immediate
family is unable to return to the country represented by the government
which accredited the applicant and that adjustment of the applicant's
status to that of an alien lawfully admitted for permanent residence
would be in the national interest. Aliens whose duties were of a
custodial, clerical, or menial nature, and members of their immediate
families, are not eligible for benefits under section 13. In view of
the annual limitation of 50 on the number of aliens whose status may be
adjusted under section 13, any alien who is prima facie eligible for
adjustment of status to that of a lawful permanent resident under
another provision of law shall be advised to apply for adjustment
pursuant to such other provision of law. An applicant for the benefits
of section 13 shall not be subject to the labor certification
requirement of section 212(a)(14) of the Immigration and Nationality
Act. The applicant shall be notified of the decision and, if the
application is denied, of the reasons for the denial and of the right to
appeal under the provisions of part 103 of this chapter. Any
applications pending with the Service before December 29, 1981 must be
resubmitted to comply with the requirements of this section.
(Secs. 103, 245, of the Immigration and Nationality Act, as amended;
71 Stat. 642, as amended, sec. 17, Pub. L. 97-116, 95 Stat. 1619 (8
U.S.C. 1103, 1255, 1255b))
(47 FR 44238, Oct. 7, 1982)
08 CFR 245.4 Documentary requirements.
The provisions of part 211 of this chapter relating to the
documentary requirements for immigrants shall not apply to an applicant
under this part.
(Secs. 103, 214, 245 Immigration and Nationality Act, as amended; (8
U.S.C. 1103, 1184, 8 U.S.C. 1255, Sec. 2, 96 Stat. 1157, 8 U.S.C. 1255
note))
(30 FR 14779, Nov. 30, 1965. Redesignated at 48 FR 4770, Feb. 3,
1983, and further redesignated at 52 FR 6322, Mar. 3, 1982, and further
redesignated at 56 FR 49481, Oct. 2, 1991)
08 CFR 245.5 Medical examination.
Pursuant to section 234 of the Act, an applicant for adjustment of
status shall be required to have a medical examination by a designated
civil surgeon, whose report setting forth the findings of the mental and
physical condition of the applicant shall be incorporated into the
record. A medical examination shall not be required of an applicant for
adjustment of status who entered the United States as a non-immigrant
fiance or fiancee of a United States citizen as defined in section
101(a)(15)(K) of the Act pursuant to 214.2(k) of this chapter if the
applicant was medically examined prior to, and as a condition of, the
issuance of the nonimmigrant visa; provided that the medical
examination must have occurred not more than one year prior to the date
of application for adjustment of status. Any applicant certified under
paragraphs (1)(A)(ii) or (1)(A)(iii) of section 212(a) of the Act may
appeal to a Board of Medical Officers of the U.S. Public Health Service
as provided in section 234 of the Act and part 235 of this chapter.
(56 FR 49841, Oct. 2, 1991)
08 CFR 245.6 Interview.
Each applicant for adjustment of status under this part shall be
interviewed by an immigration officer. This interview may be waived in
the case of a child under the age of 14; when the applicant is clearly
ineligible under section 245(c) of the Act or 245.1; or in the case of
an applicant for adjustment of status under the provisions of the Act of
November 2, 1966, provided such application was filed prior to November
20, 1990.
(54 FR 47968, Nov. 20, 1989. Redesignated and amended at 56 FR 49841,
Oct. 2, 1991)
08 CFR 245.7 Adjustment of status of certain Soviet and Indochinese
parolees under the Foreign Operations Appropriations Act for Fiscal Year
1990 (Pub. L. 101-167).
(a) Application. Each person applying for benefits under section
599E of Pub. L. 101-167 must file Form I-485 (Application for Lawful
Permanent Residence) with the district director having jurisdiction over
the applicant's place of residence and must pay the appropriate fee.
Each application shall be accompanied by Form I-643 (Health and Human
Services Statistical Data Sheet), the results of a medical examination
given in accordance with 245.8 of this part, and, if the applicant has
reached his or her 14th birthday but is not over 79 years of age, Form
G-325A and an applicant fingerprint card (Form FD-258).
(b) Aliens eligible to apply for adjustment. The benefits of this
section shall only apply to an alien who:
(1) Was a national of the Soviet Union, Vietnam, Laos, or Cambodia,
and
(2) Was inspected and granted parole into the United States during
the period beginning on August 15, 1988, and ending on September 30,
1990, after being denied refugee status.
(c) Eligibility. Benefits under Section 599E of Public Law 101-167
are limited to any alien described in paragraph (b) of this section who:
(1) Applies for such adjustment,
(2) Has been physically present in the United States for at least one
year and is physically present in the United States on the date the
application for such adjustment is filed,
(3) Is admissible to the United States as an immigrant, except as
provided in paragraph (d) of this section, and
(4) Pays a fee for the processing of such application.
(d) Waiver of certain grounds for inadmissibility. The provisions of
paragraphs (14), (15), (20), (21), (25), (28) (other than subparagraph
(F), and (32) of section 212(a) of the Act shall not apply to adjustment
under this section. The Attorney General may waive any other provision
of section 212(a) (other than paragraph (23)(B), (27), (29), or (33))
with respect to such an adjustment for humanitarian purposes, to assure
family unity, or when it is otherwise in the public interest.
(e) Date of approval. Upon approval of such an application for
adjustment of status, the Attorney General shall create a record of the
alien's admission as a lawful permanent resident as of the date of the
alien's inspection and parole described in paragraph (b)(2) of this
section.
(f) No offset in number of visas available. When an alien is granted
the status of having been lawfully admitted for permanent residence
under this section, the Secretary of State shall not be required to
reduce the number of immigrant visas authorized to be issued under the
Immigration and Nationality Act.
(55 FR 24860, July 19, 1990. Redesingated at 56 FR 49841, Oct. 2,
1991)
08 CFR 245.7 PART 245a -- ADJUSTMENT OF STATUS TO THAT OF PERSONS
ADMITTED FOR LAWFUL TEMPORARY OR PERMANENT RESIDENT STATUS UNDER SECTION
245A OF THE IMMIGRATION AND NATIONALITY ACT, AS AMENDED BY PUB. L.
99-603, THE IMMIGRATION REFORM AND CONTROL ACT OF 1986, AND PUB. L.
100-204, SECTION 902
Sec.
245a.1 Definitions.
245a.2 Application for temporary residence.
245a.3 Application for adjustment from temporary to permanent
resident status.
245a.4 Adjustment to lawful resident status of certain nationals of
countries for which extended voluntary departure has been made
available.
245a.5 Temporary disqualification of certain newly legalized aliens
from receiving benefits from programs of financial assistance furnished
under federal law.
Authority: Pub. L. 99-603, 100 Stat. 3359, 8 U.S.C. 1101, 1103,
1255a, 1255a note; Pub. L. 100-204, 101 Stat. 1331; Pub. L. 100-649.
Source: 52 FR 16208, May 1, 1987, unless otherwise noted.
08 CFR 245a.1 Definitions.
As used in this chapter:
(a) Act means the Immigration and Nationality Act, as amended by The
Immigration Reform and Control Act of 1986.
(b) Service means the Immigration and Naturalization Service (INS).
(c)(1) Resided continuously as used in section 245A(a)(2) of the Act,
means that the alien shall be regarded as having resided continuously in
the United States if, at the time of filing of the application for
temporary resident status:
An alien who after appearing for a scheduled interview to obtain an
immigrant visa at a Consulate or Embassy in Canada or Mexico but who
subsequently is not issued an immigrant visa and who is paroled back
into the United States, pursuant to the stateside criteria program,
shall be regarded as having been granted advance parole by the Service.
(i) No single absence from the United States has exceeded forty-five
(45) days, and the aggregate of all absences has not exceeded one
hundred and eighty (180) days between January 1, 1982 through the date
the application for temporary resident status is filed, unless the alien
can establish that due to emergent reasons, his or her return to the
United States could not be accomplished within the time period allowed;
(ii) The alien was maintaining residence in the United States; and
(iii) The alien's departure from the United States was not based on
an order of deportation.
An alien who has been absent from the United States in accordance
with the Service's advance parole procedures shall not be considered as
having interrupted his or her continuous residence as required at the
time of filing an application.
(2) Continuous residence, as used in section 245A(b)(1)(B) of the
Act, means that the alien shall be regarded as having resided
continuously in the United States if, at the time of applying for
adjustment from temporary residence to permanent resident status: No
single absence from the United States has exceeded thirty (30) days, and
the aggregate of all absences has not exceeded ninety (90) days between
the date of granting of lawful temporary resident status and of applying
for permanent resident status, unless the alien can establish that due
to emergent reasons the return to the United States could not be
accomplished within the time period(s) allowed.
(d) In the term alien's unlawful status was known to the government,
the term government means the Immigration and Naturalization Service.
An alien's unlawful status was known to the government only if:
(1) The Service received factual information constituting a violation
of the alien's nonimmigrant status from any agency, bureau or
department, or subdivision thereof, of the Federal government, and such
information was stored or otherwise recorded in the official Service
alien file, whether or not the Service took follow-up action on the
information received. In order to meet the standard of information
constituting a violation of the alien's nonimmigrant status, the alien
must have made a clear statement or declaration to the other federal
agency, bureau or department that he or she was in violation of
nonimmigrant status; or
(2) An affirmative determination was made by the Service prior to
January 1, 1982 that the alien was subject to deportation proceedings.
Evidence that may be presented by an alien to support an assertion that
such a determination was made may include, but is not limited to,
official Service documents issued prior to January 1, 1982, i.e., Forms
I-94, Arrival-Departure Records granting a period of time in which to
depart the United States without imposition of proceedings; Forms
I-210, Voluntary Departure Notice letter; and Forms I-221, Order to
Show Cause and Notice of Hearing. Evidence from Service records that
may be used to support a finding that such a determination was made may
include, but is not limited to, record copies of the aforementioned
forms and other documents contained in alien files, i.e., Forms I-213,
Record of Deportable Alien;
Unexecuted Forms I-205, Warrant of Deportation; Forms I-265,
Application for Order to Show Cause and Processing Sheet; Forms I-541,
Order of Denial of Application for Extension of Stay granting a period
of time in which to depart the United States without imposition of
proceedings, or any other Service record reflecting that the alien's
nonimmigrant status was considered by the Service to have terminated or
the alien was otherwise determined to be subject to deportation
proceedings prior to January 1, 1982, whether or not deportation
proceedings were instituted; or
(3) A copy of a response by the Service to any other agency which
advised that agency that a particular alien had no legal status in the
United States or for whom no record could be found.
(4) The applicant produces documentation from a school approved to
enroll foreign students under 214.3 which establishes that the said
school forwarded to the Service a report that clearly indicated the
applicant had violated his or her nonimmigrant student status prior to
January 1, 1982. A school may submit an affirmation that the school did
forward to the Service the aforementioned report and that the school no
longer has available copies of the actual documentation sent. In order
to be eligible under this part, the applicant must not have been
reinstated to nonimmigrant student status.
(e) The term to make a determination as used in 245a.2(t)(3) of this
part means obtaining and reviewing all information required to
adjudicate an application for the benefit sought and making a decision
thereon. If fraud, willful misrepresentation or concealment of a
material fact, knowingly providing a false writing or document,
knowingly making a false statement or representation, or any other
activity prohibited by section 245A(c)(6) of the Act is established
during the process of making the determination on the application, the
Service shall refer to the United States Attorney for prosecution of the
alien or of any person who created or supplied a false writing or
document for use in an application for adjustment of status under this
part.
(f) The term continuous physical presence as used in section
245A(a)(3)(A) of the Act means actual continuous presence in the United
States since November 6, 1986 until filing of any application for
adjustment of status. Aliens who were outside of the United States on
the date of enactment or departed the United States after enactment may
apply for legalization if they reentered prior to May 1, 1987, provided
they meet the continuous residence requirements, and are otherwise
eligible for legalization.
(g) Brief, casual, and innocent means a departure authorized by the
Service (advance parole) subsequent to May 1, 1987 of not more than
thirty (30) days for legitimate emergency or humanitarian purposes
unless a further period of authorized departure has been granted in the
discretion of the district director or a departure was beyond the
alien's control.
(h) The term brief and casual absences as used in section
245a(b)(3)(A) of the Act permits temporary trips abroad as long as the
alien establishes a continuing intention to adjust to lawful permanent
resident status. However, such absences must comply with 245a.3(b)(2)
of this chapter in order for the alien to maintain continuous residence
as specified in the Act.
(i) Public cash assistance means income or needs-based monetary
assistance to include, but not limited to, supplemental security income
received by the alien through federal, state, or local programs designed
to meet subsistence levels. It does not include assistance in kind,
such as food stamps, public housing, or other non-cash benefits, nor
does it include work-related compensation or certain types of medical
assistance (Medicare, Medicaid, emergency treatment, services to
pregnant women or children under 18 years of age, or treatment in the
interest of public health).
(j) Legalization Office means local offices of the Immigration and
Naturalization Service which accept and process applications for
Legalization or Special Agricultural Worker status, under the authority
of the INS district directors in whose districts such offices are
located.
(k) Regional Processing Facility means Service offices established in
each of the four Service regions to adjudicate, under the authority of
the INS Directors of the Regional Processing Facilities, applications
for adjustment of status under section 210, 245A(a) or 245A(b)(1) of the
Act.
(l) Designated entity means any state, local, church, community, farm
labor organization, voluntary organization, association of agricultural
employers or individual determined by the Service to be qualified to
assist aliens in the preparation of applications for Legalization
status.
(m) The term family unity as used in section 245(d)(2)(B)(i) of the
Act means maintaining the family group without deviation or change. The
family group shall include the spouse, unmarried minor children under 18
years of age who are not members of some other household, and parents
who reside regularly in the household of the family group.
(n) The term prima facie as used in section 245(e)(1) and (2) of the
Act means eligibility is established if the applicant presents a
completed I-687 and specific factual information which in the absence of
rebuttal will establish a claim of eligibility under this part.
(o) Misdemeanor means a crime committed in the United States, either
(1) punishable by imprisonment for a term of one year or less,
regardless of the term such alien actually served, if any, or (2) a
crime treated as a misdemeanor under 8 CFR 245a.1(p). For purposes of
this definition, any crime punishable by imprisonment for a maximum term
of five days or less shall not be considered a misdemeanor.
(p) Felony means a crime committed in the United States, punishable
by imprisonment for a term of more than one year, regardless of the term
such alien actually served, if any, except: When the offense is defined
by the State as a misdemeanor and the sentence actually imposed is one
year or less regardless of the term such alien actually served. Under
this exception, for purposes of 8 CFR part 245a, the crime shall be
treated as a misdemeanor.
(q) Subject of an Order to Show Cause means actual service of the
Order to Show Cause upon the alien through the mail or by personal
service.
(r) A qualified designated entity in good-standing with the Service
means those designated entities whose cooperative agreements were not
suspended or terminated by the Service or those whose agreements were
not allowed to lapse by the Service prior to January 30, 1989 (the
expiration date of the INS cooperative agreements for all designated
entities), or those whose agreements were not terminated for cause by
the Service subsequent to January 30, 1989.
Subsequent to January 30, 1989, and throughout the period ending on
November 6, 1990, a QDE in good-standing may: (1) Serve as an
authorized course provider under 245a.3(b)(5)(i)(C) of this chapter;
(2) Administer the IRCA Test for Permanent Residency (proficiency test),
provided an agreement has been entered into with and authorization has
been given by INS under 245a.1(s)(5) of this chapter; and, (3) Certify
as true and complete copies of original documents submitted in support
of Form I-698 in the format prescribed in 245a.3(d)(2) of this chapter.
(s) Satisfactorily pursuing, as used in section 245A(b)(1)(D)(i)(II)
of the Act, means:
(1) An applicant for permanent resident status has attended a
recognized program for at least 40 hours of a minimum 60-hour course as
appropriate for his or her ability level, and is demonstrating progress
according to the performance standards of the English/citizenship course
prescribed by the recognized program in which he or she is enrolled (as
long as enrollment occurred on or after May 1, 1987, course standards
include attainment of particular functional skills related to
communicative ability, subject matter knowledge, and English language
competency, and attainment of these skills is measured either by
successful completion of learning objectives appropriate to the
applicant's ability level, or attainment of a determined score on a test
or tests, or both of these); or
(2) An applicant presents a high school diploma or general
educational development diploma (GED) from a school in the United
States. A GED gained in a language other than English is acceptable
only if a GED English proficiency test has been passed. (The curriculum
for both the high school diploma and the GED must have included at least
40 hours of instruction in English and U.S. history and government); or
(3) An applicant has attended for a period of one academic year (or
the equivalent thereof according to the standards of the learning
institution), a state recognized, accredited learning institution in the
United States and that institution certifies such attendance (as long as
the curriculum included at least 40 hours of instruction in English and
U.S. history and government); or
(4) An applicant has attended courses conducted by employers, social,
community, or private groups certified (retroactively, if necessary, as
long as enrollment occurred on or after May 1, 1987, and the curriculum
included at least 40 hours of instruction in English and U.S. history
and government) by the district director or the Director of the Outreach
Program under 245a.3(b)(5)(i)(D) of this chapter; or
(5) An applicant attests to having completed at least 40 hours of
individual study in English and U.S. history and government and passes
the proficiency test for legalization, called the IRCA Test for
Permanent Residency, indicating that the applicant is able to read and
understand minimal functional English within the context of the history
and government of the United States. Such test may be given by INS, as
well as, State Departments of Education (SDEs) (and their accredited
educational agencies) and Qualified Designated Entities in good-standing
(QDEs) upon agreement with and authorization by INS. Those SDEs and
QDEs wishing to participate in this effort should write to the Director
of the INS Outreach Program at 425 ''I'' Street, NW., Washington, DC
20536, for further information.
(t) Minimal understanding of ordinary English as used in section
245A(b)(1)(D)(i) of the Act means an applicant can satisfy basic
survival needs and routine social demands. The person can handle jobs
that involve following simple oral and very basic written communication.
(u) Curriculum means a defined course for an instructional program.
Minimally, the curriculum prescribes what is to be taught, how the
course is to be taught, with what materials, and when and where. The
curriculum must:
(1) Teach words and phrases in ordinary, everyday usage;
(2) Include the content of the Federal Citizenship Text series as the
basis for curriculum development (other texts with similar content may
be used in addition to, but not in lieu of, the Federal Citizenship Text
series);
(3) Be designed to provide at least 60 hours of instruction per class
level;
(4) Be relevant and educationally appropriate for the program focus
and the intended audience; and
(5) Be available for examination and review by INS as requested.
(v) The term developmentally disabled means the same as the term
developmental disability defined in section 102(5) of the Developmental
Disabilities Assistance and Bill of Rights Act of 1987, Pub. L.
100-146. As a convenience to the public, that definition is printed here
in its entirety:
The term developmental disability means a severe, chronic disability
of a person which:
(1) Is attributable to a mental or physical impairment or combination
of mental and physical impairments;
(2) Is manifested before the person attains age twenty-two;
(3) Is likely to continue indefinitely;
(4) Results in substantial functional limitations in three or more of
the following areas of major life activity: (i) Self-care, (ii)
receptive and expressive language, (iii) learning, (iv) mobility, (v)
self direction, (vi) capacity for independent living, and (vii) economic
self-sufficiency; and
(5) Reflects the person's need for a combination and sequence of
special, interdisciplinary, or generic care, treatment, or other
services which are of lifelong or extended duration and are individually
planned and coordinated.
(52 FR 16208, May 1, 1987, as amended at 52 FR 43845, Nov. 17, 1987;
53 FR 9863, Mar. 28, 1988; 53 FR 23382, June 22, 1988; 53 FR 43992,
Oct. 31, 1988; 54 FR 29448, July 12, 1989; 56 FR 31061, July 9, 1991)
08 CFR 245a.2 Application for temporary residence.
(a) Application period for temporary residence. (1) An alien who has
resided unlawfully in the United States since January 1, 1982, who
believes that he or she meets the eligibility requirements of section
245A of the Act must make application within the twelve month period
beginning on May 5, 1987 and ending on May 4, 1988, except as provided
in the following paragraphs.
(2)(i) (Reserved)
(ii) An alien who is the subject of an Order to Show Cause issued
under section 242 of the Act during the period beginning on May 5, 1987
and ending on April 4, 1988 must file an application for adjustment of
status to that of a temporary resident prior to the thirty-first day
after the issuance of the Order to Show Cause.
(iii) An alien who is the subject of an Order to Show Cause issued
under section 242 of the Act during the period beginning on April 5,
1988 and ending on May 4, 1988 must file an application for adjustment
of status to that of a temporary resident not later than May 4, 1988.
(iv) An alien, described in paragraphs (a)(2)(i) through (iii) of
this section, who fails to file an application for adjustment of status
to that of a temporary resident under section 245A(a) of the Act during
the respective time period(s), will be statutorily ineligible for such
adjustment of status.
(b) Eligibility. The following categories of aliens, who are
otherwise eligible to apply for legalization, may file for adjustment to
temporary residence status:
(1) An alien (other than an alien who entered as a nonimmigrant) who
establishes that he or she entered the United States prior to January 1,
1982, and who has thereafter resided continuously in the United States
in an unlawful status, and who has been physically present in the United
States from November 6, 1986, until the date of filing the application.
(2) An alien who establishes that he or she entered the United States
as a nonimmigrant prior to January 1, 1982, and whose period of
authorized admission expired through the passage of time prior to
January 1, 1982, and who has thereafter resided continuously in the
United States in an unlawful status, and who has been physically present
in the United States from November 6, 1986, until the date of filing the
application.
(3) An alien who establishes that he or she entered the United States
as a nonimmigrant prior to January 1, 1982, and whose unlawful status
was known to the Government as of January 1, 1982, and who has
thereafter resided continuously in the United States in an unlawful
status, and who has been physically present in the United States from
November 6, 1986, until the date of filing the application.
(4) An alien described in paragraphs (b) (1) through (3) of this
section who was at any time a nonimmigrant exchange visitor (as defined
in section 101(a)(15)(J) of the Act), must establish that he or she was
not subject to the two-year foreign residence requirements of section
212(e) or has fulfilled that requirement or has received a waiver of
such requirements and has resided continuously in the United States in
unlawful status since January 1, 1982.
(5) An alien who establishes that he or she was granted voluntary
departure, voluntary return, extended voluntary departure or placed in
deferred action category by the Service prior to January 1, 1982 and who
has thereafter resided continuously in such status in the United States
and who has been physically present in the United States from November
6, 1986 until the date of filing the application.
(6) An alien who establishes that he or she was paroled into the
United States prior to January 1, 1982, and whose parole status
terminated prior to January 1, 1982, and who has thereafter resided
continuously in such status in the United States, and who has been
physically present in the United States from November 6, 1986, until the
date of filing the application.
(7) An alien who establishes that he or she is a Cuban or Haitian
Entrant who was physically present in the United States prior to January
1, 1982, and who has thereafter resided continuously in the United
States, and who has been physically present in the United States from
November 6, 1986, until the date of filing the application, without
regard to whether such alien has applied for adjustment of status
pursuant to section 202 of the Act.
(8) An alien's eligibility under the categories described in section
245(a)(2)(b) (1) through (7) and (9) through (15) shall not be affected
by entries to the United States subsequent to January 1, 1982 that were
not documented on Service Form I-94, Arrival-Departure Record.
(9) An alien who would be otherwise eligible for legalization and who
was present in the United States in an unlawful status prior to January
1, 1982, and reentered the United States as a nonimmigrant, such entry
being documented on Service Form I-94, Arrival-Departure Record, in
order to return to an unrelinquished unlawful residence.
(10) An alien described in paragraph (b)(9) of this section must
receive a waiver of the excludable charge 212(a)(19) as an alien who
entered the United States by fraud.
(11) A nonimmigrant who entered the United States for duration of
status (''D/S'') is one of the following classes, A, A-1, A-2, G, G-1,
G-2, G-3 or G-4, whose qualifying employment terminated or who ceased to
be recognized by the Department of State as being entitled to such
classification prior to January 1, 1982, and who has thereafter
continued to reside in the United States in an unlawful status. An
alien who was a dependent family member and who may be otherwise
eligible for legalization may be considered a member of this class of
eligible aliens if the dependent family member was also in A and G
status when the principal A or G alien's status terminated or ceased to
be recognized by the Department of State.
(12) A nomimmigrant who entered the United States for duration of
status (''D/S'') in one of the following classes, F, F-1, or F-2, who
completed a full course of study, including practical training and whose
time period if any to depart the United States after completion of study
expired prior to January 1, 1982 and who has remained in the United
States in an unlawful status since that time. A dependent F-2 alien
otherwise eligible who was admitted into the United States with a
specific time period, as opposed to duration of status, documented on
Service Form I-94, Arrival-Departure Record that extended beyond January
1, 1982 is considered eligible if the principal F-1 alien is found
eligible.
(13) An alien who establishes that he or she is a member of the class
in the Silva-Levi lawsuit (No. 76-C-4268 (N.D. ILL. March 22, 1977));
that is, an alien from an independent country of the Western Hemisphere
who was present in the United States prior to March 11, 1977, and was
known by the Immigration and Naturalization Service (INS) to have a
priority date for the issuance of an immigrant visa between July 1, 1968
and December 31, 1976, inclusive, and who was clearly eligible for an
immigrant visa.
(14) An alien who filed an asylum application prior to January 1,
1982 and whose application was subsequently denied or whose application
has not yet been decided is considered an alien in an unlawful status
known to the government.
(15) An alien, otherwise eligible who departed the United States and
was paroled into the United States on or before May 1, 1987 in order to
return to an unrelinquished unlawful residence.
(c) Ineligible aliens. (1) An alien who has been convicted of a
felony, or three or more misdemeanors.
(2) An alien who has assisted in the persecution of any person or
persons on account of race, religion, nationality, membership in a
particular social group or political opinion.
(3) An alien excludable under the provisions of section 212(a) of the
Act whose grounds of excludability may not be waived, pursuant to
section 245A(d)(2)(B)(ii) of this Act.
(4) An alien who at any time was a nonimmigrant exchange visitor who
is subject to the two-year foreign residence requirement unless the
requirement has been satisfied or waived pursuant to the provisions of
section 212(e) of the Act who has resided continuously in the United
States in an unlawful status since January 1, 1982.
(5) (Reserved)
(6) An alien who is the subject of an Order to Show Cause issued
under section 242 of the Act during the period beginning on May 5, 1987
and ending on April 4, 1988 who does not file an application for
adjustment of status to that of temporary resident under section 245A(a)
of the Act prior to the thirty-first day after issuance of the order.
(7) An alien who is the subject of an Order to Show Cause issued
under section 242 of the Act during the period beginning on April 5,
1988 and ending on May 4, 1988 who does not file an application for
adjustment of status to that of a temporary resident under section
245A(a) of the Act prior to May 5, 1988.
(8) An alien who was paroled into the United States prior to January
1, 1982 and whose parole status terminated or expired subsequent to
January 1, 1982, except an alien who was granted advance parole.
(d) Documentation. Evidence to support an alien's eligibility for
the legalization program shall include documents establishing proof of
identity, proof of residence, and proof of financial responsibility, as
well as photographs, a completed fingerprint card (Form FD-258), and a
completed medical report of examination (Form I-693). All documentation
submitted will be subject to Service verification. Applications
submitted with unverifiable documentation may be denied. Failure by an
applicant to authorize release to INS of information protected by the
Privacy Act and/or related laws in order for INS to adjudicate a claim
may result in denial of the benefit sought. Acceptable supporting
documents for these three categories are discussed below.
(1) Proof of identity. Evidence to establish identity is listed
below in descending order of preference:
(i) Passport;
(ii) Birth certificate;
(iii) Any national identity document from the alien's country of
origin bearing photo and fingerprint (e.g., a ''cedula'' or
''cartilla'');
(iv) Driver's license or similar document issued by a state if it
contains a photo;
(v) Baptismal Record/Marriage Certificate; or
(vi) Affidavits.
(2) Assumed names -- (i) General. In cases where an applicant claims
to have met any of the eligibility criteria under an assumed name, the
applicant has the burden of proving that the applicant was in fact the
person who used that name. The applicant's true identity is established
pursuant to the requirements of paragraph (d)(1) of this section. The
assumed name must appear in the documentation provided by the applicant
to establish eligibility. To meet the requirements of this paragraph
documentation must be submitted to prove the common identity, i.e., that
the assumed name was in fact used by the applicant.
(ii) Proof of common identity. The most persuasive evidence is a
document issued in the assumed name which identifies the applicant by
photograph, fingerprint or detailed physical description. Other
evidence which will be considered are affidavit(s) by a person or
persons other than the applicant, made under oath, which identify the
affiant by name and address, state the affiant's relationship to the
applicant and the basis of the affiant's knowledge of the applicant's
use of the assumed name. Affidavits accompanied by a photograph which
has been identified by the affiant as the individual known to affiant
under the assumed name in question will carry greater weight.
(3) Proof of residence. Evidence to establish proof of continuous
residence in the United States during the requisite period of time may
consist of any combination of the following:
(i) Past employment records, which may consist of pay stubs, W-2
Forms, certification of the filing of Federal income tax returns on IRS
Form 6166, state verification of the filing of state income tax returns,
letters from employer(s) or, if the applicant has been in business for
himself or herself, letters from banks and other firms with whom he or
she has done business. In all of the above, the name of the alien and
the name of the employer or other interested organization must appear on
the form or letter, as well as relevant dates. Letters from employers
should be on employer letterhead stationery, if the employer has such
stationery, and must include:
(A) Alien's address at the time of employment;
(B) Exact period of employment;
(C) Periods of layoff;
(D) Duties with the company;
(E) Whether or not the information was taken from official company
records; and
(F) Where records are located and whether the Service may have access
to the records.
If the records are unavailable, an affidavit form-letter stating that
the alien's employment records are unavailable and why such records are
unavailable may be accepted in lieu of (3)(i)(E) and (3)(i)(F) of this
paragraph. This affidavit form-letter shall be signed, attested to by
the employer under penalty of perjury, and shall state the employer's
willingness to come forward and give testimony if requested.
(ii) Utility bills (gas, electric, phone, etc.), receipts, or letters
from companies showing the dates during which the applicant received
service are acceptable documentation.
(iii) School records (letters, report cards, etc.) from the schools
that the applicant or their children have attended in the United States
must show name of school and periods of school attendance.
(iv) Hospital or medical records showing treatment or hospitalization
of the applicant or his or her children must show the name of the
medical facility or physician and the date(s) of the treatment or
hospitalization.
(v) Attestations by churches, unions, or other organizations to the
applicant's residence by letter which:
(A) Identifies applicant by name;
(B) Is signed by an official (whose title is shown);
(C) Shows inclusive dates of membership;
(D) States the address where applicant resided during membership
period;
(E) Includes the seal of the organization impressed on the letter or
the letterhead of the organization, if the organization has letterhead
stationery;
(F) Establishes how the author knows the applicant; and
(G) Establishes the origin of the information being attested to.
(vi) Additional documents to support the applicant's claim may
include:
(A) Money order receipts for money sent in or out of the country;
(B) Passport entries;
(C) Birth certificates of children born in the United States;
(D) Bank books with dated transactions;
(E) Letters or correspondence between applicant and another person or
organization;
(F) Social Security card;
(G) Selective Service card;
(H) Automobile license receipts, title, vehicle registration, etc.;
(I) Deeds, mortgages, contracts to which applicant has been a party;
(J) Tax receipts;
(K) Insurance policies, receipts, or letters; and
(L) Any other relevant document.
(4) Proof of financial responsibility. An applicant for adjustment
of status under this part is subject to the provisions of section
212(a)(15) of the Act relating to excludability of aliens likely to
become public charges. Generally, the evidence of employment submitted
under paragraph (d)(3)(i) of this section will serve to demonstrate the
alien's financial responsibility during the documented period(s) of
employment. If the alien's period(s) of residence in the United States
include significant gaps in employment or if there is reason to believe
that the alien may have received public assistance while employed, the
alien may be required to provide proof that he or she has not received
public cash assistance. An applicant for residence who is determined
likely to become a public charge and is unable to overcome this
determination after application of the special rule will be denied
adjustment. The burden of proof to demonstrate the inapplicability of
this provision of law lies with the applicant who may provide:
(i) Evidence of a history of employment (i.e., employment letter, W-2
Forms, income tax returns, etc.);
(ii) Evidence that he/she is self-supporting (i.e., bank statements,
stocks, other assets, etc.); or
(iii) Form I-134, Affidavit of Support, completed by a spouse in
behalf of the applicant and/or children of the applicant or a parent in
behalf of children which guarantees complete or partial financial
support. Acceptance of the affidavit of support shall be extended to
other family members where family circumstances warrant.
(5) Burden of proof. An alien applying for adjustment of status
under this part has the burden of proving by a preponderance of the
evidence that he or she has resided in the United States for the
requisite periods, is admissible to the United States under the
provisions of section 245a of the Act, and is otherwise eligible for
adjustment of status under this section. The inference to be drawn from
the documentation provided shall depend on the extent of the
documentation, its credibility and amenability to verification as set
forth in paragraph (d) of this section.
(6) Evidence. The sufficiency of all evidence produced by the
applicant will be judged according to its probative value and
credibility. To meet his or her burden of proof, an applicant must
provide evidence of eligibility apart from his or her own testimony. In
judging the probative value and credibility of the evidence submitted,
greater weight will be given to the submission of original
documentation.
(e) Filing of application. (1) The application must be filed on Form
I-687 at an office of a designated entity or at a Service Legalization
Office within the jurisdiction of the District wherein the applicant
resides. If the application is filed with a designated entity, the
alien must have consented to having the designated entity forward the
application to the legalization office. In the case of applications
filed at a legalization office, the district director may, at his or her
discretion:
(i) Require the applicant to file the application in person; or
(ii) Require the applicant to file the application by mail; or
(iii) Permit the filing of applications either by mail or in person.
The applicant must appear for a personal interview at the
legalization office as scheduled. If the applicant is 14 years of age
or older, the application must be accompanied by a completed Form FD-258
(Applicant Card).
(2) At the time of the interview, wherever possible, original
documents must be submitted except the following: Official government
records; employment or employment-related records maintained by
employers, unions, or collective bargaining organizations; medical
records; school records maintained by a school or school board; or
other records maintained by a party other than the applicant. Copies of
records maintained by parties other than the applicant which are
submitted in evidence must be certified as true and correct by such
parties and must bear their seal or signature or the signature and title
of persons authorized to act in their behalf. If at the time of the
interview the return of original documents is desired by the applicant,
they must be accompanied by notarized copies or copies certified true
and correct by a qualified designated entity or by the alien's
representative in the format prescribed in 204.2(j)(1) or (2) of this
chapter. At the discretion of the district director, original
documents, even if accompanied by certified copies, may be temporarily
retained for forensic examination by the Document Analysis Unit at the
Regional Processing Facility having jurisdiction over the legalization
office to which the documents were submitted.
(3) A separate application (I-687) must be filed by each eligible
applicant. All fees required by 103.7(b)(1) of this chapter must be
submitted in the exact amount in the form of a money order, cashier's
check, or certified bank check, made payable to the Immigration and
Naturalization Service. No personal checks or currency will be
accepted. Fees will not be waived or refunded under any circumstances.
(f) Filing date of application. The date the alien submits a
completed application to a Service Legalization Office or designated
entity shall be considered the filing date of the application, provided
that in the case of an application filed at a designated entity the
alien has consented to having the designated entity forward the
application to the Service Legalization Office having jurisdiction over
the location of the alien's residence. The designated entities are
required to forward completed applications to the appropriate Service
Legalization Office within sixty days of receipt.
(g) Selective Service registration. At the time of filing an
application under this section, male applicants over the age of 17 and
under the age of 26 are required to be registered under the Military
Selective Service Act. An applicant shall present evidence that he has
previously registered under that Act in the form of a letter of
acknowledgement from the Selective Service System, or such alien shall
present a completed and signed Form SSS-1 at the time of filing Form
I-687 with the Immigration and Naturalization Service or a designated
entity. Form SSS-1 will be forwarded to the Selective Service System by
the Service.
(h) Continuous residence. (1) For the purpose of this Act, an
applicant for temporary resident status shall be regarded as having
resided continuously in the United States if, at the time of filing of
the application:
(i) No single absence from the United States has exceeded forty-five
(45) days, and the aggregate of all absences has not exceeded one
hundred and eighty (180) days between January 1, 1982 through the date
the application for temporary resident status is filed, unless the alien
can establish that due to emergent reasons, his or her return to the
United States could not be accomplished within the time period allowed;
(ii) The alien was maintaining a residence in the United States; and
(iii) The alien's departure from the United States was not based on
an order of deportation.
(2) An alien who has been absent from the United States in accordance
with the Service's advance parole procedures shall not be considered as
having interrupted his or her continuous residence as required at the
time of filing an application under this section.
(i) Medical examination. An applicant under this part shall be
required to submit to an examination by a designated civil surgeon at no
expense to the government. The designated civil surgeon shall report on
the findings of the mental and physical condition of the applicant and
the determination of the alien's immunization status. Results of the
medical examinaton must be presented to the Service at the time of
interview and shall be incorporated into the record. Any applicant
certified under paragraphs (1), (2), (3), (4), or (5) of section 212(a)
of the Act may appeal to a Board of Medical Officers of the U.S. Public
Health Service as provided in section 234 of the Act and part 235 of
this chapter.
(j) Interview. Each applicant, regardless of age, must appear at the
appropriate Service Legalization Office and must be fingerprinted for
the purpose of issuance of Forms I-688 and I-688A. Each applicant shall
be interviewed by an immigration officer, except that the interview may
be waived for a child under 14, or when it is impractical because of the
health or advanced age of the applicant.
(k) Applicability of exclusion grounds -- (1) Grounds of exclusion
not to be applied. The following paragraphs of section 212(a) of the
Act shall not apply to applicants for temporary resident status: (14)
Workers entering without Labor Certification; (20) immigrants not in
possession of a valid entry document; (21) visas issued without
compliance with section 203; (25) illiterates; and (32) graduates of
non-accredited medical schools.
(2) Waiver of grounds of exclusion. Except as provided in paragraph
(k)(3) of this section, the Attorney General may waive any other
provision of section 212(a) of the Act only in the case of individual
aliens for humanitarian purposes, to assure family unity, or when the
granting of such a waiver is in the public interest. If an alien is
excludable on grounds which may be waived as set forth in this
paragraph, he or she shall be advised of the procedures for applying for
a waiver of grounds of excludability on Form I-690. When an application
for waiver of grounds of excludability is filed jointly with an
application for temporary residence under this section, it shall be
accepted for processing at the legalization office. If an application
for waiver of grounds of excludability is submitted after the alien's
preliminary interview at the legalization office, it shall be forwarded
to the appropriate Regional Processing Facility. All applications for
waivers of grounds of excludability must be accompanied by the correct
fee in the exact amount. All fees for applications filed in the United
States must be in the form of a money order, cashier's check, or bank
check. No personal checks or currency will be accepted. Fees will not
be waived or refunded under any circumstances. An application for
waiver of grounds of excludability under this part shall be approved or
denied by the director of the Regional Processing Facility in whose
jurisdiction the applicant's application for adjustment of status was
filed except that in cases involving clear statutory ineligibility or
admitted fraud, such application may be denied by the district director
in whose jurisdiction the application is filed, and in cases returned to
a Service Legalization Office for re-interview, such application may be
approved at the discretion of the district director. The applicant
shall be notified of the decision and, if the application is denied, of
the reason therefor. Appeal from an adverse decision under this part
may be taken by the applicant on Form I-694 within 30 days after the
service of the notice only to the Service's Administrative Appeals Unit
pursuant to the provisions of 103.3(a) of this chapter.
(3) Grounds of exclusion that may not be waived. Notwithstanding any
other provision of the Act, the following provisions of section 212(a)
may not be waived by the Attorney General under paragraph (k)(2) of this
section:
(i) Paragraphs (9) and (10) (criminals);
(ii) Paragraph (23) (narcotics) except for a single offense of simple
possession of thirty grams or less of marijuana;
(iii) Paragraphs (27) (prejudicial to the public interest), (28)
(communist), and (29) (subversive);
(iv) Paragraph (33) (participated in Nazi persecution).
(4) Special rule for determination of public charge. An alien who
has a consistent employment history which shows the ability to support
himself or herself even though his or her income may be below the
poverty level, may be admissible under paragraph (k)(2) of this section.
The alien's employment history need not be continuous in that it is
uninterrupted. It should be continuous in the sense that the alien
shall be regularly attached to the workforce, has an income over a
substantial period of the applicable time, and has demonstrated the
capacity to exist on his or her income without recourse to public cash
assistance. This regulation is prospective in that the Service shall
determine, based on the alien's history, whether he or she is likely to
become a public charge. Past acceptance of public cash assistance
within a history of consistent employment will enter into this decision.
The weight given in considering applicability of the public charge
provisions will depend on many factors, but the length of time an
applicant has received public cash assistance will constitute a
significant factor.
(5) Public assistance and criminal history verification.
Declarations by an applicant that he or she has not been the recipient
of public cash assistance and/or has not had a criminal record are
subject to a verification of facts by the Service. The applicant must
agree to fully cooperate in the verification process. Failure to assist
the Service in verifying information necessary for the adjudication of
the application may result in a denial of the application.
(l) Continous physical presence since November 6, 1986. (1) An alien
applying for adjustment to temporary resident status must establish that
he or she has been continuously physically present in the United States
since November 6, 1986. Aliens who were outside of the United States on
the date of enactment or departed the United States after enactment may
apply for legalization if they reentered prior to May 1, 1987, and meet
the continuous residence requirements and are otherwise eligible for
legalization.
(2) A brief, casual and innocent absence means a departure authorized
by the Service (advance parole) subsequent to May 1, 1987 of not more
than thirty (30) days for legitimate emergency or humanitarian purposes
unless a further period of authorized departure has been granted in the
discretion of the district director or a departure was beyond the
alien's control.
(m) Departure. (1) During the time period from the date that an
alien's application establishing prima facie eligibility for temporary
resident status is reviewed at a Service Legalization Office and the
date status as a temporary resident is granted, the alien applicant can
only be readmitted to the United States provided his or her departure
was authorized under the Service's advance parole provisions contained
in 212.5(e) of this chapter.
(2) An alien whose application for temporary resident status has been
approved may be admitted to the United States upon return as a returning
temporary resident provided he or she:
(i) Is not under deportation proceedings, such proceedings having
been instituted subsequent to the approval of temporary resident status.
A temporary resident alien will not be considered deported if that
alien departs the United States while under an outstanding order of
deportation issued prior to the approval of temporary resident status;
(ii) Has not been absent from the United States more than thirty (30)
days on the date application for admission is made;
(iii) Has not been absent from the United States for an aggregate
period of more than 90 days since the date the alien was granted lawful
temporary resident status;
(iv) Presents Form I-688;
(v) Presents himself or herself for inspection; and
(vi) Is otherwise admissible.
(3) The periods of time in paragraph (m)(2)(ii) and (m)(2)(iii) of
this section may be waived at the discretion of the Attorney General in
cases where the absence from the United States was due merely to a brief
temporary trip abroad due to emergent or extenuating circumstances
beyond the alien's control.
(n)(1) Employment and travel authorization; general. Authorization
for employment and travel abroad for temporary resident status
applicants under section 245A(a) of the Act may only be granted by a
Service Legalization Office. INS district directors will determine the
Service location for the completion of processing of travel
documentation. In the case of an application which has been filed with
a designated entity, employment authorization may only be granted by the
Service after the application has been properly received at the Service
Legalization Office.
(2) Employment and travel authorization prior to the granting of
temporary resident status. (i) Permission to travel abroad and accept
employment may be granted to the applicant after an interview has been
conducted in connection with an application establishing prima facie
eligibility for temporary resident status. Permission to travel abroad
may be granted in emergent circumstances in accordance with the
Service's advance parole provisions contained in 212.5(e) of this
chapter after an interview has been conducted in connection with an
application establishing prima facie eligiblity for temporary resident
status.
(ii) If an appointment cannot be scheduled within thirty (30) days,
authorization to accept employment will be given, valid to the scheduled
appointment date. The appointment letter will be endorsed with the
temporary employment authorization. Form I-688A, Employment
Authorization, will be given to the applicant after an interview has
been completed by an immigration officer unless a formal denial is
issued by a Service Legalization Office. This temporary employment
authorization will be restricted to six months duration, pending final
determination on the application for temporary resident status.
(3) Employment and travel authorization upon grant of temporary
resident status. Upon grant of an application for adjustment to
temporary resident status by a Regional Processing Facility, the
processing facility will forward a notice of approval to the alien at
his or her last known address and to his or her designated entity or
representative. The alien will be required to return to the Service
Legalization Office where the application was initially received,
surrender the I-688A previously issued, and will be issued Form I-688,
Temporary Resident Card, authorizing employment and travel abroad.
(4) Revocation of employment authorization upon denial of temporary
resident status. Upon denial of an application for adjustment to
temporary resident status the alien will be notified that if a timely
appeal is not submitted, employment authorization shall be automatically
revoked on the final day of the appeal period.
(o) Decision. The applicant shall be notified in writing of the
decision, and, if the application is denied, of the reason therefor. An
appeal from an adverse decision under this part may be taken by the
applicant on Form I-694.
(p) Appeal process. An adverse decision under this part may be
appealed to the Associate Commissioner, Examinations (Administrative
Appeals Unit). Any appeal with the required fee shall be filed with the
Regional Processing Facility within thirty (30) days after service of
the notice of denial in accordance with the procedures of 103.3(a) of
this chapter. An appeal received after the thirty (30) day period has
tolled will not be accepted. The thirty (30) day period includes any
time required for service or receipt by mail.
(q) Motions. The Regional Processing Facility director may sua
sponte reopen and reconsider any adverse decision. When an appeal to
the Associate Commissioner, Examinations (Administrative Appeals Unit)
has been filed, the INS director of the Regional Processing Facility may
issue a new decision that will grant the benefit which has been
requested. The director's new decision must be served on the appealing
party within 45 days of receipt of any briefs and/or new evidence, or
upon expiration of the time allowed for the submission of any briefs.
Motions to reopen a proceeding or reconsider a decision shall not be
considered under this part.
(r) Certifications. The Regional Processing Facility director may,
in accordance with 103.4 of this chapter, certify a decision to the
Associate Commissioner, Examinations (Administrative Appeals Unit) when
the case involves an unusually complex or novel question of law or fact.
The party affected shall be given notice of such certification and of
the right to submit a brief within thirty (30) days from service of the
notice.
(s) Date of adjustment to temporary residence. The status of an
alien whose application for temporary resident status is approved shall
be adjusted to that of a lawful temporary resident as of the date
indicated on the application fee receipt issued at Service Legalization
Office.
(t) Limitation on access to information and confidentiality. (1) No
person other than a sworn officer or employee of the Justice Department
or bureau of agency thereof, will be permitted to examine individual
applications, except employees of designated entities where applications
are filed with the same designated entity. For purposes of this part,
any individual employed under contract by the Service to work in
connection with the legalization program shall be considered an
''employee of the Justice Department or bureau or agency thereof.''
(2) Files and records prepared by designated entites under this
section are confidential. The Attorney General and the Service shall
not have access to these files and records without the consent of the
alien.
(3) No information furnished pursuant to an application for
legalization under this section shall be used for any purpose except:
(i) To make a determination on the application; or, (ii) for the
enforcement of the provisions encompassed in section 245A(c)(6) of the
Act, except as provided in paragraph (t)(4) of this section.
(4) If a determination is made by the Service that the alien has, in
connection with his or her application, engaged in fraud or willful
misrepresentation or concealment of a material fact, knowingly provided
a false writing or document in making his or her application, knowingly
made a false statement or representation, or engaged in any other
activity prohibited by section 245A(c)(6) of the Act, the Service shall
refer the matter to the United States Attorney for prosecution of the
alien or of any person who created or supplied a false writing or
document for use in an application for adjustment of status under this
part.
(5) Information obtained in a granted legalization application and
contained in the applicant's file is subject to subsequent review in
reference to future benefits applied for (including petitions for
naturalization and permanent resident status for relatives).
(u) Termination of temporary resident staus -- (1) Termination of
temporary resident status; General. The status of an alien lawfully
admitted for temporary residence under section 245A(a)(1) of the Act may
be terminated at any time in accordance with section 245A(b)(2) of the
Act. It is not necessary that a final order of deportation be entered
in order to terminate temporary resident status. The temporary resident
status may be terminated upon the occurence of any of the following:
(i) It is determined that the alien was ineligible for temporary
residence under section 245A of this Act;
(ii) The alien commits an act which renders him or her inadmissible
as an immigrant, unless a waiver is secured pursuant to 245a.2(k)(2).
(iii) The alien is convicted of any felony, or three or more
misdemeanors;
(iv) The alien fails to file for adjustment of status from temporary
resident to permanent resident on Form I-698 within forty-three (43)
months of the date he/she was granted status as a temporary resident
under 245a.1 of this part.
(2) Procedure. Termination of an alien's status under paragaph
(u)(1) of this section will be made only on notice to the alien sent by
certified mail directed to his or her last known address, and to his or
her representative. The alien must be given an opportunity to offer
evidence in opposition to the grounds alleged for termination of his or
her status. Evidence in opposition must be submitted within thirty (30)
days after the service of the Notice of Intent to Terminate. If the
alien's status is terminated, the director of the regional processing
facility shall notify the alien of the decision and the reasons for the
termination, and further notify the alien that any Service Form I-94,
Arrival-Departure Record or other official Service document issued to
the alien authorizing employment and/or travel abroad, or any Form
I-688, Temporary Resident Card previously issued to the alien will be
declared void by the director of the regional processing facility within
thirty (30) days if no appeal of the termination decision is filed
within that period. The alien may appeal the decision to the Associate
Commissioner, Examinations (Administrative Appeals Unit). Any appeal
with the required fee shall be filed with the regional processing
facility within thirty (30) days after the service of the notice of
termination. If no appeal is filed within that period, the I-94, I-688
or other official Service document shall be deemed void, and must be
surrendered without delay to an immigration officer or to the issuing
office of the Service.
(3) Termination not construed as rescission under section 246. For
the purposes of this part the phrase termination of status of an alien
granted lawful temporary residence under section 245A(a) of the Act
shall not be construed to necessitate a rescission of status as
described in section 246 of the Act, and the proceedings required by the
regulations issued thereunder shall not apply.
(4) Return to unlawful status after termination. Termination of the
status of any alien previously adjusted to lawful temporary residence
under section 245A(a) of the Act shall act to return such alien to the
unlawful status held prior to the adjustment, and render him or her
amenable to exclusion or deportation proceedings under section 236 or
242 of the Act, as appropriate.
(v) Ineligibility for immigration benefits. An alien whose status is
adjusted to that of a lawful temporary resident under section 245A of
the Act is not entitled to submit a petition pursuant to section
203(a)(2) or to any other benefit or consideration accorded under the
Act to aliens lawfuly admitted for permanent residence.
(w) Declaration of Intending Citizen. An alien who has been granted
the status of temporary resident under section 245A(a)(1) of this Act
may assert a claim of discrimination on the basis of citizenship status
under section 274B of the Act only if he or she has previously filed
Form I-772 (Declaration of Intending Citizen) after being granted such
status. The Declaration of Intending Citizen is not required as a basis
for filing a petition for naturalization; nor shall it be regarded as a
right to United States citizenship; nor shall it be regarded as
evidence of a person's status as a resident.
(52 FR 16208, May 1, 1987, as amended at 52 FR 43845, 43846, Nov.
17, 1987; 53 FR 23382, June 22, 1988; 54 FR 29449, July 12, 1989; 56
FR 31061, July 9, 1991)
08 CFR 245a.3 Application for adjustment from temporary to permanent
resident status.
(a) Application period for permanent residence. (1) An alien may
submit an application for lawful permanent resident status, with fee,
immediately subsequent to the granting of lawful temporary resident
status. Any application received prior to the alien's becoming eligible
for adjustment to permanent resident status will be administratively
processed and held by the INS, but will not be considered filed until
the beginning of the nineteenth month after the date the alien was
granted temporary resident status as defined in 245a.2(s) of this
chapter.
(2) No application shall be denied for failure to timely apply before
the end of 43 months from the date of actual approval of the temporary
resident application.
(3) The Service Center Director shall sua sponte reopen and
reconsider without fee any application which was previously denied for
late filing. No additional fee will be required for those applications
which are filed during the twelve month extension period but prior to
July 9, 1991.
(b) Eligibility. Any alien who has been lawfully admitted for
temporary resident status under section 245A(a) of the Act, such status
not having been terminated, may apply for adjustment of status of that
of an alien lawfully admitted for permanent residence if the alien:
(1) Applies for such adjustment anytime subsequent to the granting of
temporary resident status but on or before the end of 43 months from the
date of actual approval of the termporary resident application. The
alien need not be physically present in the United States at the time of
application; however, the alien must establish continuous residence in
the United States in accordance with the provisions of paragraph (b)(2)
of this section and must be physically present in the United States at
the time of interview and/or processing for permanent resident status
(ADIT processing);
(2) Establishes continuous residence in the United States since the
date the alien was granted such temporary residence status. An alien
shall be regarded as having resided continuously in the United States
for the purpose of this part if, at the time of applying for adjustment
from temporary to permanent resident status, or as of the date of
eligibility for permanent residence, whichever is later, no single
absence from the United States has exceeded thirty (30) days, and the
aggregate of all absences has not exceeded ninety (90) days between the
date of approval of the temporary resident application, Form I-687 (not
the ''roll-back'' date) and the date the alien applied or became
eligible for permanent resident status, whichever is later, unless the
alien can establish that due to emergent reasons or circumstances beyond
his or her control, the return to the United States could not be
accomplished within the time period(s) allowed. A single absence from
the United States of more than 30 days, and aggregate absences of more
than 90 days during the period for which continuous residence is
required for adjustment to permanent residence, shall break the
continuity of such residence, unless the temporary resident can
establish to the satisfaction of the district director or the Director
of the Regional Processing Facility that he or she did not, in fact,
abandon his or her residence in the United States during such period;
(3) Is admissible to the United States as an immigrant, except as
otherwise provided in paragraph (g) of this section; and has not been
convicted of any felony, or three or more misdemeanors; and
(4)(i)A) Can demonstrate that the alien meets the requirements of
section 312 of the Immigration and Nationality Act, as amended (relating
to minimal understanding of ordinary English and a knowledge and
understanding of the history and government of the United States); or
(B) Is satisfactorily pursuing a course of study recognized by the
Attorney General to achieve such an understanding of English and such a
knowledge and understanding of the history and government of the United
States.
(ii) The requirements of paragraph (b)(4)(i) of this section must be
met by each applicant. However, these requirements shall be waived
without formal application for persons who, as of the date of
application or the date of eligibility for permanent residence under
this part, whichever date is later, are:
(A) Under 16 years of age; or
(B) 65 years of age or older; or
(C) Over 50 years of age who have resided in the United States for at
least 20 years and submit evidence establishing the 20-year
qualification requirement. Such evidence must be submitted pursuant to
the requirements contained in Section 245a.2(d)(3) of this chapter; or
(D) Developmentally disabled as defined at 245a.1(v) of this
chapter. Such persons must submit medical evidence concerning their
developmental disability; or
(E) Physically unable to comply. The physical disability must be of
a nature which renders the applicant unable to acquire the four language
skills of speaking, understanding, reading, and writing English in
accordance with the criteria and precedence established in OI
312.1(a)(2)(iii) (Interpretations). Such persons must submit medical
evidence concerning their physical disability.
(iii) (A) Literacy and basic citizenship skills may be demonstrated
for purposes of complying with paragraph (b)(4)(i)(A) of this section
by:
(1) Speaking and understanding English during the course of the
interview for permanent resident status. An applicant's ability to read
and write English shall be tested by excerpts from one or more parts of
the Federal Textbooks on Citizenship at the elementary literacy level.
The test of an applicant's knowledge and understanding of the history
and form of government of the United States shall be given in the
English language. The scope of the testing shall be limited to subject
matter covered in the revised (1987) Federal Textbooks on Citizenship or
other approved training material. The test questions shall be selected
from a list of 100 standardized questions developed by the Service. In
choosing the subject matter and in phrasing questions, due consideration
shall be given to the extent of the applicant's education, background,
age, length of residence in the United States, opportunities available
and efforts made to acquire the requisite knowledge, and any other
elements or factors relevant to an appraisal of the adequacy of his or
her knowledge and understanding; or
(2) By passing a standardized section 312 test (effective
retroactively as of November 7, 1988) such test being given in the
English language by the Legalization Assistance Board with the
Educational Testing Service (ETS) or the California State Department of
Education with the Comprehensive Adult Student Assessment System
(CASAS). The scope of the test is based on the 1987 edition of the
Federal Textbooks on Citizenship series written at the elementary
literacy level. An applicant may evidence passing of the standardized
section 312 test by submitting the approved testing organization's
standard notice of passing test results at the time of filing Form
I-698, subsequent to filing the application but prior to the interview,
or at the time of the interview. The test results may be independently
verified by INS, if necessary.
(B) An applicant who fails to pass the English literacy and/or the
U.S. history and government tests at the time of the interview, shall be
afforded a second opportunity after six (6) months (or earlier, at the
request of the applicant) to pass the tests, submit evidence of passing
an INS approved section 312 standardized examination or submit evidence
of fulfillment of any one of the ''satisfactorily pursuing''
alternatives listed at 245a.1(s) of this chapter. The second interview
shall be conducted prior to the denial of the application for permanent
residence and may be based solely on the failure to pass the basic
citizenship skills requirements. An applicant whose period of
eligibility expires prior to the end of the six-month re-test period,
shall still be accorded the entire six months within which to be
re-tested.
(iv) To satisfy the English language and basic citizenship skills
requirements under the ''satisfactorily pursuing'' standard as defined
at 245a.1(s) of this chapter the applicant must submit evidence of such
satisfactory pursuit in the form of a ''Certificate of Satisfactory
Pursuit'' (Form I-699) issued by the designated school or program
official attesting to the applicant's satisfactory pursuit of the course
of study as defined at 245a.1(s)(1) and (4) of this chapter; or a high
school diploma or general educational development diploma (GED) under
245a.1(s)(2) of this chapter; or certification on letterhead stationery
from a state recognized, accredited learning institution under
245a.1(s)(3) of this chapter; or evidence of having passed the IRCA
Test for Permanent Residency under 245a.1(s)(5) of this chapter. Such
applicants shall not then be required to demonstrate that they meet the
requirements of 245a.3(b)(4)(i)(A) of this chapter in order to be
granted lawful permanent residence provided they are otherwise eligible.
Evidence of ''Satisfactory Pursuit'' may be submitted at the time of
filing Form I-698, subsequent to filing the application but prior to the
interview, or at the time of the interview (the applicant's name and
A90M number must appear on any such evidence submitted). An applicant
need not necessarily be enrolled in a recognized course of study at the
time of application for permanent residency.
(v) Enrollment in a recognized course of study as defined in
245a.3(b)(5) and issuance of a ''Certificate of Satisfactory Pursuit''
must occur subsequent to May 1, 1987.
(5) A course of study in the English language and in the history and
government of the United States shall satisfy the requirement of
paragraph (b)(4)(i) of this section if the course materials for such
instruction include textbooks published under the authority of section
346 of the Act, and it is
(i) Sponsored or conducted by: (A) An established public or private
institution of learning recognized as such by a qualified state
certifying agency; (B) An institution of learning approved to issue
Forms I-20 in accordance with 214.3 of this chapter; (C) A qualified
designated entity within the meaning of section 245A(c)(2) of the Act,
in good-standing with the Service; or (D) Is certified by the district
director in whose jurisdiction the program is conducted, or is certified
by the Director of the Outreach Program nationally.
(ii) A program seeking certification as a course of study recognized
by the Attorney General under paragraph (b)(5)(i)(D) of this section
shall file Form I-803, Petition for Attorney General Recognition to
Provide Course of Study for Legalization: Phase II, with the Director
of Outreach for national level programs or with the district director
having jurisdiction over the area in which the school or program is
located. In the case of local programs, a separate petition must be
filed with each district director when a parent organization has schools
or programs in more than one INS district. A petition must identify by
name and address those schools or programs included in the petition. No
fee shall be required to file Form I-803;
(A) The Director of Outreach and the district directors may approve a
petition where they have determined that (1) a need exists for a course
of study in addition to those already certified under 245a.3(b)(5)(i)
(A), (B), or (C); and/or (2) of this chapter the petitioner has
historically provided educational services in English and U.S. history
and government but is not already certified under 245a.3(b)(5)(i)(A),
(B), or (C); and (3) of this chapter the petitioner is otherwise
qualified to provide such course of study;
(B) Upon approval of the petition the Director of Outreach and
district directors shall issue a Certificate of Attorney General
Recognition on Form I-804 to the petitioner. If the petition is denied,
the petitioner shall be notified in writing of the decision therefor.
No appeal shall lie from a denial of Form I-803, except that in such
case where the petitions of a local, cross-district program are approved
in one district and denied in another within the same State, the
petitioner may request review of the denied petition by the appropriate
Regional Commissioner. The Regional Commissioner shall then make a
determination in this case;
(C) Each district director shall compile and maintain lists of
programs approved under paragraph (b)(5)(i)(D) of this section within
his or her jurisdiction. The Director of Outreach shall compile and
maintain lists of approved national level programs.
(6) Notice of participation. All courses of study recognized under
245a.3(b)(5)(i)(A) through (C) of this chapter which are already
conducting or will conduct English and U.S. history and government
courses for temporary residents must submit a Notice of Participation to
the district director in whose jurisdiction the program is conducted.
Acceptance of ''Certificates of Satisfactory Pursuit'' (Form I-699)
shall be delayed until such time as the course provider submits the
Notice of Participation, which notice shall be in the form of a letter
typed on the letterhead of the course provider (if available) and
include the following:
(i) The name(s) of the school(s)/program(s).
(ii) The complete addresses and telephone numbers of sites where
courses will be offered, and class schedules.
(iii) The complete names of persons who are in charge of conducting
English and U.S. history and government courses of study.
(iv) A statement that the course of study will issue ''Certificates
of Satisfactory Pursuit'' to temporary resident enrollees according to
INS regulations.
(v) A list of designated officials of the recognized course of study
authorized to sign ''Certificates of Satisfactory Pursuit'', and samples
of their original signatures.
(vi) A statement that if a course provider charges a fee to temporary
resident enrollees, the fee will not be excessive.
(vii) Evidence of recognition under 8 CFR 245a.3(b)(5)(i)(A), (B), or
(C) (e.g., certification from a qualified state certifying agency;
evidence of INS approval for attendance by nonimmigrant students, such
as the school code number, or the INS identification number from the QDE
cooperative agreement).
The course provider shall notify the district director, in writing,
of any changes to the information contained in the Notice of
Participation subsequent to its submission within ten (10) days of such
change.
A Certificate of Attorney General Recognition to Provide Course of
Study for Legalization (Phase II), Form I-804, shall be issued to course
providers who have submitted a Notice of Participation in accordance
with the provisions of this section by the distict director. A Notice
of Participation deficient in any way shall be returned to the course
provider to correct the deficiency. Upon the satisfaction of the
district director that the deficiency has been corrected, the course
provider shall be issued Form I-804. Each district director shall
compile and maintain lists of recognized courses within his or her
district.
(7) Fee structure. No maximum fee standard will be imposed by the
Attorney General. However, if it is believed that a fee charged is
excessive, this factor alone will justify non-certification of the
course provider by INS as provided in 245a.3(b)(10) and/or (12) of this
section. Once fees are established, any change in fee without prior
approval of the district director or the Director of Outreach may
justify de-certification. In determining whether or not a fee is
excessive, district directors and the Director of Outreach shall
consider such factors as the means of instruction, class size,
prevailing wages of instructors in the area of the program, and
additional costs such as rent, materials, utilities, insurance, and
taxes. District directors and the Director of Outreach may also seek
the assistance of various Federal, State and local entities as the need
arises (e.g., State Departments of Education) to determine the
appropriateness of course fees.
(8) The Citizenship textbooks to be used by applicants for lawful
permanent residence under section 245A of the Act shall be distributed
by the Service to appropriate representatives of public schools. These
textbooks may otherwise be purchased from the Superintendent of
Documents, Government Printing Office, Washington, DC 20402, and are
also available at certain public institutions.
(9) Maintenance of Student Records. Course providers conducting
courses of study recognized under 245a.3(b)(5) of this chapter shall
maintain for each student, for a period of three years from the
student's enrollment, the following information and documents:
(i) Name (as copied exactly from the I-688A or I-688);
(ii) A-number (90 million series);
(iii) Date of enrollment;
(iv) Attendance records;
(v) Assessment records;
(vi) Photocopy of signed ''Certificate of Satisfactory Pursuit''
issued to the student.
(10) Issuance of ''Certificate of Satisfactory Pursuit'' (I-699).
(i) Each recognized course of study shall prepare a standardized
certificate that is signed by the designated official. The Certificate
shall be issued to an applicant who has attended a recognized course of
study for at least 40 hours of a minimum of 60-hour course as
appropriate for his or her ability level, and is demonstrating progress
according to the performance standards of the English and U.S. history
and government course prescribed. Such standards shall conform with the
provisions of 245a.1(s) of this chapter.
(ii) The district director shall reject a certificate if it is
determined that the certificate is fraudulent or was fraudulently
issued.
(iii) The district director shall reject a Certificate if it is
determined that the course provider is not complying with INS
regulations. In the case of non-compliance, the district director will
advise the course provider in writing of the specific deficiencies and
give the provider thirty (30) days within which to correct such
deficiencies.
(iv) District directors will accept Certificates from course
providers once it is determined that the deficiencies have been
satisfactorily corrected.
(v) Course providers which engage in fraudulent activities or fail to
conform with INS regulations will be removed from the list of INS
approved programs. INS will not accept Certificates from these
providers.
(vi) Certificates may be accepted if a program is cited for
deficiencies or decertified at a later date and no fraud was involved.
(vii) Certificates shall not be accepted from a course provider that
has been decertified unless the alien enrolled in and had been issued a
certificate prior to the decertification, provided that no fraud was
involved.
(viii) The appropriate State agency responsbile for SLIAG funding
shall be notified of all decertifications by the district director.
(11) Designated official. (i) The designated official is the
authorized person from each recognized course of study whose signature
appears on all ''Certificates of Satisfactory Pursuit'' issued by that
course;
(ii) The designated official must be a regularly employed member of
the school administration whose office is located at the school and
whose compensation does not come from commissions for recruitment of
foreign students;
(iii) (A) The head of the school system or school, the director of
the Qualified Designated Entity, the head of a program approved by the
Attorney General, or the president or owner of other institutions
recognized by the Attorney General must specify a designated official.
Such designated official may not delegate this designation to any other
person. Each school or institution may have up to three (3) designated
officials at any one time. In a multi-campus institution, each campus
may have up to three (3) designated officials at any one time;
(B) Each designated official shall have read and otherwise be
familiar with the ''Requirements and Guidelines for Courses of Study
Recognized by the Attorney General''. The signature of a designated
official shall affirm the official's compliance with INS regulations;
(C) The name, title, and sample signature of each designated official
for each recognized course of study shall be on file with the district
director in whose jurisdiction the program is conducted.
(12) Monitoring by INS. (i) INS Outreach personnel in conjunction
with the district director shall monitor the course providers in each
district in order to:
(A) Assure that the program is a course of study recognized by the
Attorney General under the provisions of 245a.3(b)(5).
(B) Verify the existence of curriculm as defined in 245a.1(u) on
file for each level of instruction provided in English language and U.S.
history and government classes.
(C) Assure that ''Certificates of Satisfactory Pursuit'' are being
issued in accordance with 245a.3(b)(10).
(D) Assure that records are maintained on each temporary resident
enrollee in accordance with 245a.3(b)(9).
(E) Assure that fees (if any) assessed by the course provider are in
compliance in accordance with 245a.3(b)(7).
(ii) If INS has reason to believe that the service is not being
provided to the applicant, INS will issue a 24-hour minimum notice to
the service provider before any site visit is conducted.
(iii) If it is determined that a course provider is not performing
according to the standards established in either 245a.3(b)(10) or (12)
of this chapter, the district director shall institute decertification
proceedings. Notice of Intent to Decertify shall be provided to the
course provider. The course provider has 30 days within which to
correct performance according to standards established. If after the 30
days, the district director is not satisfied that the basis for
decertification has been overcome, the course provider will be
decertified. The appropriate State agency shall be notified in
accordance with 245a.3(b)(10)(viii) of this chapter. A copy of the
notice of decertification shall be sent to the State agency.
(13) Courses of study recognized by the Attorney General as defined
at 245a.3(b)(5) of this chapter shall provide certain standards for the
selection of teachers. Since some programs may be in locations where
selection of qualified staff is limited, or where budget constraints
restrict options, the following list of qualities for teacher selection
is provided as guidance. Teacher selections should include as many of
the following qualities as possible:
(i) Specific training in Teaching English to Speakers of Other
Languages (TESOL);
(ii) Experience as a classroom teacher with adults;
(iii) Cultural sensitivity and openness;
(iv) Familiarity with compentency-based education;
(v) Knowledge of curriculum and materials adaptation;
(vi) Knowledge of a second language.
(c) Ineligible aliens. (1) An alien who has been convicted of a
felony, or three or more misdemeanors in the United States.
(2) An alien who is inadmissible to the United States as an
immigrant, except as provided in 245a.3(g)(1).
(3) An alien who was previously granted temporary resident status
pursuant to section 245A(a) of the Act who has not filed an application
for permanent resident status under section 245A(b)(1) of the Act by the
end of 43 months from the date of actual approval of the temporary
resident application.
(4) An alien who was not previously granted temporary resident status
under section 245A(a) of the Act.
(5) An alien whose temporary resident status has been terminated
under 245a.2(u) of this chapter
(d) Filing the application. The provisions of part 211 of this
chapter relating to the documentary requirements for immigrants shall
not apply to an applicant under this part.
(1) The application must be filed on Form I-698. The application
will be mailed to the designated Regional Processing Facility having
jurisdiction over the applicant's residence. Form I-698 must be
accompanied by the correct fee and documents specified in the
instructions.
(2) Certification of documents. The submission of original documents
is not required at the time of filing Form I-698. A copy of a document
submitted in support of Form I-698 filed pursuant to section 245A(b) of
the Act and this part may be accepted, though unaccompanied by the
original, if the copy is certified as true and complete by
(i) An attorney in the format prescribed in 204.2(j)(1) of this
chapter; or
(ii) An alien's representative in the format prescribed in
204.2(j)(2) of this chapter; or
(iii) A qualified designated entity (QDE) in good standing as defined
in 245a.1(r) of this chapter, if the copy bears a certification by the
QDE in good-standing, typed or rubber-stamped in the following language:
I certify that I have compared this copy with its original and it is
a true and complete copy.
Signed: --
Date: --
Name: --
QDE in good-standing representative
Name of QDE in good-standing: --
Address of QDE in good-standing: --
INS-QDE Cooperative Agreement Number: --
(iv) Authentication. Certification of documents must be
authenticated by an original signature. A facsimile signature on a
rubber stamp will not be acceptable.
(v) Original documents. Original documents must be presented when
requested by the Service. Official government records, employment or
employment-related records maintained by employers, unions, or
collective bargaining organizations, medical records, school records
maintained by a school or school board or other records maintained by a
party other than the applicant which are submitted in evidence must be
certified as true and complete by such parties and must bear their seal
or signature or the signature and title of persons authorized to act in
their behalf. At the discretion of the district director and/or the
Regional Processing Facility director, original documents may be kept
for forensic examination.
(3) A separate application (I-698) must be filed by each eligible
applicant. All fees required by 103.7(b)(1) of this chapter must be
submitted in the exact amount in the form of a money order, cashier's
check or certified bank check. No personal checks or currency will be
accepted. Fees will not be waived or refunded under any circumstances.
(4) Applicants who filed for temporary resident status prior to
December 1, 1987, are required to submit the results of a serologic test
for HIV virus on Form I-693, ''Medical Examination of Aliens Seeking
Adjustment of Status'', completed by a designated civil surgeon, unless
the serologic test for HIV was performed and the results were submitted
on Form I-693 when the applicant filed for temporary resident status.
Applicants who did submit an I-693 reflecting a serologic test for HIV
was performed prior to December 1, 1987, must submit evidence of this
fact when filing the I-698 application in order to be relieved from the
requirement of submitting another I-693. If such evidence is not
available, applicants may note on their I-698 application their prior
submission of the results of the serologic test for HIV. This
information shall then be verified at the Regional Processing Facility.
Applicants having to submit an I-693 pursuant to this section are not
required to have a complete medical examination. All HIV-positive
applicants shall be advised that a waiver of the ground of excludability
under section 212(a)(6) of the Act is available and shall be provided
the opportunity to apply for the waiver. To be eligible for the waiver,
the applicant must establish that:
(i) The danger to the public health of the United States created by
the alien's admission to the United States is minimal,
(ii) The possibility of the spread of the infection created by the
alien's admission to the United States is minimal, and
(iii) There will be no cost incurred by any government agency without
prior consent of that agency. Provided these criteria are met, the
waiver may be granted only for humanitarian purposes, to assure family
unity, or when the granting of such a waiver is in the public interest
in accordance with 245a.3(g)(2) of this chapter.
(5) If necessary, the validity of an alien's temporary resident card
(I-688) will be extended in increments of one (1) year until such time
as the decision on an alien's properly filed application for permanent
residence becomes final.
(6) An application lacking the proper fee or incomplete in any way
shall be returned to the applicant with request for the proper fee,
correction, additional information, and/or documentation. Once an
application has been accepted by the Service and additional information
and/or documentation is required, the applicant shall be sent a notice
to submit such information and/or documentation. In such case the
application Form I-698 shall be retained at the RPF. If a response to
this request is not received within 60 days, a second request for
correction, additional information, and/or documentation shall be made.
If the second request is not complied with by the end of 43 months from
the date the application for temporary residence, Form I-687, was
approved the application for permanent residence will be adjudicated on
the basis of the existing record.
(e) Interview. Each applicant regardless of age, must appear at the
appropriate Service office and must be fingerprinted for the purpose of
issuance of Form I-551. Each applicant shall be interviewed by an
immigration officer, except that the adjudicative interview may be
waived for a child under 14, or when it is impractical because of the
health or advanced age of the applicant. An applicant failing to appear
for the scheduled interview may, for good cause, be afforded another
interview. Where an applicant fails to appear for two scheduled
interviews, his or her application shall be held in abeyance until the
end of 30 months from the date the application for temporary residence
was approved and adjudicated on the basis of the existing record.
(f) Numerical limitations. The numerical limitations of sections 201
and 202 of the Act do not apply to the adjustment of aliens to lawful
permanent resident status under section 245A(b) of the Act.
(g) Applicability of exclusion grounds. -- (1) Grounds of exclusion
not to be applied. The following paragraphs of section 212(a) of the
Act shall not apply to applicants for adjustment of status from
temporary resident to permanent resident status: (14) workers entering
without labor certification; (20) immigrants not in possession of valid
entry documents; (21) visas issued without compliance of section 203;
(25) illiterates; and (32) graduates of non-accredited medical schools.
(2) Waiver of grounds of excludability. Except as provided in
paragraph (g)(3) of this section, the Service may waive any provision of
section 212(a) of the Act only in the case of individual aliens for
humanitarian purposes, to assure family unity, or when the granting of
such a waiver is otherwise in the public interest. In any case where a
provision of section 212(a) of the Act has been waived in connection
with an alien's application for lawful temporary resident status under
section 245A(a) of the Act, no additional waiver of the same ground of
excludability will be required when the alien applies for permanent
resident status under section 245A(b)(1) of the Act. In the event that
the alien was excludable under any provision of section 212(a) of the
Act at the time of temporary residency and failed to apply for a waiver
in connection with the application for temporary resident status, or
becomes excludable subsequent to the date temporary residence was
granted, a waiver of the ground of excludability, if available, will be
required before permanent resident status may be granted.
(3) Grounds of exclusion that may not be waived. Notwithstanding any
other provisions of the Act the following provisions of section 212(a)
of the Act may not be waived by the Attorney General under paragraph
(g)(2) of this section:
(i) Paragraphs (9) and (10) (criminals);
(ii) Paragraph (15) (public charge) except for an alien who is or was
an aged, blind, or disabled individual (as defined in section 1614(a)(1)
of the Social Security Act);
(iii) Paragraph (23) (narcotics), except for a single offense of
simple possession of thirty grams or less of marijuana;
(iv) Paragraphs (27) (prejudicial to the public interest), (28)
(communists), and (29) (subversives);
(v) Paragraph (33) (participated in Nazi persecution).
(4) Determination of Likely to become a public charge and Special
Rule. Prior to use of the special rule for determination of public
charge, paragraph (g)(4)(iii) of this section, an alien must first be
determined to be excludable under section 212(a)(15) of the Act. If the
applicant is determined to be likely to become a public charge, he or
she may still be admissible under the terms of the Special Rule.
(i) In determining whether an alien is likely to become a public
charge financial responsibility of the alien is to be established by
examining the totality of the alien's circumstances at the time of his
or her application for legalization. The existence or absence of a
particular factor should never be the sole criteria for determining if
an alien is likely to become a public charge. The determination of
financial responsibility should be a prospective evaluation based on the
alien's age, health, income, and vocation.
(ii) The Special Rule for determination of public charge, paragraph
(g)(4)(iii) of this section, is to be applied only after an initial
determination that the alien is inadmissible under the provisions of
section 212(a)(15) of the act.
(iii) Special Rule. An alien who has a consistent employment history
which shows the ability to support himself or herself even though his or
her income may be below the poverty level is not excludable under
paragraph (g)(3)(ii) of this section. The alien's employment history
need not be continuous in that it is uninterrupted. It should be
continuous in the sense that the alien shall be regularly attached to
the workforce, has an income over a substantial period of the applicable
time, and has demonstrated the capacity to exist on his or her income
without recourse to public cash assistance. The Special Rule is
prospective in that the Service shall determine, based on the alien's
history, whether he or she is likely to become a public charge. Past
acceptance of public cash assistance within a history of consistent
employment will enter into this decision. The weight given in
considering applicability of the public charge provisions will depend on
many factors, but the length of time an applicant has received public
cash assistance will constitute a significant factor. It is not
necessary to file a waiver in order to apply the Special Rule for
Determination of Public Charge.
(5) Public cash assistance and criminal history verification.
Declarations by an applicant that he or she has not been the recipient
of public cash assistance and/or has not had a criminal record are
subject to a verification of facts by the Service. The applicant must
agree to fully cooperate in the verification process. Failure to assist
the Service in verifying information necessary for proper adjudication
may result in denial of the application.
(h) Departure. An applicant for adjustment to lawful permanent
resident status under section 245A(b)(1) of the Act who was granted
lawful temporary resident status under section 245A(a) of the Act, shall
be permitted to return to the United States after such brief and casual
trips abroad, as long as the alien reflects a continuing intention to
adjust to lawful permanent resident status. However, such absences from
the United States must not exceed the periods of time specified in
245a.3(b)(2) of this chapter in order for the alien to maintain
continuous residence as specified in the Act.
(i) Decision. The applicant shall be notified in writing of the
decision, and, if the application is denied, of the reason therefor.
Applications for permanent residence under this chapter will not be
denied at local INS offices (districts, suboffices, and legalization
offices) until the entire record of proceeding has been reviewed. An
application will not be denied if the denial is based on adverse
information not previously furnished to the Service by the alien without
providing the alien an opportunity to rebut the adverse information and
to present evidence in his or her behalf. If inconsistencies are found
between information submitted with the adjustment application and
information previously furnished to the Service, the applicant shall be
afforded the opportunity to explain discrepancies or rebut any adverse
information. A party affected under this part by an adverse decision is
entitled to file an appeal on Form I-694. If an application is denied,
work authorization will be granted until a final decision has been
rendered on an appeal or until the end of the appeal period if no appeal
is filed. An applicant whose appeal period has ended is no longer
considered to be an Eligible Legalized Alien for the purposes of the
administration of State Legalization Impact Assistance Grants (SLIAG)
funding. An alien whose application is denied will not be required to
surrender his or her temporary resident card (I-688) until such time as
the appeal period has tolled, or until expiration date of the I-688,
whichever date is later. After exhaustion of an appeal, an applicant
who believes that the grounds for denial have been overcome may submit
another application with fee, provided that the application is submitted
within his or her eligibility period.
(j) Appeal process. An adverse decision under this part may be
appealed to the Associate Commissioner, Examinations (Administrative
Appeals Unit) the appellate authority designated in 103.1(f)(2). Any
appeal shall be submitted to the Regional Processing Facility with the
required fee within thirty (30) days after service of the Notice of
Denial in accordance with the procedures of 103.3(a) of this chapter.
An appeal received after the thirty (30) day period has tolled will not
be accepted. The thirty (30) day period for submitting an appeal begins
three days after the notice of denial is mailed. If a review of the
Record of Proceeding (ROP) is requested by the alien or his or her legal
representative and an appeal has been properly filed, an additional
thirty (30) days will be allowed for this review from the time the
Record of Proceeding is photocopied and mailed. A brief may be
submitted with the appeal form or submitted up to thirty (30) calendar
days from the date of receipt of the appeal form at the Regional
Processing Facility. Briefs filed after submission of the appeal should
be mailed directly to the Regional Processing Facility. For good cause
shown, the time within which a brief supporting an appeal may be
submitted may be extended by the Director of the Regional Processing
Facility.
(k) Motions. The Regional Processing Facility director may reopen
and reconsider any adverse decision sua sponte. When an appeal to the
Associate Commissioner, Examinations (Administrative Appeals Unit) has
been filed, the INS director of the Regional Processing Facility may
issue a new decision that will grant the benefit which has been
requested. The director's new decision must be served on the appealing
party within forty-five (45) days of receipt of any briefs and/or new
evidence, or upon expiration of the time allowed for the submission of
any briefs.
(l) Certifications. The Regional Processing Facility director or
district director may, in accordance with 103.4 of this chapter,
certify a decision to the Associate Commissioner, Examinations
(Administrative Appeals Unit) when the case involves an unusually
complex or novel question of law or fact. The decision on an appealed
case subsequently remanded back to either the Regional Processing
Facility director or the district director will be certified to the
Administrative Appeals Unit.
(m) Date of adjustment to permanent residence. The status of an
alien whose application for permanent resident status is approved shall
be adjusted to that of a lawful permanent resident as of the date of
filing of the application for permanent residence or the eligibility
date, whichever is later. For purposes of making application to
petition for naturalization, the continuous residence requirements for
naturalization shall begin as of the date the alien's status is adjusted
to that of a person lawfully admitted for permanent residence under this
part.
(n) Limitation on access to information and confidentiality. (1) No
person other than a sworn officer or employee of the Department of
Justice or bureau of agency thereof, will be permitted to examine
individual applications. For purposes of this part, any individual
employed under contract by the Service to work in connection with the
Legalization Program shall be considered an employee of the Department
of Justice or bureau or agency thereof.
(2) No information furnished pursuant to an application for permanent
resident status under this section shall be used for any purpose except:
(i) To make a determination on the application; or (ii) for the
enforcement of the provisions encompassed in section 245A(c)(6) of the
Act, except as provided in paragraph (n)(3) of this section.
(3) If a determination is made by the Service that the alien has, in
connection with his or her application, engaged in fraud or willful
misrepresentation or concealment of a material fact, knowingly provided
a false writing or document in making his or her application, knowingly
made a false statement or representation, or engaged in any other
activity prohibited by section 245A(c)(6) of the Act, the Service shall
refer the matter to the United States Attorney for prosecution of the
alien and/or of any person who created or supplied a false writing or
document for use in an application for adjustment of status under this
part.
(4) Information contained in granted legalization files may be used
by the Service at a later date to make a decision (i) On an immigrant
visa petition or other status filed by the applicant under section
204(a) of the Act; (ii) On a naturalization application submitted by
the applicant; (iii) For the preparation of reports to Congress under
section 404 of IRCA, or; (iv) For the furnishing of information, at the
discretion of the Attorney General, in the same manner and circumstances
as census information may be disclosed by the Secretary of Commerce
under section 8 of title 13, Unites States Code.
(o) Rescission. Rescission of adjustment of status under 245a shall
occur under the guidelines established in section 246 of the Act.
(54 FR 29449, July 12, 1989; 54 FR 43384, Oct. 24, 1989; as amended
at 56 FR 31061, July 9, 1991)
08 CFR 245a.4 Adjustment to lawful resident status of certain nationals
of countries for which extended voluntary departure has been made
available.
(a) Definitions. As used in this section: (1) Act means the
Immigration and Nationality Act, as amended by the Immigration Reform
and Control Act of 1986.
(2) Service means the Immigration and Naturalization Service (INS).
(3) Resided continuously means that the alien shall be regarded as
having resided continuously in the United States if, at the time of
filing of the application for temporary resident status:
(i) No single absence from the United States has exceeded 45 days,
and the aggregate of all absences has not exceeded 180 days between July
21, 1984, through the date the application for temporary resident status
is filed, unless the alien can establish that due to emergent reasons,
his or her return to the United States could not be accomplished within
the time period allowed;
(ii) The alien was maintaining residence in the United States; and
(iii) The alien's departure from the United States was not based on
an order of deportation.
An alien who has been absent from the United States in accordance
with the Service's advance parole procedures shall not be considered as
having interrupted his or her continuous residence as required at the
time of filing an application. An alien who, after appearing for a
scheduled interview to obtain an immigrant visa at a Consulate or
Embassy in Canada or Mexico but who subsequently is not issued an
immigrant visa and who is paroled back into the United States pursuant
to the stateside criteria program, shall be considered as having resided
continuously.
(4) Continous residence means that the alien shall be regarded as
having resided continously in the United States if, at the time of
applying for adjustment from temporary residence to permanent resident
status: No single absence from the United States has exceeded 30 days,
and the aggregate of all absences has not exceeded 90 days between the
date on which lawful temporary resident status was granted and the date
permanent resident status was applied for, unless the alien can
establish that due to emergent reasons or extenuating circumstances
beyond his or her control, the return to the United States could not be
accomplished within the time period(s) allowed. A single absence from
the United States of more than 30 days, and aggregate absences of more
than 90 days during the period for which continuous residence is
required for adjustment to permanent resident status, shall break the
continuity of such residence unless the temporary resident can establish
to the satisfaction of the district director that he or she did not, in
fact, abandon his or her residence in the United States during such
period.
(5) To make a determination means obtaining and reviewing all
information required to adjudicate an application for the benefit sought
and making a decision thereon. If fraud, willful misrepresentation or
concealment of a material fact, knowingly providing a false writing or
document, knowingly making a false statement or representation, or any
other activity prohibited by the Act is established during the process
of making the determination on the application, the Service shall refer
the matter to the United States Attorney for prosecution of the alien or
of any person who created or supplied a false writing or document for
use in an application for adjustment of status under this part.
(6) Continuous physical presence means actual continuous presence in
the United States since December 22, 1987, until filing of any
application for adjustment of status. Aliens who were outside of the
United States after enactment may apply for temporary residence if they
reentered prior to March 21, 1988, provided they meet the continuous
residence requirements, and are otherwise eligible for legalization.
(7) Brief, casual, and innocent means a departure authorized by the
Service (advance parole) subsequent to March 21, 1988, for not more than
30 days for legitimate emergency or humanitarian purposes unless a
further period of authorized departure has been granted in the
discretion of the district director or a departure was beyond the
alien's control.
(8) Brief and casual means temporary trips abroad as long as the
alien establishes a continuing intention to adjust to lawful permanent
resident status. However, such absences must not exceed the specific
periods of time required in order to maintain continuous residence.
(9) Certain nationals of countries for which extended voluntary
departure has been made available on the basis of a nationality group
determination at any time during the 5-year period ending on November 1,
1987 is limited to nationals of Poland, Afghanistan, Ethiopia, and
Uganda.
(10) Public cash assistance means income or need-based monetary
assistance to include, but not limited to, supplemental security income
received by the alien through federal, state, or local programs designed
to meet subsistence levels. It does not include assistance in kind,
such as food stamps, public housing, or other non-cash benefits, nor
does it include work related compensation or certain types of medical
assistance (Medicare, Medicaid, emergency treatment, services to
pregnant women or children under 18 years of age, or treatment in the
interest of public health).
(11) Designated entity means any state, local, church, community,
farm labor organization, voluntary organization, association of
agricultural employers or individual determined by the Service to be
qualified to assist aliens in the preparation of applications for
legalization status.
(12) Through the passage of time means through the expiration date of
the nonimmigrant permission to remain in the United States, including
any extensions and/or change of status.
(13) Prima facie eligibility means eligibility is established if the
applicant presents a completed I-687 and specific factual information
which in the absence of rebuttal will establish a claim of eligibility
under this part.
(b) Application for temporary residence -- (1) Application for
temporary residence. (i) An alien who is a national of Poland, Uganda,
Ethiopia, or Afghanistan who has resided continuously in the United
States since prior to July 2l, 1984, and who believes that he or she
meets the eligibility requirements of section 245A of the Act must make
application within the 21-month period beginning on March 21, 1988, and
ending on December 22, 1989.
(ii) An alien who fails to file an application for adjustment of
status to that of a temporary resident under 245A.4 of this part during
the time period, will be statutorily ineligible for such adjustment of
status.
(2) Eligibility (i) The following categories of aliens who are not
otherwise excludable under section 212(a) of the Act are eligible to
apply for status to that of a person admitted for temporary residence:
(A) An alien who is a national of Poland, Uganda, Ethiopia, or
Afghanistan, (other than an alien who entered as a nonimmigrant) who
establishes that he or she entered the United States prior to July 21,
1984, and who has thereafter resided continuously in the United States,
and who has been physically present in the United States from December
22, 1987, until the date of filing the application.
(B) An alien who is a national of Poland, Uganda, Ethiopia, or
Afghanistan, and establishes that he or she entered the United States as
a nonimmigrant prior to July 21, 1984, and whose period of authorized
admission expired through the passage of time prior to January 21, 1985,
and who has thereafter resided continuously in the United States, and
who has been physically present in the United States from December 22,
1987, until the date of filing the application.
(C) An alien who is a national of Poland, Uganda, Ethiopia, or
Afghanistan, and establishes that he or she entered the United States as
a nonimmigrant prior to July 21, 1984, and who applied for asylum prior
to July 21, 1984, and who has thereafter resided continuously in the
United States, and who has been physically present in the United States
from December 22, 1987, until the date of filing the application.
(D) An alien who is a national of Poland, Uganda, Ethiopia, or
Afghanistan, who would otherwise be eligible for temporary resident
status and who establishes that he or she resided continuously in the
United States prior to July 21, 1984, and who subsequently reentered the
United States as a nonimmigrant in order to return to an unrelinquished
residence. An alien described in this paragraph must have received a
waiver of 212(a)(19) as an alien who entered the United States by fraud.
(E) An alien who is a national of Poland, Uganda, Ethiopia, or
Afghanistan, and was a nonimmigrant who entered the United States in the
classification A, A-1, A-2, G, G-1, G-2, G-3, or G-4, for Duration of
Status (D/S), and whose qualifying employment terminated or who ceased
to be recognized by the Department of State as being entitled to such
classification prior to January 21, 1985, and who thereafter continued
to reside in the United States.
(F) An alien who is a national of Poland, Uganda, Ethiopia, or
Afghanistan, and who was a nonimmigrant who entered the United States as
an F, F-1, or F-2 for Duration of Status (D/S), and who completed a full
course of studies, including practical training (if any), and whose time
period to depart the United States after completion of studies expired
prior to January 21, 1985, and who has thereafter continued to reside in
the United States. Those students placed in a nunc pro tunc retroactive
student status which would otherwise preclude their eligibility for
legalization under this section, must present evidence that they had
otherwise terminated their status during the requisite time period. A
dependent F-2 alien otherwise eligible who was admitted into the United
States with a specific time period, as opposed to duration of status,
documented on Service Form I-94, Arrival-Departure Record that extended
beyond July 21, 1984 is considered eligible if the principal F-1 alien
is found eligible.
(3) Ineligible aliens. (i) An alien who has been convicted of a
felony, or three or more misdemeanors.
(ii) An alien who has assisted in the persecution of any person or
persons on account of race, religion, nationality, membership in a
particular social group, or political opinion.
(iii) An alien excludable under the provisions of section 212(a) of
the Act whose grounds of excludability may not be waived.
(4) Documentation. Evidence to support an alien's eligibility for
temporary residence status shall include documents establishing proof of
identity, proof of nationality, proof of residence, and proof of
financial responsibility, as well as photographs, a completed
fingerprint card (Form FD-258), and a completed medical report of
examination (Form I-693). All documentation submitted will be subject
to Service verification. Applications submitted with unverifiable
documentation may be denied. Failure by an applicant to authorize
release to INS of information protected by the Privacy Act and/or
related laws in order for INS to adjudicate a claim may result in denial
of the benefit sought. Acceptable supporting documents for the four
categories of documentation are discussed as follows:
(i) Proof of identity. Evidence to establish identity is listed
below in descending order of preference:
(A) Passport;
(B) Birth certificate;
(C) Any national identity document from the alien's country of origin
bearing photo and fingerprint;
(D) Driver's license or similar document issued by a state if it
contains a photo;
(E) Baptismal Record/Marriage Certificate; or
(F) Affidavits.
(ii) Proof of nationality. Evidence to establish nationality is
listed as follows:
(A) Passport;
(B) Birth certificate;
(C) Any national identity document from the alien's country of origin
bearing photo and fingerprint;
(D) Other credible documents, including those created by, or in the
possession of the INS, or any other documents (excluding affidavits)
that, when taken singly, or together as a whole, establish the alien's
nationality.
(iii) Assumed names -- (A) General. In cases where an applicant
claims to have met any of the eligibility criteria under an assumed
name, the applicant has the burden of proving that the applicant was in
fact the person who used that name. The applicant's true identity is
established pursuant to the requirements of paragraph (b)(4)(i) and (ii)
of this section. The assumed name must appear in the documentation
provided by the applicant to establish eligibility. To meet the
requirement of this paragraph, documentation must be submitted to prove
the common identity, i.e., that the assumed name was in fact used by the
applicant.
(B) Proof of common identity. The most persuasive evidence is a
document issued in the assumed name which identifies the applicant by
photograph, fingerprint, or detailed physical description. Other
evidence which will be considered are affidavit(s) by a person or
persons other than the applicant, made under oath, which identify the
affiant by name and address, state the affiant's relationship to the
applicant and the basis of the affiant's knowledge of the applicant's
use of the assumed name. Affidavits accompanied by a photograph which
has been identified by the affiant as the individual known to the
affiant under the assumed name in question will carry greater weight.
(iv) Proof of residence. -- Evidence to establish proof of continuous
residence in the United States during the requisite period of time may
consist of any combination of the following:
(A) Past employment records, which may consist of pay stubs, W-2
Forms, certification of the filing of Federal income tax returns on IRS
Form 6166, a state verification of the filing of state income tax
returns, letters from employer(s) or, if the applicant has been in
business for himself or herself, letters from banks and other firms with
whom he or she has done business. In all of the above, the name of the
alien and the name of the employer or other interested organizations
must appear on the form or letter, as well as relevant dates. Letters
from employers should be on employer letterhead stationery, if the
employer has such stationery, and must include:
(1) Alien's address at the time of employment;
(2) Exact period of employment;
(3) Periods of layoff;
(4) Duties with the company;
(5) Whether or not the information was taken from official company
records; and
(6) Where records are located, whether the Service may have access to
the records.
If the records are unavailable, an affidavit form letter stating that
the alien's employment records are unavailable and why such records are
unavailable may be accepted in lieu of paragraphs (b)(4)(iv)(A)(5) and
(6) of this section. This affidavit form letter shall be signed,
attested to by the employer under penalty of perjury, and shall state
the employer's willingness to come forward and give testimony if
requested.
(B) Utility bills (gas, electric, phone, etc.) receipts, or letters
from companies showing the dates during which the applicant received
service are acceptable documentation.
(C) School records (letters, report cards, etc.) from the schools
that the applicant or his or her children have attended in the United
States must show the name of school and periods of school attendance.
(D) Hospital or medical records showing treatment or hospitalization
of the applicant or his or her children must show the name of the
medical facility or physician and the date(s) of the treatment or
hospitalization.
(E) Attestations by churches, unions, or other organizations as to
the applicant's residence by letter which:
(1) Identify applicant by name;
(2) Are signed by an official (whose title is shown);
(3) Show inclusive dates of membership;
(4) State the address where applicant resided during membership
period;
(5) Include the seal of the organization impressed on the letter or
the letterhead of the organization, if the organization has letterhead
stationery;
(6) Establish how the author knows the applicant; and
(7) Establish the origin of the information being attested to.
(F) Additional documents to support the applicant's claim may
include:
(1) Money order receipts for money sent into or out of the country;
(2) Passport entries;
(3) Birth certificates of children born in the United States;
(4) Bank books with dated transactions;
(5) Letters or correspondence between applicant and other person or
organization;
(6) Social Security card;
(7) Selective Service card;
(8) Automobile license receipts, title, vehicle registration, etc.;
(9) Deeds, mortgages, contracts to which applicant has been a party;
(10) Tax receipts;
(11) Insurance policies, receipts, or letters; and
(12) Any other relevant document.
(v) Proof of financial responsibility. An applicant for adjustment
of status under this part is subject to the provisions of section
212(a)(15) of the Act relating to excludability of aliens likely to
become public charges. Generally, the evidence of employment submitted
under paragraph (b)(4)(iv)(A) of this section will serve to demonstrate
the alien's financial responsibility during the documented period(s) of
employment. If the alien's period(s) of residence in the United States
include significant gaps in employment or if there is reason to believe
that the alien may have received public assistance while employed, the
alien may be required to provide proof that he or she has not received
public cash assistance. An applicant for residence who is determined
likely to become a public charge and is unable to overcome this
determination after application of the Special Rule under paragraph
(b)(11)(iv)(C) of this section will be denied adjustment. The burden of
proof to demonstrate the inapplicability of this provision of law lies
with the applicant who may provide:
(A) Evidence of a history of employment (i.e., employment letter, W-2
forms, income tax returns, etc.);
(B) Evidence that he/she is self-supporting (i.e., bank statements,
stocks, other assets, etc.); or
(C) Form I-134. Affidavit of Support, completed by a spouse on
behalf of the applicant and/or children of the applicant or a parent in
behalf of children which guarantees complete or partial financial
support. Acceptance of the Affidavit of Support shall be extended to
other family members in unusual family circumstances.
Generally, the evidence of employment submitted under paragraph
(b)(4)(iv)(A) of this section will serve to demonstrate the alien's
financial responsibility during the documented period(s) of employment.
If the alien's period(s) of residence in the United States include
significant gaps in employment or if there is reason to believe that the
alien may have received public assistance while employed, the alien may
be required to provide proof that he or she has not received public cash
assistance. An applicant for residence who is likely to become a public
charge will be denied adjustment.
(vi) Burden of proof. An alien applying for adjustment of status
under this part has the burden of proving by a preponderance of the
evidence that he or she has resided in the United States for the
requisite periods, is admissible to the United States under the
provisions of section 245A of the Act, and is otherwise eligible for
adjustment of status under this section. The inference to be drawn from
the documentation provided shall depend on the extent of the
documentation, its credibility and amenability to verification.
(vii) Evidence. The sufficiency of all evidence produced by the
applicant will be judged according to its probative value and
credibility. To meet his or her burden of proof, an applicant must
provide evidence of eligibility apart from his or her own testimony. In
judging the probative value and credibility of the evidence submitted,
greater weight will be given to the submission of original
documentation.
(5) Filing of application. (i) The application must be filed on Form
I-687 at an office of a designated entity or at a Service office within
the jurisdiction of the district where the applicant resides. If the
application is filed with a designated entity, the alien must have
consented to having the designated entity forward the application to the
Service office. In the case of applications filed at a Service office,
the district director may, at his or her discretion:
(A) Require the applicant to file the application in person; or
(B) Require the applicant to file the application by mail; or
(C) Permit the filing of applications whether by mail or in person.
The applicant must appear for a personal interview at the Service
office as scheduled. If the applicant is 14 years of age or older, the
application must be accompanied by a completed Form FD-258 (Applicant
Card).
(ii) At the time of the interview, whenever possible, original
documents must be submitted except the following: Official government
records; employment or employment-related records maintained by
employers, union, or collective bargaining organizations; medical
records; school records maintained by a school or school board; or
other records maintained by a party other than the applicant. Copies of
records maintained by parties other than the applicant which are
submitted in evidence must be certified as true and correct by such
parties and must bear their seal or signature or the signature and title
of persons authorized to act in their behalf. If at the time of the
interview the return of the original document is desired by the
applicant, the document must be accompanied by notarized copies or
copies certified true and correct by a qualified designated entity or by
the alien's representative in the format prescribed in 204.2(j)(1) or
(2) of this chapter. At the discretion of the district director,
original documents, even if accompanied by certified copies, may be
temporarily retained for forensic examination by the Document Analysis
Unit at the Regional Processing Facility having jurisdiction over the
Service office to which the documents were submitted.
(iii) A separate application (I-687) must be filed by each eligible
applicant. All fees required by 103.7(b)(1) of this chapter must be
submitted in the exact amount in the form of a money order, cashier's
check, or certified bank check, made payable to the Immigration and
Naturalization Service. No personal checks or currency will be
accepted. Fees will not be waived or refunded under any circumstances.
(6) Filing date of application. The date the alien submits a
completed application to a Service office or designated entity shall be
considered the filing date of the application, provided that in the case
of an application filed at a designated entity the alien has consented
to having the designated entity forward the application to the Service
office having jurisdiction over the location of the alien's residence.
Designated entities are required to forward completed applications to
the appropriate Service office within 60 days of receipt.
(7) Selective Service registration. At the time of filing an
application under this section, male applicants over the age of 17 and
under the age of 26, are required to be registered under the Military
Selective Service Act. An applicant shall present evidence that he has
previously registered under that Act in the form of a letter of
acknowledgement from the Selective Service System, or such alien shall
present a completed and signed Form SSS-1 at the time of filing Form
I-687 with the Immigration and Naturalization Service or a designated
entity. Form SSS-1 will be forwarded to the Selective Service System by
the Service.
(8) Continuous residence. (i) For the purpose of this Act, an
applicant for temporary residence status shall be regarded as having
resided continuously in the United States if, at the time of filing of
the application:
(A) No single absence from the United States has exceeded 45 days,
and the aggregate of all absences has not exceeded 180 days between July
2l, 1984, through the date the application for temporary resident status
is filed, unless the alien can establish that due to emergent reasons,
his or her return to the United States could not be accomplished within
the time period allowed;
(B) The alien was maintaining a residence in the United States; and
(C) The alien's departure from the United States was not based on an
order of deportation.
(ii) An alien who has been absent from the United States in
accordance with the Service's advance parole procedures shall not be
considered as having interrupted his or her continuous residence as
required at the time of filing an application under this section.
(9) Medical examination. (i) An applicant under this part shall be
required to submit to an examination by a designated civil surgeon at no
expense to the government. The designated civil surgeon shall report on
the findings of the mental and physical condition of the applicant and
the determination of the alien's immunization status on Form I-693,
''Medical Examination of Aliens Seeking Adjustment of Status, (Pub. L.
99-603)''. Results of the medical examination must be presented to the
Service at the time of interview and shall be incorporated into the
record. Any applicant certified under paragraphs (1), (2), (3), (4) or
(5) of section 212(a) of the Act may appeal to a Board of Medical
Officers of the U.S. Public Health Service as provided in section 234 of
the Act and part 235 of this chapter.
(ii) All applicants who file for temporary resident status are
required to include the results of a serological test for the HIV virus
on the I-693. All HIV-positive applicants shall be advised that a
waiver is available and shall be provided with the opportunity to apply
for a waiver.
(10) Interview. Each applicant, regardless of age, must appear at
the appropriate Service office and must be fingerprinted for the purpose
of issuance of Forms I-688A and I-688. Each applicant shall be
interviewed by an immigration officer, except that the interview may be
waived for a child under 14 years of age, or when it is impractical
because of the health or advanced age of the applicant.
(11) Applicability of exclusion grounds. (i) Grounds of exclusion
not to be applied. Paragraphs (14), (workers entering without labor
certification); (20), (immigrants not in possession of a valid entry
document); (21), (visas issued without compliance with section 203);
(25), (illiterates); and (32) (graduates of non-accredited medical
schools) of section 212(a) of the Act shall not apply to applicants for
temporary resident status.
(ii) Waiver of grounds of exclusion. Except as provided in paragraph
(b)(11)(iii) of this section, the Attorney General may waive any other
provision of section 212(a) of the Act only in the case of individual
aliens for humanitarian purposes, to assure family unity, or when the
granting of such a waiver is in the public interest. If an alien is
excludable on grounds which may be waived as set forth in this
paragraph, he or she shall be advised of the procedures for applying for
a waiver of grounds of excludability on Form I-690. When an application
for waiver of grounds of excludability is filed jointly with an
application for temporary residence under this section, it shall be
accepted for processing at the Service office. If an application for
waiver of grounds of excludability is submitted after the alien's
preliminary interview at the Service office, it shall be forwarded to
the appropriate Regional Processing Facility. All applications for
waivers of grounds of excludability must be accompanied by the correct
fee in the exact amount. All fees for applications filed in the United
States must be in the form of a money order, cashier's check, or bank
check. No personal checks or currency will be accepted. Fees will not
be waived or refunded under any circumstances. An application for
waiver of grounds of excludability under this part shall be approved or
denied by the director of the Regional Processing Facility in whose
jurisdiction the alien's application for adjustment of status was filed
except that in cases involving clear statutory ineligibility or fraud,
such application may be denied by the district director in whose
jurisdiction the application is filed, and in cases returned to a
Service office for re-interview, such application may be approved at the
discretion of the district director. The applicant shall be notified of
the decision and, if the application is denied, of the reason therefore.
Appeal from an adverse decision under this part may be taken by the
applicant on Form I-694 within 30 days after the service of the notice
only to the Service's Administrative Appeals Unit pursuant to the
provisions of section 103.3(a) of this chapter.
(iii) Grounds of exclusion that may not be waived. Notwithstanding
any other provision of the Act, the following provisions of section
212(a) may not be waived by the Attorney General under paragraph
(b)(11)(ii) of this section:
(A) Paragraphs (9) and (10) (criminals);
(B) Paragraph (23) (narcotics) except for a single offense of simple
possession of thirty grams or less of marijuana;
(C) Paragraphs (27) (prejudicial to the public interest), (28)
(communist), and (29) (subversive);
(D) Paragraph (33) (participated in Nazi persecution).
(iv) Determination of Likely to become a public charge and the
special rule. (A) Prior to use of the special rule for determination of
public charge, an alien must first be determined to be excludable under
section 212(a)(15) of the Act. If the applicant is determined to be
likely to become a public charge, he or she may still be admissible
under the terms of the Special Rule.
(B) In determining whether an alien is likely to become a public
charge, financial responsibility of the alien is to be established by
examining the totality of the alien's circumstances at the time of his
or her application for legalization. The existence or absence of a
particular factor should never be the sole criterion for determining if
an alien is likely to become a public charge. The determination of
financial responsibility should be a prospective evaluation based on the
alien's age, health, income and vocation.
(C) An alien who has a consistent employment history which shows the
ability to support himself or herself even though his or her income may
be below the poverty level may be admissible under this section. The
alien's employment history need not be continuous in that it is
uninterrupted. It should be continuous in the sense that the alien
shall be regularly attached to the workforce, has an income over a
substantial period of the applicable time, and has demonstrated the
capacity to exist on his or her income without recourse to public cash
assistance. The Special Rule is prospective in that the Service shall
determine, based on the alien's history, whether he or she is likely to
become a public charge. Past acceptance of public cash assistance
within a history of consistent employment will enter into this decision.
The weight given in considering applicability of the public charge
provisions will depend on many factors, but the length of time an
applicant has received public cash assistance will constitute a
significant factor. It is not necessary to file a waiver in order to
apply the Special Rule for Determination of Public Charge.
(v) Public assistance and criminal history verification.
Declarations by an applicant that he or she has not been the recipient
of public cash assistance and/or has not had a criminal record are
subject to a verification of facts by the Service. The applicant must
agree to fully cooperate in the verification process. Failure to assist
the Service in verifying information necessary for the adjudication of
the application may result in a denial of the application.
(12) Continuous physical presence since December 22, 1987. (i) An
alien applying for adjustment to temporary resident status must
establish that he or she has been continuously physically present in the
United States since December 22, 1987. Aliens who were outside of the
United States on the date of enactment or departed the United States
after enactment may apply for legalization if they reentered prior to
March 21, 1988, and meet the continuous residence requirements and are
otherwise eligible for legalization.
(ii) A brief, casual and innocent absence means a departure
authorized by the Service (advance parole) subsequent to March 21, 1988,
of not more than thirty (30) days for legitimate emergency or
humanitarian purposes unless a further period of authorized departure
has been granted in the discretion of the district director or a
departure was beyond the alien's control.
(13) Departure. (i) During the time period from the date that an
alien's application establishing prima facie eligibility for temporary
resident status is reviewed at a Service office and the date status as a
temporary resident is granted, the alien applicant can be readmitted to
the United States provided his or her departure was authorized under the
Service's advance parole provisions contained in 212.5(e) of this
chapter.
(ii) An alien whose application for temporary resident status has
been approved may be admitted to the United States upon return as a
returning temporary resident provided he or she:
(A) Is not under deportation proceedings, such proceedings having
been instituted subsequent to the approval of temporary resident status.
A temporary resident alien will not be considered deported if that
alien departs the United States while under an outstanding order of
deportation issued prior to the approval of temporary resident status;
(B) Has not been absent from the United States for more than 30 days
on the date application for admission is made;
(C) Has not been absent from the United States for an aggregate
period of more than 90 days since the date the alien was granted lawful
temporary resident status;
(D) Presents Form I-688;
(E) Presents himself or herself for inspection; and
(F) Is otherwise admissible.
(iii) The periods of time in paragraphs (b)(13)(ii)(B) and (C) of
this section may be waived at the discretion of the Attorney General in
cases where the absence from the United States was due merely to a brief
and casual trip abroad due to emergent or extenuating circumstances
beyond the alien's control.
(14) Employment and travel authorization. -- (i) General.
Authorization for employment and travel abroad for temporary resident
status applicants under this section may be granted only by a Service
office. INS district directors will determine the Service location for
the completion of processing travel documentation. In the case of an
application which has been filed with a designated entity, employment
authorization may be granted by the Service only after the application
has been properly received at the Service office.
(ii) Employment and travel authorization prior to the granting of
temporary resident status. (A) Permission to travel abroad and accept
employment may be granted to the applicant after an interview has been
conducted in connection with an application establishing prima facie
eligibility for temporary resident status. Permission to travel abroad
may be granted in emergent circumstances in accordance with the
Service's advance parole provisions contained in 212.5(e) of this
chapter after an interview has been conducted in connection with an
application establishing prima facie eligibility for temporary resident
status.
(B) If an appointment cannot be scheduled within 30 days,
authorization to accept employment will be granted, valid until the
scheduled appointment date. The appointment letter will be endorsed
with the temporary employment authorization. Form I-688A, Employment
Authorization, will be given to the applicant after an interview has
been completed by an immigration officer unless a formal denial is
issued by a Service office. This temporary employment authorization
will be restricted to six-months duration, pending final determination
on the application for temporary resident status.
(iii) Employment and travel authorization upon grant of temporary
resident status. Upon grant of an application for adjustment to
temporary resident status by a Regional Processing Facility, the
processing facility will forward a notice of approval to the alien at
his or her last known address, or to his or her legal representative.
The alien will be required to return to the Service office where the
application was initially received, surrender the I-688A previously
issued, and obtain Form I-688, Temporary Resident Card, authorizing
employment and travel abroad.
(iv) Revocation of employment authorization upon denial of temporary
resident status. Upon denial of an application for adjustment to
temporary resident status, the alien will be notified that if a timely
appeal is not submitted, employment authorization shall be automatically
revoked on the final day of the appeal period. An applicant whose
appeal period has ended is no longer considered to be an Eligible
Legalized Alien for the purposes of the administration of State
Legalization Impact Assistance Grants (SLIAG) funding.
(15) Decision. The applicant shall be notified in writing of the
decision. If the application is denied, the reason(s) for the decision
shall be provided to the applicant. An appeal from an adverse decision
under this part may be taken by the applicant on Form I-694.
(16) Appeal process. An adverse decision under this part may be
appealed to the Associate Commissioner, Examinations (Administrative
Appeals Unit), the appellate authority designated in 103.1(f)(2). Any
appeal shall be submitted to the Regional Processing Facility (RPF) with
the required fee within 30 days after service of the Notice of Denial in
accordance with the procedures of 103.3(a) of this chapter. An appeal
received after the 30-day period will not be accepted. The 30-day
period for submission of an appeal begins three days after the Notice of
Denial is mailed as provided in 103.5a(b) of this Act. If a review of
the Record of Proceeding (ROP) is requested by the alien or his or her
legal representative and an appeal has been properly filed, an
additional 30 days will be allowed for this review beginning at the time
the ROP is mailed. A brief may be submitted with the appeal form or
submitted up to 30 calendar days from the date of receipt of the appeal
form at the RPF. Briefs filed after submission of the appeal should be
mailed directly to the RPF. For good cause shown, the time within which
a brief supporting an appeal may be submitted may be extended by the
Director of the Regional Processing Facility.
(17) Motions. The Regional Processing Facility director may sua
sponte reopen and reconsider any adverse decision. When an appeal to
the Associate Commissioner, Examinations (Administrative Appeals Unit)
has been filed, the INS director of the Regional Processing Facility may
issue a new decision granting the benefit which has been requested. The
director's new decision must be served on the appealing party within 45
days of receipt of any briefs and/or new evidence, or upon expiration of
the time allowed for the submission of any briefs. Motions to reopen a
proceeding or reconsider a decision shall not be considered under this
part.
(18) Certifications. The Regional Processing Facility director may,
in accordance with 103.4 of this chapter, certify a decision to the
Associate Commissioner, Examinations (Administrative Appeals Unit) when
the case involves an unusually complex or novel question of law or fact.
The decision on an appealed case subsequently remanded to the Regional
Processing Facility director will be certified to the Administrative
Appeals Unit.
(19) Date of adjustment to temporary residence. The status of an
alien whose application for temporary resident status is approved shall
be adjusted to that of a lawful temporary resident as of the date
indicated on the application fee receipt issued at the Service office.
(20) Termination of temporary resident status. -- (i) Termination of
temporary resident status (General). The status of an alien lawfully
admitted for temporary residence under 245a.4 of this part may be
terminated at any time. It is not necessary that a final order of
deportation be entered in order to terminate temporary resident status.
The temporary resident status may be terminated upon the occurrence of
any of the following:
(A) It is determined that the alien was ineligible for temporary
residence under 245a.4 of this part;
(B) The alien commits an act which renders him or her inadmissible as
an immigrant unless a waiver is obtained, as provided in this part;
(C) The alien is convicted of any felony, or three or more
misdemeanors;
(D) The alien fails to file for adjustment of status from temporary
resident to permanent resident within 31 months of the date he or she
was granted status as a temporary resident.
(ii) Procedure. Termination of an alien's status will be made only
on notice to the alien sent by certified mail directed to his or her
last known address, and, if applicable, to his or her representative.
The alien must be given an opportunity to offer evidence in opposition
to the grounds alleged for termination of his or her status. Evidence
in opposition must be submitted within 30 days after the service of the
Notice of Intent to Terminate. If the alien's status is terminated, the
director of the Regional Processing Facility shall notify the alien of
the decision and the reason for the termination, and further notify the
alien that any Service Form issued to the alien authorizing employment
and/or travel abroad, or any Form I-688, Temporary Resident Card
previously issued to the alien will be declared void by the director of
the Regional Processing Facility within 30 days if no appeal of the
termination decision is filed within that period. The alien may appeal
the decision to the Associate Commissioner, Examinations (Administrative
Appeals Unit). Any appeal along with the required fee, shall be filed
with the Regional Processing Facility within 30 days after the service
of the notice of termination. If no appeal is filed within that period,
the official Service document shall be deemed void, and must be
surrendered without delay to an immigration officer or to the issuing
office of the Service.
(iii) Termination not construed as rescission under section 246. For
the purposes of this part the phrase termination of status of an alien
granted lawful temporary residence under this section shall not be
construed to necessitate a rescission of status as described in section
246 of the Act, and the proceedings required by the regulations issued
thereunder shall not apply.
(iv) Return to unlawful status after termination. Termination of the
status of any alien previously adjusted to lawful temporary residence
shall act to return such alien to the status held prior to the
adjustment, and render him or her amenable to exclusion or deportation
proceedings under sections 236 or 242 of the Act, as appropriate.
(21) Ineligibility for immigration benefits. An alien whose status
is adjusted to that of a lawful temporary resident under 245a.4 of this
part is not entitled to submit a petition pursuant to section 203(a)(2),
nor is such alien entitled to any other benefit or consideration
accorded under the Act to aliens lawfully admitted for permanent
residence.
(22) Declaration of intending citizen. An alien who has been granted
the status of temporary resident under 245a.4 of this part may assert a
claim of discrimination on the basis of citizenship status under section
274B of the Act only if he or she has previously filed Form I-772
(Declaration of Intending Citizen) after being granted such status. The
Declaration of Intending Citizen is not required as a basis for filing a
petition for naturalization; nor shall it be regarded as a right to
United States citizenship; nor shall it be regarded as evidence of a
person's status as a resident.
(23) Limitation on access to information and confidentiality. (i) No
person other than a sworn officer or employee of the Department of
Justice or bureau or agency thereof, will be permitted to examine
individual applications. For purposes of this part, any individual
employed under contract by the Service to work in connection with the
Legalization Program shall be considered an employee of the Department
of Justice or bureau or agency thereof.
(ii) No information furnished pursuant to an application for
temporary or permanent resident status under this section shall be used
for any purpose except:
(A) To make a determination on the application; or,
(B) for the enforcement of the provisions encompassed in section
245A(c)(6) of the Act, except as provided in paragraph (b)(23)(iii) of
this section.
(iii) If a determination is made by the Service that the alien has,
in connection with his or her application, engaged in fraud or willful
misrepresentation or concealment of a material fact, knowingly provided
a false writing or document in making his or her application, knowingly
made a false statement or representation, or engaged in any other
activity prohibited by section 245A(c)(6) of the Act, the Service shall
refer the matter to the United States Attorney for prosecution of the
alien or of any person who created or supplied a false writing or
document for use in an application for adjustment of status under this
part.
(iv) Information contained in granted legalization files may be used
by the Service at a later date to make a decision on an immigrant visa
petition (or other status petition) filed by the applicant under section
204(a), or for naturalization applications submitted by the applicant.
(c) Adjustment from temporary to permanent resident status. The
provisions of 245a.3 of this part shall be applied to aliens adjusting
to permanent residence under this part.
(54 FR 6505, Feb. 13, 1989, as amended at 54 FR 29455, July 12, 1989;
54 FR 47676, Nov. 16, 1989)
08 CFR 245a.5 Temporary disqualification of certain newly legalized
aliens from receiving benefits from programs of financial assistance
furnished under federal law.
(a) Except as provided in 245a.5(b), any alien who has obtained the
status of an alien lawfully admitted for temporary residence pursuant to
section 245A of the Act (Adjustment of Status of Certain Entrants Before
January 1, 1982, to that of Person Admitted for Lawful Residence) or
210A of the Act (Determinations of Agricultural Labor Shortages and
Admission of Additional Special Agricultural Workers) is ineligible, for
a period of five years from the date such status was obtained, for
benefits financed directly or indirectly, in whole or in part, through
the programs identified in 245a.5(c) of this chapter.
(b)(1) Section 245a.5(a) shall not apply to a Cuban or Haitian
entrant (as defined in paragraph (1) or (2)(A) of section 501(e) of Pub.
L. 96-422, as in effect on April 1, 1983), or in the case of assistance
(other than aid to families with dependent children) which is furnished
to an alien who is an aged, blind, or disabled individual (as defined in
section 1614(a)(1) of the Social Security Act).
(2) With respect to any alien who has obtained the status of an alien
lawfully admitted for temporary residence pursuant to section 210A of
the Act only, assistance furnished under the Legal Services Corporation
Act (42 U.S.C. 2996, et seq.) or Title V of the Housing Act of 1949 (42
U.S.C. l471 et seq.) shall not be construed to be financial assistance
referred to in 245a.5(a).
(3) Section 245a.5(a) shall not apply to benefits financed through
the programs identified in 245a.5(c), which are marked with an asterisk
(*), except to the extent that such benefits:
(i) Consist of, or are financed by, financial assistance in the form
of grants, wages, loan, loan guarantees, or otherwise, which is
furnished by the Federal Government directly, or indirectly through a
State or local government or a private entity, to eligible individuals
or to private suppliers of goods or services to such individuals, or is
furnished to a State or local government that provides to such
individuals goods or services of a kind that is offered by private
suppliers, and
(ii) Are targeted to individuals in financial need; either (A) in
order to be eligible, individuals must establish that their income or
wealth is below some maximum level, or, with respect to certain loan or
loan guarantee programs, that they are unable to obtain financing from
alternative sources, or at prevailing interest rates, or at rates that
would permit the achievement of program goals, or (B) distribution of
assistance is directed, geographically or otherwise, in a way that is
intended to primarily benefit persons in financial need, as evidenced by
references to such intent in the authorizing legislation.
(c) The programs of Federal financial assistance referred to in
245a.5(a) are those identified in the list set forth below. The General
Services Administration (GSA) Program Numbers set forth in the right
column of the program list refer to the program identification numbers
used in the Catalog of Federal Domestic Assistance, published by the
United States General Services Administration, as updated through
December, 1986.
(54 FR 29437, July 12, 1989, as amended at 54 FR 49964, Dec. 4, 1989)
08 CFR 245a.5 PART 246 -- RESCISSION OF ADJUSTMENT OF STATUS
Sec.
246.1 Notice.
246.2 Allegations admitted; no answer filed; no hearing requested.
246.3 Allegations contested or denied; hearing requested.
246.4 Special inquiry officer's authority; withdrawal and
substitution.
246.5 Hearing.
246.6 Decision and order.
246.7 Appeals.
246.8 Reopening or reconsideration.
246.9 Surrender of Form I-151 or I-551.
Authority: Secs. 103, 244, 245, 246, 249, 66 Stat. 173, 214, 217,
219; 8 U.S.C. 1103, 1254, as amended, 1255, as amended, 1256, 1259, as
amended.
Source: 27 FR 10789, Nov. 6, 1962, unless otherwise noted.
08 CFR 246.1 Notice.
If it appears to a district director that a person residing in his
district was not in fact eligible for the adjustment of status made in
his case, a proceeding shall be commenced by the personal service upon
such person of a notice of intention to rescind which shall inform him
of the allegations upon which it is intended to rescind the adjustment
of his status. In such a proceeding the person shall be known as the
respondent. The notice shall also inform the respondent that he may
submit, within thirty days from the date of service of the notice, an
answer in writing under oath setting forth reasons why such rescission
shall not be made, and that he may, within such period, request a
hearing before a special inquiry officer in support of, or in lieu of
his written answer. The respondent shall further be informed that he
may have the assistance of or be represented by counsel or
representative of his choice qualified under part 292 of this chapter,
without expense of the Government, in the preparation of his answer or
in connection with his hearing, and that he may present such evidence in
his behalf as may be relevant to the rescission.
(28 FR 6737, June 29, 1963, as amended at 37 FR 11471, June 8, 1972)
08 CFR 246.2 Allegations admitted; no answer filed; no hearing
requested.
If the answer admits all the allegations in the notice, or if no
answer is filed within the thirty-day period, or if no hearing is
requested within such period, and the status of that of a permanent
resident was acquired through suspension of deportation under section
19(c) of the Immigration Act of February 5, 1917, or under section 244
of the Immigration and Nationality Act, the district director shall
forward the respondent's file containing a copy of the notice and the
answer, if any, to the regional commissioner for further action in
accordance with section 246 of the Immigration and Nationality Act. If
the answer admits the allegations in the notice, or if no answer is
filed within the thirty-day period, or if no hearing is requested within
such period, and the status of that of a permanent resident was acquired
through adjustment of status under section 245 or 249 of the Immigration
and Nationality Act, the district director shall rescind the adjustment
of status previously granted, and no appeal shall lie from his decision.
08 CFR 246.3 Allegations contested or denied; hearing requested.
If, within the prescribed time following service of the notice
pursuant to 246.1, the respondent has filed an answer which contests or
denies any allegation in the notice, or a hearing is requested, a
hearing pursuant to 246.5 shall be conducted by a special inquiry
officer and the procedures specified in 242.10, 242.11, 242.12,
242.13, 242.14 (c), (d) and (e), and 242.15 of this chapter shall apply.
(29 FR 13243, Sept. 24, 1964)
08 CFR 246.4 Special inquiry officer's authority; withdrawal and
substitution.
In any proceeding conducted under this part, the special inquiry
officer shall have authority to interrogate, examine, and cross-examine
the respondent and other witnesses, to present and receive evidence, to
determine whether adjustment of status shall be rescinded, to make
decisions thereon, including an appropriate order, and to take any other
action consistent with applicable provisions of law and regulations as
may be appropriate to the disposition of the case. Nothing contained in
this part shall be construed to diminish the authority conferred on
special inquiry officers by the Act. The special inquiry officer
assigned to conduct a hearing shall, at any time, withdraw if he deems
himself disqualified. If a hearing has begun but no evidence has been
adduced other than the notice and answer, if any, pursuant to 246.1
and 246.2, or if a special inquiry officer becomes unavailable to
complete his duties within a reasonable time, or if at any time the
respondent consents to a substitution, another special inquiry officer
may be assigned to complete the case. The new special inquiry officer
shall familiarize himself with the record in the case and shall state
for the record that he has done so.
08 CFR 246.5 Hearing.
(a) Trial attorney. The Government shall be represented at the
hearing by a trial attorney who shall have authority to present
evidence, and to interrogate, examine, and cross-examine the respondent
and other witnesses. The trial attorney is authorized to appeal from a
decision of the special inquiry officer pursuant to 246.7 and to move
for reopening or reconsideration pursuant to 246.8.
(b) Opening. The special inquiry officer shall advise the respondent
of the nature of the proceeding and the legal authority under which it
is conducted; advise the respondent of his right to representation, at
no expense to the Government, by counsel of his own choice qualified
under part 292 of this chapter and require him to state then and there
whether he desires representation; advise the respondent that he will
have a reasonable opportunity to examine and object to the evidence
against him, to present evidence in his own behalf, and to cross-examine
witnesses presented by the Government; place the respondent under oath;
read the allegations in the notice to the respondent and explain them
in nontechnical language, and enter the notice and respondent's answer,
if any, as exhibits in the record.
(c) Pleading by respondent. The special inquiry officer shall
require the respondent to state for the record whether he admits or
denies the allegations contained in the notice, or any of them, and
whether he concedes that his adjustment of status should be rescinded.
If the respondent admits all of the allegations and concedes that the
adjustment of status in his case should be rescinded under the
allegations set forth in the notice, and the special inquiry officer is
satisfied that no issues of law or fact remain, he may determine that
rescission as alleged has been established by the respondent's
admissions. The allegations contained in the notice shall be taken as
admitted when the respondent, without reasonable cause, fails or refuses
to attend or remain in attendance at the hearing.
08 CFR 246.6 Decision and order.
The decision of the special inquiry officer may be oral or written.
Except when a determination of rescission is based on the respondent's
admissions pursuant to 246.5(c), the decision shall include a
discussion of the evidence and findings as to rescission. The formal
enumeration of findings is not required. The order shall direct either
that the proceeding be terminated or that the adjustment of status be
rescinded. If status was adjusted through suspension of deportation,
the rescission order shall further provide that the matter be referred
to Congress pursuant to section 246 of the Immigration and Nationality
Act. Service of the decision and finality of the order of the special
inquiry officer shall be in accordance with, and as stated in 242.19
(a) and (b) and 242.20 of this chapter.
08 CFR 246.7 Appeals.
Pursuant to part 3 of this chapter, an appeal shall lie from a
decision of a special inquiry officer under this part to the Board of
Immigration Appeals. An appeal shall be taken within 10 days after the
mailing of a written decision or the stating of an oral decision. The
reasons for the appeal shall be stated briefly in the Notice of Appeal,
Form I-290A; failure to do so may constitute a ground for dismissal of
the appeal by the Board. When service of the decision is made by mail,
as authorized by this section, 3 days shall be added to the period
prescribed for the taking of an appeal.
(29 FR 7236, June 3, 1964)
08 CFR 246.8 Reopening or reconsideration.
Except as otherwise provided in this section, a motion to reopen or
reconsider shall be subject to the requirements of 103.5 of this
chapter. The special inquiry officer may upon his own motion, or upon
motion of the trial attorney or the respondent, reopen or reconsider any
case in which he has made a decision, unless jurisdiction in the case is
vested in the Board under part 3 of this chapter. A motion to reopen
will not be granted by a special inquiry officer unless he is satisfied
that evidence sought to be offered is material and was not available and
could not have been discovered or presented at the hearing.
08 CFR 246.9 Surrender of Form I-151 or I-551.
A respondent whose status as a permanent resident has been rescinded
in accordance with section 246 of the Immigration and Nationality Act
and this part, shall, upon demand, promptly surrender to the district
director having administrative jurisdiction over the office in which the
action under this part was taken, the Form I-151 or I-551 issued to him
at the time of the grant of permanent resident status.
(27 FR 10789, Nov. 6, 1962, as amended at 45 FR 32657, May 19, 1980)
08 CFR 246.9 PART 247 -- ADJUSTMENT OF STATUS OF CERTAIN RESIDENT
ALIENS
Sec.
247.1 Scope of part.
247.11 Notice.
247.12 Disposition of case.
247.13 Disposition of Form I-508.
247.14 Surrender of documents.
Authority: Secs. 101, 103, 247, 66 Stat. 166, 173, 218; 8 U.S.C.
1101, 1103, 1257.
08 CFR 247.1 Scope of part.
The provisions of this part apply to an alien who is lawfully
admitted for permanent residence and has an occupational status which,
if he were seeking admission to the United States, would entitle him to
a nonimmigrant status under paragraph (15)(A) or (15)(G) of section
101(a) of the Act, and to his immediate family; also, an alien who was
lawfully admitted for permanent residence and has an occupational status
which, if he were seeking admission to the United States, would entitle
him to a nonimmigrant status under paragraph (15)(E) of section 101(a)
of the Act, and to his spouse and children.
(22 FR 9801, Dec. 6, 1957)
08 CFR 247.11 Notice.
If it appears to a district director that an alien residing in his
district, who was lawfully admitted for permanent residence, has an
occupational status described in section 247 of the Act, he shall cause
a notice on Form I-509 to be served on such alien by personal service
informing him that it is proposed to adjust his status, unless the alien
requests that he be permitted to retain his status as a resident alien
and executes and files with such district director a Form I-508 (Waiver
of Rights, Privileges, Exemptions and Immunities) and, if a French
national receiving salary from the French Republic, Form I-508F
(election as to tax exemption under the Convention between the United
States and the French Republic), within 10 days after service of the
notice, or the alien, within such 10-day period, files with the district
director a written answer under oath setting forth reasons why his
status should not be adjusted. The notice shall also advise the person
that he may, within such period and upon his request have an opportunity
to appear in person, in support or in lieu of his written answer, before
an immigration officer designated for that purpose. The person shall
further be advised that he may have the assistance of counsel without
expense to the Government of the United States in the preparation of his
answer or in connection with such personal appearance, and may examine
the evidence upon which it is proposed to base such adjustment.
(22 FR 9801, Dec. 6, 1957, as amended at 37 FR 11471, June 8, 1972)
08 CFR 247.12 Disposition of case.
(a) Allegations admitted or no answer filed. If the waiver Form
I-508 and, if applicable, Form I-508F is not filed by the alien within
the time prescribed, and the answer admits the allegations in the
notice, or no answer is filed, the district director shall place a
notation on the notice describing the alien's adjusted nonimmigrant
status and shall cause a set of Forms I-94 to be prepared evidencing the
nonimmigrant classification to which the alien has been adjusted and no
appeal shall lie from such decision. Form I-94A shall be delivered to
the alien and shall constitute notice to him of such adjustment. The
alien's nonimmigrant status shall be for such time, under such
conditions, and subject to such regulations as are applicable to the
particular nonimmigrant status granted and shall be subject to such
other terms and conditions, including the exaction of bond as the
district director may deem appropriate.
(b) Answer filed; personal appearance. Upon receipt of an answer
asserting a defense to the allegations made in the notice without
requesting a personal appearance, or if a personal appearance is
requested or directed, the case shall be assigned to an immigration
officer. Pertinent evidence, including testimony of witnesses, shall be
incorporated in the record. The immigration officer shall prepare a
report summarizing the evidence and containing his findings and
recommendation. The record, including the report and recommendation of
the immigration officer, shall be forwarded to the district director who
caused the notice to be served. The district director shall note on the
report of the immigration officer whether he approves or disapproves the
recommendation of the immigration officer. If the decision of the
district director is that the matter be terminated, the alien shall be
informed of such decision. If the decision of the district director is
that the status of the alien should be adjusted to that of a
nonimmigrant, his decision shall provide that unless the alien, within
10 days of receipt of notification of such decision, requests permission
to retain his status as an immigrant and files with the district
director Form I-508 and, if applicable, Form I-508F, the alien's
immigrant status be adjusted to that of a nonimmigrant. The alien shall
be informed of such decision and of the reasons therefor, and of his
right to appeal in accordance with the provisions of part 103 of this
chapter. If the alien does not request that he be permitted to retain
status and file the Form I-508 and, if applicable, Form I-508F within
the period provided therefor, the district director, without further
notice to the alien, shall cause a set of Forms I-94 to be prepared
evidencing the nonimmigrant classification to which the alien has been
adjusted. Form I-94A shall be delivered to the alien. The alien's
nonimmigrant status shall be for such time, under such conditions, and
subject to such regulations as are applicable to the particular
nonimmigrant status created and shall be subject to such other terms and
conditions, including the exaction of bond, as the district director may
deem appropriate.
(22 FR 9801, Dec. 6, 1957, as amended at 23 FR 9124, Nov. 26, 1958;
35 FR 13829, Sept. 1, 1970)
08 CFR 247.13 Disposition of Form I-508.
If Form I-508 is executed and filed, the duplicate copy thereof
(noted to show the election made on Form I-508F, if applicable) shall be
filed in the office of the Assistant Commissioner, Administrative
Division, and may be made available for inspection by any interested
officer or agency of the United States.
(35 FR 13829, Sept. 1, 1970)
08 CFR 247.14 Surrender of documents.
An alien whose status as a permanent resident has been adjusted to
that of a nonimmigrant in accordance with section 247 of the Act and
this part, shall, upon demand, promptly surrender to the district
director having administrative jurisdiction over the office in which the
action under this part was taken any documents (such as Form I-151 or
I-551 or any other form of alien-registration receipt card, immigrant
identification card, resident alien's border-crossing identification
card (Form I-187), certificate of registry, or certificate of lawful
entry) in his possession evidencing his former permanent resident
status.
(22 FR 9802, Dec. 6, 1957, as amended at 45 FR 32657, May 19, 1980)
08 CFR 247.14 PART 248 -- CHANGE OF NONIMMIGRANT CLASSIFICATION
Sec.
248.1 Eligibility.
248.2 Ineligible classes.
248.3 Application.
Authority: 8 U.S.C. 1101, 1103, 1184, 1187, 1258.
08 CFR 248.1 Eligibility.
(a) General. Except for those classes enumerated in 248.2, any
alien lawfully admitted to the United States as a nonimmigrant,
including an alien who acquired such status pursuant to section 247 of
the Act, who is continuing to maintain his nonimmigrant status, may
apply to have his nonimmigrant classification changed to any
nonimmigrant classification other than that of a fiancee or fiance under
section 101(a)(15)(K) of the Act.
(b) Maintenance of status. In determining whether an applicant has
continued to maintain nonimmigrant status, the district director shall
consider whether the alien has remained in the United States for a
longer period than that authorized by the Service. The district
director shall consider any conduct by the applicant relating to the
maintenance of the status from which the applicant is seeking a change.
An applicant may not be considered as having maintained nonimmigrant
status within the meaning of this section if the applicant failed to
submit an application for change of nonimmigrant classification before
the applicant's authorized temporary stay in the United States expired,
unless the district director determines that --
(1) The failure to file a timely application is excusable;
(2) The alien has not otherwise violated the nonimmigrant status;
(3) The alien is a bona fide nonimmigrant; and
(4) The alien is not the subject of deportation proceedings under
part 242 of this chapter.
(c) Change of nonimmigrant classification to that of a nonimmigrant
student. A nonimmigrant applying for a change to classification as a
student under sections 101(a)(15)(F)(i) or 101(a)(15)(M)(i) of the Act
is not considered ineligible for such a change solely because the
applicant may have started attendance at school before the application
was submitted. The district director shall deny an application for a
change to classification as a student under section 101(a)(15)(M)(i) of
the Act if the applicant intends to pursue the course of study solely in
order to qualify for a subsequent change of nonimmigrant classification
to that of an alien temporary worker under section 101(a)(15)(H) of the
Act. Furthermore, an alien may not change from classification as a
student under section 101(a)(15)(M)(i) of the Act to that of a student
under section 101(a)(15)(F)(i) of the Act.
(d) Application for change of nonimmigrant classification from that
of a student under section 101(a)(15)(M)(i) to that described in section
101(a)(15)(H). A district director shall deny an application for change
of nonimmigrant classification from that of an M-1 student to that of an
alien temporary worker under section 101(a)(15)(H) of the Act if the
education or training which the student received while an M-1 student
enables the student to meet the qualifications for temporary worker
classification under section 101(a)(15)(H) of the Act.
(e) Change of nonimmigrant classification to that as described in
section 101(a)(15)(N). An application for change to N status shall not
be denied on the grounds the applicant is an intending immigrant.
Change of status shall be granted for three years not to exceed
termination of eligibility under section 101(a)(15)(N) of the Act.
Employment authorization pursuant to section 274(A) of the Act may be
granted to an alien accorded nonimmigrant status under section
101(a)(15)(N) of the Act. Employment authorization is automatically
terminated when the alien changes status or is no longer eligible for
classification under section 101(a)(15)(N) of the Act.
(36 FR 9001, May 18, 1971, as amended at 48 FR 14592, Apr. 5, 1983;
52 FR 11621, Apr. 10, 1987)
08 CFR 248.2 Ineligible classes.
The following categories of aliens are not eligible to change their
nonimmigrant status under section 248 of the Act:
(a) Any alien in immediate and continuous transit through the United
States without a visa;
(b) Any alien classified as a nonimmigrant under section 101(a)(15)
(C), (D), or (K) of the Act;
(c) Any alien admitted as a nonimmigrant under section 101(a)(15)(J)
of the Act, or who acquired such status after admission in order to
receive graduate medical education or training, whether or not the alien
was subject to, received a waiver of, or fulfilled the two-year foreign
residence requirement of section 212(e) of the Act; and
(d) Any alien classified as a nonimmigrant under section
101(a)(15)(J) of the Act (other than an alien described in paragraph (c)
of this section) who is subject to the foreign residence requirement of
section 212(e) of the Act and who has not received a waiver of the
residence requirement, except when the alien applies to change to a
classification under section 101(a)(15)(A) or (G) of the Act.
(e) Any alien admitted as a visitor under the visa waiver provisions
of 212.1(e) of this chapter.
(f) Any alien admitted as a Visa Waiver Pilot Program visitor under
the provisions of section 217 of the Act and part 217 of this chapter.
(47 FR 44238, Oct. 7, 1982, as amended at 48 FR 41017, Sept. 13,
1983; 52 FR 48084, Dec. 18, 1987; 53 FR 24903, June 30, 1988)
08 CFR 248.3 Application.
(a) General. A nonimmigrant alien who seeks to change the visa
classification under which he or she was admitted to the United States
shall apply for a change of nonimmigrant classification on Form I-506,
Applicant for Change of Nonimmigrant Status. The applicant shall submit
documentary evidence establishing eligibility for the change of
classification being requested. Form I-506 must be filed with the
district director having jurisdiction over the applicant's place of
temporary residence in the United States, except for change of status to
classification under section 101(a)(15) (H) or (L) of the Act.
(b) Change to H or L. An applicant for change of nonimmigrant
classification to H or L shall submit Form I-506 accompanied by either
Form I-129B, Petition to Classify Nonimmigrant as Temporary Worker or
Trainee, or a copy of the Form I-171C, Notice of Approval or Extension
of Nonimmigrant Visa Petition of H or L Alien, to the district director
having jurisdiction over the place of employment. If the services will
be performed or the training will be received in more than one location
in the United States, the petition and application shall be filed with a
Service office having jurisdiction over at least one of those areas. In
the case of a ''blanket L'' applicant, the I-506 may be filed with the
district director having jurisdiction over at least one of the areas
where the services will be performed, or may be filed with the district
director where the blanket petition was filed.
(c) Application and fee not required. For a change of nonimmigrant
classification to a classification under section 101(a)(15)(A) or
101(a)(15)(G) of the Act, the Department of State must send a letter to
the district director. For all other changes of nonimmigrant
classification as described below, the applicant must submit a letter to
the district director requesting the change of nonimmigrant
classification. Neither an application nor a fee is required for the
following changes of nonimmigrant classification:
(1) A change to classification under section 101(a)(15) (A) or (G) of
the Act.
(2) A change to classification under sections 101(a)(15) (A) or (G)
of the Act for an immediate family member, as defined in 22 CFR 41.1, of
a principal alien whose status has been changed to such a
classification.
(3) A change to the appropriate classification for the nonimmigrant
spouse or child of an alien whose status has been changed to a
classification under sections 101(a)(15) (E), (F), (H), (I), (J), (L),
or (M) of the Act.
(4) A change of classification from that of a visitor for pleasure
under section 101(a)(15)(B) of the Act to that of a visitor for business
under the same section.
(5) A change of classification from that of a student under section
101(a)(15)(F)(i) of the Act to that of an accompanying spouse or minor
child under section 101(a)(15)(F)(ii) of the Act or vice versa.
(6) A change from any classification within section 101(a)(15)(H) of
the Act to any other classification within section 101(a)(15)(H) of the
Act provided that the requisite Form I-129B visa petition has been filed
and approved.
(7) A change from classification as a participant under section
101(a)(15)(J) of the Act to classification as an accompanying spouse or
minor child under that section or vice versa.
(8) A change from classification as an intra-company transferee under
section 101(a)(15)(L) of the Act to classification as an accompanying
spouse or minor child under that section or vice versa.
(9) A change of classification from that of a student under section
101(a)(15)(M)(i) of the Act to that of an accompanying spouse or minor
child under section 101(a)(15)(M)(ii) of the Act or vice versa.
(d) Fee not required. No fee is required for a request for change to
exchange alien classification under section 101(a)(15)(J) of the Act
made by an agency of the United States Government. In such a case, the
agency may submit Form IAP-66, Certificate of Eligibility for
Exchange-Visitor (J-1) Status, together with its request in lieu of Form
I-506, Application for Change of Nonimmigrant Status.
(e) Change of classification not required. The following do not need
to request a change of classification:
(1) An alien classified as a visitor for business under section
101(a)(15)(B) of the Act who intends to remain in the United States
temporarily as a visitor for pleasure during the period of authorized
admission; or
(2) An alien classified under sections 101(a)(15)(A) or 101(a)(15)(G)
of the Act as a member of the immediate family of a principal alien
classified under the same section, or an alien classified under section
101(a)(15) (E), (F), (H), (I), (J), (L), or (M) of the Act as the spouse
or child who accompanied or followed to join a principal alien who is
classified under the same section, to attend school in the United
States, as long as the immediate family member, spouse or child
continues to be qualified for and maintains the status under which the
family member, spouse or child is classified.
(f) Approval of application. If the application is granted, the
applicant shall be notified of the decision and granted a new period of
time to remain in the United States without the requirement of filing a
separate application and paying a separate fee for an extension of stay.
The applicant's nonimmigrant status under his new classification shall
be subject to the terms and conditions applicable generally to such
classification and to such other additional terms and conditions,
including exaction of bond, which the district director deems
appropriate to the case.
(g) Denial of application. When the application is denied, the
applicant shall be notified of the decision and the reasons for the
denial. There is no appeal from the denial of the application under
this chapter.
(36 FR 9001, May 18, 1971, as amended at 48 FR 14593, Apr. 5, 1983;
48 FR 41017, Sept. 13, 1983; 48 FR 44763, Sept. 30, 1983; 50 FR 25697,
June 21, 1985)
08 CFR 248.3 PART 249 -- CREATION OF RECORDS OF LAWFUL ADMISSION FOR
PERMANENT RESIDENCE
Sec.
249.1 Waiver of inadmissibility.
249.2 Application.
249.3 Reopening and reconsideration.
Authority: Secs. 103, 212, 249, 66 Stat. 173, 182, as amended, 219,
as amended; 8 U.S.C. 1103, 1182, 1259.
08 CFR 249.1 Waiver of inadmissibility.
In conjunction with an application under section 249 of the Act, an
otherwise eligible alien who is inadmissible under paragraph (9), (10),
or (12) of section 212(a) of the Act or so much of paragraph (23) of
section 212(a) of the Act as relates to a single offense of simple
possession of 30 grams or less of marihuana may request a waiver of such
ground of inadmissibility under section 212(h) of the Act. Any alien
within the classes described in subparagraphs (B) through (H) of section
212(a)(28) of the Act may apply for the benefits of section
212(a)(28)(I)(ii) in conjunction with an application under section 249
of the Act.
(47 FR 44238, Oct. 7, 1982)
08 CFR 249.2 Application.
(a) Jurisdiction. An application by an alien who has been served
with an order to show cause or warrant of arrest shall be considered
only in proceedings under part 242 of this chapter. In any other case,
an alien who believes he or she meets the eligibility requirements of
section 249 of the Act shall apply to the district director having
jurisdiction over his or her place of residence. The application shall
be made on Form I-485 and shall be accompanied by Form G-325A, which
shall be considered part of the application. The application shall also
be accompanied by documentary evidence establishing continuous residence
in the United States since prior to January 1, 1972, or since entry and
prior to July 1, 1924. All documents must be submitted in accordance
with 103.2(b) of this chapter. Documentary evidence may include any
records of official or personal transactions or recordings of events
occurring during the period of claimed residence. Affidavits of
credible witnesses may also be accepted. Persons unemployed and unable
to furnish evidence in their own names may furnish evidence in the names
of parents or other persons with whom they have been living, if
affidavits of the parents or other persons are submitted attesting to
the residence. The numerical limitations of sections 201 and 202 of the
Act shall not apply.
(b) Decision. The applicant shall be notified of the decision and,
if the application is denied, of the reasons therefor. If the
application is granted, a Form I-551, showing that the applicant has
acquired the status of an alien lawfully admitted for permanent
residence, shall not be issued until the applicant surrenders any other
document in his or her possession evidencing compliance with the alien
registration requirements of former or existing law. No appeal shall
lie from the denial of an application by the district director, but such
denial shall be without prejudice to the alien's right to renew the
application in proceedings under part 242 of this chapter.
(52 FR 6322, Mar. 3, 1987)
08 CFR 249.3 Reopening and reconsideration.
An applicant who alleged entry and residence since prior to July 1,
1924, but in whose case a record was created as of the date of approval
of the application because evidence of continuous residence prior to
July 1, 1924, was not submitted, may have his case reopened and
reconsidered pursuant to 103.5 of this chapter. Upon the submission of
satisfactory evidence, a record of admission as of the date of alleged
entry may be created.
(29 FR 11494, Aug. 11, 1964)
08 CFR 249.3 PART 250 -- REMOVAL OF ALIENS WHO HAVE FALLEN INTO
DISTRESS
Sec.
250.1 Application.
250.2 Removal authorization.
Authority: Secs. 103, 250, 66 Stat. 173, 219; 8 U.S.C. 1103, 1260.
08 CFR 250.1 Application.
Application for removal shall be made on Form I-243. No appeal shall
lie from the decision of the district director.
(22 FR 9802, Dec. 6, 1957)
08 CFR 250.2 Removal authorization.
If the district director grants the application he shall issue an
authorization for the alien's removal on Form I-202. Upon issuance of
the authorization, or as soon thereafter as practicable, the alien may
be removed from the United States at government expense.
(22 FR 9802, Dec. 6, 1957)
08 CFR 250.2 PART 251 -- ARRIVAL MANIFESTS AND LISTS: SUPPORTING
DOCUMENTS
Sec.
251.1 Arrival manifests and lists.
251.2 Notification of illegal landings.
251.3 Departure manifests and lists for vessels.
251.4 Departure manifests and lists for aircraft.
251.5 Exemptions for private vessels and aircraft.
08 CFR 251.1 Arrival manifests and lists.
(a) (Reserved)
(b) Aircraft. The captain or agent of every aircraft arriving in the
United States from a foreign place or from an outlying possession of the
United States, except an aircraft arriving in the United States directly
from Canada on a flight originating in that country, shall present to
the immigration officer at the port where the inspection is performed a
manifest on the Bureau of Customs Form 7507 or on the International
Civil Aviation Organization's General Declaration of all the alien
crewmembers on board, including alien crewmembers who are returning to
the United States after taking an aircraft of the same line from the
United States to a foreign place or alien crewmembers who are entering
the United States as passengers solely for the purpose of taking an
aircraft of the same line from the United States to a foreign port. The
captain or agent of an aircraft that only refuels at the United States
port pursuant to 235.1(d)(7) of this part must annotate the manifest to
indicate the time, date and place of refueling. The surname, given
name, and middle initial of each alien crewman listed also shall be
shown on the manifest. In addition, the captain or agent of the
aircraft shall indicate in writing immediately below the name of the
last alien listed on the Form or Declaration, the number of United
States citizen crewmen on board, if any. If there are no alien crewmen
aboard, the captain or agent shall indicate in writing on the Form or
Declaration the number of United States citizen crewmen, followed by a
statement that there are no alien crewmen.
(c) Additional documents. The master, captain, or agent shall
prepare as a part of the manifest, when one is required for presentation
to an immigration officer, a completely executed set of Forms I-95 for
each alien crewman on board, except: (1) An alien immigrant crewman in
possession of a valid immigrant visa, reentry permit, or alien
registration receipt card on Form I-151 or I-551; (2) a Canadian or
British citizen crewman serving on a vessel plying solely between Canada
and the United States; or (3) a crewman seeking conditional landing
privileges under section 252(a)(1) of the Act who is in possession of an
unmutilated alien crewman landing permit and identification card (Form
I-184) or an unmutilated conditional landing permit (Form I-95) with
space for additional endorsements previously issued to him as a member
of the crew of the same vessel or an aircraft of the same line on his
last prior arrival in the United States, following which he departed
from the United States as a member of the crew of the same vessel or an
aircraft of the same line.
(d) (Reserved)
(30 FR 6777, May 19, 1965, as amended at 32 FR 9632, July 4, 1967;
34 FR 12560, Aug. 1, 1969; 34 FR 19799, Dec. 18, 1969; 45 FR 32658,
May 19, 1980; 46 FR 43827, Sept. 1, 1981; 56 FR 26017, June 6, 1991)
08 CFR 251.2 Notification of illegal landings.
As soon as discovered, the master or agent of any vessel from which
an alien crewman has illegally landed or deserted in the United States
shall inform the immigration officer in charge of the port where the
illegal landing or desertion occurred, in writing, of the name,
nationality, passport number and, if known, the personal description,
circumstances and time of such illegal landing or desertion of such
alien crewman, and furnish any other information and documents which
might aid in his apprehension, including any passport surrendered
pursuant to 252.1(d) of this chapter. Failure to file notice of
illegal landing or desertion and to furnish any surrendered passport
within 24 hours of the time of such landing or desertion becomes known
shall be regarded as lack of compliance with section 251(d) of the Act.
(28 FR 209, Jan. 9, 1963)
08 CFR 251.3 Departure manifests and lists for vessels.
(a) Form I-418, Crew List. The master or agent of every vessel
departing from the United States shall submit to the immigration officer
at the port from which such vessel is to depart directly to some foreign
place or outlying possession of the United States, except when a
manifest is not required pursuant to 251.1(a), a single Form I-418,
Crew List, completed in accordance with the instructions contained
herein. Every item in the heading of the Form I-418 must be completed
and the following endorsement shall be placed on the first line of the
form: ''Arrival Crew List, Form I-418, filed at (show United States
port of entry).'' Submission of a Form I-418 which lacks that
endorsement or which lacks other essential information shall be regarded
as lack of compliance with section 251(c) of the Act.
(b) Added crewmen. Under a heading ''Added Crewmen,'' list the names
of all nonresident alien crewmen who were not members of the crew and
manifested on Form I-418 as such on the occasion of the vessel's last
arrival in the United States and attach for each name on the list the
Form I-95 or Form I-94 given to the alien crewman when he last arrived
in the United States. If that form is unavailable, a new Form I-95
shall be prepared and attached to the Form I-418.
(c) Separated crewman. Under a heading ''Separated Crewmen,'' list
the names of all alien crewmen, other than alien permanent residents of
the United States, who were listed on the arrival Form I-418, as members
of the crew on the occasion of the vessel's last arrival in the United
States but who for any reason are not departing with the vessel, and for
each such separated crewman show his nationality, passport number,
specific port and date of separation, and the reasons for failure to
depart. If an application to pay off or discharge an alien crewman has
been granted subsequent to the vessel's arrival, the triplicate copy of
the relating Form I-408 shall be attached to the Form I-418. The list
required by paragraph (b) of this section and this paragraph may be
incorporated in a single Form I-418, if space permits. The required
lists need not be submitted for Canadian or British citizen crewmen of
Great Lakes vessels.
(d) No changes in crew. When there are no added and separated
crewmen as described in this section, the Form I-418 shall be endorsed
with the notation ''No changes in nonresident alien crew upon
departure.''
(30 FR 6777, May 19, 1965, as amended at 33 FR 17137, Nov. 19, 1968)
08 CFR 251.4 Departure manifests and lists for aircraft.
(a) Bureau of Customs Form 7507 or International Civil Aviation
Organization's General Declaration. The captain or agent of every
aircraft departing from the United States for a foreign place or an
outlying possession of the United States, except an aircraft departing
from the United States directly to Canada on a flight terminating in
that country, shall submit to the immigration officer at the port from
which such aircraft is to depart on the Bureau of Customs Form 7507 or
on the International Civil Aviation Organization's General Declaration a
list of all alien crewmen on board, including alien crewmen who arrived
in the United States as crewmen on an aircraft of the same line and who
are departing as passengers. The surname, given name, and middle
initial of each such alien crewman listed shall be shown. In addition,
the captain or agent of the aircraft shall indicate in writing
immediately below the name of the last alien listed on such form or
declaration, the number of U.S. citizen crewmen on board, if any. If
there are no alien crewmen aboard, the captain or agent shall indicate
in writing on the form or declaration the number of U.S. citizen
crewmen, followed by a statement that there are no alien crewmen.
(b) Notification of changes in employment for aircraft. The agent of
the air transportation line shall immediately notify in writing the
nearest immigration office of the termination of employment in the
United States of each alien employee of the line furnishing the name,
birthdate, birthplace, nationality, passport number, and other available
information concerning such alien. The procedure to follow in obtaining
permission to pay off or discharge an alien crewman in the United States
after initial immigration inspection, other than an alien lawfully
admitted for permanent residence, is set forth in 252.1(h) of this
chapter.
(30 FR 6777, May 19, 1965, as amended at 33 FR 17137, Nov. 19, 1968;
34 FR 12561, Aug. 1, 1969)
08 CFR 251.5 Exemptions for private vessels and aircraft.
The provisions of this part relating to submission of arrival and
departure manifests and lists shall not apply to a private vessel or a
private aircraft not engaged directly or indirectly in the carriage of
persons or cargo for hire.
(32 FR 9632, July 4, 1967)
08 CFR 251.5 PART 252 -- LANDING OF ALIEN CREWMEN
Sec.
252.1 Examination of crewmen.
252.2 Revocation of conditional landing permits; deportation.
252.3 Great Lakes vessels and tugboats arriving in the United States
from Canada; special procedures.
252.4 Permanent landing permit and identification card.
252.5 Special procedures for deserters from Spanish or Greek ships of
war.
Authority: Secs. 103, 214, 248, 251, 252, 66 Stat. 173, 189, 218,
219, 220; 8 U.S.C. 1103, 1184, 1258, 1281, 1282.
08 CFR 252.1 Examination of crewmen.
(a) Detention prior to examination. All persons employed in any
capacity on board any vessel or aircraft arriving in the United States
shall be detained on board the vessel or at the airport of arrival by
the master or agent of such vessel or aircraft until admitted or
otherwise permitted to land by an officer of the Service.
(b) Classes of aliens subject to examination under this part. The
examination of every alien crewman arriving in the United States shall
be in accordance with this part and not otherwise except that the
following classes of persons employed on vessels or aircraft shall be
examined in accordance with the provisions of parts 235, 236, and 237 of
this chapter: (1) Aliens in possession of an immigrant visa, reentry
permit, or a Form I-151 alien registration receipt card, applying for
admission as immigrants; (2) Canadian or British citizen crewmen
serving on vessels plying solely between Canada and the United States;
or (3) Canadian or British citizen crewmen of aircraft arriving in a
State of the United States directly from Canada on flights originating
in that country. The crew of a vessel arriving at a United States port
which may not require inspection by or clearance from the Bureau of
Customs is, nevertheless, subject to examination under this part;
however, the master of such a vessel, is not required to present Form
I-95 for any crewman who is not an applicant for a conditional landing
permit.
(c) Requirements for admission. Every alien crewman applying for
landing privileges in the United States must make his application in
person before an immigration officer, present whatever documents are
required, be photographed and fingerprinted as the district director may
require, and establish to the satisfaction of the immigration officer
that he is not subject to exclusion under any provision of the law and
is entitled clearly and beyond doubt to landing privileges in the United
States.
(d) Authorization to land. The immigration officer in his discretion
may grant an alien crewman authorization to land temporarily in the
United States for: (1) Shore leave purposes during the period of time
the vessel or aircraft is in the port of arrival or other ports in the
United States to which it proceeds directly without touching at a
foreign port or place, not exceeding 29 days in the aggregate, if the
immigration officer is satisfied that the crewman intends to depart on
the vessel on which he arrived or on another aircraft of the same
transportation line, and the crewman's passport is surrendered for safe
keeping to the master of the arriving vessel, or (2) the purpose of
departing from the United States as a crewman on a vessel other than the
one on which he arrived, or departing as a passenger by means of other
transportation, within a period of 29 days, if the immigration officer
is satisfied that the crewman intends to depart in that manner, that
definite arrangements for such departure have been made, and the
immigration officer has consented to the pay off or discharge of the
crewman from the vessel on which he arrived. A crewman granted a
conditional permit to land under section 252(a)(1) of the Act and
paragraph (d)(1) of this section is required to depart with his vessel
from its port of arrival and from each other port in the United States
to which it thereafter proceeds coastwise without touching at a foreign
port or place; however, he may rejoin his vessel at another port in the
United States before it touches at a foreign port or place if he has
advance written permission from the master or agent to do so.
(e) Conditional permits to land. Unless the crewman is in possession
of Form I-184 and is landed under paragraph (d)(1) of this section, the
immigration officer shall give to each alien nonimmigrant crewman
permitted to land a copy of the Form I-95 presented by the crewman,
endorsed to show the date and place of admission and the type of
conditional landing permit.
(f) Change of status. An alien nonimmigrant crewman landed pursuant
to the provisions of this part shall be ineligible for any extension of
stay or for a change of nonimmigrant classification under part 248 of
this chapter. A crewman admitted under paragraph (d)(1) of this section
may, if still maintaining status, apply for a conditional landing permit
under paragraph (d)(2) of this section. The application shall not be
approved unless an application on Form I-408, filed pursuant to
paragraph (h) of this section, has been approved authorizing the master
or agent of the vessel on which the crewman arrived to pay off or
discharge the crewman and unless evidence is presented by the master or
agent of the vessel to which the crewman will be transferred that a
specified position on that vessel has been authorized for him or that
satisfactory arrangements have been completed for the repatriation of
the alien crewman. If the application is approved, the crewman shall be
given a new Form I-95 endorsed to show landing authorized under
paragraph (d)(2) of this section for the period necessary to accomplish
his scheduled reshipment, which shall not exceed 29 days from the date
of his landing, upon surrendering any conditional landing permit
previously issued to him on Form I-95.
(g) Refusal of conditional landing permit. When an alien crewman is
refused a conditional landing permit for any reason, the Form I-95
presented by him at time of examination shall be endorsed ''Permission
to land temporarily at all U.S. ports is refused'' and the Form I-95
shall be given to the master or agent of the vessel or aircraft and, in
the case of vessels, the alien crewman's name shall be listed on the
Form I-410 delivered to the master of the vessel upon completion of the
examination of the crew. If an alien crewman who has been refused a
conditional landing permit is in possession of Form I-184, the Form
I-184 shall be lifted by the examining immigration officer and, except
in the case of an alien crewman who is refused a conditional landing
permit solely because he is not in possession of a valid passport or
visa, the Form I-184 shall be voided. In the case of an alien crewman
refused a conditional landing permit because he is not in possession of
a valid passport or visa, the Form I-184 shall be delivered to the
master or agent of the vessel with instructions to return it to the
alien crewman after the vessel has departed from the United States.
(h) Authorization to pay off or discharge an alien crewman.
Application to pay off or discharge an alien crewman, except an alien
lawfully admitted for permanent residence, shall be made by the owner,
agent, consignee, charterer, master, or commanding officer of the vessel
or aircraft on which the alien crewman arrived on Form I-408 filed with
the immigration officer having jurisdiction over the area in which the
vessel or aircraft is located at the time of application. The applicant
shall be notified of the decision, and, if the application is denied, of
the reasons therefor. There shall be no appeal from the denial of an
application on Form I-408.
(23 FR 2788, Apr. 26, 1958, as amended at 27 FR 11875, Dec. 1, 1962;
29 FR 13243, Sept. 24, 1964; 29 FR 14432, Oct. 21, 1964; 32 FR 9633,
July 4, 1967; 33 FR 9332, June 26, 1968; 33 FR 17137, Nov. 19, 1968)
08 CFR 252.2 Revocation of conditional landing permits; deportation.
An alien permitted to land conditionally under 252.1(d)(1) may,
within the period of time for which he was permitted to land, be taken
into custody by any immigration officer without a warrant of arrest and
be transferred to the vessel upon which he arrived in the United States,
if such vessel is in any port of the United States and has not been in a
foreign port or place since the crewman was issued his condition landing
permit, upon a determination by the immigration officer that the alien
crewman is not a bona fide crewman or that he does not intend to depart
on the vessel on which he arrived in the United States. The conditional
landing permit of such an alien crewman shall be taken up and revoked by
the immigration officer, and a notice on Form I-259 to detain and deport
such alien crewman shall be served on the agent for the vessel, and if
they are available, on the owner and the master or commanding officer of
the vessel. Form I-99 shall be served on the crewman when he is taken
into custody or as soon as practicable thereafter. On the written
request of the master of the vessel, the crewman may be detained and
deported, both at the expense of the transportation line on whose vessel
he arrived in the United States, other than on the vessel on which he
arrived in the United States, if detention or deportation on such latter
vessel is impractical.
(29 FR 15253, Nov. 13, 1964)
08 CFR 252.3 Great Lakes vessels and tugboats arriving in the United
States from Canada; special procedures.
(a) United States vessels and tugboats. An immigration examination
shall not be required of any crewman aboard a Great Lakes vessel of
United States registry or a tugboat of United States registry arriving
from Canada at a port of the United States who has been examined and
admitted by an immigration officer as a member of the crew of the same
vessel or tugboat or of any other vessel or tugboat of the same company
during the current calendar year.
(b) Canadian or British vessels or tugboats. An immigration
examination shall not be required of any crewman aboard a Great Lakes
vessel of Canadian or British registry or a tugboat of Canadian or
British registry arriving from Canada at a port of the United States for
a period of less than 29 days who has been examined and admitted by an
immigration officer as a member of the crew of the same vessel or
tugboat or of any other vessel or tugboat of the same company during the
current calendar year, and is either a British or Canadian citizen or is
in possession of a valid Form I-95 previously issued to him as a member
of the crew of the same vessel or tugboat or of any other vessel or
tugboat of the same company, and does not request or require landing
privileges in the United States beyond the time the vessel or tugboat
will be in port, and will depart with the vessel or tugboat to Canada.
(41 FR 24700, June 18, 1976)
08 CFR 252.4 Permanent landing permit and identification card.
A Form I-184 is valid until revoked. It shall be revoked when an
immigration officer finds that the crewman is in the United States in
willful violation of the terms and conditions of his admission, or that
he is inadmissible to the United States. On revocation, the Form I-184
shall be surrendered to an immigration officer. No appeal shall lie
from the revocation of Form I-184.
(43 FR 37174, Aug. 22, 1978)
08 CFR 252.5 Special procedures for deserters from Spanish or Greek
ships of war.
(a) General. Under E.O. 11267 of January 19, 1966 (31 FR 807) and 28
CFR 0.109, and E.O. 11300 of August 17, 1966, (31 FR 11009), and 28 CFR
0.110, the Commissioner and immigration officers (as defined in
103.1(i) of this chapter) are designated as ''competent national
authorities'' on the part of the United States within the meaning of
Article XXIV of the 1903 Treaty of Friendship and General Relations
between the United States and Spain (33 Stat. 2105, 2117), and ''local
authorities'' and ''competent officers'' on the part of the United
States within the meaning of Article XIII of the Convention between the
United States and Greece (33 Stat. 2122, 2131).
(b) Application for restoration. On application of a Consul General,
Consul, Vice-Consul, or Consular-Agent of the Spanish or Greek
Government, made in writing pursuant to Article XXIV of the treaty, or
Article XIII of the Convention, respectively, stipulating for the
restoration of crewmen deserting, stating that the person named therein
has deserted from a ship of war of that government, while in any port of
the United States, and on proof by the exhibition of the register, crew
list, or official documents of the vessel, or a copy or extract
therefrom, duly certified, that the person named belonged, at the time
of desertion, to the crew of such vessel, such person shall be taken
into custody by any immigration officer without a warrant of arrest.
Written notification of charges shall be served on the individual when
he is taken into custody or as soon as practical thereafter.
(c) Examination. Within a reasonable period of time after the
arrest, the individual shall be accorded an examination by the district
director, acting district director, or the deputy district director
having jurisdiction over the place of arrest. He shall be informed that
he may have the assistance of or be represented by a counsel or
representative of his choice qualified under part 292 of this chapter
without expense to the Government, and that he may present such evidence
in his behalf as may be relevant to this proceeding. If, upon the
completion of such examination, it is determined that: (1) The
individual sought by the Spanish or Greek authorities had deserted from
a Spanish or Greek ship of war in a United States port; (2) the
individual actually arrested and detained is the person sought; (3)
this individual is not a citizen of the United States; and (4) this
individual had not previously been arrested for the same cause and set
at liberty because he had been detained for more than 3 months, or more
than 2 months in the case of a deserter from a Greek ship of war, from
the day of his arrest without the Spanish or Greek authorities having
found an opportunity to send him home, the individual shall be served
with a copy of the findings, from which no appeal shall lie, and be
surrendered forthwith to the Spanish or Greek authorities if they are
prepared to remove him from the United States. On written request of
the Spanish or Greek authorities, the individual shall be detained, at
their expense, for a period not exceeding 3 months or 2 months,
respectively, from the day of arrest to afford opportunity to arrange
for his departure from the United States.
(d) Timely departure not effected. If the Spanish authorities delay
in sending the individual home for more than 3 months, or if the Greek
authorities delay in sending the individual home for more than 2 months,
from the day of his arrest, the individual shall be dealt with as any
other alien unlawfully in the United States under the deportation
provisions of the Immigration and Nationality Act, as amended.
(e) Commission of crime. If the individual has committed any crime
or offense in the United States, he shall not be placed at the disposal
of the consul until after the proper tribunal having jurisdiction in his
case shall have pronounced sentence, and such sentence shall have been
executed.
(31 FR 12774, Sept. 30, 1966)
08 CFR 252.5 PART 253 -- PAROLE OF ALIEN CREWMEN
Sec.
253.1 Parole.
253.2 Termination of parole.
Authority: 8 U.S.C. 1103, 1182, 1282, 1283, 1285.
08 CFR 253.1 Parole.
(a) General. When a crewman is paroled into the United States
pursuant to the provisions of this part under the provisions of section
212(d)(5) of the Act, he shall be given Form I-94, reflecting the terms
of parole. A notice on Form I-259 shall be served upon the agent, and,
if available, upon the owner and master or commanding officer of the
vessel or aircraft, which shall specify the purpose of the parole and
the conditions under which the alien crewman is paroled into the United
States. The Form I-259 shall also specify the Service office to which
the alien crewman is to be presented for inspection upon termination of
the parole. The guarantee of payment for medical and other related
expenses required by section 253 of the Act shall be executed by the
owner, agent, consignee, commanding officer or master on Form I-510.
(b) Afflicted crewman. Any alien crewman afflicted with
feeblemindedness, insanity, epilepsy, tuberculosis in any form, leprosy,
or any dangerous contagious disease, or an alien crewman suspected of
being so afflicted shall upon arrival at the first port of call in the
United States, be paroled to the medical institution designated by the
district director in whose district the port is located, in the custody
(other than during the period of time he is in such medical institution)
of the agent of the vessel or aircraft on which such alien arrived in
the United States and at the expense of the transportation line for a
period initially not to exceed thirty days, for treatment and
observation, under the provisions of section 212(d)(5) of the Act.
Unless the Public Health Surgeon at the first port certifies that such
parole be effected immediately for emergent reasons, the district
director may defer execution of parole to a subsequent port of the
United States to which the vessel or aircraft will proceed, if
facilities not readily available at the first port are readily available
at such subsequent port of call. Notice to remove an afflicted alien
crewman shall be served by the examining immigration officer upon the
master or agent of the vessel or aircraft on Form I-259 and shall
specify the date when and the place to which such alien crewman shall be
removed and the reasons therefor.
(c) Disabled crewman. Any alien crewman who becomes disabled in any
port of the United States, whom the master or agent of the vessel or
aircraft is obliged under foreign law to return to another country, may
be paroled into the United States under the provisions of section
212(d)(5) of the Act for the period of time and under the conditions set
by the district director in whose district the port is located, in the
custody of the agent of the vessel or aircraft for the purpose of
passing through the United States and transferring to another vessel or
aircraft for departure to such foreign country, by the most direct and
expeditious route.
(d) Shipwrecked or castaway seamen or airmen. A shipwrecked or
castaway alien seaman or airman who is rescued by or transferred at sea
to a vessel or aircraft destined directly for the United States and who
is brought to the United States on such vessel or aircraft other than as
a member of its crew shall be paroled into the United States under the
provisions of section 212(d)(5) of the Act for the period of time and
under the conditions set by the district director in whose district the
port is located, in the custody of the appropriate foreign consul or the
agent of the aircraft or vessel which was wrecked or from which such
seaman or airman was removed, for the purpose of treatment or
observation in a hospital, if such is required, and for departure to the
appropriate foreign country by the most direct and expeditious route.
(e) Medical treatment or observation. Any alien crewman denied a
conditional landing permit or whose conditional landing permit issued
under 252.1(d)(1) of this chapter is revoked may, upon the request of
the master or agent, be paroled into the United States under the
provisions of section 212(d)(5) of the Act in the custody of the agent
of the vessel or aircraft and at the expense of the transportation line
for medical treatment or observation.
(f) Crewman, stowaway, or alien temporarily excluded under section
235(c) alleging persecution. Any alien crewman, stowaway, or alien
temporarily excluded under section 235(c) of the Act who alleges that he
cannot return to his country of nationality or last habitual residence
(if not a national of any country) because of fear of persecution in
that country on account of race, religion, nationality, membership in a
particular social group, or political opinion, is eligible to apply for
asylum or withholding of deportation under part 208 of this chapter.
(1) If the alien is on a vessel or other conveyance and makes such
fear known to an immigration inspector or other official making an
examination on the conveyance, he shall be promptly removed from the
conveyance. If the alien makes his fear known to an official while off
such conveyance, he shall not be returned to the conveyance but shall be
retained in or transferred to the custody of the Service.
(2) In either case, the alien shall be provided the appropriate
application forms and such other information as is required by 208.5 of
this chapter and may then have ten (10) days within which to file an
application for such relief with the District Director having
jurisdiction over the port of entry from which the applicant seeks entry
into the United States. The District Director, pursuant to 208.4(a) of
this chapter, shall immediately forward any such application to an
Asylum Officer with jurisdiction over his district.
(3) Pending adjudication of the application by the Asylum Officer,
the applicant may be detained by the Service, or paroled into the
custody of the ship's agent or otherwise paroled in accordance with
212.5 of this chapter and shall not be excluded or deported before a
decision is rendered by the Asylum Officer on his asylum application.
(4) A decision denying asylum to an alien crewman or stowaway, but
not an alien temporarily excluded under section 235(c) of this chapter,
may be appealed directly to the Board of Immigration Appeals. Such
appeal must be filed within ten (10) days of the Asylum Officer's
decision by filing a notice of appeal on Form I-290A with the District
Director, who shall immediately forward the notice to the Asylum
Officer. The Asylum Officer shall transmit the notice of appeal, his
decision, and the record on which that decision was based, to the Board
of Immigration Appeals. The filing of a notice of appeal shall stay the
exclusion or deportation of the applicant pending decision on the appeal
by the Board.
(g) Other crewmen. In the discretion of the district director, any
alien crewman not within the purview of paragraphs (b) through (f) of
this section may for other emergent reasons or for reasons deemed
strictly in the public interest be paroled into the United States under
the provisions of section 212(d)(5) of the Act for the period of time
and under the conditions set by the district director having
jurisdiction over the area where the alien crewman is located.
(22 FR 9804, Dec. 6, 1957, as amended at 26 FR 11797, Dec. 8, 1961;
32 FR 4341, Mar. 22, 1967; 32 FR 9633, July 4, 1967; 55 FR 30687, July
27, 1990)
08 CFR 253.2 Termination of parole.
(a) General. At the expiration of the period of parole authorized by
the district director, or when the purpose of the parole has been
served, whichever is earlier, the agent upon whom the relating Form
I-259 was served as provided in 253.1, shall present the alien crewman
for inspection to an immigration officer at the Service office specified
in the Form I-259. If the agent cannot present the alien crewman, the
agent shall immediately submit a report of the reasons therefor to the
district director. The district director shall take such further action
as the circumstances may require. If the vessel or aircraft on which
the alien crewman arrived in the United States is still in the United
States when he is presented for inspection, he shall be treated as an
applicant for a conditional landing permit and his case shall be dealt
with in the same manner as any other applicant for a conditional landing
permit. If the vessel or aircraft on which the alien crewman arrived in
the United States departed before he was presented for inspection, the
agent shall be directed by means of written notice on Form I-259 to
arrange for the removal of the alien crewman from the United States, and
if such alien crewman thereafter departs voluntarily from the United
States within the time specified by the district director, such
departure shall not be considered a deportation within the meaning of
this section.
(b) Revocation of parole. When an immigration officer has reason to
believe that an alien crewman paroled into the United States pursuant to
the provisions of 253.1 has violated the conditions of parole, the
immigration officer may take such alien crewman into custody without a
warrant of arrest. Following such action, the alien crewman shall be
accorded, without undue delay, an examination by another immigration
officer. If it is determined on the basis of such examination that the
individual detained is an alien crewman who was paroled into the United
States pursuant to the provisions of 253.1 and that he has violated the
conditions of the parole or has remained in the United States beyond the
period authorized by the district director, the district director shall
cause to be served upon the alien crewman a written notice that his
parole has been revoked, setting forth the reasons for such action. If
the vessel or aircraft upon which the alien crewman arrived in the
United States is still in the United States, the alien crewman shall be
delivered to that vessel or aircraft and Form I-259 shall be served upon
the master or commanding officer of the vessel or aircraft directing
that the alien crewman be detained on board the vessel or aircraft and
deported from the United States. A copy of Form I-259 shall also be
served on the agent for the vessel or aircraft. If the vessel or
aircraft upon which the alien crewman arrived in the United States has
departed from the United States, the agent or owner of the vessel or
aircraft shall be directed by means of a notice on Form I-259 to effect
the deportation of the alien crewman from the United States. Pending
deportation, the alien crewman shall be continued in custody, unless the
district director authorizes his release on parole under such
conditions, including the posting of a suitable bond, as the district
director may prescribe.
(32 FR 4342, Mar. 22, 1967)
08 CFR 253.2 PART 258 -- (RESERVED)
08 CFR 253.2 PART 264 -- REGISTRATION AND FINGERPRINTING OF ALIENS IN
THE UNITED STATES
264.1 Registration and fingerprinting.
264.2 Application for creation of record of lawful permanent
residence and Alien Registration Receipt Card, Form I-551.
264.3 Registration and fingerprinting of certain nonimmigrants
bearing Iraqi and Kuwaiti travel documents.
Authority: 8 U.S.C. 1103, 1201, 1201a, 1301-1305; 66 Stat. 173,
191, 223-225; 71 Stat. 641.
08 CFR 264.1 Registration and fingerprinting.
(a) Prescribed registration forms. The following forms are
prescribed as registration forms:
I-67, Inspection Record -- Hungarian refugees (Act of July 25, 1958).
I-94, Arrival-Departure Record -- Aliens admitted as nonimmigrants;
aliens paroled into the United States under section 212(d)(5) of the
Immigration and Nationality Act; aliens whose claimed entry prior to
July 1, 1924, cannot be verified, they having satisfactorily established
residence in the United States since prior to July 1, 1924; aliens
lawfully admitted to the United States for permanent residence who have
not been registered previously; aliens who are granted permission to
depart without the institution of deportation proceedings or against
whom deportation proceedings are being instituted.
I-95, Crewmen's Landing Permit -- Crewmen arriving by vessel or
aircraft.
I-175, Application for Nonresident Alien Canadian Border Crossing
Card -- Citizens of Canada or British subjects residing in Canada.
I-181, Memorandum of Creation of Record of Lawful Permanent Residence
-- Aliens presumed to be lawfully admitted to the United States under 8
CFR 101.1.
I-190, Application for Nonresident Alien Mexican Border Crossing Card
-- Citizens of Mexico residing in Mexico.
I-485, Application for Status as Permanent Resident -- Applicants
under sections 245 and 249 of the Immigration and Nationality Act as
amended, and section 13 of the Act of September 11, 1957.
I-485A, Application by Cuban Refugee for Permanent Residence --
Applicants under section 1 of the Act of November 2, 1966.
I-590, Registration for Classification as Refugee -- Escapee --
Refugee-escapees paroled pursuant to section 1 of the Act of July 14,
1960.
I-687, Application for Status as a Temporary Resident -- Applicants
under section 245A of the Immigration and Nationality Act, as amended.
I-691, Notice of Approval for Status as a Temporary Resident --
Aliens adjusted to lawful temporary residence under 8 CFR 210.2 and
245A.2.
I-698, Application to Adjust Status from Temporary to Permanent
Resident -- Applicants under section 245A of the Immigration and
Nationality Act, as amended.
I-700, Application for Status as a Temporary Resident -- Applicants
under section 210 of the Immigration and Nationality Act, as amended.
(b) Evidence of registration. The following forms constitute
evidence of registration:
I-90, Application by Lawful Permanent Resident Alien for Alien
Registration Receipt Card, Form I-151 -- While application is pending,
aliens whose evidence of registration has been lost, mutilated, or
destroyed; aliens whose name has been changed; aliens whose evidence
of registration is on a form other than Form I-151; aliens who have
never received Form I-151; aliens who have surrendered Forms I-151
which are in poor condition because of improper lamination and aliens
who have surrendered Form I-151 issued prior to their fourteenth
birthday and who are applying for registration pursuant to section
262(b) after attaining that birthday.
I-94, Arrival-Departure Record -- Aliens admitted as nonimmigrants;
aliens paroled into the United States under section 212(d)(5) of the
Immigration and Nationality Act; aliens whose claimed entry prior to
July 1, 1924, cannot be verified, they having satisfactorily established
residence in the United States since prior to July 1, 1924; and aliens
granted permission to depart without the institution of deportation
proceedings.
I-95, Crewmen's Landing Permit -- Crewmen arriving by vessel or
aircraft.
I-102, Application by Nonimmigrant Alien for Replacement of Arrival
Document -- While application is pending, nonimmigrants and other aliens
not in lawful permanent resident status.
I-151, Alien Registration Receipt Card -- Lawful permanent residents
of the United States.
I-174, Application for Crewmen's Landing Permit -- Crewmen whose
landing permits have been lost, mutilated, or destroyed (while
application is pending).
I-184, Alien Crewman Landing Permit and Identification Card --
Crewmen arriving by vessel.
I-185, Nonresident Alien Canadian Border Crossing Card -- Citizens of
Canada or British subjects residing in Canada.
I-186, Nonresident Alien Mexican Border Crossing Card -- Citizens of
Mexico residing in Mexico.
I-221, Order to Show Cause and Notice of Hearing -- Aliens against
whom deportation proceedings are being instituted.
I-221S, Order to Show Cause, Notice of Hearing, and Warrant for
Arrest of Alien -- Aliens against whom deportation proceedings are being
instituted.
I-551, Alien Registration Receipt Card -- Lawful permanent resident
of the United States.
I-688, Temporary Resident Card-Lawful temporary residents of the
United States.
I-688A, Employment Authorization Card.
I-695, Application for Replacement of Form I-688 Temporary Resident
Card -- While application is pending, aliens whose evidence of
registration has been lost, stolen, mutilated, or destroyed; aliens
whose original Form I-688 were incorrect when issued.
(c) Replacement of registration. Any alien whose evidence of
registration has been lost, mutilated, or destroyed, shall immediately
apply for new evidence of registration.
(1) Nonimmigrants. (i) Application for replacement of Form I-185,
Nonresident Alien Canadian Border Crossing Card, shall be made on Form
I-175.
(ii) Application for Replacement of Form I-186, or Form I-586,
Nonresident Alien Mexican Border Crossing Card, shall be made on Form
I-190.
(iii) Application for replacement of Form I-94, Arrival-Departure
Record, or Form I-95, Crewman's Landing Permit, shall be made on Form
I-102, except that a new form I-94 may be issued in lieu of one lost,
mutilated, or destroyed without application therefor, when the alien is
an applicant for extension of his or her temporary stay or change of
nonimmigrant classification.
(2) Permanent residents -- Application by an alien lawfully admitted
for permanent residence for Form I-551, Alien Registration Receipt Card,
shall be made on Form I-90. (i) Who can file. An I-90 application may
be filed by a lawful permanent resident:
(A) To replace a lost, stolen or destroyed card;
(B) To replace a mutilated card;
(C) To change a name upon request, after registration, by order of
any court of competent jurisdiction or by marriage;
(D) To obtain a card when it is established that Form I-551 was never
received;
(E) To replace evidence of permanent residence issued on alien
registration cards predating the use of Forms I-151 and I-551;
(F) To correct a card which was issued with an incorrect name or
other biographic data;
(G) Who has attained the age of 14 and is seeking to be registered
and fingerprinted pursuant to section 262(b) of the Act;
(H) Who is an alien commuter taking up actual permanent residence in
the United States; or
(I) Whose status was automatically adjusted from temporary residence
pursuant to 210.5 of this chapter.
(ii) Fee An I-90 application must be submitted with the nonrefundable
fee required by 103.7(b)(1), except that a fee is not required when the
application is filed under paragraphs (c)(2)(i)(D) through (c)(2)(i)(H)
of this section.
(iii) Accompanying documents. -- (A) Photographs. An I-90
application must be filed with two color photographs meeting the
specifications on the application form.
(B) Prior evidence of alien registration. An I-90 application filed
under paragraph (c)(2)(i) (B), (C), (E), (F), (G) or (H) of this section
must be filed with the prior Alien Registration Receipt Card or other
evidence of permanent residence or commuter status.
(C) Evidence of name or other biographic change. An I-90 application
filed under paragraph (c)(2)(i)(F) of this section must be filed with
the order, issued by a court of competent jurisdiction, changing the
applicant's name, or with the applicant's marriage certificate. An
application to change other biographic data on a card must be filed with
documentary evidence conclusively establishing the new data.
(D) Fingerprint chart. An I-90 application filed under paragraph
(c)(2)(i)(G) of this section must be filed with a completed Form FD-258
Fingerprint Chart.
(iv) Filing -- (A) Where to file. An I-90 application shall be filed
by the applicant, in person, at the Service office that has jurisdiction
over his or her place of residence, except for those applicants filing
an I-90 pursuant to 264.1(c)(2)(i)(I) of this section, who shall file
the application with the Director of the Service Center having
jurisdiction over his or her place of residence. If the applicant's
place of residence is outside the United States and there is no Service
office in that foreign country, the application shall be filed by the
applicant, in person, at the American Consulate with jurisdiction over
his or her place of residence.
(B) Data collection form. An applicant must execute the signature
and fingerprint blocks of Form I-89, Data Collection Form, at a Service
office when filing an I-90 application.
(v) Processing -- (A) Interview. An applicant may be required to
appear before an immigration officer or consular officer and be
interviewed under oath concerning eligibility.
(B) Waiver of requirements. The Service may waive the photograph, in
person filing and I-89 execution requirements of this section in cases
of confinement due to advanced age or physical infirmity.
(vi) Decision. If an application is denied, the applicant shall be
notified of the reasons for denial. No appeal shall lie from this
decision.
(3) Temporary residents. Application by an alien lawfully admitted
for temporary residence for Form I-688, Temporary Resident Card, shall
be made on Form I-695. (i) Who can file. An I-695 application may be
filed by a lawful temporary resident:
(A) To replace a lost, stolen, or detroyed card;
(B) To replace a mutilated card;
(C) To change a name or other biographic data.
(ii) Fee. An I-695 application must be submitted with the fee
required by 103.7(b)(1) of this chapter.
(iii) Accompanying documents -- (A) Photographs. An I-695
application must be filed with two color photographs meeting the
specifications on the application form.
(B) Prior evidence of alien registration. Any Form I-688 in the
applicant's possession must be submitted with the application.
(C) Evidence of name or other biographic change. An I-695
application filed under paragraph (c)(2)(i)(C) of this section must be
filed with the order, issued by a court of competent jurisdiction,
changing the applicant's name, or with the applicant's marriage
certificate. An application to change other biographic data on a card
must be filed with documentary evidence conclusively establishing the
new data.
(iv) Filing -- (A) Where to file. An application by an alien within
the United States for replacement of evidence of registration shall be
submitted to the legalization or Service office having jurisdiction over
the applicant's place of residence in the United States. An alien
outside the United States shall appear at an American Consulate or
Service office abroad and present a full account of the circumstances
involving the loss or destruction of Form I-688. A cable shall be sent
to the Service's Central Office Records Management Branch for
verification of status. Subsequent to verification that temporary
residence was granted, a transportation letter will be issued to the
temporary resident alien. Upon entry to the United States, the alien
shall submit the I-695 to the legalization or Service office having
jurisdiction over the applicant's place of residence in the United
States.
(B) Camera ready card. Prior to the issuance of Form I-688, all
applicants, regardless of age, shall appear at the appropriate
legalization or Service office for placement of fingerprint and
signature on I-688.
(v) Processing -- (A) Interview. An alien who files application Form
I-695 may be required to appear in person before an immigration officer
prior to the adjudication of the application and be interviewed under
oath concerning his or her eligibility for issuance of I-688 as evidence
of his or her registration.
(B) Waiver of requirements. The Service may waive the photograph,
interview or the placement of fingerprint and signature on the I-688 for
a child under 14 or when it is impractical because of the health or
advanced age of the applicant.
(C) Fingerprint chart. An applicant may be required to present a
completed fingerprint chart, FD-258.
(vi) Decision. The decision on an application for replacement of
evidence of registration shall be made by the Regional Processing
Facility director having jurisdiction over the alien's place of
residence in the United States. No appeal shall lie from the decision
of the Regional Processing Facility director denying the application.
(d) Surrender of registration. If an alien is naturalized, dies,
permanently departs, or is deported from the United States, or evidence
of registration is found by a person other than the one to whom such
evidence was issued, the person in possession of the document shall
forward it to a Service office.
(e) Fingerprinting waiver. (1) Fingerprinting is waived for
nonimmigrant aliens admitted as foreign government officials and
employees; international organization representatives, officers and
employees; NATO representatives, officers and employees, and holders of
diplomatic visas while they maintain such nonimmigrant status.
Fingerprinting is also waived for other nonimmigrant aliens, while they
maintain nonimmigrant status, who are nationals of countries which do
not require fingerprinting of United States citizens temporarily
residing therein.
(2) Fingerprinting is waived for every nonimmigrant alien not
included in paragraph (e)(1) of this section who departs from the United
States within one year of his admission, provided he maintains his
nonimmigrant status during that time; each such alien not previously
fingerprinted shall apply therefor at once if he remains in the United
States in excess of one year.
(3) Every nonimmigrant alien not previously fingerprinted shall apply
therefor at once upon his failure to maintain his nonimmigrant status.
(f) Registration and fingerprinting of children who reach age 14.
Within 30 days after reaching the age of 14, any alien in the United
States not exempt from alien registration under the act and this chapter
shall present himself to a Service office for registration in accordance
with section 262(b) of the Act, and for fingerprinting unless
fingerprinting is waived pursuant to paragraph (e) of this section. He
shall submit Form I-90 if he is a lawful permanent resident. If such
alien is a lawful permanent resident of the United States and is
temporarily absent from the United States when he reaches the age of 14,
he shall comply with the foregoing within 30 days of his return to the
United States. The alien, if a lawful permanent resident of the United
States, shall surrender his prior evidence of alien registration and
shall be issued Form I-551 bearing a photograph submitted by him in
accordance with the instructions on Form I-90. In the case of an alien
who is not a lawful permanent resident, the alien's Form I-94 or I-95
shall be noted to show that he has been registered and the date of
registration.
(g) Temporary evidence of registration. Form I-94, appropriately
endorsed, may be issued as temporary evidence of registration and lawful
admission for permanent residence to a lawful permanent resident alien
who is departing temporarily from the United States and has applied on
Form I-90 for issuance of Form I-551, if the district director is unable
to issue and deliver the Form I-551 prior to the alien's contemplated
return to the United States. The alien shall surrender such Form I-94
to the Service upon receipt of Form I-551.
(h) Copy of Form I-94. An attorney or representative as defined in
1.1 of this chapter who is representing an alien before the Service or
the Board may make and retain, solely for information purposes, a copy
of the Form I-94 (Arrival-Departure Record) issued to and in the
possession of the alien. Such copy shall not be used for any other
purpose.
(25 FR 10495, Nov. 2, 1960)
Editorial Note: For Federal Register citations affecting 264.1, see
the List of CFR Sections Affected in the Finding Aids section of this
volume.
08 CFR 264.2 Application for creation of record of lawful permanent
residence and Alien Registration Receipt Card, Form I-551.
(a) Jurisdiction. An applicant who believes that he/she is eligible
for presumption of lawful admission for permanent residence under 101.1
or 101.2 of this chapter or for lawful permanent residence as a person
born in the United States to a foreign diplomatic officer under 101.3
of this chapter shall submit his/her application for creation of a
record of lawful permanent residence to the Service office having
jurisdiction over the applicant's place of residence in the United
States. The applicant must be physically present in the United States
at the time of submission of his/her application.
(b) Applicant under eighteen years old. If the applicant is under
eighteen years old, the applicant's parent or legal guardian shall
prepare and sign the application in the applicant's behalf.
(c) Filing application -- (1) Presumption of lawful admission for
permanent residence. An applicant who believes that he/she is eligible
for presumption of lawful admission for permanent residence under 101.1
or 101.2 of this chapter shall submit the following:
(i) A completed Form I-90, Application by a Lawful Permanent Resident
for an Alien Registration Receipt Card, Form I-551, without fee.
(ii) Form G-325A, Biographic Information.
(iii) The applicant's fingerprints on Form FD-258.
(iv) A list of all the applicant's arrivals in and departures from
the United States.
(v) A statement signed by the applicant indicating the basis of the
applicant's claim to presumption of lawful admission for permanent
residence.
(vi) Documentary evidence substantiating the applicant's claim to
presumption of lawful admission for permanent residence, including proof
of continuous residence in the United States.
(vii) Two photographs prepared in accordance with the specifications
outlined in the instructions to Form I-90. The immigration officer to
whom the application is submitted, however, may waive the photographs
for just cause.
(2) Lawful permanent residence as a person born in the United States
under diplomatic status. An applicant who believes that he/she is
eligible for lawful permanent residence as a person born in the United
States to a foreign diplomatic officer under 101.3 of this chapter
shall submit the following:
(i) A completed Form I-90, Application by a Lawful Permanent Resident
for an Alien Registration Receipt Card, Form I-551, without fee.
(ii) Form G-325A, Biographic Information.
(iii) The applicant's fingerprints on Form FD-258.
(iv) The applicant's birth certificate.
(v) An executed Form I-508, Waiver of Rights, Privileges, Exemptions,
and Immunities.
(vi) Official confirmation of the diplomatic classification and
occupational title of the applicant's parent(s) at the time of the
applicant's birth.
(vii) A list of all the applicant's arrivals in and departures from
the United States.
(viii) Proof of continuous residence in the United States.
(ix) Two photographs prepared in accordance with the specifications
outlined in the instructions to Form I-90. The immigration officer to
whom the application is submitted, however, may waive the photographs
for just cause.
(3) Applicant under fourteen years old. An applicant under fourteen
years old shall not submit Form G-325A, Biographic Information, or
his/her fingerprints on Form FD-258.
(d) Personal appearance. Each applicant, including an applicant
under eighteen years of age, must submit his/her application in person.
This requirement may be waived at the discretion of the immigration
officer to whom the application is submitted because of confinement of
age, physical infirmity, illiteracy, or other compelling reason.
(e) Interview. The applicant may be required to appear in person
before an immigration officer prior to adjudication of the application
to be interviewed under oath concerning his/her eligibility for creation
of a record of lawful permanent residence.
(f) Decision. The decision regarding creation of a record of lawful
permanent residence for an alien eligible for presumption of lawful
admission for permanent residence or for a person born in the United
States to a foreign diplomatic officer will be made by the district
director having jurisdiction over the applicant's place of residence.
(g) Date of record of lawful permanent residence -- (1) Presumption
of lawful admission for permanent residence. If the application is
granted, the applicant's permanent residence will be recorded as of the
date of the applicant's arrival in the United States under the
conditions which caused him/her to be eligible for presumption of lawful
admission for permanent residence.
(2) Lawful permanent residence as a person born in the United States
under diplomatic status. If the application is granted, the applicant's
permanent residence will be recorded as of his/her date of birth.
(h) Denied application. If the application is denied, the decision
may not be appealed.
(Secs. 101(a)(20), 103, 262, 264 of the Immigration and Nationality
Act, as amended; 8 U.S.C. 1101(a)(20), 1103, 1302, 1304)
(47 FR 941, Jan. 8, 1982)
08 CFR 264.3 Registration and fingerprinting of certain nonimmigrants
bearing Iraqi and Kuwaiti travel documents.
All nonimmigrants bearing Iraqi and Kuwaiti travel documents who
apply for admission to the United States on or after January 10, 1991,
except those applying for admission under section 101(a)(15)(A) or
101(a)(15)(G) of the Act, shall be registered on Form I-94,
photographed, and fingerprinted on Form FD-258, by the Service at the
Port of Entry where they apply for admission to the United States.
(56 FR 1566, Jan. 16, 1991)
08 CFR 264.3 PART 265 -- NOTICES OF ADDRESS
Authority: Secs. 103, 265 of the Immigration and Nationality Act, as
amended by sec. 11, Pub. L. 97-166, 95 Stat. 1617 (8 U.S.C. 1103,
1305).
08 CFR 265.1 Forms.
Except for those exempted by section 263(b) of the Act, all aliens in
the United States required to register under section 262 of the Act
shall report each change of address and new address within 10 days on
Form AR-11. This form is available at post offices and Service offices
in the United States. The completed form must be mailed to the
Department of Justice, Immigration and Naturalization Service,
Washington, DC 20536.
(47 FR 44239, Oct. 7, 1982)
08 CFR 265.1 PART 271 -- DILIGENT AND REASONABLE EFFORTS TO PREVENT THE
UNAUTHORIZED ENTRY OF ALIENS BY THE OWNERS OF RAILROAD LINES,
INTERNATIONAL BRIDGES OR TOLL ROADS
Authority: 8 U.S.C. 1103 and 1321.
08 CFR 271.1 Procedures for inspections.
(a) Applicability. The following terms and conditions apply to those
owners or operators of railroad lines, international bridges, or toll
roads, which provide a means for an alien to come to the United States.
(b) Inspection of facility. Based upon a written request by the
owners or operators, the INS district director or his designee shall
inspect the facility or method utilized in order to ensure that owners
and operators have acted diligently in taking adequate steps to prevent
the unlawful entry of aliens into the United States. Such measures may
include but are not necessarily limited to fencing, barricades,
lighting, or security guards. If the district director determines that
preventive measures are inadequate, he or she shall advise the owners or
operators in writing, citing the reasons for such determination. If the
owners or operators believe the requirements of the district director to
be excessive or unnecessary, they may request that the Regional
Commissioner having jurisdiction over the location where the facility is
located, review the district director's requirements. The Regional
Commissioner shall advise the owners or operators in writing of the
results of his or her review.
(c) Preventive measures and certification. Upon a determination by
the district director that reasonable and adequate preventive measures
have been taken by the owners and operators, he or she shall certify
that the owners and operators shall not be liable for the penalty
described in section 271(a), so long as the facility or method utilized
is maintained in the condition in which approved and certified.
(d) Revocation of certification. The District Director having
jurisdiction over the location where the facility is located, in his or
her discretion, may at any time, conduct an inspection of said facility
to determine if any violation is occurring. If the facility is found to
be not in compliance, said certification will be revoked.
(53 FR 26036, July 11, 1988)
08 CFR 271.1 PART 274 -- SEIZURE AND FORFEITURE OF CONVEYANCES
Sec.
274.1 Definitions.
274.2 Officers authorized to seize conveyances.
274.3 Custody and duties of custodian.
274.4 Conveyances subject to seizure; termination of interest.
274.5 Return to owner of seized conveyance not subject to forfeiture;
opportunity for personal interview.
274.6 Proof of property interest.
274.7 Appraisal.
274.8 Notice to owner and lienholder of seizure.
274.9 Advertisement.
274.10 Judicial forfeiture proceedings upon claim and bond.
274.11 Administrative forfeiture.
274.12 Judicial forfeiture.
274.13 Petitions for relief from forfeiture; filing.
274.14 Time for filing petitions.
274.15 Remission.
274.16 Mitigation.
274.17 Restoration of proceeds or appraised value.
274.18 Provisions applicable to particular situations.
274.19 Determinations on petitions; reconsideration.
274.20 Compromise of judicial forfeiture proceedings.
Authority: 8 U.S.C. 1103, 1324(b).
Source: 53 FR 43187, Oct. 26, 1988, unless otherwise noted.
08 CFR 274.1 Definitions.
The following definitions apply to the following terms in this part:
(a) The term appraised value means the estimated price at the time
and place of seizure, if such or similar property were freely offered
for sale.
(b) The term beneficial owner means a person who has dominion and
control over a conveyance, as well as a property interest therein.
(c) The term claimant means any person who asserts a property
interest in a seized or forfeited conveyance through a personal
interview or by filing a claim and a bond or a petition for relief from
forfeiture.
(d) The term common carrier means an express carrier, a freight
forwarder, a motor common carrier, a rail carrier, a sleeping car
carrier, and a water common carrier, as each of those terms is defined
in 49 U.S.C. 10102; and an air carrier and a foreign air carrier, as
each of those terms is defined in 49 U.S.C. 1301.
(e) The term consenting party or privy to the illegal act means that
the person knew of the illegal activity. A person shall be presumed to
have knowledge of an illegal activity if the facts and circumstances are
such that a person would reasonably be expected to know of the illegal
activity.
(f) The term conveyance means a vessel, vehicle, or aircraft as used
in section 274(b) of the Act. A trailer shall be considered a vehicle
if it is being towed or readily capable of being towed. An immobilized
house trailer which has been placed on permanent foundations, which is
not readily mobile, is not a vehicle.
(g) The term custodian means the regional commissioner or the U.S.
Marshals Service.
(h) The date of an action in conjunction with the term filed means
the following:
(1) Date of receipt in the office specified in this part for filing,
if filing is by personal delivery;
(2) Date of postmark, if filing is by mail to the office specified in
this part for filing;
(3) Date five days prior to date of receipt in the office specified
in this part for filing, if filing is by mail to the office specified in
this part for filing and date of postmark is missing or illegible; or
(4) Date of receipt in the office specified in this part for filing,
if filing is by mail to any other office.
(i) The term lien means in interest created by a conditional sales
contract, mortgage, title retention contract, debt reduced to a judicial
judgment upon which there has been an execution or an attachment against
a conveyance, or other security interest in a conveyance. A lienholder
is the holder of such an interest.
(j) The term net equity means the amount of monetary interest of a
lienholder in a conveyance. Net equity is to be computed by determining
the amount of unpaid principal and unpaid interest as of the date of
seizure, and by adding to that amount the unpaid interest calculated
from the date of seizure through the last full month prior to the date
of the determination granting relief from forfeiture. The rate of
interest to be used in this computation will be the annual percentage
rate specified in the security agreement which is the basis of the
interest of the lienholder. In this computation there shall be no
allowances for unearned extended warranty, insurance, or service
contract charges incurred after the date of seizure, nor allowances for
dealer reserves, attorneys fees, or other similar charges.
(k) The term owner means a person who has the right to possess and
use a conveyance to the exclusion of other persons. A person who has
complied with the state formalities for a title or a registration for a
conveyance is not the owner if such person does not have sufficient
actual beneficial interest in the conveyance. In the consideration of a
petition for relief from forfeiture the mere existence of a community
property interest without proof of financial contribution to the
purchase of a conveyance will not be deemed a property interest.
Ownership is the interest that an owner has in a conveyance.
(l) The term person means an individual, partnership, corporation,
joint business enterprise, or other entity capable of owning a
conveyance.
(m) The term petitioner means a person filing a petition for relief
from forfeiture of a seized conveyance.
(n) The term property interest means ownership, lien, or other
legally cognizable interest in or legal entitlement to possession of a
conveyance existing on the date of seizure of the conveyance. A person
who has complied with the state formalities of a title or a registration
for a conveyance may not have sufficient actual beneficial interest or
other legally cognizable interest in a conveyance. In the consideration
of a petition for relief from forfeiture the mere existence of a
community property interest without proof of financial contribution to
the purchase of a conveyance will not be deemed a property interest.
(o) The term record means an arrest for a related crime followed by a
conviction, except that a single arrest and conviction and the
expiration of any sentence imposed as a result of the conviction, all of
which occurred more than ten years prior to the date a claimant acquired
a property interest in the seized or forfeited conveyance, is not
considered a record; provided that two convictions of related crimes
shall always be considered a record regardless of when the convictions
occurred; and provided that the regional commissioner may consider as
constituting a record an arrest for a related crime or series of arrests
for related crimes in which the charge or charges were subsequently
dismissed for reasons other than acquittal or lack of evidence.
(p) The term regional commissioner means the Regional Commissioner of
the Service for the region in which a conveyance is seized, or the
designee of that Regional Commissioner.
(q) The term related crime means any crime similar in nature to or
related to the illegal bringing in, harboring, transportation, entry,
reentry, or importation of aliens.
(r) The term reputation means repute for related crimes with a law
enforcement agency or among law enforcement officers or in the community
generally, including any pertient neighborhood or other area.
(s) The term seizure means the act of taking a conveyance into the
custody of the Service for the express purpose of considering forfeiture
pursuant to section 274(b) of the Act and this part.
(t) The term state means any state or any like political division of
any geographical territory defined in section 101(a)(38) of the Act as
being part of the United States or any state or any like political
division of any geographical territory of any other nation or territory,
unless otherwise limited in this part.
(u) The term sufficient actual beneficial interest means the interest
in a conveyance of a beneficial owner.
(v) The term violator means a person whose use of or actions with
regard to a conveyance in violation of the law subjected the conveyance
to seizure pursuant to section 274(b) of the Act and this part.
08 CFR 274.2 Officers authorized to seize conveyances.
For the purpose of carrying out the provisions of section 274(b) of
the Act and this part, any immigration officer is authorized and
designated by the Commissioner to seize a conveyance.
08 CFR 274.3 Custody and duties of custodian.
Any conveyance seized pursuant to section 274(b) of the Act and this
part shall be stored in a location designated by the custodian. The
custodian is to receive and maintain in storage all conveyances seized
and all conveyances forfeited pursuant to section 274(b) of the Act and
this part. After the custodian is notified that all proceedings,
administrative or judicial, have been completed and that all petitions
for relief from forfeiture have been finally adjudicated, a conveyance
is available for disposition according to law. The custodian is
authorized to dispose of any conveyances pursuant to section 274(b) of
the Act and any other applicable statutes or regulations relative to
disposal; and to perform other duties, not inconsistent with the
provisions of the Act, regarding seized and forfeited conveyances and
the proceeds of sales thereof, as are imposed on the U.S. Customs
Service with respect to seizures under the Customs statutes, including
the maintenance of appropriate records concerning the seizure and
disposition of conveyances.
08 CFR 274.4 Conveyances subject to seizure; termination of interest.
(a) Any conveyance which an immigration officer has probable cause to
believe has been or is being used in the commission of a violation of
section 274(a) of the Act is subject to seizure.
(b) Any property interest in a conveyance is automatically terminated
as of the date of the seizure, if the conveyance is later declared
forfeited. Any provision of any state law which recognizes a continuing
property interest or right to reinstatement of a property interest in a
conveyance has no effect after the date of the seizure of the
conveyance, if the conveyance is later declared forfeited.
(c) The custodian is authoized to execute a document of title to
convey ownership of a conveyance declared forfeited pursuant to section
274(b) of the Act and this part.
08 CFR 274.5 Return to owner of seized conveyance not subject to
forfeiture; opportunity for personal interview.
(a) The Service shall attempt with due diligence to ascertain the
ownership of any conveyance seized pursuant to section 274(b) of the Act
and this part, in order to determine whether the conveyance is subject
to forfeiture.
(b) The following conveyances are not subject to forfeiture:
(1) A conveyance used by any person as a common carrier, unless it
appears that the owner or other person in charge was a consenting party
or privy to the illegal use of the conveyance; and
(2) A conveyance established by the owner to have been unlawfully in
the possession of a person other than the owner in violation of the
criminal laws of the United States or of any state of the United States
as defined in section 101(a)(38) of the Act.
(c) The owner of a seized conveyance shall be informed of the right
to request a personal interview with an immigration officer and to
present evidence to establish:
(1) That the conveyance was not subject to seizure; or
(2) That the conveyance is not subject to forfeiture; or
(3) That the conveyance was used in an act to which the owner was not
privy, or did not consent, and the owner took all reasonable steps to
prevent the illegal use of the conveyance.
If it is determined that the owner has established that paragraphs
(c)(1) or (c)(2) of this section apply to the seized conveyance, that
seized conveyance shall be returned to the owner as provided in
paragraph (e) of this section; and if it is determined that the owner
has established that paragraph (c)(3) of this section applies to the
seized conveyance, that seized conveyance may be returned to the owner
as provided in paragraph (d) of this section.
(d) At any time after seizure the regional commissioner may determine
that it is in the best interests of justice not to pursue forfeiture of
a seized conveyance which is otherwise subject to forfeiture. If such a
determination is made, that seized conveyance shall be returned to the
owner as provided in paragraph (e) of this section.
(e) The owner of a seized conveyance to be returned pursuant to
paragraphs (c) or (d) of this section will be notified of the conditions
of obtaining possession and that possession of the seized conveyance
must be taken within 20 days of receipt of notice of the availability of
the seized conveyance for return. If the owner has not complied with
the conditions of obtaining possession and taken possession of the
seized conveyance within that 20 day period, that seized conveyance
shall be considered voluntarily abandoned to the United States, and the
custodian shall dispose of that seized conveyance as provided in 274.3
of this part. The conditions of obtaining possession of a seized
conveyance available for return pursuant to paragraphs (c) and (d) of
this section are as follows:
(1) If paragraph (c)(1) of this section applies to the seized
conveyance, there shall be no conditions for obtaining possession;
(2) If paragraphs (c)(2), (c)(3), or (d) of this section apply to the
seized conveyance, the owner shall pay all costs and expenses of seizure
and shall execute an instrument holding the United States, its agents
and employees, harmless from all claims which may result from the
seizure and return of the seized conveyance.
(f) If a seized conveyance being returned to the owner pursuant to
this section is the subject of judicial forfeiture proceedings, the
regional commissioner shall notify the United States Attorney that a
determination has been made that the seized conveyance is to be returned
to the owner and request that the judicial forfeiture proceedings be
terminated.
08 CFR 274.6 Proof of property interest.
The burden of proof is on a claimant to establish that the asserted
property interest in a seized conveyance existed on the date of seizure
of that conveyance by submission of sufficient satisfactory original
documentation or certified copies of the original documentation. If the
claimant fails to present documentation showing compliance with required
state formalities it will be presumed that a property interest in a
seized conveyance did not exist on the date of seizure of that
conveyance.
08 CFR 274.7 Appraisal.
The regional commissioner shall determine the appraised value of a
seized conveyance by consulting accepted reference guides to conveyance
values or experts in conveyance values. If there is no market for a
conveyance at the place of seizure, the value of the conveyance in the
principal market nearest the place of seizure shall be considered.
08 CFR 274.8 Notice to owner and lienholder of seizure.
Whenever a conveyance is seized, a notice must be given to the owner
and any known lienholder notifying them of the seizure of the conveyance
and its consideration for forfeiture. The notice must be accompanied by
copies of this part, section 274 of the Act, and the proposed
advertisement, if an advertisement is required pursuant to 274.9 of
this part. The owner shall be specifically informed of the provisions
of 274.5, 274.10, 274.13, 274.14, 274.15, 274.16, and 274.17 of this
part.
08 CFR 274.9 Advertisement.
(a) If the appraised value of a seized conveyance does not exceed the
monetary amount set forth in title 19 U.S.C. 1607 the regional
commissioner shall cause an advertisement of the seizure to be published
once a week for at least three successive weeks in a newspaper of
general circulation in the federal judicial district in which the
seizure occurred.
(b) The advertisement must:
(1) Describe the conveyance seized and indicate the identification
number, if any;
(2) State the time and place of seizure;
(3) State that the seized conveyance is subject to forfeiture except
as provided in 274.5(b) of this part;
(4) State that the Service is considering forfeiture of the seized
conveyance and sale or other disposal, if declared forfeited; and
(5) State that any prospective petitioners for relief from forfeiture
should submit their petitions pursuant to 274.13, 274.14, 274.15,
274.16, and 274.17 of this part within 30 days of publication of the
advertisement.
(53 FR 43187, Oct. 26, 1988, as amended at 56 FR 8686, Mar. 1, 1991)
08 CFR 274.10 Judicial forfeiture proceedings upon claim and bond.
(a) Any person claiming ownership of a seized conveyance with an
appraised value that does not exceed the monetary amount set forth in
title 19 U.S.C. 1607, may obtain judicial forfeiture proceedings in
United States District Court by filing a claim and a bond as follows:
(1) The claim must set forth the basis of the claimed ownership and
allege why the conveyance was not subject to seizure;
(2) The claim must be filed in the office specified in the notice and
the advertisement as provided in 274.8 and 274.9 of this part within
20 days of the date of first publication of the advertisement;
(3) The claim must be accompanied by a bond in the amount of the
lesser of $5,000 or ten percent of the appraised value of the seized
conveyance, but in no event less than $250, in the form of cash or
certified check; and
(4) If the bond is in the form of a check, it must be drawn payable
to the Department of Justice. The costs and expenses of the judicial
forefeiture proceedings will be paid from the bond, following completion
of the proceedings. Any balance remaining shall be returned to the
claimant.
(b) The regional commissioner may waive the bond requirement in the
manner provided in 103.7(c)(1) of this chapter.
(c) The filing of a claim and a bond does not entitle the claimant to
possession of the conveyance.
(53 FR 43187, Oct. 26, 1988, as amended at 56 FR 8686, Mar. 1, 1991)
08 CFR 274.11 Administrative forfeiture.
If the appraised value of a seized conveyance does not exceed the
monetary amount set forth in title 19 U.S.C. 1607, and a claim and a
bond are not filed within 20 days of the date of first publication of
the advertisement as provided in 274.9 of this part, the regional
commissioner may declare the seized conveyance forfeited. The regional
commissioner shall execute the declaration of forfeiture. The custodian
shall dispose of the forfeited conveyance as provided in 274.3 of this
part.
(53 FR 43187, Oct. 26, 1988, as amended at 56 FR 8686, Mar. 1, 1991)
08 CFR 274.12 Judicial forfeiture.
If the appraised value of a seized conveyance exceeds the monetary
amount set forth in title 19 U.S.C. 1607, or a claim and a bond have
been filed for a seized conveyance with an appraised value that does not
exceed the monetary amount set forth in title 19 U.S.C. 1607, as
provided in 274.10(a) of this part, the regional commissioner shall
transmit the claim and bond, as well as a copy of the advertisement as
provided in 274.9 of this part and a complete statement of the facts
and circumstances surrounding the seizure to the United States Attorney
for the federal judicial district in which the conveyance was seized for
commencement of judicial forfeiture proceedings pursuant to section
274(b) of the Act and this part.
(53 FR 43187, Oct. 26, 1988, as amended at 56 FR 8686, Mar. 1, 1991)
08 CFR 274.13 Petitions for relief from forfeiture; filing.
(a) Any person having a property interest in any seized conveyance
may file a petition for relief from forfeiture. A petition must comply
with the provisions of this section and 274.14, 274.15, 274.16, and
274.17 of this part and be filed with the regional commissioner if the
seized conveyance has not been referred to a United States Attorney
pursuant to 274.12 of this part for the commencement of judicial
forfeiture proceedings. If such a referral has occurred, a petition
must comply with the provisions of 28 CFR 9.3 and be filed with the
United States Attorney.
(b) A petition must be executed and sworn to by the petitioner or by
duly authorized counsel for the petitioner upon information and belief.
(c) A petition must include the following:
(1) A complete description of the conveyance, including
identification number, if any, and the date and place of seizure;
(2) A complete statement of the property interest in the seized
conveyance asserted by the petitioner, which property interest must be
established as provided in 274.6 of this part; and
(3) The facts and circumstances, with satisfactory proof thereof,
relied upon by the petitioner to justify relief from forfeiture.
(d) Filing of a petition does not extend the time for filing a claim
and a bond.
(e) If a petition is received by or a petition without a
determination issued thereon is in the possession of the regional
commissioner which asserts a property interest in a seized conveyance
which is the subject of a referral to a United States Attorney for
commencement of judicial forfeiture proceedings, the regional
commissioner shall transmit the petition and a recommendation thereon to
the United States Attorney. The regional commissioner shall notify the
petitioner of the transmittal. Upon receipt of such a petition, the
United States Attorney shall forward a copy of the petition, the
recommendation of the regional commissioner, and the recommendation of
the United States Attorney to the Director, Asset Forfeiture Office,
Criminal Division, Department of Justice.
08 CFR 274.14 Time for filing petitions.
(a) Petitions for the reliefs of remission or mitigation of
forfeitute should be filed within 30 days of the date of first
publication of the advertisement as provided in 274.9 of this part.
After a seized conveyance has been declared forfeited and placed in
official use, sold, or otherwise disposed of according to law, petitions
for the reliefs of remission or mitigation of forfeiture shall not be
accepted.
(b) Petitions for the relief of restoration of proceeds of sale or
the appraised value of a seized and forfeited conveyance placed in
official use or otherwise disposed of according to law must be filed
within 90 days of the sale of the seized and forfeited conveyance or
within 90 days that the seized and forfeited conveyance is placed in
official use or otherwise disposed of according to law.
08 CFR 274.15 Remission.
(a) The regional commissioner shall not grant remission of forfeiture
unless the petitioner establishes:
(1) A property interest in the conveyance;
(2) That at no time did the petitioner have any knowledge or reason
to believe that the conveyance was being or would be used in violation
of the law, including satisfying any applicable provisions of 274.18 of
this part;
(3) That the petitioner had no knowldege of the particular violation
which subjected the conveyance to seizure and forfeiture;
(4) That the petitioner had no knowledge that the owner nor anyone
else using or able to use the conveyance had any record or reputation;
had
(5) That the petitioner had taken all reasonable steps to prevent the
illegal use of the conveyance.
(b) Remission of forfeiture can only be granted after a seized
conveyance has been declared forfeited.
(c) Grant of remission of forfeiture must be conditioned upon:
(1) Payment to the custodian of all costs and expenses of the seizure
and forfeiture; or, in the case of a lienholder-petitioner, payment of
all costs and expenses of the seizure and forfeiture or the amount by
which the appraised value exceeds the net equity of the
lienholder-petitioner in the conveyance, whichever is greater;
(2) Execution of an instrument by the petitioner holding the United
States, its agents and employees, harmless from all claims which may
result from the grant of remission of forfeiture;
(3) Execution of an agreement by the petitioner that no property
interest in the conveyance will be transferred to any violator; and
(4) Any other terms or conditions as the regional commissioner
determines to be appropriate, including a provision for liquidated
damages to guarantee compliance with any of the provisions of the
agreement or terms and conditions of the remission of forfeiture.
(d) The following provisions apply only to an owner-petitioner that
is granted remission of forfeiture:
(1) Within 20 days after receipt of the determination, that
owner-petitioner shall comply with the conditions of remission and take
possession of the forfeited conveyance; and
(2) If that owner-petitioner does not comply with the provisions of
paragraph (d)(1) of this section, the forfeited conveyance shall be
placed in official use, sold, or otherwise disposed of by the custodian
as provided in 274.3 of this part. The proceeds of a sale of the
forfeited conveyance shall be applied first to all costs and expenses of
the seizure, forfeiture, and sale and any remaining balance shall be
paid to that owner-petitioner. If the forfeited conveyance is placed in
official use or otherwise disposed of, that owner-petitioner shall be
paid an amount equal to the appraised value of the conveyance minus all
costs and expenses of the seizure, forfeiture, and disposal.
(e) The following provisions apply only to a lienholder-petitioner
that is granted remission of forfeiture:
(1) That lienholder-petitioner shall receive payment of the net
equity of that lienholder-petitioner, if the forfeited conveyance is
placed in official use or otherwise disposed of according to law; or
either possession of the forfeited conveyance, or a monetary amount not
to exceed the net equity of that lienholder-petitioner from a sale of
the forfeited conveyance;
(2) Within 20 days after receipt of the determination, that
lienholder-petitioner shall comply with the conditions of remission and
take possession of the forfeited conveyance; and
(3) If that lienholder-petitioner does not comply with the provisions
of paragraph (e)(2) of this section, the forfeited conveyance shall be
placed in official use, sold, or otherwise disposed of by the custodian
as provided in 274.3 of this part. The proceeds of a sale shall be
applied first to all costs and expenses of the seizure, forfeiture, and
sale and any remaining balance not exceeding the net equity of that
lienholder-petitioner shall be paid to that lienholder-petitioner. If
the forfeited conveyance is placed in official use or otherwise disposed
of, that lienholder-petitioner shall be paid the net equity of that
lienholder-petitioner minus all costs and expenses of the seizure,
forfeiture, and disposal.
08 CFR 274.16 Mitigation.
(a) The regional commissioner may grant mitigation of forfeiture of a
seized conveyance to a petitioner, including a violator. To be eligible
for the relief of mitigation of forfeiture, a petitioner must establish
that transfer of ownership of the forfeited conveyance to the petitioner
promotes the interests of justice and does not diminish the deterrent
effect of section 274(b) of the Act.
(b) A grant of mitigation of forfeiture shall be in the form of a
monetary penalty imposed upon the petitioner in addition to any other
amounts chargeable as a condition to the grant of the relief of
remission of forfeiture. This penalty is considered as an item of cost
payable by the petitioner.
(c) Mitigation of forfeiture can only be granted after a seized
conveyance has been declared forfeited.
(d) A grant of mitigation of forfeiture must be conditioned upon:
(1) Execution of an instrument by the petitioner holding the United
States, its agents and employees, harmless from all claims which may
result from the grant of mitigation of forfeiture;
(2) Execution of an agreement that no property interest in the
conveyance will be transferred to any violator, or any other violator if
the petitioner is a violator; and
(3) Any other terms or conditions as the regional commissioner
determines to be appropriate, including a provision for liquidated
damages to guarantee compliance with any provisions of the agreement or
terms and conditions of the mitigation of forfeiture.
(e) The following provisions apply only to an owner-petitioner that
is granted mitigation of forfeiture:
(1) Within 20 days after receipt of the determination, that
owner-petitioner shall comply with the conditions of mitigation and take
possession of the forfeited conveyance; and
(2) If that owner-petitioner does not comply with the provisions of
paragraph (e)(1) of this section, the forfeited conveyance shall be
placed in official use, sold, or otherwise disposed of by the custodian
under 274.3 of this part. The proceeds of a sale of the forfeited
conveyance shall be applied first to all costs and expenses of the
seizure, forfeiture, and sale and any remaining balance shall be paid to
that owner-petitioner. If the forfeited conveyance is placed in
official use or otherwise disposed of, that owner-petitioner shall be
paid an amount equal to the appraised value of the conveyance minus all
costs and expenses of the seizure, forfeiture, and disposal.
(f) The following provisions apply only to a lienholder-petitioner
that is granted mitigation of forfeiture:
(1) That lienholder-petitioner shall receive payment of the net
equity of that lienholder-petitioner, if the forfeited conveyance is
retained for official use; or either possession of the forfeited
conveyance, or a monetary amount not to exceed the net equity of that
lienholder-petitioner from the sale of the forfeited conveyance;
(2) Within 20 days after receipt of the determination, that
lienholder-petitioner shall comply with the conditions of mitigation and
take possession of the forfeited conveyance; and
(3) If the lienholder-petitioner does not comply with the provisions
of paragraph (f)(2) of this section, the forfeited conveyance shall be
placed in official use, sold, or otherwise disposed of by the custodian
as provided in 274.3 of this part. The proceeds of a sale shall be
applied first to all costs and expenses of the seizure, forfeiture, and
sale and any remaining balance not exceeding the net equity of that
lienholder-petitioner shall be paid to that lienholder-petitioner. If
the forfeited conveyance is placed in official use or otherwise disposed
of, that lienholder-petitioner shall be paid the net equity of that
lienholder-petitioner minus all costs and expenses of the seizure,
forfeiture, and disposal.
08 CFR 274.17 Restoration of proceeds or appraised value.
(a) The regional commissioner shall not grant restoration of proceeds
of sale or the appraised value of a conveyance placed in official use or
otherwise disposed of according to law unless the petitioner establishes
that the petitioner:
(1) Did not know of the seizure prior to the declaration of
forfeiture;
(2) Was in such circumstances as prevented the petitioner from
knowing thereof; and
(3) Would otherwise have been granted the relief of remission of
forfeiture.
(b) A grant of restoration of proceeds of sale or the appraised value
of a conveyance placed in official use or otherwise disposed of
according to law must be conditioned upon:
(1) Execution of an instrument by the petitioner holding the United
States, its agents and employees, harmless from all claims which may
result from the grant of restoration of proceeds of sale or the
appraised value of a conveyance placed in official use or otherwise
disposed of according to law; and
(2) Any other terms or conditions as the regional commissioner
determines to be appropriate.
08 CFR 274.18 Provisions applicable to particular situations.
(a) A straw purchaser is a person who purchases in his own name a
conveyance for another person, the real purchaser, who has a record or
reputation. A lienholder-petitioner that knows, or has reason to
believe, that a purchaser of a conveyance is a straw purchaser, must
satisfy the requirements of 274.15(a) of this part as to both the straw
purchaser and the real purchaser to be eligible for a grant of remission
of forfeiture. This provision applies where money is borrowed on the
security of property held in the name of the straw purchaser for the
real purchaser.
(b) A petitioner engaged in the business of leasing conveyances must
satisfy the requirements of 274.15(a) of this part as to all lessees
and sublessees or other persons having any interest under a lease of the
subject conveyance on the date of seizure of that conveyance to be
eligible for a grant of remission of forfeiture.
(c) In the consideration of a petition for relief from forfeiture the
mere existence of a community property interest without proof of
financial contribution to the purchase of a conveyance will not be
deemed to have been a property interest in a seized and forfeited
conveyance.
(d) A petitioner that submits a petition for remission of forfeiture
as a subrogee must satisfy the requirements of 274.15(a) of this part
as to all prior possessors of the subrogated interest in the seized and
forfeited conveyance to be eligible for a grant of remission of
forfeiture.
08 CFR 274.19 Determinations on petitions; reconsideration.
(a) Upon consideration of a petition for relief from forfeiture and
all of the facts and circumstances surrounding the seizure of a
conveyance, the regional commissioner shall issue a written
determination. In making that determination the regional commissioner
shall presume that the evidence is sufficient to support forfeiture of
the conveyance. No hearing shall be held on any petitions for relief
from forfeiture under this part.
(b) The regional commissioner may deny relief from forfeiture when
there are unusual circumstances regarding a seizure which provide
reasonable grounds for concluding that remission or mitigation of the
forfeiture would be contrary to the interests of justice and would
diminish the deterrent effect of section 274(b) of the Act, even if the
petitioner has satisfactorily established compliance with the
administrative conditions applicable to and eligibility for relief from
forfeiture.
(c) Relief from forfeiture shall not be granted to any petitioner who
has a subordinate property interest to another petitioner until the
petition of the petitioner with the superior property interest has been
finally adjudicated nor until any claim or petition of the owner has
been finally adjudicated.
(d) The determination on a petition shall set forth either the
conditions upon which relief has been granted and the procedures for
obtaining possession of the forfeited conveyance or other relief
granted; or the reasons for denial of relief from forfeiture and the
procedures for requesting reconsideration. The determination on a
petition shall be mailed to the petitioner or duly authorized counsel of
the petitioner.
(e) Any request for reconsideration of a denial of relief from
forfeiture must be submitted to the regional commissioner within 10 days
of receipt of the determination on the petition. Such request for
reconsideration can only be based on evidence recently developed or not
previously considered.
(f) Only one request for reconsideration of a denial of relief from
forfeiture shall be considered.
08 CFR 274.20 Compromise of judicial forfeiture proceedings.
Judicial forfeiture proceedings commenced pursuant to section 274(b)
of the Act and this part may be compromised by the United States
Attorney only with the concurrence of the Director, Asset Forfeiture
Office, Criminal Division, Department of Justice. In evaluating a
compromise, the United States Attorney shall consider the probabilities
for successfully prosecuting the judicial forfeiture proceedings and the
terms of the compromise offer. The United States Attorney shall consult
with the regional commissioner before recommending a compromise.
08 CFR 274.20 PART 274a -- CONTROL OF EMPLOYMENT OF ALIENS
08 CFR 274.20 Subpart A -- Employer Requirements
Sec.
274a.1 Definitions.
274a.2 Verification of employment eligibility.
274a.3 Continuing employment of unauthorized aliens.
274a.4 Good faith defense.
274a.5 Use of labor through contract.
274a.6 State employment agencies.
274a.7 Pre-enactment provisions for employees hired prior to November
7, 1986.
274a.8 Prohibition of indemnity bonds.
274a.9 Enforcement procedures.
274a.10 Penalties.
274a.11 (Reserved)
08 CFR 274.20 Subpart B -- Employment Authorization
274a.12 Classes of aliens authorized to accept employment.
274a.13 Application for employment authorization.
274a.14 Termination of employment authorization.
Authority: 8 U.S.C. 1101, 1103, 1324a, and 8 CFR part 2.
Source: 52 FR 16221, May 1, 1987, unless otherwise noted.
08 CFR 274.20 Subpart A -- Employer Requirements
08 CFR 274a.1 Definitions.
For the purpose of this part --
(a) The term unauthorized alien means, with respect to employment of
an alien at a particular time, that the alien is not at that time
either: (1) Lawfully admitted for permanent residence, or (2)
authorized to be so employed by this Act or by the Attorney General;
(b) The term entity means any legal entity, including but not limited
to, a corporation, partnership, joint venture, governmental body,
agency, proprietorship, or association;
(c) The term hire means the actual commencement of employment of an
employee for wages or other remuneration. For purposes of section
274A(a)(4) of the Act and 274a.5 of this part, a hire occurs when a
person or entity uses a contract, subcontract or exchange entered into,
renegotiated or extended after November 6, 1986, to obtain the labor of
an alien in the United States, knowing that the alien is an unauthorized
alien;
(d) The term refer for a fee means the act of sending or directing a
person or transmitting documentation or information to another, directly
or indirectly, with the intent of obtaining employment in the United
States for such person, for remuneration whether on a retainer or
contingency basis; however, this term does not include union hiring
halls that refer union members or non-union individuals who pay union
membership dues;
(e) The term recruit for a fee means the act of soliciting a person,
directly or indirectly, and referring that person to another with the
intent of obtaining employment for that person, for remuneration whether
on a retainer or contingency basis; however, this term does not include
union hiring halls that refer union members or non-union individuals who
pay union membership dues;
(f) The term employee means an individual who provides services or
labor for an employer for wages or other remuneration but does not mean
independent contractors as defined in paragraph (j) of this section or
those engaged in casual domestic employment as stated in paragraph (h)
of this section;
(g) The term employer means a person or entity, including an agent or
anyone acting directly or indirectly in the interest thereof, who
engages the services or labor of an employee to be performed in the
United States for wages or other remuneration. In the case of an
independent contractor or contract labor or services, the term employer
shall mean the independent contractor or contractor and not the person
or entity using the contract labor;
(h) The term employment means any service or labor performed by an
employee for an employer within the United States, including service or
labor performed on a vessel or aircraft that has arrived in the United
States and has been inspected, or otherwise included within the
provisions of the Anti-Reflagging Act codified at 46 U.S.C. 8704, but
not including duties performed by nonimmigrant crewmen defined in
sections 101 (a)(10) and (a)(15)(D) of the Act. However, employment
does not include casual employment by individuals who provide domestic
service in a private home that is sporadic, irregular or intermittent;
(i) The term State employment agency means any State government unit
designated to cooperate with the United States Employment Service in the
operation of the public employment service system;
(j) The term independent contractor includes individuals or entities
who carry on independent business, contract to do a piece of work
according to their own means and methods, and are subject to control
only as to results. Whether an individual or entity is an independent
contractor, regardless of what the individual or entity calls itself,
will be determined on a case-by-case basis. Factors to be considered in
that determination include, but are not limited to, whether the
individual or entity: supplies the tools or materials; makes services
available to the general public; works for a number of clients at the
same time; has an opportunity for profit or loss as a result of labor
or services provided; invests in the facilities for work; directs the
order or sequence in which the work is to be done and determines the
hours during which the work is to be done. The use of labor or services
of an independent contractor are subject to the restrictions in section
274A(a)(4) of the Act and 274a.5 of this part;
(k) The term pattern or practice means regular, repeated, and
intentional activities, but does not include isolated, sporadic, or
accidental acts;
(l)(1) The term knowing includes not only actual knowledge but also
knowledge which may fairly be inferred through notice of certain facts
and circumstances which would lead a person, through the exercise of
reasonable care, to know about a certain condition. Constructive
knowledge may include, but is not limited to, situations where an
employer:
(i) Fails to complete or improperly completes the Employment
Eligibility Verification Form, I-9;
(ii) Has information available to it that would indicate that the
alien is not authorized to work, such as Labor Certification and/or an
Application for Prospective Employer; or
(iii) Acts with reckless and wanton disregard for the legal
consequences of permitting another individual to introduce an
unauthorized alien into its work force or to act on its behalf.
(2) Knowledge that an employee is unauthorized may not be inferred
from an employee's foreign appearance or accent. Nothing in this
definition should be interpreted as permitting an employer to request
more or different documents than are required under section 274(b) of
the Act or to refuse to honor documents tendered that on their face
reasonably appear to be genuine and to relate to the individual.
(52 FR 16221, May 1, 1987, as amended at 53 FR 8612, Mar. 16, 1988;
55 FR 25931, June 25, 1990; 56 FR 41783, Aug. 23, 1991)
08 CFR 274a.2 Verification of employment eligibility.
(a) General. This section states the requirements and procedures
persons or entities must comply with when hiring, or when recruiting or
referring for a fee, or when continuing to employ individuals in the
United States. For purposes of complying with section 274A(b) of the
Act and this section, all references to recruiters and referrers for a
fee are limited to a person or entity who is either an agricultural
association, agricultural employer, or farm labor contractor (as defined
in section 3 of the Migrant and Seasonal Agricultural Worker Protection
Act, 29 U.S.C. 1802). The Form I-9, Employment Eligibility Verification
Form, has been designated by the Service as the form to be used in
complying with the requirements of this section. The Form I-9 may be
obtained in limited quantities at INS District Offices, or ordered from
the Superintendent of Documents, Washington, DC 20402. A blank Form I-9
must be photocopied or printed in accordance with the restrictions set
forth in 299.4 of this chapter, with the exception of the black ink or
dye requirements contained therein. When photocopying or printing the
Form I-9, both sides must be photocopied or printed. Employers need
only complete the Form I-9 for individuals who are hired after November
6, 1986 and continue to be employed after May 31, 1987. Employers shall
have until September 1, 1987 to complete the Form I-9 for individuals
hired from November 7, 1986 through May 31, 1987. Recruiters and
referrers for a fee need complete the Form I-9 only for those
individuals who are recruited or referred and hired after May 31, 1987.
In conjunction with completing the Form I-9, an employer or recruiter or
referrer for a fee must examine documents that evidence the identity and
employment eligibility of the individual. The employer or recruiter or
referrer for a fee and the individual must each complete an attestation
on the Form I-9 under penalty of perjury.
(b) Employment verification requirements -- (1) Examination of
documents and completion of Form I-9.
(i) A person or entity that hires or recruits or refers for a fee an
individual for employment must ensure that the individual properly:
(A) Complete section 1 -- ''Employee Information and Verification''
-- on the Form I-9 at the time of hire; or if an individual is unable
to complete the Form I-9 or needs it translated, someone may assist him
or her. The preparer or translator must read the Form to the
individual, assist him or her in completing Section 1 -- ''Employee
Information and Verification,'' and have the individual sign or mark the
Form in the appropriate place. The preparer or translator must then
complete the ''Preparer/Translator Certification'' portion of the Form
I-9; and
(B) Present to the employer or the recruiter or referrer for a fee
documentation as set forth in paragraph (b)(1)(v) of this section
establishing his or her identity and employment eligibility within the
time limits set forth in paragraphs (b)(1)(ii) through (b)(1)(v) of this
section.
(ii) Except as provided in paragraph (b)(1)(viii) of this section, an
employer, his or her agent, or anyone acting directly or indirectly in
the interest thereof, must within three business days of the hire:
(A) Physically examine the documentation presented by the individual
establishing identity and employment eligibility as set forth in
paragraph (b)(1)(v) of this section and ensure that the documents
presented appear to be genuine and to relate to the individual; and
(B) Complete section 2 -- ''Employer Review and Verification'' -- of
the Form I-9.
(iii) An employer, his or her agent, or anyone acting directly or
indirectly in the interest thereof, who hires an individual for
employment for duration of less than three business days must comply
with paragraphs (b)(1)(ii)(A) and (b)(1)(ii)(B) of this section at the
time of the hire. A receipt for the application of such documentation,
as described in paragraph (b)(1)(vi) of this section, may not be
accepted by the employer.
(iv) A recruiter or referrer for a fee for employment must comply
with paragraphs (b)(1)(ii)(A) and (b)(1)(ii)(B) of this section within
three business days of the date the referred individual is hired by the
employer. Recruiters and referrers may designate agents to complete the
employment verification procedures on their behalf including but not
limited to notaries, national associations, or employers. If a
recruiter or referrer designates an employer to complete the employment
verification procedures, the employer need only provide the recruiter or
referrer with a photocopy of the Form I-9.
(v) The individual may present either an original document which
establishes both employment authorization and identity, or an original
document which establishes employment authorization and a separate
original document which establishes identity. The identification number
and expiration date (if any) of all documents must be noted in the
appropriate space provided on the Form I-9.
(A) The following documents, so long as they appear to relate to the
individual presenting the document, are acceptable to evidence both
identity and employment eligibility:
(1) United States passport (unexpired or expired);
(2) Certificate of United States Citizenship, INS Form N-560 or
N-561;
(3) Certificate of Naturalization, INS Form N-550 or N-570;
(4) An unexpired foreign passport which:
(i) Contains an unexpired stamp therein which reads, ''Processed for
I-551. Temporary Evidence of Lawful Admission for permanent residence.
Valid until ------ . Employment authorized.'' or
(ii) Has attached thereto a Form I-94 bearing the same name as the
passport and contains an employment authorization stamp, so long as the
period of endorsement has not yet expired and the proposed employment is
not in conflict with any restrictions or limitations identified on the
Form I-94.
(5) Alien Registration Receipt Card, INS Form I-151 or Resident Alien
INS Form I-551, provided that it contains a photograph of the bearer;
(6) An unexpired Temporary Resident Card, INS Form 688;
(7) An unexpired Employment Authorization Card, INS Form I-688A;
(8) An unexpired reentry permit, INS Form I-327;
(9) An unexpired Refugee Travel document, INS Form I-571;
(10) An unexpired employment authorization document issued by the
Immigration and Naturalization Service which contains a photograph, INS
Form I-688B.
(B) The following documents are acceptable to establish identity
only:
(1) For individuals 16 years of age or older:
(i) A driver's license or identification card containing a
photograph, issued by a state (as defined in section 101(a)(36) of the
Act) or an outlying possession of the United States (as defined by
section 101(a)(29) of the Act). If the driver's license or
identification card does not contain a photograph, identifying
information shall be included such as: name, date of birth, sex,
height, color of eyes, and address;
(ii) School identification card with a photograph;
(iii) Voter's registration card;
(vi) U.S. military card or draft record;
(v) Identification card issued by federal, state, or local government
agencies or entities. If the identification card does not contain a
photograph, identifying information shall be included such as: name,
date of birth, sex, height, color of eyes, and address;
(vi) Military dependent's identification card;
(vii) Native American tribal documents;
(viii) United States Coast Guard Merchant Mariner Card;
(ix) Driver's license issued by a Canadian government authority;
(2) For individuals under age 18 who are unable to produce a document
listed in paragraph (b)(1)(v)(B)(1) of this section, the following
documents are acceptable to establish identity only:
(i) School record or report card;
(ii) Clinic doctor or hospital record;
(iii) Daycare or nursery school record.
(3) Minors under the age of 18 who are unable to produce one of the
identity documents listed in paragraph (b)(1)(v)(B) (1) or (2) of this
section are exempt from producing one of the enumerated identity
documents if:
(i) The minor's parent or legal guardian completes on the Form I-9
Section 1 -- ''Employee Information and Verification'' and in the space
for the minor's signature, the parent or legal guardian writes the
words, ''minor under age 18.''
(ii) The minor's parent or legal guardian completes on the Form I-9
the ''Preparer/Translator certification.''
(iii) The employer or the recruiter or referrer for a fee writes in
Section 2 -- ''Employer Review and Verification'' under List B in the
space after the words ''Document Identification #'' the words, ''minor
under age 18.''
(4) Individuals with handicaps, who are unable to produce one of the
identity documents listed in paragraph (b)(1)(v)(B) (1) or (2) of this
section, who are being placed into employment by a nonprofit
organization, association or as part of a rehabilitation program, may
follow the procedures for establishing identity provided in this section
for minors under the age of 18, substituting where appropriate, the term
''special placement'' for ''minor under age 18'', and permitting, in
addition to a parent or legal guardian, a representative from the
nonprofit organization, association or rehabilitation program placing
the individual into a position of employment, to fill out and sign in
the appropriate section, the Form I-9. For purposes of this section the
term individual with handicaps means any person who
(i) Has a physical or mental impairment which substantially limits
one or more of such person's major life activities,
(ii) Has a record of such impairment, or
(iii) Is regarded as having such impairment.
(C) The following are acceptable documents to establish employment
authorization only:
(1) A social security number card other than one which has printed on
its face ''not valid for employment purposes'';
(2) A Certification of Birth Abroad issued by the Department of
State, Form FS-545;
(3) A Certification of Birth Abroad issued by the Department of
State, Form DS-1350;
(4) An original or certified copy of a birth certificate issued by a
State, county, municipal authority or outlying possession of the United
States bearing an official seal;
(5) Native American tribal document;
(6) United States Citizen Identification Card, INS Form I-197;
(7) Identification card for use of resident citizen in the United
States, INS Form I-179;
(8) An unexpired employment authorization document issued by the
Immigration and Naturalization Service.
(vi) If an individual is unable to provide the required document or
documents within the time periods specified in paragraphs (b)(1) (ii)
and (iv) of this section, the individual must present a receipt for the
application of the replacement document or documents within three
business days of the hire and present the required document or documents
within 90 days of the hire. This section is not applicable to an alien
who indicates that he or she does not have work authorization at the
time of hire.
(vii) If an individual's employment authorization expires, the
employer, recruiter or referrer for a fee must reverify on the Form I-9
to reflect that the individual is still authorized to work in the United
States; otherwise the individual may no longer be employed, recruited,
or referred. Reverification on the Form I-9 must occur not later than
the date work authorization expires. In order to reverify on the Form
I-9, the employee or referred individual must present a document that
either shows continuing employment eligibility or is a new grant of work
authorization. The employer or the recruiter or referrer for a fee must
review this document, and if it appears to be genuine and to relate to
the individual, reverify by noting the document's identification number
and expiration date on the Form I-9.
(viii) An employer will not be deemed to have hired an individual for
employment if the individual is continuing in his or her employment and
has a reasonable expectation of employment at all times.
(A) An individual is continuing in his or her employment in one of
the following situations:
(1) An individual takes approved paid or unpaid leave on account of
study, illness or disability of a family member, illness or pregnancy,
maternity or paternity leave, vacation, union business, or other
temporary leave approved by the employer;
(2) An individual is promoted, demoted, or gets a pay raise;
(3) An individual is temporarily laid off for lack of work;
(4) An individual is on strike or in a labor dispute;
(5) An individual is reinstated after disciplinary suspension for
wrongful termination, found unjustified by any court, arbitrator, or
administrative body, or otherwise resolved through reinstatement or
settlement;
(6) An individual transfers from one distinct unit of an employer to
another distinct unit of the same employer; the employer may transfer
the individual's Form I-9 to the receiving unit;
(7) An individual continues his or her employment with a related,
successor, or reorganized employer, provided that the employer obtains
and maintains from the previous employer records and Forms I-9 where
applicable. For this purpose, a related, successor, or reorganized
employer includes:
(i) The same employer at another location;
(ii) An employer who continues to employ some or all of a previous
employer's workforce in cases involving a corporate reorganization,
merger, or sale of stock or assets;
(iii) An employer who continues to employ any employee of another
employer's workforce where both employers belong to the same
multi-employer association and the employee continues to work in the
same bargaining unit under the same collective bargaining agreement.
For purposes of this subsection, any agent designated to complete and
maintain the Form I-9 must record the employee's date of hire and/or
termination each time the employee is hired and/or terminated by an
employer of the multi-employer association; or
(8) An individual is engaged in seasonal employment.
(B) The employer who is claiming that an individual is continuing in
his or her employment must also establish that the individual expected
to resume employment at all times and that the individual's expectation
is reasonable. Whether an individual's expectation is reasonable will
be determined on a case-by-case basis taking into consideration several
factors. Factors which would indicate that an individual has a
reasonable expectation of employment include, but are not limited to,
the following:
(1) The individual in question was employed by the employer on a
regular and substantial basis. A determination of a regular and
substantial basis is established by a comparison of other workers who
are similarly employed by the employer;
(2) The individual in question complied with the employer's
established and published policy regarding his or her absence;
(3) The employer's past history of recalling absent employees for
employment indicates a likelihood that the individual in question will
resume employment with the employer within a reasonable time in the
future;
(4) The former position held by the individual in question has not
been taken permanently by another worker;
(5) The individual in question has not sought or obtained benefits
during his or her absence from employment with the employer that are
inconsistent with an expectation of resuming employment with the
employer within a reasonable time in the future. Such benefits include,
but are not limited to, severance and retirement benefits;
(6) The financial condition of the employer indicates the ability of
the employer to permit the individual in question to resume employment
within a reasonable time in the future; or
(7) The oral and/or written communication between employer, the
employer's supervisory employees and the individual in question
indicates that it is reasonably likely that the individual in question
will resume employment with the employer within a reasonable time in the
future.
(2) Retention and Inspection of Form I-9. (i) Form I-9 must be
retained by an employer or a recruiter or referrer for a fee for the
following time periods:
(A) In the case of an employer, three years after the date of the
hire or one year after the date the individual's employment is
terminated, whichever is later; or
(B) In the case of a recruiter or referrer for a fee, three years
after the date of the hire.
(ii) Any person or entity required to retain Forms I-9 in accordance
with this section shall be provided with at least three days notice
prior to an inspection of the Forms I-9 by officers of the Service, the
Special Counsel for Immigration-Related Unfair Employment Practices, or
the Departmet of Labor. At the time of inspection, Forms I-9 must be
made available in their original form or on microfilm or microfiche at
the location where the request for production was made. If Forms I-9
are kept at another location, the person or entity must inform the
officer of the Service, the Special Counsel for Immigration-Related
Unfair Employment Practices, or the Department of Labor of the location
where the forms are kept and make arrangements for the inspection.
Inspections may be performed at an INS office. A recruiter or referrer
for a fee who has designated an employer to complete the employment
verification procedures may present a photocopy of the Form I-9 in lieu
of presenting the Form I-9 in its original form or on microfilm or
microfiche, as set forth in paragraph (b) (1) (iv) of this section. Any
refusal or delay in presentation of the Forms I-9 for inspection is a
violation of the retention requirements as set forth in section 274A(b)
(3) of the Act. No Subpoena or warrant shall be required for such
inspection, but the use of such enforcement tools is not precluded. In
addition, if the person or entity has not complied with a request to
present the Forms I-9, any Service officer listed in 287.4 of this
chapter may compel production of the Forms I-9 and any other relevant
documents by issuing a subpoena. Nothing in this section is intended to
limit the Service's subpoena power under section 235(a) of the Act.
(iii) The following standards shall apply to Forms I-9 presented on
microfilm or microfiche submitted to an officer of the Service, the
Special Counsel for Immigration-Related Unfair Employment Practices, or
the Department of Labor: Microfilm, when displayed on a microfilm
reader (viewer) or reproduced on paper must exhibit a high degree of
legibility and readability. For this purpose, legibility is defined as
the quality of a letter or numeral which enables the observer to
positively and quickly identify it to the exclusion of all other letters
or numerals. Readability is defined as the quality of a group of
letters or numerals being recognizable as words or whole numbers. A
detailed index of all microfilmed data shall be maintained and arranged
in such a manner as to permit the immediate location of any particular
record. It is the responsibility of the employer, recruiter or referrer
for a fee:
(A) To provide for the processing, storage and maintenace of all
microfilm, and
(B) To be able to make the contents thereof available as required by
law. The person or entity presenting the microfilm will make available
a reader-printer at the examination site for the ready reading, location
and reproduction of any record or records being maintained on microfilm.
Reader-printers made available to an officer of the Service, the
Special Counsel for Immigration-Related Unfair Employment Practices, or
the Department of Labor shall provide safety features and be in clean
condition, properly maintained and in good working order. The
reader-printers must have the capacity to display and print a complete
page of information. A person or entity who is determined to have
failed to comply with the criteria established by this regulation for
the presentation of microfilm or microfiche to the Service, the Special
Counsel for Immigration-Related Unfair Employment Practices, or the
Department of Labor, and at the time of the inspection does not present
a properly completed Form I-9 for the employee, is in violation of
section 274A(a)(1)(B) of the Act and 274a.2(b)(2).
(3) Copying of documentation. An employer, or a recruiter or
referrer for a fee may, but is not required to, copy a document
presented by an individual solely for the purpose of complying with the
verification requirements of this section. If such a copy is made, it
must be retained with the Form I-9. The retention requirements in
paragraph (b)(2) of this section do not apply to the photocopies. The
copying of any such document and retention of the copy does not relieve
the employer from the requirement to fully complete section 2 of the
Form I-9. An employer, recruiter or referrer for a fee should not,
however, copy the documents only of individuals of certain national
origins or citizenship statuses. To do so may violate section 274B of
the Act.
(4) Limitation on use of Form I-9. Any information contained in or
appended to the Form I-9, including copies of documents listed in
paragraph (c) of this section used to verify an individual's identity or
employment eligibility, may be used only for enforcement of the Act and
sections 1001, 1028, 1546, or 1621 of title 18, United States Code.
(c) Employment verification requirements in the case of hiring an
individual who was previously employed. (1) When an employer hires an
individual whom that person or entity has previously employed, if the
employer has previously completed the Form I-9 and complied with the
verification requirements set forth in paragraph (b) of this section
with regard to the individual, the employer may (in lieu of completing a
new Form I-9) inspect the previously completed Form I-9 and:
(i) If upon inspection of the Form I-9, the employer determines that
the Form I-9 relates to the individual and that the individual is still
eligible to work, that previously executed Form I-9 is sufficient for
purposes of section 274A(b) of the Act if the individual is hired within
three years of the date of the initial execution of the Form I-9 and the
employer updates the Form I-9 to reflect the date of rehire; or
(ii) If upon inspection of the Form I-9, the employer determines that
the individual's employment authorization has expired, the employer must
reverify on the Form I-9 in accordance with paragraph (b)(1)(vii);
otherwise the individual may no longer be employed.
(2) For purposes of retention of the Form I-9 by an employer for a
previously employed individual hired pursuant to paragraph (c)(1) of
this section, the employer shall retain the Form I-9 for a period of
three years commencing from the date of the initial execution of the
Form I-9 or one year after the individual's employment is terminated,
whichever is later.
(d) Employment verification requirements in the case of recruiting or
referring for a fee an individual who was previously recruited or
referred. (1) When a recruiter or referrer for a fee refers an
individual for whom that recruiter or referrer for a fee has previously
completed a Form I-9 and complied with the verification requirements set
forth in paragraph (b) of this section with regard to the individual,
the recruiter or referrer may (in lieu of completing a new Form I-9)
inspect the previously completed Form I-9 and:
(i) If upon inspection of the Form I-9, the recruiter or referrer for
a fee determines that the Form I-9 relates to the individual and that
the individual is still eligible to work, that previously executed Form
I-9 is sufficient for purposes of section 274A(b) of the Act if the
individual is referred within three years of the date of the initial
execution of the Form I-9 and the recruiter or referrer for a fee
updates the Form I-9 to reflect the date of rehire; or
(ii) If upon inspection of the Form I-9, the recruiter or referrer
determines that the individual's employment authorization has expired,
the recruiter or referrer for a fee must reverify on the Form I-9 in
accordance with paragraph (b)(1)(vii) of this section; otherwise the
individual may no longer be recruited or referred.
(2) For purposes of retention of the Form I-9 by a recruiter or
referrer for a previously recruited or referred individual pursuant to
paragraph (d)(1) of this section, the recruiter or referrer shall retain
the Form I-9 for a period of three years from the date of the rehire.
(52 FR 16221, May 1, 1987, as amended at 53 FR 8612, Mar. 16, 1988;
55 FR 25932, June 25, 1990; 56 FR 41784-41786, Aug. 23, 1991)
08 CFR 274a.3 Continuing employment of unauthorized aliens.
An employer who continues the employment of an employee hired after
November 6, 1986, knowing that the employee is or has become an
unauthorized alien with respect to that employment, is in violation of
section 274A(a)(2) of the Act.
(52 FR 16221, May 1, 1987, as amended at 53 FR 8613, Mar. 16, 1988)
08 CFR 274a.4 Good faith defense.
An employer or a recruiter or referrer for a fee for employment who
shows good faith compliance with the employment verification
requirements of 274a.2(b) of this part shall have established a
rebuttable affirmative defense that the person or entity has not
violated section 274A(a)(1)(A) of the Act with respect to such hiring,
recruiting, or referral.
08 CFR 274a.5 Use of labor through contract.
Any person or entity who uses a contract, subcontract, or exchange
entered into, renegotiated, or extended after November 6, 1986, to
obtain the labor or services of an alien in the United States knowing
that the alien is an unauthorized alien with respect to performing such
labor or services, shall be considered to have hired the alien for
employment in the United States in violation of section 274A(a)(1)(A) of
the Act.
(55 FR 25934, June 25, 1990)
08 CFR 274a.6 State employment agencies.
(a) General. Pursuant to sections 274A(a)(5) and 274A(b) of the Act,
a state employment agency as defined in 274a.1 of this part may, but is
not required to, verify identity and employment eligibility of
individuals referred for employment by the agency. However, should a
state employment agency choose to do so, it must:
(1) Complete the verification process in accordance with the
requirements of 274a.2(b) of this part provided that the individual may
not present receipts in lieu of documents in order to complete the
verification process as otherwise permitted by 274a.2(b)(1)(vi) of this
part; and
(2) Complete the verification process prior to referral for all
individuals for whom a certification is required to be issued pursuant
to paragraph (c) of this section.
(b) Compliance with the provisions of section 274A of the Act. A
state employment agency which chooses to verify employment eligibility
of individuals pursuant to 274a.2(b) of this part shall comply with all
provisions of section 274A of the Act and the regulations issued
thereunder.
(c) State employment agency certification. (1) A state employment
agency which chooses to verify employment eligibility pursuant to
paragraph (a) of this section shall issue to an employer who hires an
individual referred for employment by the agency, a certification as set
forth in paragraph (d) of this section. The certification shall be
transmitted by the state employment agency directly to the employer,
personally by an agency official, or by mail, so that it will be
received by the employer within 21 business days of the date that the
referred individual is hired. In no case shall the certification be
transmitted to the employer from the state employment agency by the
individual referred. During this period:
(i) The job order or other appropriate referral form issued by the
state employment agency to the employer, on behalf of the individual who
is referred and hired, shall serve as evidence, with respect to that
individual, of the employer's compliance with the provisions of section
274A(a)(1)(B) of the Act and the regulations issued thereunder.
(ii) In the case of a telephonically authorized job referral by the
state employment agency to the employer, an appropriate annotation by
the employer shall be made and shall serve as evidence of the job order.
The employer should retain the document containing the annotation where
the employer retains Forms I-9.
(2) Job orders or other referrals, including telephonic
authorizations, which are used as evidence of compliance pursuant to
paragraph (c)(1)(i) of this section shall contain:
(i) The name of the referred individual;
(ii) The date of the referral;
(iii) The job order number or other applicable identifying number
relating to the referral;
(iv) The name and title of the referring state employment agency
official; and
(v) The telephone number and address of the state employment agency.
(3) A state employment agency shall not be required to verify
employment eligibility or to issue a certification to an employer to
whom the agency referred an individual if the individual is hired for a
period of employment not to exceed 3 days in duration. Should a state
agency choose to verify employment eligibility and to issue a
certification to an employer relating to an individual who is hired for
a period of employment not to exceed 3 days in duration, it must verify
employment eligibility and issue certifications relating to all such
individuals. Should a state employment agency choose not to verify
employment eligibility or issue certifications to employers who hire,
for a period not to exceed 3 days in duration, agency-referred
individuals, the agency shall notify employers that, as a matter of
policy, it does not perform verifications for individuals hired for that
length of time, and that the employers must complete the identity and
employment eligibility requirements pursuant to 274a.2(b) of this part.
Such notification may be incorporated into the job order or other
referral form utilized by the state employment agency as appropriate.
(4) An employer to whom a state employment agency issues a
certification relating to an individual referred by the agency and hired
by the employer, shall be deemed to have complied with the verification
requirements of 274a.2(b) of this part provided that the employer:
(i) Reviews the identifying information contained in the
certification to ensure that it pertains to the individual hired;
(ii) Observes the signing of the certification by the individual at
the time of its receipt by the employer as provided for in paragraph
(d)(13) of this section;
(iii) Complies with the provisions of 274a.2(b)(1)(vii) of this part
by either:
(A) Updating the state employment agency certification in lieu of
Form I-9, upon expiration of the employment authorization date, if any,
which was noted on the certification issued by the state employment
agency pursuant to paragraph (d)(11) of this section; or
(B) By no longer employing an individual upon expiration of his or
her employment authorization date noted on the certification;
(iv) Retains the certification in the same manner prescribed for Form
I-9 in 274a.2(b)(2) of this part, to wit, three years after the date of
the hire or one year after the date the individual's employment is
terminated, whichever is later; and
(v) Makes it available for inspection to officers of the Service or
the Department of Labor, pursuant to the provisions of section
274A(b)(3) of the Act, and 274a.2(b)(2) of this part.
(5) Failure by an employer to comply with the provisions of paragraph
(c)(4)(iii) of this section shall constitute a violation of section
274A(a)(2) of the Act and shall subject the employer to the penalties
contained in section 274A(e)(4) of the Act, and 274a.10 of this part.
(d) Standards for state employment agency certifications. All
certifications issued by a state employment agency pursuant to paragraph
(c) of this section shall conform to the following standards. They
must:
(1) Be issued on official agency letterhead;
(2) Be signed by an appropriately designated official of the agency;
(3) Bear a date of issuance;
(4) Contain the employer's name and address;
(5) State the name and date of birth of the individual referred;
(6) Identify the position or type of employment for which the
individual is referred;
(7) Bear a job order number relating to the position or type of
employment for which the individual is referred;
(8) Identify the document or documents presented by the individual to
the state employment agency for the purposes of identity and employment
eligibility verification;
(9) State the identifying number or numbers of the document or
documents described in paragraph (d)(8) of this section;
(10) Certify that the agency has complied with the requirements of
section 274A(b) of the Act concerning verification of the identity and
employment eligibility of the individual referred, and has determined
that, to the best of the agency's knowledge, the individual is
authorized to work in the United States;
(11) Clearly state any restrictions, conditions, expiration dates or
other limitations which relate to the individual's employment
eligibility in the United States, or contain an affirmative statement
that the employment authorization of the referred individual is not
restricted;
(12) State that the employer is not required to verify the
individual's identity or employment eligibility, but must retain the
certification in lieu of Form I-9;
(13) Contain a space or a line for the signature of the referred
individual, requiring the individual under penalty of perjury to sign
his or her name before the employer at the time of receipt of the
certification by the employer; and
(14) State that counterfeiting, falsification, unauthorized issuance
or alteration of the certification constitutes a violation of federal
law pursuant to Title 18, U.S.C. 1546.
(e) Retention of Form I-9 by state employment agencies. A Form I-9
utilized by a state employment agency in verifying the identity and
employment eligibility of an individual pursuant to 274a.2(b) of this
part must be retained by a state employment agency for a period of three
years from the date that the individual was last referred by the agency
and hired by an employer. A state employment agency may retain a Form
I-9 either in its original form, or on microfilm or microfiche.
(f) Retention of state employment agency certifications. A
certification issued by a state employment agency pursuant to this
section shall be retained:
(1) By a state employment agency, for a period of three years from
the date that the individual was last referred by the agency and hired
by an employer, and in a manner to be determined by the agency which
will enable the prompt retrieval of the information contained on the
original certification for comparison with the relating Form I-9;
(2) By the employer, in the original form, and in the same manner and
location as the employer has designated for retention of Forms I-9, and
for the period of time provided in paragraph (c)(4)(iv) of this section.
(g) State employment agency verification requirements in the case of
an individual who was previously referred and certified. When a state
employment agency refers an individual for whom the verification
requirements have been previously complied with and a Form I-9
completed, the agency shall inspect the previously completed Form I-9:
(1) If, upon inspection of the Form, the agency determines that the
Form I-9 pertains to the individual and that the individual remains
authorized to be employed in the United States, no additional
verification need be conducted and no new Form I-9 need be completed
prior to issuance of a new certification provided that the individual is
referred by the agency within 3 years of the execution of the initial
Form I-9.
(2) If, upon inspection of the Form, the agency determines that the
Form I-9 pertains to the individual but that the individual does not
appear to be authorized to be employed in the United States based on
restrictions, expiration dates or other conditions annotated on the Form
I-9, the agency shall not issue a certification unless the agency
follows the updating procedures pursuant to 274a.2(b)(1)(vii) of this
part; otherwise the individual may no longer be referred for employment
by the state employment agency.
(3) For the purposes of retention of the Form I-9 by a state
employment agency pursuant to paragraph (e) of this section, for an
individual previously referred and certified, the state employment
agency shall retain the Form for a period of 3 years from the date that
the individual is last referred and hired.
(h) Employer verification requirements in the case of an individual
who was previously referred and certified. When an employer rehires an
individual for whom the verification and certification requirements have
been previously complied with by a state employment agency, the employer
shall inspect the previously issued certification.
(1) If, upon inspection of the certification, the employer determines
that the certification pertains to the individual and that the
individual remains authorized to be employed in the United States, no
additional verification need be conducted and no new Form I-9 or
certification need be completed provided that the individual is rehired
by the employer within 3 years of the issuance of the initial
certification, and that the employer follows the same procedures for the
certification which pertain to Form I-9, as specified in
274a.2(c)(1)(i) of this part.
(2) If, upon inspection of the certification, the employer determines
that the certification pertains to the individual but that the
certification reflects restrictions, expiration dates or other
conditions which indicate that the individual no longer appears
authorized to be employed in the United States, the employer shall
verify that the individual remains authorized to be employed and shall
follow the updating procedures for the certification which pertain to
Form I-9, as specified in 274a.2(c)(1)(ii) of this part; otherwise the
individual may no longer be employed.
(3) For the purposes of retention of the certification by an employer
pursuant to this paragraph for an individual previously referred and
certified by a state employment agency and rehired by the employer, the
employer shall retain the certification for a period of 3 years after
the date that the individual is last hired, or one year after the date
the individual's employment is terminated, whichever is later.
(52 FR 43053, Nov. 9, 1987)
08 CFR 274a.7 Pre-enactment provisions for employees hired prior to
November 7, 1986.
(a) The penalty provisions set forth in section 274A (e) and (f) of
the Act for violations of sections 274A(a)(1)(B) and 274A(a)(2) of the
Act shall not apply to employees who were hired prior to November 7,
1986, and who are continuing in their employment and have a reasonable
expectation of employment at all times (as set forth in
274a.2(b)(1)(viii)), except those individuals described in section
274a.2 (b)(1)(viii)(A)(7)(iii) and (b)(1)(viii)(A)(8).
(b) For purposes of this section, an employee who was hired prior to
November 7, 1986 shall lose his or her pre-enactment status if the
employee:
(1) Quits; or
(2) Is terminated by the employer; the term termination shall
include, but is not limited to, situations in which an employee is
subject to seasonal employment; or
(3) Is excluded or deported from the United States or departs the
United States under a grant of voluntary departure; or
(4) Is no longer continuing his or her employment (or does not have a
reasonable expectation of employment at all times) as set forth in
274a.2(b)(1)(viii).
(52 FR 16221, May 1, 1987, as amended at 53 FR 8613, Mar. 16, 1988;
55 FR 25935, June 25, 1990; 56 FR 41786, Aug. 23, 1991)
08 CFR 274a.8 Prohibition of indemnity bonds.
(a) General. It is unlawful for a person or other entity, in hiring
or recruiting or referring for a fee for employment of an individual, to
require the individual to post a bond or security, to pay or agree to
pay an amount, or otherwise to provide a financial guarantee or
indemnity, against any potential liability arising under this part
relating to such hiring, recruiting, or referring of the individual.
However, this prohibition does not apply to performance clauses which
are stipulated by agreement between contracting parties.
(b) Penalty. Any person or other entity who requires any individual
to post a bond or security as stated in this section shall, after notice
and opportunity for an administrative hearing in accordance with section
274A(e)(3)(B) of the Act, be subject to a civil fine of $1,000 for each
violation and to an administrative order requiring the return to the
individual of any amounts received in violation of this section or, if
the individual cannot be located, to the general fund of the Treasury.
08 CFR 274a.9 Enforcement procedures.
(a) Procedures for the filing of complaints. Any person or entity
having knowledge of a violation or potential violation of section 274A
of the Act may submit a signed, written complaint in person or by mail
to the Service office having jurisdiction over the business or residence
of the potential violator. The signed, written complaint must contain
sufficient information to identify both the complainant and the
potential violator, including their names and addresses. The complaint
should also contain detailed factual allegations relating to the
potential violation including the date, time and place of the alleged
violation and the specific act or conduct alleged to constitute a
violation of the Act. Written complaints may be delivered either by
mail to the appropriate Service office or by personally appearing before
any immigration officer at a Service office.
(b) Investigation. The Service may conduct investigations for
violations on its own initiative and without having received a written
complaint. When the Service receives a complaint from a third party, it
shall investigate only those complaints that have a reasonable
probability of validity. If it is determined after investigation that
the person or entity has violated section 274A of the Act, the Service
may issue and serve upon the alleged violator a Notice of Intent to
Fine. Service officers shall have reasonable access to examine any
relevant evidence of any person or entity being investigated.
(c) Notice of Intent to Fine. The proceeding to assess
administrative penalties under section 274A of the Act is commenced when
the Service issues a Notice of Intent to Fine on Form I-763. Service of
this Notice shall be accomplished pursuant to Part 103 of this chapter.
The person or entity identified in the Notice of Intent to Fine shall be
known as the respondent. The Notice of Intent to Fine may be issued by
an officer defined in 242.1 of this chapter with concurrence of a
Service attorney.
(1) Contents of the Notice of Intent to Fine. (i) The Notice of
Intent to Fine will contain the basis for the charge(s) against the
respondent, the statutory provisions alleged to have been violated, and
the penalty that will be imposed.
(ii) The Notice of Intent to Fine will provide the following advisals
to the respondent:
(A) That the person or entity has the right to representation by
counsel of his or her own choice at no expense to the government;
(B) That any statement given may be used against the person or
entity;
(C) That the person or entity has the right to request a hearing
before an Administrative Law Judge pursuant to 5 U.S.C. 554-557, and
that such request must be made within 30 days from the service of the
Notice of Intent to Fine ;
(D) That the Service will issue a final order in 45 days if a written
request for a hearing is not timely received and that there will be no
appeal of the final order.
(d) Request for Hearing Before an Administrative Law Judge. If a
respondent contests the issuance of a Notice of Intent to Fine, the
respondent must file with the INS, within thirty days of the service of
the Notice of Intent to Fine, a written request for a hearing before an
Administrative Law Judge. Any written request for a hearing submitted
in a foreign language must be accompanied by an English language
translation. A request for a hearing is not deemed to be filed until
received by the Service office designated in the Notice of Intent to
Fine. In computing the thirty day period prescribed by this section,
the day of service of the Notice of Intent to Fine shall not be
included. If the Notice of Intent to Fine was served by ordinary mail,
five days shall be added to the prescribed thirty day period. In the
request for a hearing, the respondent may, but is not required to,
respond to each allegation listed in the Notice of Intent to Fine.
(e) Failure to file a request for hearing. If the respondent does
not file a request for a hearing in writing within thirty days of the
day of service of the Notice of Intent to Fine (thirty-five days if
served by ordinary mail), the INS shall issue a final order from which
there is no appeal.
(52 FR 16221, May 1, 1987, as amended at 53 FR 8613, Mar. 16, 1988;
55 FR 25935, June 25, 1990; 56 FR 41786, Aug. 23, 1991)
08 CFR 274a.10 Penalties.
(a) Criminal penalties. Any person or entity which engages in a
pattern or practice of violations of subsection (a)(1)(A) or (a)(2) of
the Act shall be fined not more than $3,000 for each unauthorized alien,
imprisoned for not more than six months for the entire pattern or
practice, or both, notwithstanding the provisions of any other Federal
law relating to fine levels.
(b) Civil penalties. A person or entity may face civil penalties for
a violation of section 274A of the Act. Civil penalties may be imposed
by the Service or an administrative law judge for violations under
section 274A of the Act. In determining the level of the penalties that
will be imposed, a finding of more than one violation in the course of a
single proceeding or determination will be counted as a single offense.
However, a single offense will include penalties for each unauthorized
alien who is determined to have been knowingly hired or recruited or
referred for a fee.
(1) A respondent found by the Service or an administrative law judge
to have knowingly hired, or to have knowingly recruited or referred for
a fee, an unauthorized alien for employment in the United States or to
have knowingly continued to employ an unauthorized alien in the United
States, shall be subject to the following order:
(i) To cease and desist from such behavior;
(ii) To pay a civil fine according to the following schedule:
(A) First offense -- not less than $250 and not more than $2,000 for
each unauthorized alien, or
(B) Second offense -- not less than $2,000 and not more than $5,000
for each unauthorized alien; or
(C) More than two offenses -- not less than $3,000 and not more than
$10,000 for each unauthorized alien; and
(iii) To comply with the requirements of section 274a.2(b) of this
part, and to take such other remedial action as is appropriate.
(2) A respondent determined by the Service (if a respondent fails to
request a hearing) or by an administrative law judge to have failed to
comply with the employment verification requirements as set forth in
274a.2(b) of this part, shall be subject to a civil penalty in an amount
of not less than $100 and not more than $1,000 for each individual with
respect to whom such violation occurred. In determining the amount of
the penalty, consideration shall be given to:
(i) The size of the business of the employer being charged;
(ii) The good faith of the employer;
(iii) The seriousness of the violation;
(iv) Whether or not the individual was an unauthorized alien; and
(v) The history of previous violations of the employer.
(3) Where an order is issued with respect to a respondent composed of
distinct, physically separate subdivisions which do their own hiring, or
their own recruiting or referring for a fee for employment (without
reference to the practices of, and under the control of, or common
control with another subdivision) the subdivision shall be considered a
separate person or entity.
(c) Enjoining pattern or practice violations. If the Attorney
General has reasonable cause to believe that a person or entity is
engaged in a pattern or practice of employment, recruitment or referral
in violation of section 274A(a)(1)(A) or (2) of the Act, the Attorney
General may bring civil action in the appropriate United States District
Court requesting relief, including a permanent or temporary injunction,
restraining order, or other order against the person or entity, as the
Attorney General deems necessary.
(52 FR 16221, May 1, 1987, as amended at 55 FR 25935, June 25, 1990;
56 FR 41786, Aug. 23, 1991)
274a.11 (Reserved)
08 CFR 274a.10 Subpart B -- Employment Authorization
08 CFR 274a.12 Classes of aliens authorized to accept employment.
(a) Aliens authorized employment incident to status. Pursuant to the
statutory or regulatory reference cited, the following classes of aliens
are authorized to be employed in the United States without restrictions
as to location or type of employment as a condition of their admission
or subsequent change to one of the indicated classes and, except for
paragraph (a)(12) of this section, specific employment authorization
need not be requested:
(1) An alien who is a lawful permanent resident (with or without
conditions pursuant to section 216 of the Act), as evidenced by Form
I-151 or Form I-551 issued by the Service. An expiration date on the
Form I-551 reflects only that the card must be renewed, not that the
individual's work authorization has expired;
(2) An alien admitted to the United States as a lawful temporary
resident pursuant to sections 245A or 210 of the Act, as evidenced by an
employment authorization document issued by the Service;
(3) An alien admitted to the United States as a refugee pursuant to
section 207 of the Act for the period of time in that status, as
evidenced by an employment authorization document issued by the Service;
(4) An alien paroled into the United States as a refugee for the
period of time in that status, as evidenced by an employment
authorization document issued by the Service;
(5) An alien granted asylum under section 208 of the Act for the
period of time in that status, as evidenced by an employment
authorization document issued by the Service;
(6) An alien admitted to the United States as a nonimmigrant fiance
or fiancee pursuant to section 101(a)(15)(K) of the Act, or an alien
admitted as the child of such alien, for the period of admission of the
United States, as evidenced by an employment authorization document
issued by the Service;
(7) An alien admitted as a parent (N-8) or dependent child (N-9) of
an alien granted permanent residence under section 101(a)(27)(I) of the
Act, as evidenced by an employment authorization document issued by the
Service;
(8) An alien admitted to the United States as a citizen of the
Federated States of Micronesia (CFA/FSM) or of the Marshall Islands
(CFA/MIS) pursuant to agreements between the United States and the
former trust territories, as evidenced by an employment authorization
document issued by the Service;
(9) (Reserved)
(10) An alien granted withholding of deportation under section 243(h)
of the Act for the period of time in that status, as evidenced by an
employment authorization document issued by the Service; or
(11) An alien who has been granted extended voluntary departure by
the Attorney General as a member of a nationality group pursuant to a
request by the Secretary of State. Employment is authorized for the
period of time in that status as evidenced by an employment
authorization document issued by the Service;
(12) An alien granted Temporary Protected Status under section 244A
of the Act for the period of time in that status, as evidenced by an
employment authorization document issued by the Service.
Any alien within a class of aliens described in paragraphs (a)(3)
through (a)(8), and (a)(10) through (a)(12) of this section, who seeks
to be employed in the United States must apply to the Service for a
document evidencing such employment authorization.
(b) Aliens authorized for employment with a specific employer
incident to status. The following classes of nonimmigrant aliens are
authorized to be employed in the United States by the specific employer
and subject to the restrictions described in the section(s) of this
chapter indicated as a condition of their admission in, or subsequent
change to, such classification. An alien in one of these classes is not
issued an employment authorization document by the Service:
(1) A foreign government official (A-1 or A-2), pursuant to 214.2(a)
of this chapter. An alien in this status may be employed only by the
foreign government entity;
(2) An employee of a foreign government official (A-3), pursuant to
214.2(a) of this chapter. An alien in this status may be employed only
by the foreign government official;
(3) A foreign government official in transit (C-2 or C-3), pursuant
to 214.2(c) of this chapter. An alien in this status may be employed
only by the foreign government entity;
(4) (Reserved)
(5) A nonimmigrant treaty trader (E-1) or treaty investor (E-2),
pursuant to 214.2(e) of this chapter. An alien in this status may be
employed only by the treaty-qualifying company through which the alien
attained the status. Employment authorization does not extend to the
dependents of the principal treaty trader or treaty investor (also
designated ''E'1'' or ''E-2''), other than those specified in paragraph
(c)(2) of this section;
(6) A nonimmigrant (F-1) student who is in valid nonimmigrant student
status and pursuant to 8 CFR 214.2(f) is seeking:
(i) On-campus employment for not more than twenty hours per week when
school is in session or full-time employment when school is not in
session if the student intends and is eligible to register for the next
term or session. Part-time on-campus employment is authorized by the
school and no specific endorsement by a school official or Service
officer is necessary;
(ii) Part-time off-campus employment authorization based on an
approved attestation from the employer pursuant to 8 CFR 214.2(f) and
who presents an I-20 ID endorsed by the designated school official; or
(iii) Curricular practical training (internships, cooperative
training programs, or work-study programs which are part of an
established curriculum) after having been enrolled full-time in a
Service-approved institution for at least nine months. Curricular
practical training (part-time or full-time) is authorized by the
Designated School Official on the student's I-20 ID; no Service
endorsement is necessary.
(7) A representative of an international organization (G-1, G-2, G-3,
or G-4), pursuant to 214.2(g) of this chapter. An alien in this status
may be employed only by the foreign government entity or the
international organization;
(8) A personal employee of an official or representative of an
international organization (G-5), pursuant to 214.2(g) of this chapter.
An alien in this status may be employed only by the official or
representative of the international organization;
(9) A temporary worker or trainee (H-1, H-2A, H-2B, or H-3), pursuant
to 214.2(h) of this chapter. An alien in this status may be employed
only by the petitioner through whom the status was obtained;
(10) An information media representative (I), pursuant to 214.2(i)
of this chapter. An alien in this status may be employed only for the
sponsoring foreign news agency or bureau. Employment authorization does
not extend to the dependents of an information media representative
(also designated ''I'');
(11) An exchange visitor (J-1), pursuant to 214.2(j) of this chapter
and 22 CFR 514.24. An alien in this status may be employed only by the
exchange visitor program sponsor or appropriate designee and within the
guidelines of the program approved by the United States Information
Agency as set forth in the Certificate of Eligibility (Form IAP-66)
issued by the program sponsor;
(12) An intra-company transferee (L-1), pursuant to 214.2(1) of this
chapter. An alien in this status may be employed only by the petitioner
through whom the status was obtained;
(13) Officers and personnel of the armed services of nations of the
North Atlantic Treaty Organization, and representatives, officials, and
staff employees of NATO (NATO-1, NATO-2, NATO-3, NATO-4, NATO-5 and
NATO-6), pursuant to 214.2(o) of this chapter. An alien in this status
may be employed only by NATO;
(14) An attendant, servant or personal employee (NATO-7) of an alien
admitted as a NATO-1, NATO-2, NATO-3, NATO-4, NATO-5, or NATO-6,
pursuant to 214.2(o) of this chapter. An alien admitted under this
classification may be employed only by the NATO alien through whom the
status was obtained; or
(15) A nonimmigrant alien within the class of aliens described in
paragraphs (b)(2), (b)(5), (b)(8), (b)(9), (b)(10), (b)(11), (b)(12),
and (b)(16) of this section whose status has expired but who has filed a
timely application for an extension of such stay pursuant to 214.2 of
this chapter. These aliens are authorized to continue employment with
the same employer for a period not to exceed 240 days beginning on the
date of the expiration of the authorized period of stay. Such
authorization shall be subject to any conditions and limitations noted
on the initial authorization. However, if the district director or
service center director adjudicates the application prior to the
expiration of this 240 day period and denies the application for
extension of stay, the employment authorization under this paragraph
shall automatically terminate upon notification of the denial decision.
(16) A nonimmigrant pursuant to section 214(e) of the Act. An alien
in this status must be engaged in business activities at a professional
level in accordance with the provisions of chapter 15 of the United
States-Canada Free-Trade Agreement (FTA).
(c) Aliens who must apply for employment authorization. An alien
within a class of aliens described in this section must apply for work
authorization. If authorized, such an alien may accept employment
subject to any restrictions stated in the regulations or cited on the
employment authorization document:
(1) An alien spouse or unmarried dependent child; son or daughter of
a foreign government official (A-1 or A-2) pursuant to 214.2(a)(2) of
this chapter and who presents a fully executed Form I-566 bearing the
endorsement of an authorized representative of the Department of State;
(2) An alien spouse or unmarried dependent son or daughter of an
alien employee of the Coordination Council for North American Affairs
(E-1) pursuant to 214.2(e) of this chapter;
(3) A nonimmigrant (F-1) student who:
(i) Is seeking employment for purposes of post completion practical
training pursuant to 8 CFR 214.2(f), provided the alien will be employed
only in an occupation which is directly related to his or her area of
studies and that he or she presents an I-20 ID endorsed by the
designated school official; or
(ii) Has been offered employment under the sponsorship of an
international organization within the meaning of the International
Organization Immunities Act (59 Stat. 669) and who presents a written
certification from the international organization that the proposed
employment is within the scope of the organization's sponsorship. The
F-1 student must also present an I-20 ID endorsed by the DSO in the last
30 days;
(4) An alien spouse or unmarried dependent child; son or daughter of
an officer of, representative to, or employee of an international
organization (G-1, G-3 or G-4) pursuant to 214.2(g) of this chapter who
presents a fully executed Form I-566 bearing the endorsement of an
authorized representative of the Department of State;
(5) An alien spouse or minor child of an exchange visitor (J-2)
pursuant to 214.2(j) of this chapter;I11(6) A nonimmigrant (M-1)
student seeking employment for practical training pursuant to 8 CFR
214.2(m) following completion of studies. The alien may be employed
only in an occupation or vocation directly related to his or her course
of study as recommended by the endorsement of the designated school
official on the I-20 ID;
(6) A nonimmigrant (M-1) student seeking employment for practical
training pursuant to 8 CFR 214.2(m) following completion of studies.
The alien may be employed only in an occupation or vocation directly
related to his or her course of study as recommended by the endorsement
of the designated school official on the I-20 ID;
(7) A dependent of an alien classified as NATO-1 through NATO-7
pursuant to 214.2(n) of this chapter;
(8) An alien who has filed a non-frivolous application for asylum
pursuant to part 208 of this chapter. Employment authorization shall be
granted in increments not exceeding one year during the period the
application is pending (including any period when an administrative
appeal or judicial review is pending) and shall expire on a specified
date;
(9) An alien who has filed an application for adjustment of status to
lawful permanent resident pursuant to part 245 of this chapter.
Employment authorization shall be granted in increments not exceeding
one year during the period the application is pending (including any
period when an administrative appeal or judicial review is pending) and
shall expire on a specified date;
(10) An alien who has filed an application for suspension of
deportation pursuant to part 244 of this chapter, if the alien
establishes an economic need to work; if the alien establishes an
economic need to work. Employment authorization shall be granted in
increments not exceeding one year during the period the application is
pending (including any period when an administrative appeal or judicial
review is pending) and shall expire on a specified date;
(11) An alien paroled into the United States temporarily for emergent
reasons or reasons deemed strictly in the public interest pursuant to
212.5 of this chapter;
(12) A deportable alien granted voluntary departure, either prior to
or after hearing, for reasons set forth in 242.5(a)(2)(v), (a)(2)(vi),
or (a)(2)(viii) of this chapter may be granted permission to be employed
for that period of time prior to the date set for voluntary departure
including any extension granted beyond such date; if the alien
establishes an economic need to work. Factors which may be considered
in adjudicating the application for employment authorization of such an
alien granted voluntary departure include, but are not limited to, the
following:
(i) The length of voluntary departure granted;
(ii) The existence of a dependent spouse and/or children in the
United States who rely on the alien for support;
(iii) Whether there is a reasonable chance that legal status may
ensue in the near future; and
(iv) Whether there is a reasonable basis for consideration of
discretionary relief.
(13) Any non-detained alien against whom exclusion or deportation
proceedings have been instituted and who does not have a final order of
deportation or exclusion, may be granted employment authorization if the
district director determines that employment authorization is
appropriate. Factors which may be considered by the district director
in adjudicating the application for employment authorization include,
but are not limited to, the following:
(i) The existence of economic necessity to be employed;
(ii) The existence of a dependent spouse and/or children in the
United States who rely on the alien for support;
(iii) Whether there is a reasonable chance that legal status may
ensue in the near future; and
(iv) Whether there is a reasonable basis for consideration of
discretionary relief;
(14) An alien who has been granted deferred action, an act of
administrative convenience to the government which gives some cases
lower priority, if the alien establishes an economic necessity for
employment;
(15) (Reserved)
(16) Any alien who has filed an application for creation of record of
lawful admission for permanent residence pursuant to part 249 of this
chapter. Employment authorization shall be granted in increments not
exceeding one year during the period the application is pending
(including any period when an administrative appeal or judicial review
is pending) and shall expire on a specific date;
(17) A nonimmigrant visitor for business (B-1) who:
(i) Is a personal or domestic servant who is accompanying or
following to join an employer who seeks admission into, or is already
in, the United States as a nonimmigrant defined under sections
101(a)(15) (B), (E), (F), (H), (I), (J), (L) or section 214(e) of the
Act. The personal or domestic servant shall have a residence abroad
which he or she has no intention of abandoning and shall demonstrate at
least one year's experience as a personal or domestic servant. The
nonimmigrant's employer shall demonstrate that the employer/employee
relationship has existed for at least one year prior to the employer's
admission to the United States; or, if the employer/employee
relationship existed for less than one year, that the employer has
regularly employed (either year-round or seasonally) personal or
domestic servants over a period of several years preceding the
employer's admission to the United States;
(ii) Is a domestic servant of a United States citizen accompanying or
following to join his or her United States citizen employer who has a
permanent home or is stationed in a foreign country, and who is visiting
temporarily in the United States. The employer/employee relationship
shall have existed prior to the commencement of the employer's visit to
the United States; or
(iii) Is an employee of a foreign airline engaged in international
transportation of passengers freight, whose position with the foreign
airline would otherwise entitle the employee to classification under
section 101(a)(15)(E)(i) of the Immigration and Nationality Act, and who
is precluded from such classification solely because the employee is not
a national of the country of the airline's nationality or because there
is no treaty of commerce and navigation in effect between the United
States and the country of the airline's nationality.
(18) An alien against whom a final order of deportation exists and
who is released on an order of supervision under the authority contained
in section 242(d) of the Act may be granted employment authorization if
the district director determines that employment authorization is
appropriate. Factors which may be considered by the district director
in adjudicating the application for employment authorization include,
but are not limited to, the following:
(i) The existence of economic necessity to be employed;
(ii) The existence of a dependent spouse and/or children in the
United States who rely on the alien for support; and
(iii) The anticipated length of time before the alien can be removed
from the United States.
(19) An alien applying for Temporary Protected Status pursuant to
section 244A of the Act shall apply for employment authorization only in
accordance with the procedures set forth in part 240 of this chapter.
(d) Basic criteria to establish economic necessity. Title 45 --
Public Welfare, Poverty Guidelines, 45 CFR 1060.2 should be used as the
basic criteria to establish eligibility for employment authorization
when the alien's economic necessity is identified as a factor. The
alien shall submit an application for employment authorization listing
his or her assets, income, and expenses as evidence of his or her
economic need to work. Permission to work granted on the basis of the
alien's application for employment authorization may be revoked under
274a.14 of this chapter upon a showing that the information contained in
the statement was not true and correct.
(52 FR 16221, May 1, 1987, as amended at 53 FR 8614, Mar. 16, 1988;
53 FR 46855, Nov. 21, 1988; 54 FR 16, Jan. 3, 1989; 55 FR 25936, June
25, 1990; 56 FR 624, Jan. 7, 1991; 56 FR 23499, May 22, 1991; 56 FR
41787, Aug. 23, 1991; 56 FR 55616, Oct. 29, 1991)
08 CFR 274a.13 Application for employment authorization.
(a) General. An application for employment authorization (Form
I-765) by an alien under 274a.12(a) (3) through (8) and (10)-(11) and
under 274a.12(c) of this part shall be filed in accordance with the
instructions on Form I-765 with the district director having
jurisdiction over the applicant's residence or the district director
having jurisdiction over the port of entry at which the alien applies.
The approval of an application for employment authorization shall be
within the discretion of the district director. Where economic
necessity had been identified as a factor, the alien must provide
information regarding his or her assets, income, and expenses in
accordance with the instructions on the Form I-765.
(b) Approval of application. If the application is granted, the
alien shall be notified of the decision and issued an INS employment
authorization document valid for a specific period and subject to any
terms and conditions as noted.
(c) Denial of application. If the application is denied, the
applicant shall be notified in writing of the decision and the reasons
for the denial. There shall be no appeal from the denial of the
application.
(d) Interim employment authorization. The district director shall
adjudicate the application within 90 days from the date of receipt of
the application by the Service. Failure to complete the adjudication
within 90 days will result in the grant of an employment authorization
document for a period not to exceed 240 days. Such authorization shall
be subject to any conditions noted on the employment authorization
document. However, if the district director adjudicates the application
prior to the expiration date of the interim employment authorization and
denies the individual's employment authorization application, the
interim employment authorization granted under this section shall
automatically terminate as of the date of the district director's
adjudication and denial.
(52 FR 16221, May 1, 1987, as amended at 53 FR 8614, Mar. 16, 1988;
55 FR 25937, June 25, 1990; 56 FR 41787, Aug. 23, 1991)
08 CFR 274a.14 Termination of employment authorization.
(a) Automatic termination of employment authorization -- (1)
Employment authorization granted under 274a.12(c) of this chapter shall
automatically terminate upon the occurrence of one of the following
events:
(i) The expiration date specified by the Service on the employment
authorization document is reached;
(ii) Exclusion or deportation proceedings are instituted (however,
this shall not preclude the authorization of employment pursuant to
274a.12(c) of this part where appropriate); or
(iii) The alien is granted voluntary departure.
(2) Termination of employment authorization pursuant to this
paragraph does not require the service of a notice of intent to revoke;
employment authorization terminates upon the occurrence of any event
enumerated in paragraph (a)(1) of this section.
However, automatic revocation under this section does not preclude
reapplication for employment authorization under 274.12(c) of this
part.
(b) Revocation of employment authorization -- (1) Basis for
revocation of employment authorization. Employment authorization
granted under 274a.12(c) of this chapter may be revoked by the district
director:
(i) Prior to the expiration date, when it appears that any condition
upon which it was granted has not been met or no longer exists, or for
good cause shown; or
(ii) Upon a showing that the information contained in the application
is not true and correct.
(2) Notice of intent to revoke employment authorization. When a
district director determines that employment authorization should be
revoked prior to the expiration date specified by the Service, he or she
shall serve written notice of intent to revoke the employment
authorization. The notice will cite the reasons indicating that
revocation is warranted. The alien will be granted a period of fifteen
days from the date of service of the notice within which to submit
countervailing evidence. The decision by the district director shall be
final and no appeal shall lie from the decision to revoke the
authorization.
(c) Automatic termination of temporary employment authorization
granted prior to June 1, 1987 -- (1) Temporary employment authorization
granted prior to June 1, 1987, pursuant to 8 CFR 109.1(b), or its
redesignation as 274a.12(c) of this part, shall automatically terminate
on the date specified by the Service on the document issued to the
alien, or on June 1, 1988, whichever is earlier. Automatic termination
of temporary employment authorization does not preclude a subsequent
application for temporary employment authorization.
(2) A document issued by the Service prior to June 1, 1987, that
authorizes temporary employment authorization for any period beyond June
1, 1988, is null and void pursuant to paragraph (c)(1) of this section,
and must be surrendered to the Service on the date that the temporary
employment authorization terminates or on June 1, 1988, whichever is
earlier. The alien shall be issued a new employment authorization
document at the time the document is surrendered to the Service if the
alien is eligible for temporary employment authorization pursuant to
274a.12(c) of this chapter.
(3) No notice of intent to revoke is necessary for the automatic
termination of temporary employment authorization pursuant to this part.
(52 FR 16221, May 1, 1987, as amended at 53 FR 8614, Mar. 16, 1988;
53 FR 20087, June 1, 1988)
Effective Date Note: At 53 FR 20087, June 1, 1988, paragraph (c) of
274a.14 is stayed and suspended until further notice.
08 CFR 274a.14 PART 280 -- IMPOSITION AND COLLECTION OF FINES
08 CFR 274a.14 Pt. 280
Sec.
280.1 Notice of intention to fine; administrative proceedings not
exclusive.
280.2 Special provisions relating to aircraft.
280.3 Departure of vessel or aircraft prior to denial of clearance.
280.4 Data concerning cost of transportation.
280.5 Mitigation or remission of fines.
280.6 Bond to obtain clearance; form.
280.7 Approval of bonds or acceptance of cash deposit to obtain
clearance.
280.11 Notice of intention to fine; procedure.
280.12 Answer and request or order for interview.
280.13 Disposition of case.
280.14 Record.
280.15 Notice of final decision to district director of customs.
280.21 Seizure of aircraft.
280.51 Application for mitigation or remission.
280.52 Payment of fines.
Authority: 8 U.S.C. 1103, 1221, 1223, 1227, 1229, 1253, 1281, 1283,
1284, 1285, 1286, 1322, 1323, and 1330; 66 Stat. 173, 195, 197, 201,
203, 212, 219, 221-223, 226, 227, 230.
Source: 22 FR 9807, Dec. 6, 1957, unless otherwise noted.
08 CFR 280.1 Notice of intention to fine; administrative proceedings
not exclusive.
Whenever a district director or the Associate Commissioner for
Examinations, or the Director for the National Fines Office has reason
to believe that any person has violated any of the provisions of the
Immigration and Nationality Act and has thereby become liable to the
imposition of an administrative fine under the Immigration and
Nationality Act, he shall cause a Notice of Intention to Fine, Form
I-79, to be served as provided in this part. Nothing in this subchapter
shall affect, restrict, or prevent the institution of a civil suit, in
the discretion of the Attorney General, under the authority contained in
section 280 of the Immigration and Nationality Act.
(22 FR 9807, Dec. 6, 1957, as amended at 54 FR 18649, May 2, 1989)
08 CFR 280.2 Special provisions relating to aircraft.
In any case in which the imposition of a fine is predicated upon an
alleged violation of a regulation promulgated under authority of section
239 of the Immigration and Nationality Act, the procedure prescribed in
this part shall be followed and the aircraft involved shall not be
granted clearance pending determination of the question of liability to
the payment of any fine, or while the fine remains unpaid; but
clearance may be granted prior to the determination of such question
upon the deposit of a sum sufficient to cover such fine or of a bond
with sufficient surety to secure the payment thereof, approved by the
Commisioner. If the alleged violation was by the owner or person in
command of the aircraft, the penalty provided for shall be a lien
against the aircraft, which, except as provided in 280.21, shall be
seized by the district director or by an immigration officer designated
by the district director, and placed in the custody of the customs
officer who is in charge of the port of entry or customs station nearest
the place of seizure. If the owner or owners of the airport at which
such aircraft is located are the owners of the seized aircraft, the
aircraft shall be removed to another suitable place for storage if
practicable.
(22 FR 9807, Dec. 6, 1957, as amended at 32 FR 17651, Dec. 12, 1967;
56 FR 26020, June 6, 1991)
08 CFR 280.3 Departure of vessel or aircraft prior to denial of
clearance.
If any vessel or aircraft which is subject to the imposition of a
fine shall have departed from the United States prior to the denial of
clearance by the district director of customs and such vessel or
aircraft is subsequently found in the United States, a Notice of
Intention to Fine, Form I-79, shall be served as provided in this part,
if such form has not been previously served for the same violation.
Clearance of such vessel or aircraft shall be withheld by the district
director of customs, and the procedure prescribed in this part shall be
followed to the same extent and in the same manner as though the vessel
or aircraft had not departed from the United States. Aircraft subject
to the provisions of 280.2, which shall have departed from the United
States prior to the time of seizure could be effected, shall be subject
to all of the provisions of this part, if subsequently found in the
United States, to the same extent as though it had not departed from the
United States.
(22 FR 9807, Dec. 6, 1957, as amended at 32 FR 17651, Dec. 12, 1967)
08 CFR 280.4 Data concerning cost of transportation.
Within five days after request therefor, transportation companies
shall furnish to the district director or the Associate Commissioner for
Examinations, or the Director for the National Fines Office pertinent
information contained in the original transportation contract of all
rejected aliens whose cases are within the purview of any of the
provisions of the Immigration and Nationality Act relating to refund of
passage monies, and shall specify the exact amounts paid for
transportation from the initial point of departure (which point shall be
indicated) to the foreign port of embarkation, from the latter to the
port of arrival in the United States and from the port of arrival to the
inland point of destination, respectively, and also the amount paid for
headtax, if any.
(22 FR 9807, Dec. 6, 1957, as amended at 54 FR 18649, May 2, 1989)
08 CFR 280.5 Mitigation or remission of fines.
In any case in which mitigation or remission of a fine is authorized
by the Immigration and Nationality Act, the party served with Notice of
Intention to Fine may apply in writing to the district director or the
Associate Commissioner for Examinations, or the Director for the
National Fines Office for such mitigation or remission.
(22 FR 9807, Dec. 6, 1957, as amended at 54 FR 18649, May 2, 1989)
08 CFR 280.6 Bond to obtain clearance; form.
A bond to obtain clearance of a vessel or aircraft under section 231,
237, 239, 243, 251, 253, 254, 255, 256, 272, or 273 of the Immigration
and Nationality Act shall be filed on Form I-310.
(22 FR 9807, Dec. 6, 1957, as amended at 54 FR 102, Jan. 4, 1989)
08 CFR 280.7 Approval of bonds or acceptance of cash deposit to obtain
clearance.
The district director of customs is authorized to approve the bond,
or accept the sum of money which is being offered for deposit under any
provision of the Immigration and Nationality Act or by this chapter for
the purpose of obtaining clearance of a vessel or aircraft with the
exception of sections 239, 251(d), 255, 256, 272, and 273(d) in which
the Commissioner of the Immigration and Naturalization Service is
authorized to approve the bond or accept the sum of money which is being
offered for deposit.
(22 FR 9807, Dec. 6, 1957, as amended at 32 FR 17651, Dec. 12, 1967;
56 FR 26020, June 6, 1991)
08 CFR 280.11 Notice of intention to fine; procedure.
Notice of Intention to Fine, Form I-79, shall be prepared in
triplicate, with one additional copy for each additional person on whom
the service of such notice is contemplated. The notice shall be
addressed to any or all of the available persons subject to fine. A
copy of the notice shall be served by personal service on each such
person. If the notice is delivered personally, the person upon whom it
is served shall be requested to acknowledge such service by signing his
name to the duplicate and triplicate copies. The officer effecting such
service shall attest to the service by signing his name thereon and
shall indicate thereon the date and place of service. If the person so
served refuses to acknowledge service, or if service is made by leaving
it at an office or mailing it, the person making such service shall
indicate the method and date on the duplicate and triplicate copies of
Form I-79, and shall sign his name upon such copies. The duplicate copy
shall be retained by the district director of immigration and
naturalization or the Associate Commissioner for Examinations, or the
Director for the National Fines Office and the triplicate copy shall be
delivered directly to the district director of customs for the district
in which the vessel or aircraft is located, and the district director of
customs shall withhold clearance until deposit is made or bond furnished
as provided in the Immigration and Nationality Act. If the vessel or
aircraft is located in a customs district which is outside the
jurisdiction of the office of the Service having jurisdiction over the
matter, the triplicate copy shall be forwarded to the office of the
Service nearest such customs district for delivery to the district
director of customs.
(22 FR 9807, Dec. 6, 1957, as amended at 32 FR 17651, Dec. 12, 1967;
37 FR 11471, June 8, 1972; 54 FR 18649, May 2, 1989)
08 CFR 280.12 Answer and request or order for interview.
Within 30 days following the service of the Notice of Intention to
Fine (which period the district director or the Associate Commissioner
for Examinations, or the Director for the National Fines Office may
extend for an additional period of 30 days upon good cause being shown),
any person upon whom a notice under this part has been served may file
with the district director or the Associate Commissioner for
Examinations, or the Director for the National Fines Office a written
defense, in duplicate, under oath setting forth the reasons why a fine
should not be imposed, or if imposed, why it should be mitigated or
remitted if permitted by the Immigration and Nationality Act, and
stating whether a personal appearance is desired. Documentary evidence
shall be submitted in support of such defense and a brief may be
submitted in support of any argument made. If a personal interview is
requested, the evidence in opposition to the imposition of the fine and
in support of the request for mitigation or remission may be presented
at such interview. An interview shall be conducted if requested by the
party as provided hereinabove or, if directed at any time by the Board,
the Commissioner, or the district director or the Associate Commissioner
for Examinations, or the Director for the National Fines Office.
(22 FR 9807, Dec. 6, 1957, as amended at 54 FR 18649, May 2, 1989)
08 CFR 280.13 Disposition of case.
(a) Allegations admitted or no answer filed. If a request for
personal appearance is not filed and (1) the answer admits the
allegations in the notice, or (2) no answer is filed, the district
director or the Associate Commissioner for Examinations, or the Director
for the National Fines Office shall enter such order in the case as he
deems appropriate and no appeal from his decision may be taken.
(b) Answer filed; personal appearance. Upon receipt of an answer
asserting a defense to the allegations in the notice without requesting
a personal appearance, or if a personal appearance is requested or
directed, the case shall be assigned to an immigration officer. The
immigration officer shall prepare a report summarizing the evidence and
containing his findings and recommendation. The record, including the
report and recommendation of the immigration officer, shall be forwarded
to the district director or the Associate Commissioner for Examinations,
or the Director for the National Fines Office. The district director or
the Associate Commissioner for Examinations, or the Director for the
National Fines Office shall note on the report of the immigration
officer whether he approves or disapproves the recommendation of the
immigration officer. The person shall be informed in writing of the
decision of the district director or the Associate Commissioner for
Examinations, or the Director for the National Fines Office and, if his
decision is that a fine shall be imposed or that the requested
mitigation or remission shall not be granted, of the reasons for such
decision. From the decision of the district director or the Associate
Commissioner for Examinations, or the Director for the National Fines
Office an appeal may be taken to the Board within 15 days after the
mailing of the notification of decision as provided in part 3 of this
chapter.
(22 FR 9808, Dec. 6, 1957, as amended at 23 FR 9124, Nov. 26, 1958;
54 FR 18649, May 2, 1989)
08 CFR 280.14 Record.
The record made under 280.13 shall include the request for the
interview or a reference to the order directing the interview; the
medical certificate, if any; a copy of any record of hearing before a
Board of Special Inquiry, Hearing Examiner, Hearing Officer, or Special
Inquiry Officer which is relevant to the fine proceedings; the
duplicate copy of the Notice of Intention to Fine; the evidence upon
which such Notice was based; the duplicate of any notices to detain,
deport, deliver, or remove aliens; notice to pay expenses; evidence as
to whether any deposit was made or bond furnished in accordance with the
Immigration and Nationality Act; reports of investigations conducted;
documentary evidence and testimony adduced at the interview; the
original of any affidavit or brief filed in opposition to the imposition
of fine; the application for mitigation or remission; and any other
relevant matter.
08 CFR 280.15 Notice of final decision to district director of customs.
At such time as the decision under this part is final, the regional
administrative officer shall be furnished a copy of the decision by the
district director of immigration and naturalization or the Associate
Commissioner for Examinations, or the Director for the National Fines
Office. The regional administrative officer shall notify the district
director of customs who was furnished a copy of the Notice of Intention
to Fine of the final decision made in the case. Such notification need
not be made if the regional administrative officer has been previously
furnished with a notice of collection of the amount of the penalty by
the district director of customs.
(32 FR 17651, Dec. 12, 1967, as amended at 54 FR 18649, May 2, 1989)
08 CFR 280.21 Seizure of aircraft.
Seizure of an aircraft under the authority of section 239 of the Act
and 280.2 will not be made if such aircraft is damaged to an extent
that its value is less than the amount of the fine which may be imposed.
If seizure of an aircraft for violation of section 239 of the Act is to
be made, Form G-297 (Order to Seize Aircraft) and Form G-298 (Public
Notice of Seizure) shall be prepared in septuple and the originals
furnished to the immigration officer who will effect the seizure. The
original of Form G-297, properly endorsed as to date and place of
seizure, shall be returned for retention in the relating file after
seizure is effected. The original of Form G-298 shall be placed on the
seized aircraft and a copy retained in the file. Copies of both forms
shall be served upon the owner of the aircraft and the pilot if other
than the owner. Copies shall also be furnished the district director of
customs and the United States Attorney for the district in which the
seizure was made. In addition, immediately upon the seizure of an
aircraft, or prior thereto, if circumstances permit, a full report of
the facts in the case shall be submitted by the district director to the
United States Attorney for the district in which the seizure was made,
together with copies of Form G-296 (Report of Violation) and Form I-79
(Notice of Intention to Fine). The report shall include the cost
incurred in seizing and guarding the aircraft and an estimate of the
further additional cost likely to be incurred.
(29 FR 14433, Oct. 21, 1964, as amended at 32 FR 17651, Dec. 12,
1967)
08 CFR 280.51 Application for mitigation or remission.
(a) When application may be filed. An application for mitigation or
remission of a fine may be filed as provided under 280.12 of this part;
or, within 30 days after the date of receipt of the district director's
or the Associate Commissioner for Examinations, or the Director for the
National Fines Office's decision to impose a fine whether or not the
applicant responded to the Notice of Intention to Fine.
(b) Form and contents of application. An application for mitigation
or remission shall be filed in duplicate under oath and shall include
information, supported by documentary evidence, as to the basis of the
claim to mitigation or remission, and as to the action, if any, which
may have been taken by the applicant, or as to the circumstances present
in the case which, in the opinion of the applicant, justified the
granting of his application.
(c) Disposition of application. The application, if filed with the
answer, shall be disposed of as provided in 280.13. In any other case
the application shall be considered and decided by the district director
or the Associate Commissioner for Examinations, or the Director for the
National Fines Office from whose decision an appeal may be taken to the
Board within 15 days after the mailing of the notification of decision
as provided in part 3 of this chapter.
(22 FR 9808, Dec. 6, 1957, as amended at 23 FR 9124, Nov. 26, 1958;
46 FR 28624, May 28, 1981; 54 FR 18649, May 2, 1989)
08 CFR 280.52 Payment of fines.
(a) All fines assessed pursuant to sections 231(d); 237(b); 239;
251(d); 254(a); 255; 256; 271(a); 272, 273 and 274(c) of the Act
shall be made payable to and collected by the Service.
(b) All fines collected pursuant to sections 271(a) and 273 of the
Act shall be deposited in the Immigration User Fee Account established
in accordance with the provisions of section 286 of the Act.
(c) From the amounts collected under paragraphs (a) and (b) of this
section, the increase in penalties collected resulting from the
amendments made by sections 203(b), 543(a), and 544 of the Immigration
Act of 1990, shall be credited to the appropriation for activities
authorized under section 280(b) of the Act.
(56 FR 26020, June 6, 1991)
08 CFR 280.52 PART 282 -- FORMS FOR SALE TO PUBLIC
Authority: Sec. 103, 66 Stat. 173; 8 U.S.C. 1103.
08 CFR 282.1 Forms printed by the Public Printer.
The Public Printer is authorized to print for sale to the public, the
forms listed in 299.3 of this chapter.
(45 FR 6777, Jan. 30, 1980)
08 CFR 282.1 PART 286 -- IMMIGRATION USER FEE
Sec.
286.1 Definitions.
286.2 Fee for arrival of passengers aboard commercial aircraft or
commercial vessels.
286.3 Exceptions.
286.4 Fee collection responsibility.
286.5 Remittance and statement procedures.
286.6 Maintenance of records.
286.7 Penalties.
286.8 Establishment of pilot programs for the charging of a land
border user fee for inspection services.
Authority: 8 U.S.C. 1103, 1356; 8 CFR part 2.
Source: 53 FR 5757, Feb. 26, 1988, unless otherwise noted.
08 CFR 286.1 Definitions.
The following definitions apply to the following terms in this part:
(a) The term adjacent islands means Anguilla, Antigua, Aruba,
Bahamas, Barbados, Barbuda, Bermuda, Bonaire, British Virgin Islands,
Cayman Islands, Cuba, Curacao, Dominica, the Dominican Republic,
Grenada, Guadeloupe, Haiti, Jamaica, Marie-Galante, Martinique,
Miquelon, Montserrat, Saba, Saint Barthe1lemy, Saint Christopher, Saint
Eustatius, Saint Kitts-Nevis, Saint Lucia, Saint Maarten, Saint Martin,
Saint Pierre, Saint Vincent and Grenadines, Trinidad and Tobago, Turks
and Caicos Islands, and other British, French and Netherlands territory
or possessions bordering on the Caribbean Sea.
(b) The term collector means an air or sea carrier, travel agent,
tour wholesaler, or other entity which collects, but may or may not be
required to remit, fees pursuant to this part.
(c) The term commercial aircraft means any civilian aircraft being
used to transport persons or property for compensation or hire.
(d) The term commercial vessel means any civilian vessel being used
to transport persons or property for compensation or hire.
(e) The term Comptroller means the Office of the Comptroller,
Immigration and Naturalization Service, Room 6307, 425 I Street NW.,
Washington, DC 20536.
(f) The term fee means the immigration user fee.
(g) The term port of entry means a port or place designated by the
Commissioner at which a person may apply for admission into the United
States.
(h) The term remitter means an air or sea carrier, travel agent, tour
wholesaler, or other entity which collects, including receipt of fees
collected by collectors which are not required to remit fees, and remits
fees pursuant to this part.
(i) The term territories or possessions of the United States means
American Samoa, Baker Island, Howland Island, Jarvis Island, Johnston
Atoll, Kingman Reef, Midway, the Northern Mariana Islands, Swains
Island, Palmyra Island, and Wake Island.
(j) The term document for transportation means any document accepted
by a carrier in return for transportation.
(k) The term United States, when used in a geographical sense, means
the continental United States, Alaska, Hawaii, Puerto Rico, Guam, and
the Virgin Islands of the United States.
08 CFR 286.2 Fee for arrival of passengers aboard commercial aircraft
or commercial vessels.
Under the provisions of section 286(b) of the Act a $5.00 fee per
individual is charged and collected by the Commissioner for the
immigration inspection of each passenger aboard a commercial aircraft or
commercial vessel, arriving at a port of entry in the United States, or
for the preinspection of a passenger in a place outside the United
States prior to such arrival, except as provided in 286.3 of this part.
08 CFR 286.3 Exceptions.
The fee set forth in 286.2 of this part shall not be charged or
collected from passengers who fall within any one of the following
categories:
(a) Persons whose travel is limited to Canada, Mexico, the United
States, adjacent islands, and territories or possessions of the United
States;
(b) Persons directly connected with the operation, navigation, or
business of the commercial aircraft or commercial vessel including
working crew, deadheading crew, U.S. Federal Aviation Administration
inspectors, sky marshals, and commercial airline or commercial vessel
employees on official business;
(c) Persons who are listed as foreign diplomats on the accreditation
list maintained by the U.S. Department of State or who are in possession
of a diplomatic visa (A-1 and 2, G-1 thru 4) valid for entry into the
United States;
(d) Persons who are passengers on any commercial aircraft or
commercial vessel owned or operated exclusively by the Government of the
United States or a foreign government, including any agency or political
subdivision thereof, so long as that aircraft or vessel is not
transporting any persons or property for commercial purposes.
(e) Persons who are passengers on commercial aircraft or commercial
vessels under contract to the U.S. Department of Defense, if they have
been preinspected outside of the United States under a joint Service and
U.S. Department of Defense military inspection program;
(f) Persons arriving on an aircraft or vessel due to an emergency or
forced landing when the original destination of the aircraft or vessel
was not the United States; and
(g) Persons transiting the United States who are not inspected by the
Service. Transit without visa passengers who are inspected by the
Service are not excepted from payment of the fee under this section.
08 CFR 286.4 Fee collection responsibility.
(a) It is the responsibility of the air or sea carriers, travel
agents, tour wholesalers, or other parties, which issue tickets or
documents for transportation on or after December 1, 1986, to collect
the fee set forth in 286.2 of this part from all passengers transported
to the United States who are not excepted under 286.3 of this part.
(b) Tickets and documents for transportation shall be marked by the
collector of the fee to indicate that the required fee has been
collected. Such markings shall be in accordance with the procedures set
forth in the ARC Industry Agents Handbook, the SATO Ticketing Handbook,
or compatible procedures set forth in the operations manual of
individual collectors.
(c) It is the responsibility of the carrier transporting a passenger
from the United States to collect the fee upon departure, if the
passenger was not excepted under 286.3 of this part and tickets or
documents for transportation of the passenger do not reflect collection
of the fee at the time of issuance. If at the time of departure such a
passenger refuses to pay the fee, the carrier shall record the full
name, complete address, nationality, passport number, and alien file
number, if any, of the passenger and immediately notify the Comptroller.
08 CFR 286.5 Remittance and statement procedures.
(a) The air or sea carrier whose ticket stock or document for
transportation reflects collection of the fee is responsible for
remittance of the fee to the Service. The travel agent, tour
wholesaler, or other entity, which issues their own non-carrier related
ticket or document for transportation to an air or sea passenger who is
not excepted from the fee pursuant to 286.3 of this part, is
responsible for remittance of the fee to the Service, unless by contract
the carrier will remit the fee.
(b) Fee remittances shall be sent to the Immigration and
Naturalization Service, Post Office Box No. 93963, Chicago, Illinois
60673-3963, for receipt no later than 31 days after the close of the
calendar quarter in which the fees are collected. Late payments will be
subject to interest, penalty, and handling charges as provided in the
Debt Collection Act of 1982 (31 U.S.C. 3717). Refunds by a remitter of
fees collected in conjunction with unused tickets or documents for
transportation should be netted against the next subsequent remittance.
(c) Along with the remittance, as set forth in paragraph (b) of this
section, each remitter making such remittance shall attach a statement
which sets forth the following:
(1) Name and address;
(2) Taxpayer identification number;
(3) Calendar quarter covered by the payment; and
(4) Amount collected and remitted.
(d) Remittances must be made by check or money order, payable in U.S.
dollars, through a U.S. bank, to ''Comptroller, INS''.
(e) Annually, each U.S. based remitter, which retains an independent
accountant and which remits $10,000 or more in fees in any one calendar
quarter, shall submit to the Comptroller a report from the independent
accountant in accordance with the Statement on Auditing Standards for
Attestation Engagements on the application of Passenger User Fee
Collection and Remittance Procedures established by the American
Institute of Certified Public Accountants and the Service, to the
Comptroller. Each foreign-based remitter, which retains an independent
accountant and which remits $10,000 or more in fees in any one calendar
quarter, shall submit a similar report to the Comptroller from the
independent accountant in accordance with generally accepted accounting
principles of their respective countries. These reports from the
independent accountants are to be submitted for receipt by the
Comptroller no later than ninety (90) days after the close of the fiscal
year of each remitter. Each remitter, which does not retain an
independent accountant or which does not remit $10,000 or more in any
one calendar quarter, shall certify under oath on each statement
submitted pursuant to paragraph (c) of this section that they have
complied with the applicable statutes and regulations.
(f) The Commissioner reserves the right to conduct an independent
audit of any collector or remitter not providing the report or
certification required pursuant to paragraph (e) of this section or
based upon other information indicating non-compliance in order to
assure the accuracy of the remittances of fees collected and remitted
and compliance with the applicable statutes and regulations.
(g) In order to enforce compliance with the provisions of this part,
the Commissioner may issue a subpoena requiring the production of
records, evidence, and witnesses pursuant to the procedures set forth in
28.4 of this chapter. The authority to issue a subpoena pursuant to
this section is limited to the Commissioner, Deputy Commissioner,
Associate Commissioner for Management, Director for Program Inspection,
all Regional Commissioners; and all District Directors.
(53 FR 5757, Feb. 26, 1988, as amended at 55 FR 729, Jan. 9, 1990)
08 CFR 286.6 Maintenance of records.
Each collector and remitter shall maintain records necessary for the
Service to verify the accuracy of fees collected and remitted and to
otherwise determine compliance with the applicable statutes and
regulations. Such records shall be maintained for a period of two years
from the date of fee collection. Each remitter shall advise the
Comptroller of the name, address, and telephone number of a responsible
officer who shall have the authority to verify and produce any records
required to be maintained under this part. The Comptroller shall be
promptly notified of any changes of the responsible officer.
08 CFR 286.7 Penalties.
Failure of any air or sea carrier to comply with the provisions of
section 286 of the Act and this part shall subject it to one or more of
the following:
(a) Termination of existing agreements under the provisions of
section 238 of the Act; and
(b) Suspension of enroute inspections or preinspections.
08 CFR 286.8 Establishment of pilot programs for the charging of a land
border user fee for inspection services.
(a) General. Under the provisions of section 286(q) of the Act, the
Service may establish pilot programs at one or more land border ports of
entry to charge fees for immigration inspection services to be collected
by the Commissioner. Individual ports of entry selected by the
Commissioner to participate in such pilot programs may charge a fee to
enhance inspection services and to recover the cost of:
(1) Hiring additional immigration inspectors, including all
associated personnel costs such as salary, benefits, and overtime;
(2) Expansion, operation and maintenance of information systems for
nonimmigrant control;
(3) Minor construction costs of adding new primary traffic lanes
(with the concurrence of the General Services Administration);
(4) Procuring detection devices and conducting training to identify
fraudulent documents used by applicants for entry to the United States;
and
(5) Administration of the Land Border Inspection Fee Account.
(b) Establishment of dedicated commuter lanes at selected ports of
entry. Dedicated commuter lanes are vehicular traffic lanes through
which a group of identified low risk frequent border crossers, who have
been prescreened and preauthorized, transit the border. Individual
participation in the dedicated commuter lane program by border crossers
is voluntary. Individuals whose applications for participation in the
program are denied are not precluded from applying for admission to the
United States through the regular inspection lanes.
(1) Designation of participating ports of entry. The following
criteria shall be used in the selection of port of entry locations for
the establishment of dedicated commuter lanes under a pilot program:
(i) The location has an identifiable group of low risk frequent
border crossers, who cross a minimum of once weekly for a regular
definable purpose;
(ii) The institution of a dedicated commuter lane program shall not
significantly inhibit normal traffic flow; and
(iii) Sufficient Service personnel must be present to perform primary
and secondary inspection functions.
(2) Eligibility requirements for applicants. Applicants for
participation in the program must meet the following requirements:
(i) The applicant is a citizen of the United States or a citizen of
the country contiguous to the specific port of entry sponsoring the
commuter lane program in which the applicant seeks to participate;
(ii) Non-United States citizen applicants must be otherwise
admissible to the United States;
(iii) Applicant agrees to furnish all information requested on the
application, Form I-823, Application -- Dedicated Commuter Lane Program;
(iv) Applicant agrees to a physical inspection of the registered
vehicle prior to initial use of the dedicated commuter lane; and
(v) Applicant pays the required fee, upon approval of the
application.
(3) Conditions for use of the dedicated commuter lanes. Participants
in the dedicated commuter lane program must agree to abide by all
conditions imposed, including, but not limited to:
(i) Limitations on the number and identity of passengers permitted in
a designated vehicle;
(ii) Limitation of participation to individuals who cross in regular
passenger vehicles other than taxis and other vehicles operated for hire
by individuals or transportation companies;
(iii) The possibility of a full and complete vehicular and passenger
inspection at any time during use of the dedicated commuter lane for
entry into the United States;
(iv) State and federal laws regarding the importation of alcohol;
(v) All federal, state and local laws regarding the importation or
possession of controlled substances as defined in section 101 of the
Controlled Substance Act (21 U.S.C. 802); and
(vi) All other pertinent laws and regulations under the jurisdiction
of any other federal inspection agency.
(4) Approval of application. (i) Applications for participation in a
dedicated commuter lane program may be accepted, at the discretion of
the District Director, on either a continuous or periodic basis; and
(ii) At the discretion of the District Director, applications without
fee may be accepted from local, state, federal and foreign government
agencies for participation by employees of those agencies traveling in
specific government vehicles, while engaged in official government
business.
(iii) Applications for participation in the dedicated commuter lane
program must be submitted annually. Authorization documents, such as
decals or authorization letters, shall be valid for one year from date
of approval.
(5) Denial of application. An application for participation in a
dedicated commuter lane program may be denied at the discretion of the
District Director with no appeal. Applicants will be notified of such
denial.
(6) Violation of conditions of the program. A participant who
violates any condition for the use of the dedicated commuter lane may be
removed from the program at the discretion of the District Director, and
shall be subject to the imposition of applicable fines, penalties,
and/or sanctions as provided by law.
(7) Responsibility of participant. (i) It shall be the
responsibility of the participant to notify the Service if an approved
vehicle is sold, stolen, or disposed of otherwise. If the vehicle is
sold, it is the responsibility of the participant to remove or
obliterate any identifying decal or other authorization for
participation in the program from the vehicle at the time of such sale.
Upon purchase of a replacement vehicle, participants may submit a new
properly executed Form I-823 with fee in order to receive a new decal,
valid for one year from date of approval.
(ii) If a vehicle is stolen or damaged beyond repair, and an
identifying decal authorizing that vehicle to use a dedicated commuter
lane is affixed to the windshield, no replacement decal shall be issued.
Participants must submit a new properly executed Form I-823 with fee.
(iii) If a windshield becomes broken and must be replaced, and an
identifying decal authorizing that vehicle to use a dedicated commuter
lane is affixed to the broken windshield, the Service may issue a
replacement decal. The decal shall be valid to the date of the original
decal. The program participant must submit a properly executed Form
I-823, Application -- Dedicated Commuter Lane Program, without fee, as
well as a receipt, properly documented with the Vehicle Identification
Number and the vehicle license tag number, for the purchase of a new
windshield.
(c) Establishment of per vehicle user fees at selected ports of
entry. A pilot program for the collection of a per vehicle fee for the
immigration inspection of all travelers within a vehicle may be
established.
(1) The following criteria shall be employed in the selection of port
of entry locations for the establishment of programs charging a per
vehicle user fee:
(i) A participating port of entry shall be a class A port of entry
located within 25 miles of another class A port of entry;
(ii) Space shall be available for facility modification, if needed,
for the collection of such a per vehicle fee;
(iii) Sufficient Service personnel shall be present to perform
primary and secondary inspection functions;
(iv) A memorandum of understanding, concerning the establishment and
implementation of the per vehicle user fee, with all other affected
federal inspection agencies shall be in effect; and
(v) Site specific consultations shall be conducted, through
appropirate channels, with government representatives of the country
contiguous to the selected site as well as with representatives of the
affected states and local communities.
(2) A per vehicle user fee shall not be charged or collected from
passengers who:
(i) Travel in emergency vehicles;
(ii) Travel in United States, Canadian, or Mexican government
vehicles on official business;
(iii) Are listed as foreign diplomats on the accreditation list
maintained by the United States Department of State or who are in
possession of a diplomatic visa (A-1 and A-2, G-1 through G-4), valid
for entry into the United States;
(iv) Travel in International Water and Boundary Commission vehicles
on official business; or
(v) Are American Indians born in Canada, as defined in 8 CFR 289.1,
members of the United States armed forces entering under orders, and/or
members of a force of a NATO country signatory to Article III of the
Status of Forces Agreement entering under orders.
(56 FR 21919, May 13, 1991)
08 CFR 286.8 PART 287 -- FIELD OFFICERS; POWERS AND DUTIES
Sec.
287.1 Definitions.
287.2 Criminal violations; investigation and action.
287.3 Disposition of cases of aliens arrested without warrant.
287.4 Subpoena.
287.5 Power and authority to administer oaths.
287.6 Proof of official records.
287.7 Detainer provisions under section 287(d)(3) of the Act.
Authority: 8 U.S.C. 1103, 1182, 1225, 1226, 1251, 1252, 1357; 8 CFR
part 2.
08 CFR 287.1 Definitions.
(a)(1) External boundary. The term external boundary, as used in
section 287(a)(3) of the Act, means the land boundaries and the coast
line of the United States, including the ports, harbors, bays and other
enclosed arms of the sea along the coast, and a marginal belt of the sea
extending three geographic miles from the outer limits of the land that
encloses an arm of the sea.
(2) Reasonable distance. The term reasonable distance, as used in
section 287(a) (3) of the Act, means within 100 air miles from any
external boundary of the United States or any shorter distance which may
be fixed by the district director, or, so far as the power to board and
search aircraft is concerned any distance fixed pursuant to paragraph
(b) of this section.
(b) Reasonable distance; fixing by district directors. In fixing
distances not exceeding 100 air miles pursuant to paragraph (a) of this
section, district directors shall take into consideration topography,
confluence of arteries of transportation leading from external
boundaries, density of population, possible inconvenience to the
traveling public, types of conveyances used, and reliable information as
to movements of persons effecting illegal entry into the United States:
Provided, That whenever in the opinion of a district director a distance
in his district of more than 100 air miles from any external boundary of
the United States would because of unusual circumstances be reasonable,
such district director shall forward a complete report with respect to
the matter to the Commissioner, who may, if he determines that such
action is justified, declare such distance to be reasonable.
(c) Exercise of power by immigration officers. Any immigration
officer is hereby authorized to exercise anywhere in the United States
all the powers conferred by section 287 of the Act.
(d) Disposition of felony cases. The cases of persons arrested for
felonies under paragraph (4) of section 287(a) of the Immigration and
Nationality Act shall be handled administratively in accordance with the
applicable provisions of 287.2 but in no case shall there be prejudiced
the right of the person arrested to be taken without unnecessary delay
before another near-by officer empowered to commit persons charged with
offenses against the laws of the United States.
(e) Power to arrest persons who bring in, transport, or harbor
certain aliens, or induce them to enter. Any immigration officer shall
have authority to make arrests for violations of any provision of
section 274 of the Immigration and Nationality Act.
(f) Patrolling the border. The phrase patrolling the border to
prevent the illegal entry of aliens into the United States as used in
section 287 of the Immigration and Nationality Act means conducting such
activities as are customary, or reasonable and necessary, to prevent the
illegal entry of aliens into the United States.
(g) Arrested by federal, state, or local law enforcement official.
The term arrested, as used in section 287(d) of the Act (as amended by
section 1701 (Subtitle M) of the Anti-Drug Abuse Act of 1986, Pub. L.
99-509), means that an alien has been --
(1) Physically taken into custody for a criminal violation of the
controlled substance laws; and
(2) Subsequently booked, charged or otherwise officially processed;
or
(3) Provided an initial appearance before a judicial officer where
the alien has been informed of the charges and the right to counsel.
(h) Law enforcement or other official. The phrase law enforcement
official (or other official), as used in section 287(d) of the Act, and
242.2(a) of this part means an officer or employee of an agency engaged
in the administration of criminal justice pursuant to statute or
executive order, including (1) courts; (2) a government agency or
component which performs the administration of criminal justice as
defined in 28 CFR part 20 including performance of any of the following
activities: detection, apprehension, detention, pretrial release,
post-trial release, prosecution, adjudication, correctional supervision,
or rehabilitation of accused persons or criminal offenders.
(i) Controlled substance. The term controlled substance, as used in
section 287(d)(3) of the Act, shall mean the same as that referenced in
the Controlled Substances Act, 21 U.S.C. 801 et seq. , and shall include
any substance contained in Schedules I through V of 21 CFR 1308.1 et
seq. For the purposes of this chapter, the term controlled substance
includes controlled substance analogues as defined in 21 U.S.C. 802(23)
and 813.
(22 FR 9808, Dec. 6, 1957, as amended at 29 FR 13244, Sept. 24, 1964;
53 FR 9283, Mar. 22, 1988)
08 CFR 287.2 Criminal violations; investigation and action.
Whenever a district director or chief patrol agent has reason to
believe that there has been a violation punishable under any criminal
provision of the laws administered or enforced by the Service, he shall
cause an investigation to be made immediately of all the pertinent facts
and circumstances and shall take or cause to be taken such further
action as the results of such investigation warrant.
(35 FR 16362, Oct. 20, 1970)
08 CFR 287.3 Disposition of cases of aliens arrested without warrant.
An alien arrested without a warrant of arrest under the authority
contained in section 287(a)(2) of the Immigration and Nationality Act
shall be examined as therein provided by an officer other than the
arresting officer. If no other qualified officer is readily available
and the taking of the alien before another officer would entail
unnecessary delay, the arresting officer, if the conduct of such
examination is a part of the duties assigned to him/her, may examine the
alien. If such examining officer is satisfied that there is prima facie
evidence establishing that the arrested alien was entering or attempting
to enter the United States in violation of the immigration laws, he/she
shall refer the case to an immigration judge for further inquiry in
accordance with parts 235 and 236 of this chapter or take whatever other
action may be appropriate or required under the laws or regulations
applicable to the particular case. If the examining officer is
satisfied that there is prima facie evidence establishing that the
arrested alien is in the United States in violation of the immigration
laws, further action in the case shall be taken as provided in part 242
of this chapter. After the examining officer has determined that formal
proceedings under sections 236, 237, or 242 of the Act, will be
instituted, an alien arrested without warrant of arrest shall be advised
of the reason for his/her arrest and the right to be represented by
counsel of his/her choice, at no expense to the government. The alien
shall also be provided with a list of the available free legal services
programs qualified under part 292a of this chapter and organizations
recognized pursuant to 292.2 of this chapter which are located in the
district where the deportation hearing will be held. It shall be noted
on Form I-213 that such a list was provided to the alien. The alien
shall also be advised that any statement made may be used against
him/her in a subsequent proceeding and that a decision will be made
within 24 hours as to whether he/she will be continued in custody or
released on bond or recognizance. Unless voluntary departure has been
granted pursuant to 242.5 of this chapter, the alien's case shall be
presented promptly, and in any event within 24 hours, for a
determination as to whether there is prima facie evidence that the
arrested alien is in the United States in violation of law and for
issuance of an order to show cause and warrant of arrest as prescribed
in part 242 of this chapter.
(51 FR 34082, Sept. 25, 1986)
08 CFR 287.4 Subpoena.
(a) Who may issue -- (1) Criminal or civil investigations. All
District Directors, Deputy District Directors, Chief Patrol Agents,
Deputy Chief Patrol Agents, Officers-in-Charge, Patrol Agents in Charge,
Assistant District Director, Investigations, Supervisory Criminal
Investigators (Anti-Smuggling), Regional Directors, Office of
Professional Responsibility, Service Center Directors, and Assistant
District Directors for Examinations, may issue a subpoena requiring the
production of records and evidence for use in criminal or civil
investigations.
(2) Proceedings other than naturalization proceedings -- (1) Prior to
commencement of proceedings. All District Directors, Deputy District
Directors, Chief Patrol Agents, Deputy Chief Patrol Agents, and
Officers-in-Charge, may issue a subpoena requiring the attendance of
witnesses or the production of documentary evidence, or both, for use in
any proceeding under this chapter, other than under part 335 of this
Chapter, or any application made ancillary to the proceeding.
(ii) Subsequent to commencement of any proceeding. (A) In any
proceeding under this chapter, other than under part 335 of this
chapter, and in any proceeding ancillary thereto, an immigration judge
having jurisdiction over the matter may, upon his/her own volition or
upon application of a trial attorney, the alien, or other party
affected, issue subpoenas requiring the attendance of witnesses or for
the production of books, papers and other documentary evidence, or both.
(B) Application for subpoena. A party applying for a subpoena shall
be required, as a condition precedent to its issuance, to state in
writing or at the proceeding, what he/she expects to prove by such
witnesses or documentary evidence, and to show affirmatively that he/she
has made diligent effort, without success, to produce the same.
(C) Issuance of subpoena. Upon being satisfied that a witness will
not appear and testify or produce documentary evidence and that the
witness' evidence is essential, the immigration judge shall issue a
subpoena.
(D) Appearance of witness. If the witness is at a distance of more
than 100 miles from the place of the proceeding, the subpoena shall
provide for the witnesses' appearance at the Service office nearest to
the witness to respond to oral or written interrogatories, unless the
Service indicates that there is no objection to bringing the witness the
distance required to enable him/her to testify in person.
(b) Form of subpoena. All subpoenas shall be issued on Form I-138.
(1) Criminal or civil investigations. The subpoena shall command the
person or entity to which it is addressed to attend and to give
testimony at a time or place specified. A subpoena shall also command
the person or entity to which it is addressed to produce the books,
papers, or documents specified in the subpoena. A subpoena may direct
the taking of a deposition before an officer of the Service.
(2) Proceedings other than naturalization proceedings. Every
subpoena issued under the provisions of this section shall state the
title of the proceeding and shall command the person to whom it is
directed to attend and to give testimony at a time and place specified.
A subpoena shall also command the person to whom it is directed to
produce the books, papers, or documents specified in the subpoena. A
subpoena may direct the making of a deposition before an officer of the
Service.
(c) Service. A subpoena issued under this section may be served by
any person, over 18 years of age not a party to the case, designated to
make such service by the District Director, Deputy District Director,
Chief Patrol Agent, Deputy Chief Patrol Agent, Patrol Agent in Charge,
Officer-in-Charge, Assistant District Director, Investigations,
Supervisory Criminal Investigator (Anti-Smuggling), and Regional
Director, Office of Professional Responsibility, having administrative
jurisdiction over the office in which the subpoena is issued. Service
of the subpoena shall be made by delivering a copy thereof to the person
named therein and by tendering to him/her the fee for one day's
attendance and the mileage allowed by law by the United States District
Court for the district in which the testimony is to be taken. When the
subpoena is issued on behalf of the Service, fee and mileage need not be
tendered at the time of service. A record of such service shall be made
and attached to the original copy of the subpoena.
(d) Invoking aid of court. If a witness neglects or refuses to
appear and testify as directed by the subpoena served upon him/her in
accordance with the provisions of this section, the officer issuing the
subpoena shall request the United States Attorney for the district in
which the subpoena was issued to report such neglect or refusal to the
United States District Court and to request such court to issue an order
requiring the witness to appear and testify and to produce the books,
papers or documents designated in the subpoena. If the subpoena was
issued by an immigration judge, he/she shall request the District
Director in the district in which the subpoena was issued to take the
action referred to in the previous sentence in the event the witness
neglects or refuses to appear and testify as directed by the subpoena
served upon him.
(50 FR 30134, July 24, 1985; 50 FR 47205, Nov. 15, 1985, as amended
at 55 FR 12628, Apr. 5, 1990)
08 CFR 287.5 Power and authority to administer oaths.
Any immigration officer, or any other employee individually
designated by a district director, shall have the power and authority to
administer oaths in or outside the United States.
(29 FR 12584, Sept. 4, 1964)
08 CFR 287.6 Proof of official records.
(a) Domestic. In any proceeding under this chapter, an official
record or entry therein, when admissible for any purpose, shall be
evidenced by an official publication thereof, or by a copy attested by
the official having legal custody of the record or by an authorized
deputy.
(b) Foreign: Countries not Signatories to Convention. (1) In any
proceeding under this chapter, an official record or entry therein, when
admissible for any purpose, shall be evidenced by an official
publication thereof, or by a copy attested by an officer so authorized.
This attested copy in turn may but need not be certified by any
authorized foreign officer both as to the genuineness of the signature
of the attesting officer and as to his/her official position. The
signature and official position of this certifying foreign officer may
then likewise be certified by any other foreign officer so authorized,
thereby creating a chain of certificates.
(2) The attested copy, with the additional foreign certificates if
any, must be certified by an officer in the Foreign Service of the
United States, stationed in the foreign country where the record is
kept. This officer must certify the genuineness of the signature and
the official position either of (i) the attesting officer; or (ii) any
foreign officer whose certification of genuineness of signature and
official position relates directly to the attestation or is in a chain
of certificates of genuineness of signature and official position
relating to the attestation.
(c) Foreign: Countries Signatory to Convention Abolishing the
Requirement of Legislation for Foreign Public Document. (1) In any
proceeding under this chapter, a public document or entry therein, when
admissible for any purpose, may be evidenced by an official publication,
or by a copy properly certified under the Convention. To be properly
certified, the copy must be accompanied by a certificate in the form
dictated by the Convention. This certificate must be signed by a
foreign officer so authorized by the signatory country, and it must
certify (i) the authenticity of the signature of the person signing the
document; (ii) the capacity in which that person acted, and (iii) where
appropriate, the identity of the seal or stamp which the document bears.
(2) No certification is needed from an officer in the Foreign Service
of public documents.
(3) In accordance with the Convention, the following are deemed to be
public documents:
(i) Documents emanating from an authority or an official connected
with the courts of tribunals of the state, including those emanating
from a public prosecutor, a clerk of a court or a process server;
(ii) Administrative documents;
(iii) Notarial acts; and
(iv) Official certificates which are placed on documents signed by
persons in their private capacity, such as official certificates
recording the registration of a document or the fact that it was in
existence on a certain date, and official and notarial authentication of
signatures.
(4) In accordance with the Convention, the following are deemed not
to be public documents, and thus are subject to the more stringent
requirements of 287.6(b) above:
(i) Documents executed by diplomatic or consular agents; and
(ii) Administrative documents dealing directly with commercial or
customs operations.
(d) Canada. In any proceedings under this chapter, an official
record or entry therein, issued by a Canadian governmental entity within
the geographical boundaries of Canada, when admissible for any purpose,
shall be evidenced by a certified copy of the original record attested
by the official having legal custody of the record or by an authorized
deputy.
(50 FR 37834, Sept. 18, 1985, as amended at 54 FR 39337, Sept. 26,
1989; 54 FR 48851, Nov. 28, 1989)
08 CFR 287.7 Detainer provisions under section 287(d)(3) of the Act.
(a) Detainers in general. (1) Only an immigration officer as defined
in section 101(a)(18) of the Act, or 103.1(q) of this chapter is
authorized to issue a detainer. Detainers may be issued only in the
case of an alien who is amenable to exclusion or deportation proceedings
under any provision of law.
(2) Availability of records. In order for the Service to accurately
determine the propriety of issuing a detainer, serving an order to show
cause, or taking custody of an alien in accordance with this section,
the criminal justice agency requesting such action or informing the
service of a conviction or act which renders an alien excludable or
deportable under any provision of law shall provide the Service with all
documentary records and information available from the agency which
reasonably relates to the alien's status in the United States, or which
may have an impact on conditions of release.
(3) Telephonic detainers. Issuance of a detainer in accordance with
this section may be authorized telephonically, provided such
authorizations are confirmed in writing on Form I-247, or by electronic
communications transfer media (e.g. the National Law Enforcement
Telecommunications System (NLETS)) within twenty-four hours of the
telephonic authorization. The contents of the electronic transfer shall
contain substantially the same language as the Form I-247.
(4) Temporary detention at Service request. Upon a determination by
the Service to issue a detainer for an alien not otherwise detained by a
criminal justice agency, such agency shall maintain custody of the alien
for a period not to exceed forty-eight hours, in order to permit
assumption of custody by the Service.
(5) Financial responsibility for detention. No detainer issued as a
result of a determination made under this chapter shall incur any fiscal
obligation on the part of the Service, until actual assumption of
custody by the Service, except as provided in paragraph (a)(4) of this
section.
(53 FR 9283, Mar. 22, 1988, as amended at 55 FR 43327, Oct. 29, 1990)
08 CFR 287.7 PART 289 -- AMERICAN INDIANS BORN IN CANADA
Sec.
289.1 Definition.
289.2 Lawful admission for permanent residence.
289.3 Recording the entry of certain American Indians born in Canada.
Authority: Secs. 103, 262, 289, 66 Stat. 173, 224, 234; 8 U.S.C.
1103, 1302, 1359; 45 Stat. 401, 54 Stat. 670; 8 U.S.C. 226a, 451.
08 CFR 289.1 Definition.
The term American Indian born in Canada as used in section 289 of the
Act includes only persons possessing 50 per centum or more of the blood
of the American Indian race. It does not include a person who is the
spouse or child of such an Indian or a person whose membership in an
Indian tribe or family is created by adoption, unless such person
possesses at least 50 per centum or more of such blood.
(29 FR 11494, Aug. 11, 1964)
08 CFR 289.2 Lawful admission for permanent residence.
Any American Indian born in Canada who at the time of entry was
entitled to the exemption provided for such person by the Act of April
2, 1928 (45 Stat. 401), or section 289 of the Act, and has maintained
residence in the United States since his entry, shall be regarded as
having been lawfully admitted for permanent residence. A person who
does not possess 50 per centum of the blood of the American Indian race,
but who entered the United States prior to December 24, 1952, under the
exemption provided by the Act of April 2, 1928, and has maintained his
residence in the United States since such entry shall also be regarded
as having been lawfully admitted for permanent residence. In the
absence of a Service record of arrival in the United States, the record
of registration under the Alien Registration Act, of 1940 (54 Stat. 670;
8 U.S.C. 451), or section 262 of the Act, or other satisfactory
evidence may be accepted to establish the date of entry.
(29 FR 11494, Aug. 11, 1964)
08 CFR 289.3 Recording the entry of certain American Indians born in
Canada.
The lawful admission for permanent residence of an American Indian
born in Canada shall be recorded on Form I-181.
(33 FR 7485, May 21, 1968)
08 CFR 289.3 PART 292 -- REPRESENTATION AND APPEARANCES
Sec.
292.1 Representation of others.
292.2 Organizations qualified for recognition; requests for
recognition; withdrawal of recognition; accreditation of
representatives; roster.
292.3 Suspension or disbarment.
292.4 Appearances.
292.5 Service upon and action by attorney or representative of
record.
292.6 Interpretation.
Authority: 8 U.S.C. 1103, 1362.
08 CFR 292.1 Representation of others.
(a) A person entitled to representation may be represented by any of
the following:
(1) Attorneys in the United States. Any attorney as defined in
1.1(f) of this chapter.
(2) Law students and law graduates not yet admitted to the bar. A
law student who is enrolled in an accredited law school, or a law
graduate who is not yet admitted to the bar, provided that:
(i) He or she is appearing at the request of the person entitled to
representation;
(ii) In the case of a law student, he or she has filed a statement
that he or she is participating, under the direct supervision of a
faculty member or an attorney, in a legal aid program or clinic
conducted by the law school, and that he or she is appearing without
direct or indirect remuneration;
(iii) In the case of a law graduate, he or she has filed a statement
that he or she is appearing under the supervision of a licensed attorney
or accredited representative and that he or she is appearing without
direct or indirect remuneration; and
(iv) The law student's or law graduate's appearance is permitted by
the official before whom he or she wishes to appear (namely an
Immigration Judge, district director, officer-in-charge, regional
commissioner, the Commissioner, or the Board). The official or
officials may require that a law student be accompanied by the
supervising faculty member or attorney.
(3) Reputable individuals. Any reputable individual of good moral
character, provided that:
(i) He is appearing on an individual case basis, at the request of
the person entitled to representation;
(ii) He is appearing without direct or indirect renumeration and
files a written declaration to that effect;
(iii) He has a pre-existing relationship or connection with the
person entitled to representation (e.g., as a relative, neighbor,
clergyman, business associate or personal friend), provided that such
requirement may be waived, as a matter of administrative discretion, in
cases where adequate representation would not otherwise be available;
and
(iv) His appearance is permitted by the official before whom he
wished to appear (namely, a special inquiry officer, district director,
officer-in-charge, regional commissioner, the Commissioner, or the
Board), provided that such permission shall not be granted with respect
to any individual who regularly engages in immigration and
naturalization practice or preparation, or holds himself out to the
public as qualified to do so.
(4) Accredited representatives. A person representing an
organization described in 292.2 of this chapter who has been accredited
by the Board.
(5) Accredited officials. An accredited official, in the United
States, of the government to which an alien owes allegiance, if the
official appears solely in his official capacity and with the alien's
consent.
(6) Attorneys outside the United States. An attorney other than one
described in 1.1(f) of this chapter who is licensed to practice law and
is in good standing in a court of general jurisdiction of the country in
which he/she resides and who is engaged in such practice. Provided that
he/she represents persons only in matters outside the geographical
confines of the United States as defined in section 101(a)(38) of the
Act, and that the Service official before whom he/she wishes to appear
allows such representation as a matter of discretion.
(b) Persons formerly authorized to practice. A person, other than a
representative of an organization described in 292.2 of this chapter,
who on December 23, 1952, was authorized to practice before the Board
and the Service may continue to act as a representative, subject to the
provisions of 292.3 of this chapter.
(c) Former employees. No person previously employed by the
Department of Justice shall be permitted to act as a representative in
any case in violation of the provisions of 28 CFR 45.735-7.
(d) Amicus curiae. The Board may grant permission to appear, on a
case-by-case basis, as amicus curiae, to an attorney or to an
organization represented by an attorney, if the public interest will be
served thereby.
(e) Except as set forth in this section, no other person or persons
shall represent others in any case.
(40 FR 23271, May 29. 1975, as amended at 53 FR 7728, Mar. 10, 1988;
55 FR 49251, Nov. 27, 1990)
08 CFR 292.2 Organizations qualified for recognition; requests for
recognition; withdrawal of recognition; accreditation of
representatives; roster.
(a) Qualifications of organizations. A non-profit religious,
charitable, social service, or similar organization established in the
United States and recognized as such by the Board may designate a
representative or representatives to practice before the Service and the
Board. Such organization must establish to the satisfaction of the
Board that:
(1) It makes only nominal charges and assesses no excessive
membership dues for persons given assistance; and
(2) It has at its disposal adequate knowledge, information and
experience.
(b) Requests for recognition. An organization having the
qualifications prescribed in paragraph (a) of this section may file an
application for recognition on a Form G-27 directly with the Board,
along with proof of service of a copy of the application on the district
director having jurisdiction over the area in which the organization is
located. The district director, within 30 days from the date of
service, shall forward to the Board a recommendation for approval or
disapproval of the application and the reasons therefor, or request a
specified period of time in which to conduct an investigation or
otherwise obtain relevant information regarding the applicant. The
district director shall include proof of service of a copy of such
recommendation or request on the organization. The organization shall
have 30 days in which to file a response with the Board to a
recommendation by a district director that is other than favorable,
along with proof of service of a copy of such response on the district
director. If the Board approves a request for time to conduct an
investigation, or in its discretion remands the application to the
district director for further information, the organization shall be
advised of the time granted for such purpose. The Service shall
promptly forward the results of any investigation or inquiry to the
Board, along with its recommendations for approval or disapproval and
the reasons therefor, and proof of service of a copy of the submission
on the organization. The organization shall have 30 days from the date
of such service to file a response with the Board to any matters raised
therein, with proof of service of a copy of the response on the district
director. Requests for extensions of filing times must be submitted in
writing with the reasons therefor and may be granted by the Board in its
discretion. Oral argument may be heard before the Board in its
discretion at such date and time as the Board may direct. The
organization and Service shall be informed by the Board of the action
taken regarding an application. Any recognized organization shall
promptly notify the Board of any changes in its name, address, or public
telephone number.
(c) Withdrawal of recognition. The Board may withdraw the
recognition of any organization which has failed to maintain the
qualifications required by 292.2(a). Withdrawal of recognition may be
accomplished in accordance with the following procedure:
(1) The Service, by the district director within whose jurisdiction
the organization is located, may conduct an investigation into any
organization it believes no longer meets the standards for recognition.
(2) If the investigation establishes to the satisfaction of the
district director that withdrawal proceedings should be instituted, he
shall cause a written statement of the grounds upon which withdrawal is
sought to be served upon the organization, with notice to show cause why
its recognition should not be withdrawn. The notice will call upon the
organization to appear before a special inquiry officer for a hearing at
a time and place stated, not less than 30 days after service of the
notice.
(3) The special inquiry officer shall hold a hearing, receive
evidence, make findings of fact, state his recommendations, and forward
the complete record to the Board.
(4) The organization and the Service shall have the opportunity of
appearing at oral argument before the Board at a time specified by the
Board.
(5) The Board shall consider the entire record and render its
decision. The order of the Board shall constitute the final disposition
of the proceedings.
(d) Accreditation of representatives. An organization recognized by
the Board under paragraph (b) of this section may apply for
accreditation of persons of good moral character as its representatives.
An organization may apply to have a representative accredited to
practice before the Service alone or the Service and the Board
(including practice before immigration judges). An application for
accreditation shall fully set forth the nature and extent of the
proposed representative's experience and knowledge of immigration and
naturalization law and procedure and the category of accreditation
sought. No individual may submit an application on his or her own
behalf. An application shall be filed directly with the Board, along
with proof of service of a copy of the application on the district
director having jurisdiction over the area in which the requesting
organization is located. The district director, within 30 days from the
date of service, shall forward to the Board a recommendation for
approval or disapproval of the application and the reasons therefor, or
request a specified period of time in which to conduct an investigation
or otherwise obtain relevant information regarding the applicant. The
district director shall include proof of service of a copy of such
recommendation or request on the organization. The organization shall
have 30 days in which to file a response with the Board to a
recommendation by a distrct director that is other than favorable, with
proof of service of a copy of such response on the district director.
If the Board approves a request for time to conduct an investigation, or
in its discretion remands the application to the district director for
further information, the organization shall be advised of the time
granted for such purpose. The district director shall promptly forward
the results of any investigation or inquiry to the Board, along with a
recommendation for approval or disapproval and the reasons therefor, and
proof of service of a copy of the submission on the organization. The
organization shall have 30 days from the date of service to file a
response with the Board to any matters raised therein, with proof or
service of a copy of the response on the district director. Requests
for extensions of filing times must be submitted in writing with the
reasons therefor and may be granted by the Board in its discretion.
Oral argument may be heard before the Board in its discretion at such
date and time as the Board may direct. The Board may approve or
disapprove an application in whole or in part and shall inform the
organization and the district director of the action taken with regard
to an application. The accreditation of a representative shall be valid
for a period of three years only; however, the accreditation shall
remain valid pending Board consideration of an application for renewal
of accreditation if the application is filed at least 60 days before the
third anniversary of the date of the Board's prior accreditation of the
representative. Accreditation terminates when the Board's recognition
of the organization ceases for any reason or when the representative's
employment or other connection with the organization ceases. The
organization shall promptly notify the Board of such changes.
(e) Roster. The Board shall maintain an alphabetical roster of
recognized organizations and their accredited representatives. A copy
of the roster shall be furnished to the Commissioner and he shall be
advised from time to time of changes therein.
(40 FR 23272, May 29, 1975, as amended at 49 FR 44086, Nov. 2, 1984)
08 CFR 292.3 Suspension or disbarment.
(a) Grounds. The immigration judge, Board, or Attorney General may
suspend or bar from further practice an attorney or representative if it
is found that it is in the public interest to do so. The suspension or
disbarment of an attorney or representative who is within one or more of
the following categories shall be deemed to be in the public interest,
for the purposes of this part, but the enumeration of the following
categories does not establish the exclusive grounds for suspension or
disbarment in the public interest:
(1) Who charges or receives, either directly or indirectly, any fee
or compensation for services which may be deemed to be grossly excessive
in relation to the services performed, or who, being an accredited
representative of an organization recognized under 1.1(j) of this
chapter, charges or receives either directly or indirectly any fee or
compensation for services rendered to any person, except that an
accredited representative of such an organization may be regularly
compensated by the organization of which he is an accredited
representative;
(2) Who, with intent to defraud or deceive, bribes, attempts to
bribe, coerces, or attempts to coerce, by any means whatsoever, any
person, including a party to a case, or an officer or employee of the
Service or Board, to commit an act or to refrain from performing an act
in connection with any case;
(3) Who willfully misleads, misinforms, or deceives an officer or
employee of the Department of Justice concerning any material and
relevant fact in connection with a case;
(4) Who willfully deceives, misleads, or threatens any party to a
case concerning any matter relating to the case;
(5) Who solicits practice in any unethical or unprofessional manner,
including but not limited to, the use of runners.
(6) Who represents, as an associate, any person who, known to him,
solicits practice in any unethical or unprofessional manner, including,
but not limited to, the use of runners, or advertising his availability
to handle immigration, naturalization, or nationality matters;
(7) Who has been temporarily suspended, and such suspension is still
in effect, or permanently disbarred, from practice in any court,
Federal, State (including the District of Columbia), territorial, or
insular;
(8) Who is temporarily suspended, and such suspension is still in
effect, or permanently disbarred, from practice in a representative
capacity before any executive department, board, commission, or other
governmental unit, Federal, State (including the District of Columbia),
territorial, or insular;
(9) Who, by use of his name, personal appearance, or any device, aids
and abets any person to practice during the period of his suspension or
disbarment, such suspension or disbarment being known to him;
(10) Who willfully made false and material statements or
representations with respect to his qualifications or authority to
represent others in any case;
(11) Who engages in contumelious or otherwise obnoxious conduct with
respect to a case in which he acts in a representative capacity, which
in the opinion of the Board, would constitute cause for suspension or
disbarment if the case was pending before a court, or which, in such a
judicial proceeding, would constitute a contempt of court;
(12) Who, having been furnished with a copy of any portion of the
record in a case, willfully fails to surrender such copy upon final
disposition of the case or upon demand, or willfully and without
authorization makes and retains a copy of the material furnished;
(13) Who has been convicted of a felony, or, having been convicted of
any crime is sentenced to imprisonment for a term of more than one year;
or
(14) Who has falsely certified a copy of a document as being a true
and complete copy of an original.
(b) Procedure. Complaints regarding the conduct of attorneys and
representatives shall be investigated by the Service. If an
investigation establishes to the satisfaction of the Service that
suspension or disbarment proceedings should be instituted, the General
Counsel shall cause a copy of written charges to be served upon the
attorney/representative, either by personal service or by registered
mail. The General Counsel shall file the written charges with the
Office of the Chief Immigration Judge immediately after service of the
charges upon the attorney/representative. The attorney/respesentative
shall answer the charges, in writing, within thirty (30) days of service
and file the answer with the Office of the Chief Immigration Judge. The
attorney/representative shall serve a copy of the anser on the General
Counsel. Proof of service on the opposing party must be included with
all documents filed. The Chief Immigration Judge shall designate an
immigration judge to hold a hearing and render a decision in the matter.
The designated immigration judge shall notify the
attorney/representative and the Service as to the time and the place of
the hearing. At the hearing, the attorney/representative may be
represented by an attorney at no expense to the Government and the
Service shall be represented by an attorney. At the hearing, the
attorney/representative will have a reasonable opportunity to examine
and object to the evidence presented by the Service, to present evidence
on his/her own behalf and to cross-examine witnesses presented by the
Service. Failure of the attorney/representative to answer the written
charges in a timely manner will constitute an admission that everything
alleged in the written charges is correct. The Service shall bear the
burden of proving the grounds for the suspension or disbarment by clear,
convincing, and unequivocal evidence. The record of the hearing shall
conform to the requirements of 8 CFR 242.15. The immigration judge shall
consider the record and render a decision in the case. The immigration
judge may find that the evidence presented does not sufficiently prove
grounds for a suspension or disbarment, or that a suspension or
disbarment is justified. If the immigration judge finds that a
suspension is justified, an amount of time shall be set by the
immigration judge for the suspension. Either party may appeal the
decision of the immigration judge to the Board. The appeal must be
filed within ten (10) days from the date of the decision, if oral, or
thirteen (13) days from the date of mailing of the decision, if written.
The appeal must be filed with the office of the immigration judge
holding the hearing. If an appeal is not filed in a timely manner or if
the appeal is waived, the immigration judge's decision is final. If a
case is appealed in a timely manner, the Board shall consider the record
and render a decision. Receipt of briefs and the hearing of oral
argument shall be at the discretion of the Board. The Board's decision
shall be final except when a case is certified to the Attorney General
pursuant to 8 CFR 3.1(h). When the final decision is for suspension or
disbarment, the attorney/representative shall not thereafter be
permitted to practice until authorized by the adjudicator rendering the
final decision.
(23 FR 2672, Apr. 23, 1958, as amended at 23 FR 9124, Nov. 26, 1958;
34 FR 12213, July 24, 1969; 36 FR 11903, June 23, 1971; 52 FR 24981,
July 2, 1987)
08 CFR 292.4 Appearances.
(a) An appearance shall be filed on the appropriate form by the
attorney or representative appearing in each case. During Immigration
Judge or Board proceedings, withdrawal and/or substitution of counsel is
permitted only in accordance with 3.16 and 3.36 respectively. During
proceedings before the Service, substitution may be permitted upon the
written withdrawal of the attorney or representative of record, or upon
notification of the new attorney or representative. When an appearance
is made by a person acting in a representative capacity, his or her
personal appearance or signature shall constitute a representation that
under the provisions of this chapter he or she is authorized and
qualified to represent. Further proof of authority to act in a
representative capacity may be required.
(b) Availability of records. During the time a case is pending, and
except as otherwise provided in 103.2(b) of this chapter, a party to a
proceeding or his attorney or representative shall be permitted to
examine the record of proceeding in a Service office. He may, in
conformity with 103.10 of this chapter, obtain copies of Service
records or information therefrom and copies of documents or transcripts
of evidence furnished by him. Upon request, he may in addition, be
loaned a copy of the testimony and exhibits contained in the record of
proceeding upon giving his receipt for such copies and pledging that it
will be surrendered upon final disposition of the case or upon demand.
If extra copies of exhibits do not exist, they shall not be furnished
free on loan; however, they shall be made available for copying or
purchase of copies as provided in 103.10 of this chapter.
(23 FR 2673, Apr. 23, 1958, as amended at 32 FR 9633, July 4, 1967;
52 FR 2941, Jan. 29, 1987)
08 CFR 292.5 Service upon and action by attorney or representative of
record.
(a) Representative capacity. Whenever a person is required by any of
the provisions of this chapter to give or be given notice; to serve or
be served with any paper other than a warrant of arrest or a subpoena;
to make a motion; to file or submit an application or other document;
or to perform or waive the performance of any act, such notice, service,
motion, filing, submission, performance, or waiver shall be given by or
to, served by or upon, made by, or requested of the attorney or
representative of record, or the person himself if unrepresented.
(b) Right to representation. Whenever an examination is provided for
in this chapter, the person involved shall have the right to be
represented by an attorney or representative who, except as otherwise
specifically provided in part 332 of this chapter, shall be permitted to
examine or cross-examine such person and witnessess, to introduce
evidence, to make objections which shall be stated succinctly and
entered on the record, and to submit briefs. Provided, that nothing in
this paragraph shall be construed to provide any applicant for admission
in either primary or secondary inspection the right to representation,
unless the applicant for admission has become the focus of a criminal
investigation and has been taken into custody.
(37 FR 11471, June 8, 1972 and 45 FR 81733, Dec. 12, 1980; 46 FR
2025, Jan. 8, 1981)
08 CFR 292.6 Interpretation.
Interpretations of this part will be made by the Board of Immigration
Appeals, subject to the provisions of part 3 of this chapter.
(32 FR 9633, July 4, 1967)
08 CFR 292.6 PART 292a -- LISTING OF FREE LEGAL SERVICES PROGRAMS
Sec.
292a.1 Listing.
292a.2 Qualifications.
292a.3 Applications.
292a.4 Approval and denial of applications.
292a.5 Removal of an organization from list.
Authority: Sec. 103; 8 U.S.C. 1103, interpret or apply secs. 242
and 292 (8 U.S.C. 1252 and 1362).
Source: 44 FR 4654, Jan. 23, 1979, unless otherwise noted.
08 CFR 292a.1 Listing.
District directors and officers-in-charge shall maintain a current
list of organizations qualified under this part and organizations
recognized under 292.2 of this chapter which have applied for listing
under 292a.3 of this part, located within their respective
jurisdictions, for the purpose of providing aliens in deportation or
exclusion proceedings with a list of such organizations as prescribed in
this chapter.
(45 FR 43681, June 30, 1980)
08 CFR 292a.2 Qualifications.
Except for an organization which is recognized under 292.2 of this
chapter and is available to render legal services in deportation or
exclusion proceedings, an organization which seeks to have its name
appear on the Service lists must show that it is established in the
United States, provides free legal services to indigent aliens, has on
its staff attorneys as defined in 1.1(f) of this chapter or retains, at
no expense to the alien, attorneys as defined in 1.1(f) of this
chapter, who are available to render such free legal services by
representation in deportation or exclusion proceedings. Bar
associations which provide a referral service of attorneys who render
pro bono assistance to aliens in deportation or exclusion proceedings
may also qualify to have their names appear on the Service list.
Listing of an organization qualified under this part is not equivalent
to recognition under 292.2 of this chapter.
(44 FR 4654, Jan. 23, 1979, as amended at 45 FR 43681, June 30, 1980)
08 CFR 292a.3 Applications.
Applications by organizations to qualify for listing under this part
shall be submitted to the district director or officer-in-charge having
jurisdiction over each area in which free legal services are being
provided by the organization. The application shall be supported by a
declaration signed by an authorized officer of the organization that the
organization complies with all the qualifications set out in 292a.2.
08 CFR 292a.4 Approval and denial of applications.
District Directors or officers-in-charge shall have the authority to
grant or deny an application submitted by an organization under this
part, within their respective jurisdiction. If an application is
denied, the applicant shall be notified of the decision in writing
giving the grounds of such denial. Denial must be based on the failure
of the organization to meet the qualifications specified in 292a.2. The
organization shall be advised of its right to appeal in accordance with
103.1 and 103.3 of this chapter.
(50 FR 2040, Jan. 15, 1985)
08 CFR 292a.5 Removal of an organization from list.
If the district director or officer-in-charge is satisfied that an
organization listed under 292a.1 does not meet the qualifications as
set out in 292a.2, he/she shall notify the organization concerned, in
writing, of his/her intention to remove its name from the Service list.
The organization may submit an answer within 30 days from the date the
notice was served. If, after considering the answer by the
organization, in the event an answer is submitted, the district director
or officer-in-charge determines that the organization does not qualify
under 292a.2, he/she shall remove its name from the list. Removal must
be based on the failure of the organization to meet the qualifications
specified in 292a.2 of this chapter. The organization shall be advised
of its right to appeal in accordance with 103.1 and 103.3 of this
chapter. If an organization applies to the district director or
officer-in-charge to have its name removed from the Service list, that
request shall be honored.
(49 FR 41015, Oct. 19, 1984)
08 CFR 292a.5 PART 293 -- DEPOSIT OF AND INTEREST ON CASH RECEIVED TO
SECURE IMMIGRATION BONDS
Sec.
293.1 Computation of interest.
293.2 Interest rate.
293.3 Simple interest table.
293.4 Payment of interest.
Authority: Sec. 103, 66 Stat. 173; 8 U.S.C. 1103. Interprets and
applies sec. 293, 84 Stat. 413.
Source: 36 FR 13677, July 23, 1971, unless otherwise noted.
08 CFR 293.1 Computation of interest.
Interest shall be computed from the date of deposit occurring after
April 27, 1966, or from the date cash deposited in the postal savings
system ceased to accrue interest, to and including the date of
withdrawal or date of breach of the immigration bond, whichever occurs
first. For purposes of this section, the date of deposit shall be the
date shown on the Receipt of Immigration Officer for the cash received
as security on an immigration bond. The date of withdrawal shall be the
date upon which the interest is certified to the Treasury Department for
payment. The date of breach shall be the date as of which the
immigration bond was concluded to have been breached as shown on Form
I-323, Notice -- Immigration Bond Breached. In counting the number of
days for which interest shall be computed, the day on which the cash was
deposited, or the day which cash deposited in the postal savings system
ceased to accrue interest, shall not be counted; however, the day of
withdrawal or the day of breach of the immigration bond shall be
counted. Interest shall be computed at the rate determined by the
Secretary of the Treasury and set forth in 293.2. The simple interest
table in 293.3 shall be utilized in the computation of interest under
this part.
08 CFR 293.2 Interest rate.
The Secretary of the Treasury has determined that effective from date
of deposit occurring after April 27, 1966, the interest rate shall be 3
per centum per annum.
08 CFR 293.3 Simple interest table.
Following is a simple interest table from which computation of
interest at 3 per centum per annum on a principal of $1,000 for a
fractional 365-day year may be derived by addition only. The interest
is stated in the form of a decimal fraction of $1.
Example: 3% on $500 for 93 days:
08 CFR 293.4 Payment of interest.
Interest shall be paid only at time of disposition of principal cash
when the immigration bond has been withdrawn or declared breached.
08 CFR 293.4 PART 299 -- IMMIGRATION FORMS
Sec.
299.1 Prescribed forms.
299.2 Distribution of Service forms.
299.3 Forms available from the Superintendent of Documents.
299.4 Reproduction of forms by private parties.
299.5 Display of control numbers.
Authority: 8 U.S.C. 1101, 1103; 8 CFR part 2.
08 CFR 299.1 Prescribed forms.
The forms listed below are hereby precribed for use in compliance
with the provisions of Subchapter A and B of this chapter. To the
maximum extent feasible the forms used should bear the edition date
shown or as subsequent edition date.
AR-4 (8-30-72) -- Alien Registration Fingerprint Chart.
AR-11 (3-21-79) -- Alien's Change of Address Card.
CDC 4.417 (11-74) -- (Formerly HSM-240 or PHS-124) Medical
Certificate.
CDC 4.422-1 (10-84) -- Statement in Support of Application for Waiver
of Excludability under section 212(a)(1), Immigration and Nationality
Act.
CDC 4.422-2 (10-84) -- Statement in Support of Application for Waiver
of Excludability under section 212(a)(3), Immigration and Nationality
Act.
CDC 4.422-4 (10.84) -- Statement in Support of Application for Waiver
of Excludability under section 212(a)(1), Immigration and Nationality
Act-Military Dependent.
CDC 4.422-5 (10-84) -- Statement in Support of Application for Waiver
of Excludability under section 212(a)(3), Immigration and Nationality
Act-Military Dependent.
CDC 42.1 (4-81) -- Interstate Reciprocal Notification of Disease.
CDC 75.17 (4-82) -- Report on Alien with Tuberculosis not considered
active.
CDC 75.18 (4-82) -- Report on Alien with Tuberculosis Waiver.
IAP-66 (10-78) -- Certificate of Eligibility for Exchange Visitor
Status.
FD-258 (4-25-72) -- Applicant Card.
OF-157 (5-78) -- Medical Examination of Applicants for United States
Visas.
G-27 (9-30-82) -- Request for Recognition as a Non-Profit Religious,
Charitable, Social Service, or Similar Organization Established in the
United States under 8 CFR 292.2.
G-28 (10-25-79) -- Notice of Entry of Appearance as Attorney or
Representative.
G-56 (5-1-83) -- Call-in Notice.
G-296 (9-12-58) -- Report of Violation.
G-297 (5-28-70) -- Order to Seize Aircraft.
G-298 (9-12-58) -- Public Notice of Seizure.
G-325 (10-1-82) -- Biographic Information.
G-325A (10-1-82) -- Biographic Information.
G-325B (5-1-79) -- Biographic Information.
G-325C (10-1-82) -- Biographic Information.
G-639 (6-12-82) -- Freedom of Information Act/Privacy Act Request.
G-652 (2-1-78) -- Affidavit of Identity.
G-658 (11-1-75) -- Record of Information Disclosure (Privacy Act).
I-17 (4-4-83) -- Petition for Approval of School for Attendance by
Nonimmigrant Students.
I-17A (5-1-83) -- Designated School Officials.
I-17B (5-1-83) -- System Attachment.
I-20A-B/I-20ID (4-27-88) -- Certificate of Eligibility of
Nonimmigrant (F-1) Student Status -- For Academic and Language Students.
I-20 M-N (5-1-83) -- Certificate of Eligibility for Nonimmigrant
(M-1) Student Status -- For Vocational Students.
I-38 (7-25-77) -- Decision of the Immigration Judge.
I-39 (9-22-78) -- Decision of the Immigration Judge.
I-68 (9-1-84) -- Canadian Border Boat Landing Permit.
I-71 (11-30-82) -- Inquiry form sent to Employer for Revalidation of
Continuing Intent to Hire Alien.
I-72 (4-1-83) -- Form letter for Returning Deficient
Applications/Petitions.
I-79 (5-15-70) -- Notice of Intention to Fine under Immigration and
Nationality Act.
I-90 (8-1-85) -- Application by Lawful Permanent Resident for New
Alien Registration Receipt Card.
I-92 (6-1-73) -- Aircraft/Vessel Report.
I-94 (10-1-85) -- Arrival-Departure Record.
I-95AB (9-1-64) -- Crewman's Landing Permit.
I-102 (5-5-83) -- Application by Nonimmigrant Alien for Replacement
of Arrival Document.
I-104 (12-3-90) -- Alien Address Report Card.
I-122 (5-4-79) -- Notice to Applicant for Admission Detained for
Hearing before Immigration Judge.
I-126 (10-30-82) -- Report of Status by Treaty Trader of Investor.
I-129B (7-1-83) -- Petition to Classify Nonimmigrant as Temporary
Worker or Trainee.
I-129F (10-7-87) -- Petition for Alien Fiance(e).
I-129L (1-14-87) -- Petition to Employ Intracompany Transferee.
I-129S (1-14-87) -- Intracompany Transferee Certificate of
Eligibility (Blanket Petitions Only).
I-130 (2-28-87) -- Petition for Alien Relative.
I-131 (5-5-83) -- Application for Issuance of Permit to Reenter the
United States.
I-134 (7-1-83) -- Affidavit of Support.
I-138 (7-1-83) -- Subpoena.
I-140 (8-1-85) -- Petition for Prospective Immigrant Employee.
I-141 (4-21-69) -- Medical Certificate.
I-147 (10-30-83) -- Notice of Temporary Exclusion.
I-151 (7-1-72) -- Alien Registration Receipt Card.
I-171 (3-4-82) -- Notice of Approval of Relative Immigrant Visa
Petition.
I-171C (7-1-83) -- Notice of Approval or Extension of Nonimmigrant
Visa Petition of H or L Alien.
I-171F (10-14-76) -- Notice of Approval of Nonimmigrant Visa Petition
for Fiance or Fiancee.
I-171H (12-15-82) -- Notice of Favorable Determination Concerning
Application for Advance Processing of Orphan Petition.
I-175 (4-1-75) -- Application for Nonresident Alien's Canadian Border
Crossing Card.
I-180 (9-1-81) -- Notice of Voidance of Form I-186.
I-181 (3-1-83) -- Memorandum of Creation of Record of Lawful
Permanent Residence.
I-184 (4-1-58) -- Alien Crewman Landing Permit and Identification
Card.
I-185 (1-1-75) -- Nonresident Alien Canadian Border Crossing Card.
I-186 (6-1-72) -- Nonresident Alien Mexican Border Crossing Card.
I-190 (3-1-75) -- Application for Nonresident Alien Mexican Border
Crossing Card.
I-191 (5-5-83) -- Application for Advance Permission to Return to
Unrelinquished Domicile.
I-192 (5-5-83) -- Application for Advance Permission to Enter as
Nonimmigrant.
I-193 (5-5-83) -- Application for Waiver of Passport and/or Visa.
I-194 (2-1-82) -- Notice of Approval of Advance Permission to Enter
as Nonimmigrant (Pursuant to Sec. 212(d)(3) (A) or (B) of the Act.
I-197 (5-1-76) -- U.S. Citizen Identification Card.
I-202 (11-15-79) -- Authorization for Removal.
I-205 (11-29-79) -- Warrant of Deportation.
I-212 (11-20-85) -- Application for Permission to Reapply for
Admission Into the United States After Deportation or Removal.
I-221 (7-1-73) -- Order to Show Cause and Notice of Hearing.
I-221S (8-1-77) -- Order to Show Cause, Notice of Hearing, and
Warrant for Arrest of Alien.
I-243 (9-27-75) -- Application for Removal.
I-246 (3-31-83) -- Application for Stay of Deportation.
I-247 (3-1-83) -- Immigration Detainer -- Notice of Action.
I-256A (12-30-83) -- Application for Suspension of Deportation.
I-259 (10-1-69) -- Notice to Detain, Deport, Remove or Present
Aliens.
I-259A (2-12-55) -- Agreement by Transportation Line to Assume
Responsibility for Removal of Aliens. (One-time basis.)
I-259C (6-13-88) -- Notice to Carrier.
I-260 (6-1-73) -- Notice to Take Testimony of Witness.
I-284 (12-20-66) -- Notice to Transportation Line Regarding
Deportation and Detention Expenses of Detained Alien.
I-286 (4-1-79) -- Notification to Alien of Conditions of Release of
Detention.
I-287 (4-10-72) -- Special Care and Attention for Alien.
I-288 (2-20-62) -- Notice to Transportation Line Regarding
Deportation Expenses of Alien Completely Ready for Deportation.
I-290A (10-31-79) -- Notice of Appeal to the Board of Immigration
Appeals.
I-290B (10-3-83) -- Notice of Appeal to Commissioner.
I-290C (9-30-66) -- Notice of Certification.
I-291 (11-1-83) -- Decision on Application for Status as Permanent
Resident.
I-292 (10-1-83) -- Decision.
I-296 (12-15-82) -- Notice to Alien Ordered Excluded by Immigration
Judge.
I-305 (5-1-76) -- Receipt of Immigration Officer -- United States
Bonds or Notes, or Cash, Accepted as Security on Immigration Bond.
I-310 (4-16-62) -- Bond for Payment of Sums and Fines Imposed under
Immigration and Nationality Act (Term or Single Entry).
I-312 (4-15-76) -- Designation of Attorney in Fact.
I-320B (9-1-75) -- Agreement Between Employer of Alien Labor and the
United States.
I-323 (3-15-77) -- Notice -- Immigration Bond Breached.
I-327 (10-1-82) -- Permit to Reenter the United States.
I-328 (6-5-74) -- Order on Motion to Reopen Proceedings.
I-342 (4-25-79) -- Determination of the Immigration Judge with
Respect to Custody.
I-351 (6-1-74) -- Bond Riders.
I-352 (6-1-84) -- Immigration Bond.
I-356 (9-27-75) -- Request for Cancellation of Public Charge Bond.
I-360 (7-1-84) -- Petition to Classify Pub. L. 97-359 Amerasian as
the Child, Son, or Daughter of a United States Citizen.
I-361 (7-1-84) -- Affidavit of Financial Support and Intent to
Petition for Legal Custody for Pub. L. 97-359 Amerasian.
I-365 (7-1-84) -- Notice of Completion of Preliminary Processing of
Petition for Pub. L. 97-359 Amerasian.
I-391 (3-14-77) -- Notice -- Immigration Bond Cancelled.
I-408 (4-1-83) -- Application to Pay off or Discharge Alien Crewman.
I-410 (5-1-83) -- Receipt for Crew List.
I-418 (7-1-74) -- Passenger List-Crew List.
I-420 (3-15-67) -- Agreement (Land-Border) between Transportation
Line and United States.
I-421 (6-29-58) -- Agreement (Overseas) Between Transportation Line
and United States.
I-425 (3-24-77) -- Agreement for Preinspection at Places Outside
United States.
I-426 (5-1-65) -- Immediate and Continuous Transit Agreement Between
a Transportation Line and United States of America (special direct
transit procedure).
I-444 (4-1-83) -- Mexican Border Visitors Permit.
I-464 A/E (10-20-80) -- Notice of Third/Sixth Preference Petition
Approved Under section 203(a) of the Immigration and Nationality Act, as
amended.
I-485 (2-27-87) -- Application for Permanent Residence.
I-485A (3-25-81) -- Application by Cuban Refugee for Permanent
Residence.
I-488 (10-1-78) -- Affidavit of Witness.
I-506 (7-1-84) -- Application for Change of Nonimmigrant Status.
I-508 (10-1-80) -- Waiver of Rights, Privileges, Exemptions, and
Immunities.
I-508F (6-1-70) -- Waiver of Rights, Privileges, Exemptions, and
Immunities (Under section 247(b) of the Act and under the Convention
between the United States of America and the French Republic with
respect to Taxes on Income and Property).
I-509 (5-31-83) -- Notice of Proposed Change of Status.
I-510 (11-15-82) -- Guarantee of Payment.
I-512 (10-1-82) -- Authorization for Parole of an Alien into the
United States.
I-515 (8-2-83) -- Notice to Student or Exchange Visitor Admitted
Without I-20 or IAP-66.
I-516 (8-1-83) -- Notice of Approval or Continuation of School
Approval.
I-517 (8-1-83) -- Review of School Approval.
I-526 (12-22-79) -- Request for Determination that Prospective
Immigrant is an Investor.
I-538 (1-19-89) -- Application by Nonimmigrant Student for Extension
of Stay, School Transfer, or Permission to Accept or Continue
Employment.
I-539 (5-5-83) -- Application to Extend Time of Temporary Stay.
I-541 (12-1-83) -- Order of Denial of Application for Extension of
Stay or Student Employment or Student Transfer.
I-543 (12-1-83) -- Order of Denial of Application for Change of
Nonimmigrant Status.
I-551 (Jan. 77) -- Alien Registration Receipt Card.
I-564 (10-1-82) -- Form Letter -- Reply to General Inquiries.
I-566 (9-21-79) -- Application for Employment by Spouse or Unmarried
Dependent Son or Daughter of A-1 or A-2 Official or Employee of
Diplomatic or Consular Establishment or G-4 Officer or Employee of
International Organization.
I-567 (9-21-79) -- Approval of Application for Employment by G-4
Dependent.
I-570 (10-1-84) -- Application for Issuance of Refugee Travel
Document.
I-571 (11-1-79) -- Refugee Travel Document.
I-586 (Apr. 77) -- Nonresident Alien Border Crossing Card.
I-589 (3-1-81) -- Request for Asylum in the United States.
I-590 (5-1-80) -- Registration for Classification as Refugee.
I-591 (5-1-84) -- Assurance by a United States Sponsor in Behalf of
an Applicant for Refugee Status.
I-594 (11-1-83) -- Notice to Appear for Adjustment of Status.
I-600 (5-5-83) -- Petition to Classify Orphan as an Immediate
Relative.
I-600A (5-5-83) -- Application for Advance Processing of Orphan
Petition.
I-601 (4-24-85) -- Application for Waiver of Grounds of
Excludability.
I-602 (9-10-80) -- Application by Refugee for Waiver of Grounds of
Excludability.
I-607 (2-1-72) -- Order Re Waiver of Excludability Pursuant to
Section 212 (h), (i) and Permission to Reapply.
I-612 (3-30-83) -- Application for Waiver of the Foreign Residence
Requirement of section 212(e) of the Immigration and Nationality Act, as
amended.
I-613 (3-30-83) -- Request for United States Information Agency
Recommendation section 212(e) Waiver.
I-644 (11-1-82) -- Supplementary Statement for Graduate Medical
Trainees.
I-687 (4-1-87) -- Application for Status as a Temporary Resident
(section 245A INA).
I-688 (5-87) -- Temporary Resident Card.
I-688A (5-87) -- Employment Authorization Card.
I-690 (2-14-87) -- Application for Waiver of Grounds of Excludability
under sections 245A or 210 of the Immigration and Nationality Act.
I-691 (5-5-87) -- Notice of Approval of Status as a Temporary
Resident.
I-692 (5-5-87) -- Notice of Denial for Status as a Temporary
Resident.
I-693 (9-1-87) -- Medical Examination of Aliens Seeking Adjustment of
Status.
I-694 (4-1-87) -- Notice of Appeal of Decision under section 210 or
245A of the Immigration and Nationality Act.
I-695 (2-24-87) -- Application for Replacement of Form I-688A,
Employment Authorization, or Form I-688, Temporary Residence Card (Under
Pub. L. 99-603).
I-697 (2-14-87) -- Change of Address Card for Legalization and
Special Agricultural Workers (SAW).
I-698 (08/10/88) -- Application to Adjust Status from Temporary to
Permanent Resident (Under section 245A of Pub. L. 99-603).
I-699 (10/20/88) -- Certificate of Satisfactory Pursuit.
I-700 (4-1-87) -- Application for Temporary Resident Status as a
Special Agricultural Worker (SAW) (Section 210 of the Immigration and
Nationality Act).
I-705 (3-12-87) -- Affidavit Confirming Seasonal Agricultural
Employment of an Applicant for Temporary Residence Status Under section
210 of the Immigration and Nationality Act.
I-730 (11-1-85) -- Refugee/Asylee Relative Petition.
I-736 (7-23-87) -- Guam Visa Waiver Information.
I-760 (7-22-87) -- Agreement Between Transportation Line, Operating
Between Foreign Territory and Guam, and United States.
I-762 (11-30-87) -- Citation Pursuant to Section 274A of the
Immigration and Nationality Act.
I-765 (8-24-89) -- Application for Employment Authorization.
I-772 (7-7-87) -- Declaration of Intending Citizen.
I-775 (5-26-88) -- Visa Waiver Pilot Program Agreement.
I-777 (6-16-88) -- Application for Issuance or Replacement of
Northern Mariana Card.
I-791 (5-26-88) -- Visa Waiver Pilot Program Information Form.
I-803 (09/27/88) -- Petition for Attorney General Recognition to
Provide Course of Study for Legalization: Phase II.
I-821 (12-27-90) -- Temporary Protected Status Eligibility
Questionnaire.
I-823 (XXX) -- Application -- Dedicated Commuter Lane Program.
ICAO -- International Civil Aviation Organization's General
Declaration.
MA 7-50 (4-70) -- Application for Alien Employment Certification.
(Part I -- Statement of Qualifications of Aliens MA 7-50A). (Part II --
Job Offer for Alien Employment MA 7-50B).
7507 (3-69) -- Bureau of Customs' General Declaration.
(53 FR 33444, Aug. 31, 1988, as amended at 54 FR 102, Jan. 4, 1989;
54 FR 7174, Feb. 17, 1989; 54 FR 29440, July 12, 1989; 54 FR 30370,
July 20, 1989; 54 FR 39337, Sept. 26, 1989; 54 FR 48231, Nov. 22,
1989; 55 FR 12629, Apr. 5, 1990; 56 FR 624, Jan. 7, 1991; 56 FR
21920, May 13, 1991)
08 CFR 299.2 Distribution of Service forms.
The distribution of official Immigration and Naturalization
applications, petitions, and related forms is as follows:
(a) Any officer or employee of the Service may issue official
application or petition and related forms to the person for whose use
the form is intended or to a person identified as a representative of
the intended user in the quantity required for filing the application or
petition and related forms.
(b) A small quantity, twenty-five (25) copies, may be issued to
organizations an practitioners who make written request to the Regional
Commissioner for the geographic location of the requester if such forms
have not been made available for purchase from the Superintendent of
Documents, Washington, DC 20402.
(c) Voluntary agencies (VOLAGS) participating in the Outreach Program
of the Service who make written request to the Regional Commissioner for
the geographic location of the requester may be furnished Service forms
gratis in the volumes requested.
(43 FR 14304, Apr. 5, 1978, as amended at 45 FR 6777, Jan. 30, 1980;
45 FR 21611, Apr. 2, 1980)
08 CFR 299.3 Forms available from Superintendent of Documents.
The immigration and naturalization forms indicated below may be
obtained upon prepayment from the Superintendent of Documents,
Washington, DC 20402.
Prices are set by the Superintendent of Documents, Government
Printing Office, and are subject to change without notice. A small
supply of the above forms shall be set aside by immigration officers for
free distribution and official use.
(49 FR 7104, Feb. 27, 1984, as amended at 52 FR 16195, May 1, 1987;
55 FR 12629, Apr. 5, 1990)
08 CFR 299.4 Reproduction of forms by private parties.
All forms required for compliance with the immigration and
nationality regulations which have been made available for purchase by
the Superintendent of Documents may be printed or otherwise reproduced
by an appropriate duplicating process by private parties at their own
expense. Forms printed or reproduced by private parties shall conform
to the officially printed forms currently in use with respect to size,
wording and language, arrangement, style and size of type, and paper
specifications. Such forms shall be printed or otherwise duplicated in
black ink or dye that will not fade or ''feather'' within 20 years.
(45 FR 6777, Jan. 30, 1980)
08 CFR 299.5 Display of control numbers.
The following listing includes those Immigration and Naturalization
Service public use forms which are cited for use throughout title 8.
The Information collection requirements contained in this title have
been approved by the Office of Management and Budget under the
provisions of the Paperwork Reduction Act. The form numbers, titles,
and OMB control numbers read as follows:
(53 FR 33442, Aug. 31, 1988, as amended at 53 FR 43986, Oct. 31,
1988; 54 FR 7174, Feb. 17, 1989; 54 FR 29440, July 12, 1989; 54 FR
30370, July 20, 1989; 54 FR 48231, Nov. 22, 1989; 55 FR 12629, Apr.
5, 1990; 56 FR 624, Jan. 7, 1991; 56 FR 21920, May 13, 1991; 56 FR
22822, May 17, 1991; 56 FR 50480, Oct. 7, 1991)
08 CFR 299.5 SUBCHAPTER C -- NATIONALITY REGULATIONS
08 CFR 299.5 PART 306 -- SPECIAL CLASSES OF PERSONS WHO MAY BE
NATURALIZED: VIRGIN ISLANDERS
Sec.
306.1 Persons eligible.
306.2 United States citizenship; when acquired.
306.11 Preliminary application form; filing; examination.
306.12 Renunciation forms; disposition.
Authority: Secs. 103, 306, 332, 66 Stat. 173, 237, 252; 8 U.S.C.
1103, 1406, 1443.
Source: 22 FR 9812, Dec. 6, 1957, unless otherwise noted.
08 CFR 306.1 Persons eligible.
Any Danish citizen who resided in the Virgin Islands of the United
States on January 17, 1917, and in those Islands, Puerto Rico, or the
United States on February 25, 1927, and who had preserved his Danish
citizenship by making the declaration prescribed by Article VI of the
treaty entered into between the United States and Denmark on August 4,
1916, and proclaimed January 25, 1917, may renounce his Danish
citizenship before any court of record in the United States irrespective
of his place of residence, in accordance with the provisions of this
part.
08 CFR 306.2 United States citizenship; when acquired.
Immediately upon making the declaration of renunciation as described
in 306.12 the declarant shall be deemed to be a citizen of the United
States. No certificate of naturalization or of citizenship shall be
issued by the clerk of court to any person obtaining, or who has
obtained citizenship solely under section 306(a)(1) of the Immigration
and Nationality Act or under section 1 of the act of February 25, 1927.
08 CFR 306.11 Preliminary application form; filing; examination.
A person of the class described in 306.1 shall submit to the Service
on Form N-350 preliminary application to renounce Danish citizenship, in
accordance with the instructions contained therein. The applicant shall
be notified in writing when and where to appear before a representative
of the Service for examination as to his eligibility to renounce Danish
citizenship and for assistance in filing the renunciation.
08 CFR 306.12 Renunciation forms; disposition.
The renunciation shall be made and executed by the applicant under
oath, in duplicate, on Form N-351 and filed in the office of the clerk
of court. The usual procedural requirements of the Immigration and
Nationality Act shall not apply to proceedings under this part. The fee
shall be fixed by the court or the clerk thereof in accordance with the
law and rules of the court, and no accounting therefor shall be required
to be made to the Service. The clerk shall retain the original of Form
N-351 as the court record and forward the duplicate to the district
director exercising administrative naturalization jurisdiction over the
area in which the court is located.
08 CFR 306.12 PART 310 -- NATURALIZATION AUTHORITY
Sec.
310.1 Administrative naturalization authority.
310.2 Jurisdiction to accept applications for naturalization.
310.3 Administration of the oath of allegiance.
310.4 Judicial naturalization authority and withdrawal of petitions.
310.5 Judicial review.
Authority: 8 U.S.C. 1103, 1421, 1443, 1447, 1448; 8 CFR 2.1.
Source: 56 FR 50480, Oct. 7, 1991, unless otherwise noted.
08 CFR 310.1 Administrative naturalization authority.
(a) Attorney General. Commencing October 1, 1991, section 310 of the
Act confers the sole authority to naturalize persons as citizens of the
United States upon the Attorney General.
(b) Commissioner of the Immigration and Naturalization Service.
Pursuant to 2.1 of this chapter, the Commissioner of the Immigration
and Naturalization Service is authorized to perform such acts as are
necessary and proper to implement the Attorney General's authority under
the provisions of section 310 of the Act.
08 CFR 310.2 Jurisdiction to accept applications for naturalization.
The Service shall accept an application for naturalization from an
applicant who is subject to a continuous residence requirement under
section 316(a) or 319(a) of the Act as much as three months before the
date upon which the applicant would otherwise satisfy such continuous
residence requirement in the State or Service district where residence
is to be established for naturalization purposes. At the time of
examination on the application, the applicant will be required to prove
that he or she satisfies the residence requirements for the residence
reflected in the application.
08 CFR 310.3 Administration of the oath of allegiance.
An applicant for naturalization may elect, at the time of filing of,
or at the examination on, the application, to have the oath of
allegiance and renunciation under section 337(a) of the Act administered
in a public ceremony conducted by the Service or by any court described
in section 310(b) of the Act. The jurisdiction of all such courts
specified to administer the oath of allegiance shall extend only to
those persons who are resident within the respective jurisdictional
limits of such courts, except as otherwise provided in section 316(f)(2)
of the Act.
08 CFR 310.4 Judicial naturalization authority and withdrawal of
petitions.
(a) Jurisdiction. No court shall have jurisdiction under section
310(a) of the Act, to naturalize a person unless a petition for
naturalization with respect to that person was filed with the
naturalization court before October 1, 1991.
(b) Withdrawal of petitions. (1) In the case of any petition for
naturalization which was pending in any court as of November 29, 1990,
the petitioner may elect to withdraw such petition, and have the
application for naturalization considered under the administrative
naturalization process. Such petition must be withdrawn after October
1, 1991, but not later than December 31, 1991.
(2) Except as provided in paragraph (b)(1) of this section, the
petitioner shall not be permitted to withdraw his or her petition for
naturalization, unless the Attorney General consents to the withdrawal.
(c) Judicial proceedings. (1) All pending petitions not withdrawn in
the manner and terms described in paragraph (b) of this section, shall
be decided, on the merits, by the naturalization court, in conformity
with the applicable provisions of the judicial naturalization authority
of the prior statute. The reviewing court shall enter a final order.
(2) In cases where the petitioner fails to prosecute his or her
petition, the court shall decide the petition upon its merits unless the
Attorney General moves that the petition be dismissed for lack of
prosecution.
08 CFR 310.5 Judicial review.
(a) After 120 davs following examination. An applicant for
naturalization may seek judicial review of a pending application for
naturalization in those instances where the Service fails to make a
determination under section 335 of the Act within 120 days after an
examination is conducted under part 335 of this chapter. An applicant
shall make a proper application for relief to the United States District
Court having jurisdiction over the district in which the applicant
resides. The court may either determine the issues brought before it on
their merits, or remand the matter to the Service with appropriate
instructions.
(b) After denial of an application. After an application for
naturalization is denied following a hearing before a Service officer
pursuant to section 336(a) of the Act, the applicant may seek judicial
review of the decision pursuant to section 310 of the Act.
08 CFR 310.5 PART 312 -- EDUCATIONAL REQUIREMENTS FOR NATURALIZATION
Sec.
312.1 Literacy requirements.
312.2 Knowledge of history and government of the United States.
312.3 Standardized citizenship testing.
312.4 Selection of interpreter.
312.5 Failure to meet educational and literacy requirements.
Authority: 8 U.S.C. 1103, 1423, 1443, 1447, 1448.
Source: 56 FR 50481, Oct. 7, 1991, unless otherwise noted.
08 CFR 312.1 Literacy requirements.
(a) General. Except as otherwise provided in paragraph (b) of this
section, no person shall be naturalized as a citizen of the United
States upon his or her own application unless that person can
demonstrate an understanding of the English language, including an
ability to read, write, and speak words in ordinary usage in the English
language.
(b) Exceptions. The following persons need not demonstrate an
ability to read, write and speak words in ordinary usage in the English
language:
(1) A person who, on the date of filing of his or her application for
naturalization, is over 50 years of age and has been living in the
United States for periods totalling at least 20 years subsequent to a
lawful admission for permanent residence;
(2) A person who, on the date of filing his or her application for
naturalization, is over 55 years of age and has been living in the
United States for periods totalling at least 15 years subsequent to a
lawful admission for permanent residence; or
(3) A person who is physically unable to comply with the literacy
requirements due to a permanent disability such as blindness or
deafness. A person who has a general incapacity to learn either because
of developmental disability or advanced age may not ordinarily be
considered to be physically unable to comply with the literacy
requirements.
(c) Literacy examination. (1) Verbal Skills. The ability of an
applicant to speak English shall be determined by a designated examiner
from the applicant's answers to questions normally asked in the course
of the examination.
(2) Reading and writing skills. Except as noted in 312.3, an
applicant's ability to read and write English shall be tested using
excerpts from one or more parts of the Service authorized Federal
Textbooks on Citizenship written at the elementary literacy level,
Service publications M-289 and M-291. These textbooks may be purchased
from the Superintendent of Documents, Government Printing Office,
Washington, DC 20402, and are available at certain public educational
institutions. An applicant's writing sample shall be retained in the
applicant's Service file.
08 CFR 312.2 Knowledge of history and government of the United States.
(a) General. No person shall be naturalized as a citizen of the
United States upon his or her own application unless that person can
demonstrate a knowledge and understanding of the fundamentals of the
history, and of the principles and form of government, of the United
States. A person who is exempt from the literacy requirement under
312.1(b) must still satisfy this requirement.
(b) History and government examination -- (1) Procedure. The
examination of an applicant's knowledge of the history and form of
government of the United States shall be given by a designated examiner
in the English language unless:
(i) The applicant is exempt from the English literacy requirement
under 312.1(b), in which case the examination may be conducted in the
applicant's native language with the assistance of an interpreter
selected in accordance with 312.4 of this part, but only if the
applicant's command of spoken English is insufficient to conduct a valid
examination in English;
(ii) The applicant is required to satisfy and has satisfied the
English literacy requirement under 3l2.1(d), but the officer conducting
the examination determines that an inaccurate or incomplete record of
the examination would result if the examination on technical or complex
issues were conducted in English. In such a case the examination may be
conducted in the applicant's native language, with the assistance of an
interpreter selected in accordance with 312.4;
(iii) The applicant has met the requirements of 312.3.
(2) Scope and substance. The scope of the examination shall be
limited to subject matters covered in the Service authorized Federal
Textbooks on Citizenship except for the identity of current
officeholders. In choosing the subject matters, in phrasing questions
and in evaluating responses, due consideration shall be given to the
applicant's education, background, age, length of residence in the
United States, opportunities available and efforts made to acquire the
requisite knowledge, and any other elements or factors relevant to an
appraisal of the adequacy of the applicant's knowledge and
understanding.
08 CFR 312.3 Standardized citizenship testing.
(a) An applicant for naturalization may satisfy the reading and
writing requirements of 312.1 and the knowledge requirements of 312.2
by passing a standardized citizenship test given by an entity authorized
by the Service to conduct such a test. An applicant who passes a
standardized citizenship test within one (1) year of the date on which
he or she submits an application for naturalization shall not be
reexamined at the Service naturalization interview on his or her ability
to read and write English or on his or her knowledge of the history and
form of government of the United States, unless the Service believes
that the applicant's test results were obtained through fraud or
misrepresentation. The applicant must still demonstrate his or her
ability to speak English in accordance with 312.1(c)(1). An applicant
who has failed a standardized citizenship test may continue to pursue
the application with the Service, and will not be prejudiced by that
failure during an examination conducted by the Service under 312.1 and
312.2.
(b) An applicant who has obtained lawful permanent resident alien
status pursuant to section 245A of the Act, and who, at that time
demonstrated English language proficiency in reading and writing, and
knowledge of the government and history of the United States through
either an examination administered by the Service or a standardized
section 312 test authorized by the Service for use with Legalization
applicants as provided in section 245A(b)(1)(D)(iii) of the Act, will
not be reexamined on those skills at the time of the naturalization
interview. However, such applicant must still establish eligibility for
naturalization through testimony in the English language.
08 CFR 312.4 Selection of interpreter.
An interpreter to be used under 312.2 may be selected either by the
applicant or by the Service. However, the Service reserves the right to
disqualify an interpreter provided by the applicant in order to insure
the integrity of the examination. Where the Service disqualifies an
interpreter, the Service must provide another interpreter for the
applicant.
08 CFR 312.5 Failure to meet educational and literacy requirements.
(a) An applicant for naturalization who fails the English literacy or
history and government test at the first examination will be afforded a
second opportunity to pass the test(s) within 90 days after the first
examination.
(b) If an applicant who receives notice of the second scheduled
examination date fails to appear for that second examination without
prior notification to the Service, the applicant will be deemed to have
failed this second examination. Before an applicant may request a
postponement of the second examination to a date that is more than 90
days after the initial examination, the applicant must agree in writing
to waive the requirement under section 336 of the Act that the Service
must render a determination on the application within 120 days from the
initial interview, and instead to permit the Service to render a
decision within 120 days from the second interview.
08 CFR 312.5 PART 313 -- MEMBERSHIP IN THE COMMUNIST PARTY OR ANY OTHER
TOTALITARIAN ORGANIZATIONS; SUBVERSIVES
Sec.
313.1 Definitions.
313.2 Prohibitions.
313.3 Statutory exemptions.
313.4 Procedure.
Authority: 8 U.S.C. 1103, 1424, 1443.
Source: 56 FR 50482, Oct. 7, 1991, unless otherwise noted.
08 CFR 313.1 Definitions.
For purposes of this part:
Advocate includes, but is not limited to, advising, recommending,
furthering by overt act, or admitting a belief in a doctrine, and may
include the giving, lending, or promising of support or of money or any
thing of value to be used for advocating such doctrine.
Advocating Communism means advocating the establishment of a
totalitarian communist dictatorship, including the economic,
international, and governmental doctrines of world communism, in all
countries of the world through the medium of an internationally
coordinated communist revolutionary movement.
Affiliation with an organization includes, but is not limited to, the
giving, lending, or promising of support or of money or any thing of
value, to that organization to be used for any purpose.
Circulate includes circulating, distributing, or displaying a work.
Communist Party includes:
(1) The Communist Party of the United States;
(2) The Communist Political Association;
(3) The Communist Party of any state of the United States, of any
foreign state, or of any political or geographical subdivision of any
foreign state;
(4) Any section, subsidiary, branch, affiliate, or subdivision of any
such association or party;
(5) The direct predecessors or successors of any such association or
party, regardless of what name such group or organization may have used,
may now bear, or may hereafter adopt; and
(6) Any communist-action or communist-front organization that is
registered or required to be registered under section 786 of title 50 of
the United States Code, provided that the applicant knew or had reason
to believe, while he or she was a member, that such organization was a
communist-front organization.
Organization includes, but is not limited to, an organization,
corporation, company, partnership, association, trust, foundation, or
fund, and any group of persons, whether incorporated or not, permanently
or temporarily associated together for joint action on any subject or
subjects.
Publication or publishing of a work includes writing or printing a
work; permitting, authorizing, or consenting to the writing or printing
of a work; and paying for the writing or printing of a work.
Subversive is any individual who advocates or teaches:
(1) Opposition to all organized government;
(2) The overthrow, by force or violence or other unconstitutional
means, of the Government of the United States or of all forms of law;
(3) The duty, necessity, or propriety of the unlawful assaulting or
killing, either individually or by position, of any officer or officers
of the United States or of any other organized government, because of
his, her, or their official character;
(4) The unlawful damage, injury, or destruction of property;
(5) Sabotage; or
(6) Terrorist activities or the engaging in terrorist activities, as
defined in section 212(a)(3)(B) (ii) and (iii) of the Act.
Totalitarian dictatorship and totalitarianism refer to systems of
government not representative in fact and characterized by:
(1) The existence of a single political party, organized on a
dictatorial basis, with so close an identity between the policies of
such party and the government policies of the country in which the party
exists that the government and the party constitute an indistinguishable
unit; and
(2) The forcible suppression of all opposition to such a party.
Totalitarian party includes:
(1) Any party in the United States which advocates totalitarianism;
(2) Any party in any State of the United States, in any foreign
state, or in any political or geographical subdivision of any foreign
state which advocates or practices totalitarianism;
(3) Any section, subsidiary, branch, affiliate, or subdivision of any
such association or party; and
(4) The direct predecessors or successors of any such association or
party, regardless of what name such group or organization may have used,
may now bear, or may hereafter adopt.
08 CFR 313.2 Prohibitions.
Except as provided in 313.3, no applicant for naturalization shall
be naturalized as a citizen of the United States if, within ten years
immediately preceding the filing of an application for naturalization or
after such filing but before taking the oath of citizenship, such
applicant:
(a) Is or has been a member of or affiliated with the Communist Party
or any other totalitarian party; or
(b) Is or has advocated communism or the establishment in the United
States of a totalitarian dictatorship; or
(c) Is or has been a member of or affiliated with an organization
that advocates communism or the establishment in the United States of a
totalitarian dictatorship, either through its own utterance or through
any written or printed matter published by such organization; or
(d) Is or has been a subversive, or a member of, or affiliated with,
a subversive organization; or
(e) Knowingly is publishing or has published any subversive written
or printed matter, or written or printed matter advocating communism;
or
(f) Knowingly circulates or has circulated, or knowingly possesses or
has possessed for the purpose of circulating, subversive written or
printed matter, or written or printed matter advocating communism; or
(g) Is or has been a member of, or affiliated with, any organization
that publishes or circulates, or that possesses for the purpose of
publishing or circulating, any subversive written or printed matter, or
any written or printed matter advocating communism.
08 CFR 313.3 Statutory exemptions.
(a) General. An applicant shall bear the burden of establishing that
classification in one of the categories listed under 313.2 is not a bar
to naturalization.
(b) Exemptions. Despite membership in or affiliation with an
organization covered by 313.2, an applicant may be naturalized if the
applicant establishes that such membership or affiliation is or was:
(1) Involuntary:
(2) Without awareness of the nature or the aims of the organization,
and was discontinued if the applicant became aware of the nature or aims
of the organization;
(3) Terminated prior to the attainment of age sixteen by the
applicant, or more than ten years prior to the filing of the application
for naturalization;
(4) By operation of law; or
(5) Necessary for purposes of obtaining employment, food rations, or
other essentials of living.
(c) Awareness and participation -- (1) Exemption applicable. The
exemption under paragraph (b)(2) of this section may be found to apply
only to an applicant whose participation in the activities of an
organization covered under 313.2 was minimal in nature, and who
establishes that he or she was unaware of the nature of the organization
while a member of the organization.
(2) Exemptions inapplicable. The exemptions under paragraphs (b)(4)
and (b)(5) of this section will not apply to any applicant who served as
a functionary of an organization covered under 313.2, or who was aware
of and believed in the organization's doctrines.
(d) Essentials of living -- (1) Exemption applicable. The exemption
under paragraph (b)(5) of this section may be found to apply only to an
applicant who can demonstrate:
(i) That membership in the covered organization was necessary to
obtain the essentials of living like food, shelter, clothing,
employment, and an education, which were routinely available to the rest
of the population -- for purposes of this exemption, higher education
will qualify as an essential of living only if the applicant can
establish the existence of special circumstances which convert the need
for higher education into a need as basic as the need for food or
employment: and,
(ii) That he or she participated only to the minimal extent necessary
to receive the essential of living.
(2) Exemption inapplicable. The exemption under paragraph (b)(5) of
this section will not be applicable to an applicant who became a member
of an organization covered under 313.2 to receive certain benefits:
(i) Without compulsion from the governing body of the relevant
country; or
(ii) Which did not qualify as essentials of living.
08 CFR 313.4 Procedure.
In all cases in which the applicant claims membership or affiliation
in any of the organizations covered by 313.2, the applicant shall
attach to the application a detailed written statement describing such
membership or affiliation, including the periods of membership or
affiliation, whether the applicant held any office in the organization,
and whether membership or affiliation was voluntary or involuntary. If
the applicant alleges that membership or affiliation was involuntary, or
that one of the other exemptions in 313.3 applies, the applicant's
statement shall set forth the basis of that allegation.
08 CFR 313.4 PART 315 -- PERSONS INELIGIBLE TO CITIZENSHIP: EXEMPTION
FROM MILITARY SERVICE
Sec.
315.1 Definitions.
315.2 Ineligibility and exceptions.
315.3 Evidence.
315.4 Exemption treaties.
Authority: 8 U.S.C. 1103, 1443.
Source: 56 FR 50483, Oct. 7, 1991, unless otherwise noted.
08 CFR 315.1 Definitions.
As used in this part:
Exemption from military service means either:
(1) A permanent exemption from induction into the Armed Forces or the
National Security Training Corps of the United States for military
training or military service; or
(2) The release or discharge from military training or military
service in the Armed Forces or in the National Security Training Corps
of the United States.
Induction means compulsory entrance into military service of the
United States whether by conscription or, after being notified of a
pending conscription, by enlistment.
Treaty national means an alien who is a national of a country with
which the United States has a treaty relating to the reciprocal
exemption of aliens from military training or military service.
08 CFR 315.2 Ineligibility and exceptions.
(a) Ineligibility. Except as provided in paragraph (b) of this
section, any alien who has requested, applied for, and obtained an
exemption from military service on the ground that he or she is an alien
shall be ineligible for approval of his or her application for
naturalization as a citizen of the United States.
(b) Exceptions. The prohibition in paragraph (a) of this section
does not apply to an alien who establishes by clear and convincing
evidence that:
(1) At the time that he or she requested an exemption from military
service, the applicant had no liability for such service even in the
absence of an exemption;
(2) The applicant did not request or apply for the exemption from
military service, but such exemption was automatically granted by the
United States government;
(3) The exemption from military service was based upon a ground other
than the applicant's alienage;
(4) In claiming an exemption from military service, the applicant did
not knowingly and intentionally waive his or her eligibility for
naturalization because he or she was misled by advice from a competent
United States government authority, or from a competent authority of the
government of his or her country of nationality, of the consequences of
applying for an exemption from military service and was, therefore,
unable to make an intelligent choice between exemption and citizenship;
(5) The applicant applied for and received an exemption from military
service on the basis of alienage, but was subsequently inducted into the
Armed Forces, or the National Security Training Corps, of the United
States; however, an applicant who voluntarily enlists in and serves in
the Armed Forces of the United States, after applying for and receiving
an exemption from military service on the basis of alienage, does not
satisfy this exception to paragraph (a) of this section;
(6) Prior to requesting the exemption from military service:
(i) The applicant was a treaty national who had served in the armed
forces of the country of which he or she was a national; however, a
treaty national who did not serve in the armed forces of the country of
nationality prior to requesting the exemption from military service does
not satisfy this exception to paragraph (a) of this section;
(ii) The applicant served a minimum of eighteen months in the armed
forces of a nation that was a member of the North Atlantic Treaty
Organization at the time of the applicant's service; or
(iii) The applicant served a minimum of twelve months in the armed
forces of a nation that was a member of the North Atlantic Treaty
Organization at the time of the applicant's service, provided that the
applicant applied for registration with the Selective Service
Administration after September 28, 1971; or
(7) The applicant is applying for naturalization pursuant to section
329 of the Act.
08 CFR 315.3 Evidence.
(a) The records of the Selective Service System and the military
department under which the alien served shall be conclusive evidence of
whether the alien was relieved or discharged from liability for military
service because he or she was an alien.
(b) The regulations of the Selective Service Administration and its
predecessors will be controlling with respect to the requirement to
register for, and liability for, service in the Armed Forces of the
United States.
08 CFR 315.4 Exemption treaties.
(a) The following countries currently have effective treaties
providing reciprocal exemption of aliens from military service:
Argentina (Art. X, 10 Stat. 1005, 1009, effective 1853)
Austria (Art. VI, 47 Stat. 1876, 1880, effective 1928)
China (Art. XIV, 63 Stat. 1299, 1311, effective 1946)
Costa Rica (Art. IX, 10 Stat. 916, 921, effective 1851)
Estonia (Art. VI, 44 Stat. 2379, 2381, effective 1925)
Honduras (Art. VI, 45 Stat. 2618, 2622, effective 1927)
Ireland (Art. III, 1 US 785, 789, effective 1950)
Italy (Art. XIII, 63 Stat. 2255, 2272, effective 1948)
Latvia (Art. VI, 45 Stat. 2641, 2643, effective 1928)
Liberia (Art. VI, 54 Stat. 1739, 1742, effective 1938)
Norway (Art. VI, 47 Stat. 2135, 2139, effective 1928)
Paraguay (Art. XI, 12 Stat. 1091, 1096, effective 1859)
Spain (Art. V, 33 Stat. 2105, 2108, effective 1902)
Switzerland (Art. II, 11 Stat. 587, 589, effective 1850)
Yugoslavia (Serbia) (Art. IV, 22 Stat. 963, 964, effective 1881)
(b) The following countries previously had treaties providing for
reciprocal exemption of aliens from military service:
El Salvador (Art. VI, 46 Stat. 2817, 2821, effective 1926 to February
8, 1958)
Germany (Art. VI, 44 Stat. 2132, 2136, effective 1923 to June 2,
1954)
Hungary (Art. VI, 44 Stat, 2441, 2445, effective 1925 to July 5,
1952)
Thailand (Siam) (Art. 1, 53 Stat. 1731, 1732, effective 1937 to June
8, 1968)
08 CFR 315.4 PART 316 -- GENERAL REQUIREMENTS FOR NATURALIZATION
Sec.
316.1 Definitions.
316.2 Eligibility.
316.3 Jurisdiction.
316.4 Application; documents.
316.5 Residence in the United States.
316.6 -- 316.9 (Reserved)
316.10 Good moral character.
316.11 Attachment to the Constitution; favorable disposition towards
the good order and happiness.
316.12 Applicant's legal incompetency during statutory period.
316.13 (Reserved)
316.14 Adjudication -- examination, grant, denial.
316.15 -- 316.19 (Reserved)
316.20 American institutions of research, public international
organizations, and designations under the International Immunities Act.
Authority: 8 U.S.C. 1103, 1181, 1182, 1443, 1447, 8 CFR 2.1.
Source: 56 FR 50484, Oct. 7, 1991, unless otherwise noted.
08 CFR 316.1 Definitions.
As used in this part:
Application means the form specified in 499.1 of this chapter on
which an applicant requests consideration for naturalization.
Service district means the geographical area over which an office of
the Immigration and Naturalization Service has jurisdiction, as defined
in 100.4 of this chapter.
08 CFR 316.2 Eligibility.
(a) General. Except as otherwise provided in this chapter, to be
eligible for naturalization, an alien must establish that he or she:
(1) Is at least 18 years of age;
(2) Has been lawfully admitted as a permanent resident of the United
States;
(3) Has resided continuously within the United States, as defined
under 316.5, for a period of at least five years after having been
lawfully admitted;
(4) Has been physically present in the United States for at least 30
months of the five years preceding the date of filing the application;
(5) Immediately preceding the filing of an application, or
immediately preceding the examination on the application if the
application was filed early pursuant to section 334(a) of the Act and
the three month period falls within the required period of residence
under section 316(a) or 319(a) of the Act, has resided, as defined under
316.5, for at least three months in a State or Service district having
jurisdiction over the applicant's actual place of residence, and in
which the alien seeks to file the application;
(6) Has resided continuously within the United States from the date
of application for naturalization up to the time of admission to
citizenship;
(7) For all relevant time periods under this paragraph, has been and
continues to be a person of good moral character, attached to the
principles of the Constitution of the United States, and favorably
disposed toward the good order and happiness of the United States; and
(8) Is not a person described in Section 314 of the Act relating to
deserters of the United States Armed Forces or those persons who
departed from the United States to evade military service in the United
States Armed Forces.
(b) Burden of proof. The applicant shall bear the burden of
establishing that he or she meets all of the requirements for
naturalization, including that the applicant was lawfully admitted as a
permanent resident to the United States, in accordance with the
immigration laws in effect at the time of the applicant's initial entry
or any subsequent reentry.
08 CFR 316.3 Jurisdiction.
Except as provided in 316.5, the applicant shall file an application
for naturalization with the Service office having jurisdiction, as
described in 100.4 of this chapter, over the applicant's residence at
the time of filing the application. The applicant may be required to
submit evidence of residence for at least three months immediately
preceding the filing of the application in the State or Service district
in which the applicant files the application. For purposes of this
section, the applicant's residence in a State where there are two or
more districts will be sufficient to comply with the jurisdictional
requirement of residence in any one of those districts.
08 CFR 316.4 Application; documents.
(a) The applicant shall apply for naturalization by filing:
(1) Form N-400 (Application for Naturalization);
(2) Evidence of lawful permanent residence in the United States in
the form of photocopies (front and back) of Forms I-551, or I-151 (Alien
Registration Receipt Card), or any other entry document;
(3) Form FD-258 (Fingerprint Card); and
(4) Three (3) photographs as described in 333.1 of this chapter.
(b) At the time of the examination on the application for
naturalization, the applicant may be required to establish the status of
lawful permanent resident by submitting the original evidence, issued by
the Service, of lawful permanent residence in the United States. The
applicant may be also required to submit any passports, or any other
documents that have been used to enter the United States at any time
after the original admission for permanent residence.
08 CFR 316.5 Residence in the United States.
(a) General. Unless otherwise specified, for purposes of this
chapter, including 316.2 (a)(3), (a)(5), and (a)(6), an alien's
residence is the same as that alien's domicile, or principal actual
dwelling place, without regard to the alien's intent, and the duration
of an alien's residence in a particular location is measured from the
moment the alien first establishes residence in that location.
(b) Residences in specific cases -- (1) Military personnel. For
applicants who are serving in the Armed Forces of the United States but
who do not qualify for naturalization under part 328 of this chapter,
the applicant's residence shall be:
(i) The State or Service District where the applicant is physically
present for at least three months, immediately preceding the filing of
an application for naturalization, or immediately preceding the
examination on the application if the application was filed early
pursuant to section 334(a) of the Act and the three month period falls
within the required period of residence under section 316(a) or 319(a)
of the Act;
(ii) The location of the residence of the applicant's spouse and/or
minor child(ren); or
(iii) The applicant's home of record as declared to the Armed Forces
at the time of enlistment and as currently reflected in the applicant's
military personnel file.
(2) Students. An applicant who is attending an educational
institution in a State or Service District other than the applicant's
home residence may apply for naturalization:
(i) Where that institution is located; or
(ii) In the State of the applicant's home residence if the applicant
can establish that he or she is financially dependent upon his or her
parents at the time that the application is filed and during the
naturalization process.
(3) Commuter aliens. An applicant who is a commuter alien, as
described in 211.5 of this chapter, must establish a principal dwelling
place in the United States with the intention of permanently residing
there, and must thereafter acquire the requisite period of residence
before eligibility for naturalization may be established. Accordingly,
a commuter resident alien may not apply for naturalization until he or
she has actually taken up permanent residence in the United States and
until such residence has continued for the required statutory period.
Such an applicant bears the burden of providing evidence to that effect.
(4) Residence in multiple states. If an applicant claims residence
in more than one State, the residence for purposes of this part shall be
determined by reference to the location from which the annual federal
income tax returns have been and are being filed.
(5) Residence during absences of less than one year. (i) An
applicant's residence during any absence of less than one year shall
continue to be the State or Service district where the applicant last
resided at the time of the applicant's departure abroad.
(ii) Return to the United States. If, upon returning to the United
States, an applicant returns to the State or Service district where the
applicant last resided, the applicant will have complied with the
continuous residence requirement specified in 316.2(a)(5) when at least
three months have elapsed, including any part of the applicant's
absence, from the date on which the applicant first established that
residence. If the applicant establishes residence in a State or Service
district other than the one in which he or she last resided, the
applicant must complete three months at that new residence to be
eligible for naturalization.
(c) Loss of Residence Status -- (1) Absence from the United States.
(i) For continuous periods of between six months and one year. Absences
from the United States for continuous periods of between six months and
one year during the periods for which continuous residence is required
under 316.2 (a)(3) and (a)(6) shall break the continuity of such
residence, and shall lead to the conclusion that the applicant has
abandoned lawful permanent residence in the United States for
naturalization purposes, unless the applicant can establish otherwise to
the satisfaction of the Service. This conclusion remains valid even if
the applicant proves that he or she did not apply for or otherwise
request a nonresident classification for tax purposes, that he or she
did not document an abandonment of lawful permanent resident status, and
that he or she is still considered a lawful permanent resident under
immigration laws. The types of documentation which may establish that
the applicant did not abandon his or her lawful permanent residence in
the United States during an extended absence include, but are not
limited to, evidence that during the absence:
(A) The applicant did not terminate his or her employment in the
United States;
(B) The applicant's immediate family remained in the United States;
(C) The applicant retained full access to his or her United States
abode; or
(D) The applicant did not obtain employment while abroad.
(ii) For period in excess of one year. Unless an applicant applies
for benefits in accordance with paragraph (d) of this section, absences
from the United States for a continuous period of one year or more
during the period for which continuous residence is required under
316.2 (a)(3) and (a)(5) shall break the continuity of the applicant's
residence. An applicant described in this paragraph who must satisfy a
five-year statutory residence period may file an application for
naturalization four years and one day following the date of the
applicant's return to the United States to resume permanent residence.
An applicant described in this paragraph who must satisfy a three-year
statutory residence period may file an application for naturalization
two years and one day following the date of the applicant's return to
the United States to resume permanent residence.
(2) Claim of nonresident alien status for income tax purposes after
lawful admission as a permanent resident. An applicant who is a
lawfully admitted permanent resident of the United States, but who
voluntarily claims nonresident alien status to qualify for special
exemptions from income tax liability, raises a rebuttable presumption
that the applicant has relinquished the privileges of permanent resident
status in the United States.
(3) Deportation and return. Any departure from the United States
while under an order of deportation terminates the applicant's status as
a lawful permanent resident and, therefore, breaks the continuity of
residence for purposes of this part.
(4) Readmission after a deferred inspection or exclusion proceeding.
An applicant who has been readmitted as a lawful permanent resident
after a deferred inspection or by the immigration judge during exclusion
proceedings shall satisfy the residence and physical presence
requirements under 316.2 (a)(3), (a)(4), (a)(5), and (a)(6) in the same
manner as any other applicant for naturalization.
(d) Application for benefits with respect to absences; appeal -- (1)
Preservation of residence under section 316(b) of the Act. (i) An
application for the residence benefits under section 316(b) of the Act
to cover an absence from the United States for a continuous period of
one year or more shall be submitted to the Service on Form N-470 with
the required fee, in accordance with the form's instructions. The
application may be filed either before or after the applicant's
employment commences, but must be filed before the applicant has been
absent from the United States for a continuous period of one year.
(ii) An approval of Form N-470 under section 316(b) of the Act shall
cover the spouse and dependent unmarried sons and daughters of the
applicant who are residing abroad as members of the applicant's
household during the period covered by the application. The notice of
approval, Form N-472, shall identify the family members so covered.
(iii) An applicant whose Form N-470 application under section 316(b)
of the Act has been approved, but who voluntarily claims nonresident
alien status to qualify for special exemptions from income tax
liability, raises a rebuttable presumption that the applicant has
relinquished a claim of having retained lawful permanent resident status
while abroad. The applicant's family members who were covered under
section 316(b) of the Act and who were listed on the applicant's Form
N-472 will also be subject to the rebuttable presumption that they have
relinquished their claims to lawful permanent resident status.
(2) Preservation of residence under section 317 of the Act. An
application for the residence and physical presence benefits of section
317 of the Act to cover any absences from the United States, whether
before or after December 24, 1952, shall be submitted to the Service on
Form N-470 with the required fee, in accordance with the form's
instructions. The application may be filed either before or after the
applicant's absence from the United States or the performance of the
functions or services described in section 317 of the Act.
(3) Approval, denial, and appeal. The applicant under paragraphs
(d)(1) or (d)(2) of this section shall be notified of the Service's
disposition of the application on Form N-472. If the application is
denied, the Service shall specify the reasons for the denial, and shall
inform the applicant of the right to appeal in accordance with the
provisions of part 103 of this chapter.
(56 FR 50484, Oct. 7, 1991, as amended at 56 FR 50487, Oct. 7, 1991)
316.6 -- 316.9 (Reserved)
08 CFR 316.10 Good moral character.
(a) Requirement of good moral character during the statutory period.
(1) An applicant for naturalization bears the burden of demonstrating
that, during the statutorily prescribed period, he or she has been and
continues to be a person of good moral character. This includes the
period between the examination and the administration of the oath of
allegiance.
(2) In accordance with section 101(f) of the Act, the Service shall
evaluate claims of good moral character on a case-by-case basis taking
into account the elements enumerated in this section and the standards
of the average citizen in the community of residence. The Service is
not limited to reviewing the applicant's conduct during the five years
immediately preceding the filing of the application, but may take into
consideration, as a basis for its determination, the applicant's conduct
and acts at any time prior to that period, if the conduct of the
applicant during the statutory period does not reflect that there has
been reform of character from an earlier period or if the earlier
conduct and acts appear relevant to a determination of the applicant's
present moral character.
(b) Finding of a lack of good moral character. (1) An applicant
shall be found to lack good moral character, if the applicant has been:
(i) Convicted of murder; or
(ii) Convicted of an aggravated felony as defined in section
101(a)(43) of the Act.
(2) An applicant shall be found to lack good moral character if
during the statutory period the applicant:
(i) Committed one or more crimes involving moral turpitude, other
than a purely political offense, for which the applicant was convicted,
except as specified in section 212(a)(2)(ii)(II) of the Act;
(ii) Committed two or more offenses for which the applicant was
convicted and the aggregate sentence actually imposed was five years or
more, provided that, if the offense was committed outside the United
States, it was not a purely political offense;
(iii) Violated any law of the United States, any State, or any
foreign country relating to a controlled substance, provided that the
violation was not a single offense for simple possession of 30 grams or
less of marijuana;
(iv) Admits committing any criminal act covered by paragraphs (b)(2)
(i), (ii), or (iii) of this section for which there was never a formal
charge, indictment, arrest, or conviction, whether committed in the
United States or any other country;
(v) Is or was confined to a penal institution for an aggregate of 180
days pursuant to a conviction or convictions (provided that such
confinement was not outside the United States due to a conviction
outside the United States for a purely political offense);
(vi) Has given false testimony to obtain any benefit from the Act, if
the testimony was made under oath or affirmation and with an intent to
obtain an immigration benefit; this prohibition applies regardless of
whether the information provided in the false testimony was material, in
the sense that if given truthfully it would have rendered ineligible for
benefits either the applicant or the person on whose behalf the
applicant sought the benefit;
(vii) Is or was involved in prostitution or commercialized vice as
described in section 212(a)(2)(D) of the Act;
(viii) Is or was involved in the smuggling of a person or persons
into the United States as described in section 212(a)(6)(E) of the Act;
(ix) Has practiced or is practicing polygamy;
(x) Committed two or more gambling offenses for which the applicant
was convicted;
(xi) Earns his or her income principally from illegal gambling
activities; or
(xii) Is or was a habitual drunkard.
(3) Unless the applicant establishes extenuating circumstances, the
applicant shall be found to lack good moral character if, during the
statutory period, the applicant:
(i) Willfully failed or refused to support dependents;
(ii) Had an extramarital affair which tended to destroy an existing
marriage; or
(iii) Committed unlawful acts that adversely reflect upon the
applicant's moral character, or was convicted or imprisoned for such
acts, although the acts do not fall within the purview of 316.10(b) (1)
or (2).
(c) Proof of good moral character in certain cases -- (1) Effect of
probation or parole. An applicant who has been on probation, parole, or
suspended sentence during all or part of the statutory period is not
thereby precluded from establishing good moral character, but such
probation, parole, or suspended sentence may be considered by the
Service in determining good moral character. An application will not be
approved until after the probation, parole, or suspended sentence has
been completed.
(2) Full and unconditional executive pardon -- (i) Before the
statutory period. An applicant who has received a full and
unconditional executive pardon prior to the beginning of the statutory
period is not precluded by 316.10(b)(1) from establishing good moral
character provided the applicant demonstrates that reformation and
rehabilitation occurred prior to the beginning of the statutory period.
(ii) During the statutory period. An applicant who receives a full
and unconditional executive pardon during the statutory period is not
precluded by 316.10(b)(2) (i) and (ii) from establishing good moral
character, provided the applicant can demonstrate that extenuating
and/or exonerating circumstances exist that would establish his or her
good moral character.
(3) Record expungement -- (i) Drug offenses. Where an applicant has
had his or her record expunged relating to one of the narcotics offenses
under section 212(a)(2)(A)(i)(II) and section 241(a)(2)(B) of the Act,
that applicant shall be considered as having been ''convicted'' within
the meaning of 316.10(b)(2)(ii), or, if confined, as having been
confined as a result of ''conviction'' for purposes of
316.10(b)(2)(iv).
(ii) Moral turpitude. An applicant who has committed or admits the
commission of two or more crimes involving moral turpitude during the
statutory period is precluded from establishing good moral character,
even though the conviction record of one such offense has been expunged.
08 CFR 316.11 Attachment to the Constitution; favorable disposition
towards the good order and happiness.
(a) General. An applicant for naturalization must establish that
during the statutorily prescribed period, he or she has been and
continues to be attached to the principles of the Constitution of the
United States and favorably disposed toward the good order and happiness
of the United States. Attachment implies a depth of conviction which
would lead to active support of the Constitution. Attachment and
favorable disposition relate to mental attitude, and contemplate the
exclusion from citizenship of applicants who are hostile to the basic
form of government of the United States, or who disbelieve in the
principles of the Constitution.
(b) Advocacy of peaceful change. At a minimum, the applicant shall
satisfy the general standard of paragraph (a) of this section by
demonstrating an acceptance of the democratic, representational process
established by the Constitution, a willingness to obey the laws which
may result from that process, and an understanding of the means for
change which are prescribed by the Constitution. The right to work for
political change shall be consistent with the standards in paragraph (a)
of this section only if the changes advocated would not abrogate the
current Government and establish an entirely different form of
government.
(c) Membership in the Communist Party or any other totalitarian
organization. An applicant who is or has been a member of or affiliated
with the Communist Party or any other totalitarian organization shall be
ineligible for naturalization, unless the applicant's membership meets
the exceptions in sections 313 and 335 of the Act and 313.4 of this
chapter.
08 CFR 316.12 Applicant's legal incompetency during statutory period.
(a) General. An applicant who is legally competent at the time of
the examination on the naturalization application and of the
administration of the oath of allegiance may be admitted to citizenship,
provided that the applicant fully understands the purpose and
responsibilities of the naturalization procedures.
(b) Legal incompetence. Naturalization is not precluded if, during
part of the statutory period, the applicant was legally incompetent or
confined to a mental institution.
(1) There is a presumption that the applicant's good moral character,
attachment, and favorable disposition which existed prior to the period
of legal incompetency continued through that period. The Service may,
however, consider an applicant's actions during a period of legal
incompetence, as evidence tending to rebut this presumption.
(2) If the applicant has been declared legally incompetent, the
applicant has the burden of establishing that legal competency has been
restored. The applicant shall submit legal and medical evidence to
determine and establish the claim of legal competency.
(3) The applicant shall bear the burden of establishing that any
crimes committed, regardless of whether the applicant was convicted,
occurred while the applicant was declared legally incompetent.
316.13 (Reserved)
08 CFR 316.14 Adjudication -- examination, grant, denial.
(a) Examination. The examination on an application for
naturalization shall be conducted in accordance with Section 335 of the
Act.
(b) Determination -- (1) Grant or denial. Subject to supervisory
review, the employee of the Service who conducts the examination under
paragraph (a) of this section shall determine whether to grant or deny
the application, and shall provide reasons for the determination, as
required under section 335(d) of the Act.
(2) Appeal. An applicant whose application for naturalization has
been denied may request a hearing, which shall be carried out in
accordance with section 336 of the Act.
316.15 -- 316.19 (Reserved)
08 CFR 316.20 American institutions of research, public international
organizations, and designations under the International Immunities Act.
(a) American institutions of research. The following-listed
organizations have been determined to be American Institutions of
research recognized by the Attorney General:
African Medical and Research Foundation (AMREF-USA).
Albert Einstein College of Medicine of Yeshiva University (only in
relationship to its research programs).
American Friends of the Middle East, Inc.
American Institutes of Research in the Behavioral Sciences (only in
relationship to research projects abroad).
American Universities Field Staff, Inc.
American University, The, Cairo, Egypt.
American University of Beirut (Near East College Associations).
Arctic Institute of North America, Inc.
Armour Research Foundation of Illinois Institute of Technology.
Asia Foundation, The (formerly Committee for a Free Asia, Inc.).
Association of Universities for Research in Astronomy (AURA, Inc.),
Tucson, AZ.
Atomic Bomb Casualty Commission.
Beirut University College.
Bermuda Biological Station for Research, Inc.
Bernice P. Biship Museum of Polynesian Antiquities, Ethnology and
Natural History at Honolulu, HI.
Brookhaven National Laboratory, Associated Universities, Inc.
Brown University (Department of Engineering), Providence, RI.
Buffalo Eye Bank and Research Society, Inc.
Burma Office of Robert N. Nathan Associates, Inc.
California State University at Long Beach, Department of Geological
Sciences.
Carleton College (Department of Sociology and Anthropology),
Northfield, MN.
Center of Alcohol Studies, Laboratory of Applied Biodynamics of Yale
University.
Central Registry of Jewish Losses in Egypt.
College of Engineering, University of Wisconsin.
College of Medicine, State University of New York.
Colorado State University (Research Foundation), Fort Collins, CO.
Colorado University (International Economic Studies Center), Boulder,
CO.
Columbia University (Parker School of Foreign and Comparative Law)
and (Faculty of Pure Science), New York, NY.
Cornell University (International Agricultural Development,
University of the Philippines-Cornell University Graduate Education
Program).
Dartmouth Medical School.
Department of French, Department of Scandinavian Languages, and
Department of Near Eastern Languages of the University of California,
Berkeley, CA.
Duke University.
Environmental Research Laboratory of the University of Arizona.
Fletcher School of Law and Diplomacy, Medford, MA.
Ford Foundation, 477 Madison Avenue, New York, NY.
Free Europe, Inc. (formerly Free Europe Committee, Inc.; National
Committee for a Free Europe (including Radio Free Europe)).
Georgetown University.
George Williams Hooper Foundation, San Francisco Medical Center,
University of California, San Francisco, CA.
Gorgas Memorial Institute of Tropical and Preventive Medicine, Inc.,
and its operating unit, the Gorgas Memorial Laboratory.
Graduate Faculty of Political and Social Science Division of the New
School for Social Research, New York, NY.
Harvard Institute for International Development.
Harvard-Yenching Institute.
Humboldt State University, School of Natural Resources, Wildlife
Management Department.
Institute for Development Anthropology, Inc.
Institute of International Education, Inc.
Institute of International Studies, University of California,
Berkeley, CA.
International Center for Social Research, New York, NY.
International Development Foundation, Inc.
International Development Services, Inc.
International Research Associates, Inc.
Inter-University Program for Chinese Language Studies (formerly
Stanford Center for Chinese Studies) in Taipei, Taiwan.
Iowa State University.
Iran Foundation, Inc., The.
Kossuth Foundation, Inc., The, New York, NY.
Louisiana State University.
Massachusetts Institute of Technology.
Michigan State University, East Lansing, MI.
Natural Science Foundation, Philadelphia, PA.
New York Zoological Society.
Paderewski Foundation, Inc.
Peabody Museum of Natural History of Yale University.
People to People Health Foundation, Inc., The (only in relationship
to the scientific research activities that will be carried on abroad by
the medical staff of the SS ''Hope'').
Pierce College (in relationship to research by an instructor,
Department of Psychology), Athens, Greece.
Population Council, The, New York, NY.
Radio Liberty Committee, Inc. (formerly American Committee for
Liberation, Inc.; American Committee for Liberation of the Peoples of
Russia, Inc.; American Committee for Liberation from Bolshevism, Inc.).
Rockefeller Foundation.
School of International Relations of the University of Southern
California.
SIRIMAR (Societa Internazionale Recerche Marine) Division, Office of
the Vice President for Research, Pennsylvania State University.
Social Science Research Council.
Solar Energy Research Institute (SERI).
Stanford Electronic Laboratories, Department of Electrical
Engineering, School of Engineering, Stanford University, Stanford, CA.
Stanford Research Institute, Menlo Park, CA.
Stanford University (the George Vanderbilt Foundation), Stanford, CA.
Syracuse University.
Tulane University Graduate School.
Tulane University Medical School.
University of Alabama.
University of Alabama Medical Center.
University of Chicago (as a participant in the International
Cooperation Administration Program No. W-74 only).
University of Colorado (Department of History), Boulder, CO.
University of Connecticut, College of Liberal Arts and Science
(Department of Germanic and Slavic Languages).
University of Hawaii, Honolulu, HI.
University of Ilinois at Urbana-Champaign, Austria-Illinois Exchange
Program.
University of Kansas, Office of International Programs.
University of Michigan (School of Natural Resources), Ann Arbor, MI.
University of Minnesota, Department of Plant Pathology (in
relationship to research project abroad).
University of Nebraska Mission in Columbia, South America.
University of North Carolina at Chapel Hill.
University of Notre Dame, Notre Dame, IN.
University of Puerto Rico.
University of Washington (Department of Marketing, Transportation,
and International Business) and (The School of Public Health and
Community Medicine), Seattle, WA.
Wayne State University, Detroit, MI.
Wenner-Gren Foundation for Anthropological Research, Inc.
Williams College, Economic Department, Williamstown, MA.
(b) Public international organizations of which the United States is
a member by treaty or statute. The following-listed organizations have
been determined to be public international organizations of which the
United States is a member by treaty or statute:
The North Atlantic Treaty Organization.
United Nations and all agencies and organizations which are a part
thereof.
(c) International Organizations Immunities Act designations. The
following public international organizations are entitled to enjoy the
privileges, exemptions, and immunities provided for in the International
Organizations Immunities Act, and are considered as public international
organizations of which the United States is a member by treaty or
statute within the meaning of section 316(b) of the Act and as public
international organizations in which the United States participates by
treaty or statute within the meaning of section 319(b) of the Act:
African Development Bank (E.O. 12403, Feb. 8, 1983).
African Development Fund (E.O. 11977, Mar. 14, 1977).
Asian Development Bank (E.O. 11334, Mar. 7, 1967).
Caribbean Organization (E.O. 10983, Dec. 30, 1961).
Criminal Police Organization (E.O. 12425, June 16, 1983).
Customs Cooperation Council (E.O. 11596, June 5, 1971).
European Space Research Organization (ESRO) (E.O. 11760, Jan. 17,
1974).
Food and Agriculture Organization, The (E.O. 9698, Feb 19, 1946).
Great Lakes Fishery Commission (E.O. 11059, Oct. 23, 1962).
Inter-American Defense Board (E.O. 10228, Mar. 26, 1951).
Inter-American Development Bank (E.O. 10873, Apr. 8, 1960).
Inter-American Institute for Cooperation on Agriculture (E.O. 9751,
July 11, 1946).
Inter-American Statistical Institute (E.O. 9751, July 11, 1946).
Inter-American Tropical Tuna Commission (E.O. 11059, Oct. 23, 1962).
Intergovernmental Committee for European Migration (formerly the
Provisional Intergovernmental Committee for the Movement of Migrants
from Europe) (E.O. 10335, Mar. 28, 1952).
Intergovernmental Maritime Consultative Organization (E.O. 10795,
Dec. 13, 1958).
International Atomic Energy Agency (E.O. 10727, Aug. 31, 1957).
International Bank for Reconstruction and Development (E.O. 9751,
July 11, 1946).
International Centre for Settlement of Investment Disputes (E.O.
11966, Jan. 19, 1977).
International Civil Aviation Organization (E.O. 9863, May 31, 1947).
International Coffee Organization (E.O. 11225, May 22, 1965).
International Cotton Advisory Committee (E.O. 9911, Dec. 19, 1947).
International Development Association (E.O. 11966, Jan. 19, 1977).
International Fertilizer Development Center (E.O. 11977, Mar. 14,
1977).
International Finance Corporation (E.O. 10680, Oct. 2, 1956).
International Food Policy Research Institute (E.O. 12359, Apr. 22,
1982).
International Hydrographic Bureau (E.O. 10769, May 29, 1958).
International Institute for Cotton (E.O. 11283, May 27, 1966).
International Joint Commission -- United States and Canada (E.O.
9972, June 25, 1948).
International Labor Organization, The (functions through staff known
as The International Labor Office) (E.O. 9698, Feb. 19, 1946).
International Maritime Satellite Organization (E.O. 12238, Sept. 12,
1980).
International Monetary Fund (E.O. 9751, July 11, 1946).
International Pacific Halibut Commission (E.O. 11059, Oct. 23, 1962).
International Secretariat for Volunteer Service (E.O. 11363, July 20,
1967).
International Telecommunication Union (E.O. 9863, May 31, 1947).
International Telecommunications Satellite Organization (INTELSAT)
(E.O. 11718, May 14, 1973).
International Wheat Advisory Committee (E.O. 9823, Jan. 24, 1947).
Multinational Force and Observers (E.O. 12359, Apr. 22, 1982).
Organization for European Economic Cooperation (E.O. 10133, June 27,
1950) (Now known as Organization for Economic Cooperation and
Development; 28 FR 2959, Mar. 26, 1963).
Organization of African Unity (OAU) (E.O. 11767, Feb. 19, 1974).
Organization of American States (includes Pan American Union) (E.O.
10533, June 3, 1954).
Pan American Health Organization (includes Pan American Sanitary
Bureau) (E.O. 10864, Feb. 18, 1960).
Preparatory Commission of the International Atomic Energy Agency
(E.O. 10727, Aug. 31, 1957).
Preparatory Commission for the International Refugee Organization and
its successor, the International Refugee Organization (E.O. 9887, Aug.
22, 1947).
South Pacific Commission (E.O. 10086, Nov. 25, 1949).
United International Bureau for the Protection of Intellectual
Property (BIRPI) (E.O. 11484, Sept. 29, 1969).
United Nations, The (E.O. 9698, Feb. 19, 1946).
United Nations Educational, Scientific, and Cultural Organizations
(E.O. 9863, May 31, 1947).
Universal Postal Union (E.O. 10727, Aug. 31, 1957).
World Health Organization (E.O. 10025, Dec. 30, 1948).
World Intellectual Property Organization (E.O. 11866, June 18, 1975).
World Meteorological Organization (E.O. 10676, Sept. 1, 1956).
(32 FR 9634, July 4, 1967. Redesignated and amended at 56 FR 50487,
Oct. 7, 1991)
Editorial Note: For Federal Register citations affecting 316.20,
see the List of CFR Sections Affected in the Finding Aids section of
this volume.
08 CFR 316.20 PART 318 -- PENDING DEPORTATION PROCEEDINGS
Authority: Secs. 103, 242, 318, 332, 66 Stat. 173, 208, as amended,
244, 252; 8 U.S.C. 1103, 1252, 1429, 1443.
08 CFR 318.1 Warrant of arrest.
For the purposes of section 318 of the act, an order to show cause
issued under part 242 of this chapter shall be regarded as a warrant of
arrest.
(22 FR 9813, Dec. 6, 1957)
08 CFR 318.1 PART 319 -- SPECIAL CLASSES OF PERSONS WHO MAY BE
NATURALIZED: SPOUSES OF UNITED STATES CITIZENS
Sec.
319.1 Person living in marital union with United States citizen
spouse.
319.2 Person whose United States citizen spouse is employed abroad.
319.3 Surviving spouses of United States citizens who died during a
period of honorable service in an active duty status in the Armed Forces
of the United States.
319.4 Persons continuously employed for 5 years by United States
organizations engaged in disseminating information.
319.5 Public international organizations in which the U.S.
participates by treaty or statute.
319.6 United States nonprofit organizations engaged abroad in
disseminating information which significantly promotes U.S. interests.
319.7 -- 319.10 (Reserved)
319.11 Filing of application.
Authority: 8 U.S.C. 1103, 1430, 1443.
08 CFR 319.1 Persons living in marital union with United States citizen
spouse.
(a) Eligibility. To be eligible for naturalization under section
319(a) of the Act, the spouse of a United States citizen must establish
that he or she:
(1) Has been lawfully admitted for permanent residence to the United
States;
(2) Has resided continuously within the United States, as defined
under 316.5 of this chapter, for a period of at least three years after
having been lawfully admitted for permanent residence;
(3) Has been living in marital union with the citizen spouse for the
three years preceding the date of examination on the application, and
the spouse has been a United States citizen for the duration of that
three year period;
(4) Has been physically present in the United States for periods
totaling at least 18 months;
(5) Has resided, as defined in 316.5 of this chapter, for at least 3
months immediately preceding the filing of the application, or
immediately preceding the examination on the application if the
application was filed early pursuant to section 334(a) of the Act and
the three month period falls within the required period of residence
under section 316(a) or 319(a) of the Act, in the State or Service
district having jurisdiction over the alien's actual place of residence
and in which the alien has filed the application;
(6) Has resided continuously within the United States from the date
of application for naturalization until the time of admission to
citizenship;
(7) For all relevant periods under this paragraph, has been and
continues to be a person of good moral character, attached to the
principles of the Constitution of the United States, and favorably
disposed toward the good order and happiness of the United States; and
(8) Has complied with all other requirements for naturalization as
provided in part 316 of this chapter, except for those contained in
316.2 (a)(3) through (a)(5) of this chapter.
(b) Marital union -- (1) General. An applicant lives in marital
union with a citizen spouse if the applicant actually resides with his
or her current spouse. The burden is on the applicant to establish, in
each individual case, that a particular marital union satisfies the
requirements of this part.
(2) Loss of Marital Union -- (i) Divorce, death or expatriation. A
person is ineligible for naturalization as the spouse of a United States
citizen under section 319(a) of the Act if, before or after the filing
of the application, the marital union ceases to exist due to death or
divorce, or the citizen spouse has expatriated. Eligibility is not
restored to an applicant whose relationship to the citizen spouse
terminates before the applicant's admission to citizenship, even though
the applicant subsequently marries another United States citizen.
(ii) Separation -- (A) Legal separation. Any legal separation will
break the continuity of the marital union required for purposes of this
part.
(B) Informal separation. Any informal separation that suggests the
possibility of marital disunity will be evaluated on a case-by-case
basis to determine whether it is sufficient enough to signify the
dissolution of the marital union.
(C) Involuntary separation. In the event that the applicant and
spouse live apart because of circumstances beyond their control, such as
military service in the Armed Forces of the United States or essential
business or occupational demands, rather than because of voluntary legal
or informal separation, the resulting separation, even if prolonged,
will not preclude naturalization under this part.
(c) Physical presence in the United States. In the event that the
alien spouse has never been in the United States, eligibility under this
section is not established even though the alien spouse resided abroad
in marital union with the citizen spouse during the three year period.
(56 FR 50488, Oct. 7, 1991)
08 CFR 319.2 Person whose United States citizen spouse is employed
abroad.
(a) Eligibility. To be eligible for naturalization under section
319(b) of the Act, the alien spouse of a United States citizen must:
(1) Establish that his or her citizen spouse satisfies the
requirements under section 319(b)(1) of the Act, including that he or
she is regularly stationed abroad. For purposes of this section, a
citizen spouse is regularly stationed abroad if he or she proceeds
abroad, for a period of not less than one year, pursuant to an
employment contract or orders, and assumes the duties of employment;
(2) At the time of examination on the application for naturalization,
be present in the United States pursuant to a lawful admission for
permanent residence;
(3) At the time of naturalization, be present in the United States;
(4) Declare in good faith, upon naturalization before the Service, an
intention:
(i) To reside abroad with the citizen spouse; and
(ii) To take up residence within the United States immediately upon
the termination of the citizen spouse's employment abroad;
(5) Be a person of good moral character, attached to the principles
of the Constitution of the United States, and favorably disposed toward
the good order and happiness of the United States; and
(6) Comply with all other requirements for naturalization as provided
in part 316 of this chapter, except for those contained in 316.2(a)(3)
through (a)(6) of this chapter.
(b) Alien spouse's requirement to depart abroad immediately after
naturalization. An alien spouse seeking naturalization under section
319(b) of the Act must:
(1) Establish that he or she will depart to join the citizen spouse
within 30 to 45 days after the date of naturalization;
(2) Notify the Service immediately of any delay or cancellation of
the citizen spouse's assignment abroad; and
(3) Notify the Service immediately if he or she is unable to reside
with the citizen spouse because the citizen spouse is employed abroad in
an area of hostilities where dependents may not reside.
(c) Loss of marital union due to death, divorce, or expatriation of
the citizen spouse. A person is ineligible for naturalization as the
spouse of a United States citizen under section 319(b) of the Act if,
before or after the filing of the application, the marital union ceases
to exist due to death or divorce, or the citizen spouse has expatriated.
Eligibility is not restored to an applicant whose relationship to the
citizen spouse terminates before the applicant's admission into
citizenship, even though the applicant subsequently marries another
United States citizen.
(56 FR 50488, Oct. 7, 1991)
08 CFR 319.3 Surviving spouses of United States citizens who died
during a period of honorable service in an active duty status in the
Armed Forces of the United States.
(a) Eligibility. To be eligible for naturalization under section
319(d) of the Act, the surviving spouse of a United States citizen must:
(1) Establish that his or her citizen spouse died during a period of
honorable service in an active duty status in the Armed Forces of the
United States;
(2) Establish that he or she was living in marital union with the
citizen spouse, in accordance with 319.1(b), at the time of that
spouse's death;
(3) At the time of examination on the application for naturalization,
reside in the United States pursuant to a lawful admission for permanent
residence;
(4) Be a person of good moral character, attached to the principles
of the Constitution of the United States, and favorably disposed toward
the good order and happiness of the United States; and
(5) Comply with all other requirements for naturalization as provided
in part 316 of this chapter, except for those contained in 316.2(a)(3)
through (a)(6) of this chapter.
(b) Remarriage of the surviving spouse. The surviving spouse of a
United States citizen described under paragraph (a)(1) of this section
remains eligible for naturalization under section 319(d) of the Act,
even if the surviving spouse remarries.
(56 FR 50488, Oct. 7, 1991)
08 CFR 319.4 Persons continuously employed for 5 years by United States
organizations engaged in disseminating information.
To be eligible for naturalization under section 319(c) of the Act, an
applicant must:
(a) Establish that he or she is employed as required under section
319(c)(1) of the Act;
(b) Reside in the United States pursuant to a lawful admission for
permanent residence;
(c) Establish that he or she has been employed as required under
paragraph (a) of this section continuously for a period of not less than
five years after a lawful admission for permanent residence;
(d) File his or her application for naturalization while employed as
required under paragraph (a) of this section, or within six months
following the termination of such employment;
(e) Be present in the United States at the time of naturalization;
(f) Declare in good faith, upon naturalization before the Service, an
intention to take up residence within the United States immediately upon
his or her termination of employment;
(g) Be a person of good moral character, attached to the principles
of the Constitution of the United States, and favorably disposed toward
the good order and happiness of the United States; and
(h) Comply with all other requirements for naturalization as provided
in part 316 of this chapter, except for those contained in 316.2(a)(3)
through (a)(6) of this chapter.
(56 FR 50489, Oct. 7, 1991)
08 CFR 319.5 Public international organizations in which the U.S.
participates by treaty or statute.
Organizations designated by the President as international
organizations pursuant to the International Organizations Immunities Act
are considered as public international organizations in which the United
States participates by treaty or statute within the meaning of section
319(b) or the Act. For a list of such organizations see 316.20(b) of
this chapter. In addition, the following have been determined to be
public international organizations within the purview of section 319(b)
of the Act:
The North Atlantic Treaty Organization.
The United Nations and all agencies and organizations which are a
part thereof.
The regional commissioner shall forward a copy of each decision
regarding a public international organization to the Assistant
Commissioner, Naturalization.
(32 FR 9635, July 4, 1967. Further redesignated at 33 FR 255, Jan.
9, 1968. Redesignated and amended at 56 FR 50489, Oct. 7, 1991)
08 CFR 319.6 United States nonprofit organizations engaged abroad in
disseminating information which significantly promotes U.S. interests.
The following have been determined to be U.S. incorporated nonprofit
organizations principally engaged in conducting abroad through
communications media the dissemination of information which
significantly promotes U.S. interests abroad within the purview of
section 319(c) of the Act:
Free Europe, Inc.; formerly Free Europe Committee, Inc.; National
Committee for a Free Europe (including Radio Free Europe)).
Radio Liberty Committee, Inc. (formerly American Committee for
Liberation, Inc.; American Committee for Liberation of the Peoples of
Russia, Inc.; American Committee for Liberation from Bolshevism, Inc.).
(33 FR 255, Jan. 9, 1968. Redesignated and amended at 56 FR 50489,
Oct. 7, 1991)
319.7 -- 319.10 (Reserved)
08 CFR 319.11 Filing of application.
(a) General. An applicant covered by this part shall submit to the
Service an application for naturalization on Form N-400, with the
required fee, in accordance with the instructions contained therein. An
alien spouse applying for naturalization under section 319(b) of the Act
and 319.2 shall also submit a statement of intent containing the
following information about the citizen spouse's employment and the
applicant's intent following naturalization:
(1) The name of the employer and:
(i) The nature of the employer's business; or
(ii) The ministerial, religious, or missionary activity in which the
employer is engaged;
(2) Whether the employing entity is owned in whole or in part by
United States interests;
(3) Whether the employing entity is engaged in whole or in part in
the development of the foreign trade and commerce of the United States;
(4) The nature of the activity in which the citizen spouse is
engaged;
(5) The anticipated period of employment abroad;
(6) Whether the alien spouse intends to reside abroad with the
citizen spouse; and,
(7) Whether the alien spouse intends to take up residence within the
United States immediately upon the termination of such employment abroad
of the citizen spouse.
(b) Applications by military spouses -- (1) General. The alien
spouses of United States military personnel being assigned abroad must
satisfy the basic requirements of section 319(b) of the Act and of
paragraph (a) of this section.
(2) Government expense. In the event that transportation expenses
abroad for the alien spouse are to be paid by military authorities, a
properly executed Certificate of Overseas Assignment to Support
Application to File Petition for Naturalization, DD Form 1278 will be
submitted in lieu of the statement of intent required by paragraph (a)
of this section. Any DD Form 1278 issued more than 90 days in advance
of departure is unacceptable for purposes of this section.
(3) Private expense. In the event that the alien spouse is not
authorized to travel abroad at military expense, the alien spouse must
submit in lieu of the statement of intent required by paragraph (a) of
this section:
(i) A copy of the citizen spouse's military travel orders,
(ii) A letter from the citizen spouse's commanding officer indicating
that the military has no objection to the applicant traveling to and
residing in the vicinity of the citizen spouse's new duty station; and
(iii) Evidence of transportation arrangements to the new duty
station.
(56 FR 50489, Oct. 7, 1991)
08 CFR 319.11 PART 322 -- SPECIAL CLASSES OF PERSONS WHO MAY BE
NATURALIZED: CHILDREN OF CITIZEN PARENT
Sec.
322.1 (Reserved)
322.2 Eligibility.
322.3 Jurisdiction for filing application.
322.4 Application and examination on the application.
322.5 Oath of allegiance.
Authority: 8 U.S.C. 1103, 1433, 1443, 1448.
Source: 56 FR 50489, Oct. 7, 1991, unless otherwise noted.
322.1 (Reserved)
08 CFR 322.2 Eligibility.
(a) General. To be eligible for naturalization under section 322 of
the Act, a child on whose behalf an application for naturalization has
been filed by a parent who is, at the time of filing, a citizen of the
United States, must:
(1) Be unmarried and under 18 years of age, both at the time of
application and at the time of admission to citizenship;
(2) Reside permanently in the United States, in the physical and
legal custody of the applying citizen parent, pursuant to a lawful
admission for permanent residence;
(3) Be a person of good moral character, attached to the principles
of the Constitution of the United States, and favorably disposed toward
the good order and happiness of the United States; a child under the
age of fourteen will generally be presumed to satisfy this requirement;
(4) Comply with all other requirements for naturalization as provided
in the Act and in part 316 of this chapter, including the
disqualifications contained in sections 313, 314, 315, and 318 of the
Act, except:
(i) The child is not required to satisfy the residence requirements
under 316.2(a)(3), (a)(4), or (a)(6) of this chapter; and,
(ii) The child is exempt from the literacy and knowledge requirements
under section 312 of the Act.
(b) Definition of Child. For purposes of this part,
(1) The definition of child includes:
(i) A legitimate child;
(ii) A child who is legitimated before the child reaches age 16 under
the laws of the child's residence or domicile, or under the laws of the
father's residence or domicile, whether inside or outside of the United
States, if such legitimation takes place while the child is in the legal
custody of the legitimating parent or parents at the time of such
legitimation;
(iii) An illegitimate child if the application is being submitted by
the child's natural mother; or
(iv) A child who is adopted before the child reaches age 16 if such
adoption takes place while the child is in the legal custody of the
adopting parent or parents at the time of such adoption.
(2) The definition of child does not include:
(i) A stepchild; or
(ii) An illegitimate child, except as provided in paragraph
(b)(1)(iii) of this section, even if the child is recognized but not
legitimated by the father.
(c) Adopted children of a parent who meets the criteria of section
319(b)(1) of the Act. An adopted child who is in the United States at
the time of naturalization is also exempt from the residence
requirements of 316.2(a)(5) of this chapter if the child's adoptive
citizen parent:
(1) Meets the criteria of section 319(b)(1) of the Act;
(2) Applies for naturalization of the child under section 322(c) of
the Act; and
(3) Declares before the Service an intention in good faith to take up
residence within the United States immediately upon termination of
employment described in section 319(b)(1)(B) of the Act.
08 CFR 322.3 Jurisdiction for filing application.
(a) The application for naturalization under section 322(a) of the
Act must be filed with the office of the Service having jurisdiction
over the place of residence of the child and the child's citizen parent.
(b) An application for naturalization under section 322(c) of the Act
and 322.2(c) may be filed in any office of the Service without regard
to residence.
08 CFR 322.4 Application and examination on the application.
(a) An application for naturalization under this section in behalf of
a child shall be submitted on Form N-400 by the citizen parent. If the
child is over the age of fourteen, Form FD-258, fingerprint card, must
accompany the application.
(b) The application must be accompanied by proof of:
(1) The child's admission for lawful permanent residence;
(2) The applying citizen parent's United States citizenship; and
(3) The relationship between the child and applying citizen parent.
(c) In the case of an applicant under section 322(c) of the Act, the
citizen parent shall also submit a statement of intent containing the
following information about the citizen parent's employment and the
child's intentions following naturalization:
(1) The name of the employer and either the nature of the employer's
business, or the ministerial, religious, or missionary activity in which
the employer is engaged;
(2) Whether the employing entity is owned in whole or in part by
United States interests;
(3) Whether the employing entity is engaged in whole or in part in
the development of the foreign trade and commerce of the United States;
(4) The nature of the activity in which the citizen parent is
engaged;
(5) The anticipated period of employment abroad;
(6) The child's intention to reside abroad with the citizen parent:
and
(7) Whether the citizen parent intends to take up residence within
the United States immediately upon the termination of such employment
abroad of the citizen parent.
(d) In the case of a citizen parent whose employment abroad is in
connection with his or her membership in the Armed Forces of the United
States, a properly executed DD Form 1278 will satisfy the requirements
of paragraph (c) of this section.
(e) The child and the citizen parent must both appear at the
examination on the application.
08 CFR 322.5 Oath of allegiance.
(a) A child, as defined in 322.2(b), must take the oath of
allegiance in compliance with part 337 of this chapter, if the child is
capable of understanding the meaning of the oath.
(b) If the child is not exempt from the requirement to take the oath
of allegiance, the citizen parent must be present at the oath taking
ceremony, unless such parent has been excused for good cause.
08 CFR 322.5 PART 324 -- SPECIAL CLASSES OF PERSONS WHO MAY BE
NATURALlZED: WOMEN WHO HAVE LOST UNITED STATES CITIZENSHIP BY MARRIAGE
AND FORMER CITIZENS WHOSE NATURALIZATION IS AUTHORIZED BY PRlVATE LAW
Sec.
324.1 Definitions.
324.2 Former citizen at birth or by naturalization.
324.3 Women, citizens of the United States at birth, who lost or are
believed to have lost citizenship by marriage and whose marriage has
terminated.
324.4 Women restored to United States citizenship by the act of June
25, 1936, as amended by the act of July 2, 1940.
324.5 Former citizen of the United States whose naturalization by
taking the oath is authorized by a private law.
Authority: 8 U.S.C. 1103, 1435, 1443, 1448, 1101 note.
08 CFR 324.1 Definitions.
As used in this part:
Oath means the Oath of Allegiance as prescribed in section 337 of the
Act.
(56 FR 50490, Oct. 7, 1991)
08 CFR 324.2 Former citizen at birth or by naturalization.
(a) Eligibility. To be eligible for naturalization under section
324(a) of the Act, an applicant must establish that she:
(1) Was formerly a United States citizen;
(2) Lost or may have lost United States citizenship:
(i) Prior to September 22, 1922, by marriage to an alien, or by the
loss of United States citizenship of the applicant's spouse; or
(ii) On or after September 22, 1922, by marriage before March 3, 1931
to an alien ineligible to citizenship;
(3) Did not acquire any other nationality by affirmative act other
than by marriage;
(4) Either:
(i) Has resided in the United States continuously since the date of
the marriage referred to in paragraph (a)(2) of this section; or
(ii) Has been lawfully admitted for permanent residence prior to
filing an application for naturalization;
(5) Has been and is a person of good moral character, attached to the
principles of the Constitution of the United States, and favorably
disposed toward the good order and happiness of the United States, for
the period of not less than five years immediately preceding the
examination on the application for naturalization up to the time of
admission to citizenship; and
(6) Complies with all other requirements for naturalization as
provided in part 316 of this chapter, except that:
(i) The applicant is not required to satisfy the residence
requirements under 316.2(a)(3) through (a)(6) of this chapter; and,
(ii) The applicant need not set forth an intention to reside
permanently within the United States.
(b) Application. An applicant for naturalization under this section
must submit an application on Form N-400, as required by 316.4 of this
chapter. The application must be accompanied by a statement describing
the applicant's eligibility as provided in paragraph (a) of this section
as well as any available documentation to establish those facts. An
application under this section shall be filed with the Service office
having jurisdiction over the place of residence of the applicant.
(56 FR 50490, Oct. 7, 1991)
08 CFR 324.3 Women, citizens of the United States at birth, who lost or
are believed to have lost citizenship by marriage and whose marriage has
terminated.
(a) Eligibility. To be eligible for naturalization under section
324(c) of the Act, an applicant must establish:
(1) That she was formerly a United States citizen by birth;
(2) That she lost or may have lost her United States citizenship:
(i) Prior to September 22, 1922, by marriage to an alien; or
(ii) On or after September 22, 1922, by marriage to an alien
ineligible to citizenship before March 3, 1931;
(3) That the marriage specified in paragraph (a)(2) of this section
terminated subsequent to January 12, 1941;
(4) That she did not acquire any other nationality by affirmative act
other than by marriage; and
(5) That she is not proscribed from naturalization under section 313
of the Act.
(b) Procedures -- (1) Application. An applicant eligible for
naturalization pursuant to paragraph (a) of this section, who desires to
regain citizenship pursuant to section 324(c) of the Act, shall submit,
without fee, an Application for Naturalization, form N-400, to the
office of the Service having jurisdiction over her place of residence as
evidence of her desire to take the oath.
(2) Oath of Allegiance. The district director shall review the
applicant's submission, and shall inform the applicant of her
eligibility under section 324(c) of the Act to take the oath in
conformity with part 337 of this chapter. After the applicant has taken
the oath, the applicant will be furnished with a copy of the oath by the
clerk of the Court or the Service, as appropriate, properly certified,
for which a fee not exceeding $5 may be charged. The oath may also be
taken abroad before any diplomatic or consular officer of the United
States, in accordance with such regulations as may be prescribed by the
Secretary of State.
(56 FR 50490 and 50491, Oct. 7, 1991)
08 CFR 324.4 Women restored to United States citizenship by the act of
June 25, 1936, as amended by the act of July 2, 1940.
A woman who was restored to citizenship by the act of June 25, 1936,
as amended by the act of July 2, 1940, but who failed to take the oath
of allegiance prescribed by the naturalization laws prior to December
24, 1952, may take the oath before any naturalization court or office of
the Service within the United States. Such woman shall comply with the
procedural requirements of 324.4(b) and (c) except that a fee not
exceeding $1.00 may be charged if the woman requests a copy of the oath.
(22 FR 9814, Dec. 6, 1957. Redesignated and amended at 56 FR 50490
and 50491, Oct. 7, 1991)
08 CFR 324.5 Former citizen of the United States whose naturalization
by taking the oath is authorized by a private law.
A former citizen of the United States whose naturalization by taking
the oath before any naturalization court or office of the Service within
the United States is authorized by a private law shall submit to the
Service an application on Form N-400, without fee. The application to
the court shall be made on Form N-400, in triplicate, amended as set
forth in this chapter. A copy of the private law shall be attached to
Form N-408. The provisions of 324.5(c) relating to fees and copies of
the oath will apply to a proceeding under this section.
(23 FR 2673, Apr. 23, 1958. Redesignated and amended at 56 FR 50490
and 50491, Oct. 7, 1991)
08 CFR 324.5 PART 325 -- NATIONALS BUT NOT CITIZENS OF THE UNITED
STATES; RESIDENCE WITHIN OUTLYING POSSESSIONS
Sec.
325.1 (Reserved)
325.2 Eligibility.
325.3 Residence.
325.4 Application; documents.
Authority: 8 U.S.C. 1103, 1436, 1443.
Source: 56 FR 50491, Oct. 7, 1991, unless otherwise noted.
325.1 (Reserved)
08 CFR 325.2 Eligibility.
An applicant for naturalization under section 325 of the Act who owes
permanent allegiance to the United States, and who is otherwise
qualified may be naturalized if:
(a) The applicant becomes a resident of any State; and
(b) The applicant complies with all of the applicable requirements in
parts 316 or 319 of this chapter, as appropriate, except as modified in
this part.
08 CFR 325.3 Residence.
(a) For purposes of applying the residence and physical presence
requirements in parts 316 and 319 of this chapter, except as they relate
to the required three months' residence in a State or Service district,
residence and physical presence in an outlying possession of the United
States will count as residence and physical presence in the United
States.
(b) An applicant who intends to resume residence in an outlying
possession after naturalization will be regarded as having established
that he or she intends to reside permanently in the United States.
08 CFR 325.4 Application; Documents.
(a) An application for naturalization under this part shall be
submitted in compliance with 316.4(a) of this chapter.
(b) The applicant shall submit with the application:
(1) A birth certificate or other evidence of national status;
(2) Proof of identity; and
(3) Evidence of actual residence in the State or Service district in
the United States where the application is filed for three months
immediately preceding the filing of the application, or immediately
preceding the examination on the application if the application was
filed early pursuant to section 334(a) of the Act and the three month
period falls within the required period of residence under section
316(a) or 319(a) of the Act.
08 CFR 325.4 PART 327 -- SPECIAL CLASSES OF PERSONS WHO MAY BE
NATURALIZED: PERSONS WHO LOST UNITED STATES CITlZENSHIP THROUGH SERVICE
IN ARMED FORCES OF FOREIGN COUNTRY DURlNG WORLD WAR II
Sec.
327.1 Eligibility.
327.2 Procedure for naturalization.
Authority: 8 U.S.C. 1103, 1438, 1443.
08 CFR 327.1 Eligibility.
To be eligible for naturalization under section 327 of the Act, an
applicant must establish that:
(a) The applicant, on or after September 1, 1939 and on or before
September 2, 1945:
(1) Served in the military, air or naval forces of any country at war
with a country with which the United States was at war after December 7,
1941 and before September 2, 1945; or
(2) Took an oath of allegiance or obligation for purposes of entering
or serving in the military, air, or, naval forces of any country at war
with a country with which the United States was at war after December 7,
1941 and before September 2, 1945;
(b) The applicant was a United States citizen at the time of the
service or oath specified in paragraph (a) of this section;
(c) The applicant lost United States citizenship as a result of the
service or oath specified in paragraph (a) of this section;
(d) The applicant has been lawfully admitted for permanent residence
and intends to reside permanently in the United States;
(e) The applicant is, and has been for a period of at least five
years immediately preceding taking the oath required in 327.2(c), a
person of good moral character, attached to the principles of the
Constitution of the United States, and favorably disposed toward the
good order and happiness of the United States; and
(f) The applicant has complied with all other requirements for
naturalization as provided in part 316 of this chapter, except for those
contained in 316.2 (a)(3) through (a)(6) of this chapter.
(56 FR 50492, Oct. 7, 1991)
08 CFR 327.2 Procedure for naturalization.
(a) Application. An applicant who is eligible for naturalization
pursuant to section 327 of the Act and 327.1 shall submit an
Application for Naturalization, Form N-400, in accordance with 316.4 of
this chapter, to the Service office having jurisdiction over the
applicant's place of residence. Such application must be accompanied by
a statement describing the applicant's eligibility under 327.1 (a),
(b), and (c) and any available documentation to establish those facts.
(b) Oath of Allegiance. Upon naturalization of the applicant, the
district director shall transmit a copy of the oath of allegiance taken
by the applicant to the Department of State.
(56 FR 50492, Oct. 7, 1991)
08 CFR 327.2 PART 328 -- SPECIAL CLASSES OF PERSONS WHO MAY BE
NATURALIZED: PERSONS WITH THREE YEARS SERVICE IN ARMED FORCES OF THE
UNITED STATES
Sec.
328.1 Definitions.
328.2 Eligibility.
328.3 Jurisdiction.
328.4 Application.
Authority: 8 U.S.C. 1103, 1439, 1443.
Source: 56 FR 50492, Oct. 7, 1991, unless otherwise noted.
08 CFR 328.1 Definitions.
As used in this part:
Honorable service means only that military service which is
designated as honorable service by the executive department under which
the applicant performed that military service. Any service that is
designated to be other than honorable will not qualify under this
section.
Service in the Armed Forces of the United States means:
(1) Active or reserve service in the United States Army, United
States Navy, United States Marines, United States Air Force, or United
States Coast Guard; or
(2) Service in a National Guard unit during such time as the unit is
Federally recognized as a reserve component of the Armed Forces of the
United States.
08 CFR 328.2 Eligibility.
To be eligible for naturalization under section 328(a) of the Act, an
applicant must establish that the applicant:
(a) Has served honorably in and, if separated, has been separated
honorably from, the Armed Forces of the United States;
(b) Has served under paragraph (a) of this section for a period of
three or more years, whether that service is continuous or
discontinuous;
(c) Is a lawful permanent resident of the United States at the time
of the examination on the application;
(d) Has been, during any period within five years preceding the
filing of the application for naturalization, or the examination on the
application if eligible for early filing under section 334(a) of the
Act, and continues to be, of good moral character, attached to the
principles of the Constitution of the United States, and favorably
disposed toward the good order and happiness of the United States.
(1) An applicant is presumed to satisfy the requirements of this
paragraph during periods of honorable service under paragraph (a) of
this section.
(2) An applicant must establish that he or she satisfies the
requirements of this paragraph from the date of discharge from military
until the date of admission to citizenship.
(3) An applicant whose honorable service is discontinuous must also
demonstrate that he or she satisfies the requirements of this paragraph
for those periods of time when that applicant is not in honorable
service.
(e) Has complied with all other requirements for naturalization as
provided in part 316 of this chapter, except that:
(1) An applicant who files an application for naturalization while
still in honorable service, or within six months after termination of
such service, is generally not required to satisfy the residence
requirements under 316.2(a)(3) through (a)(6) of this chapter;
however, if the applicant's military service is discontinuous, that
applicant must establish, for periods between honorable service during
the five years immediately preceding the date of filing the application,
or the examination on the application if eligible for early filing under
section 334(a) of the Act, that he or she resided in the United States
and in the State or Service district in the United States in which the
application is filed.
(2) An applicant who files an application for naturalization more
than six months after terminating honorable service must satisfy the
residence requirements under 316.2(a)(3) through (a)(6) of this
chapter. However, any honorable service by the applicant within the
five years immediately preceding the date of filing of the application
shall be considered as residence within the United States for purposes
of 316.2(a)(3) of this chapter.
08 CFR 328.3 Jurisdiction.
An application filed within 6 months after discharge may be filed
with any office of the Service within the United States regardless of
place of residence of the applicant. An application filed more than 6
months after discharge shall be filed with the Service office having
jurisdiction over the State or Service district where the applicant has
been residing for at least three months immediately preceding the filing
of the application, or immediately preceding the examination on the
application if the application was filed early pursuant to section
334(a) of the Act and the three month period falls within the required
period of residence under section 316(a) or 319(a) of the Act.
08 CFR 328.4 Application.
An applicant for naturalization under this part must submit an
Application for Naturalization, Form N-400, as provided in 316.4 of
this chapter. The application must be accompanied by Form N-426,
Certificate of Military or Naval Service; and Form G-325B, Biographic
Form.
08 CFR 328.4 PART 329 -- SPECIAL CLASSES OF PERSONS WHO MAY BE
NATURALIZED: NATURALIZATION BASED UPON ACTIVE DUTY SERVICE IN THE
UNITED STATES ARMED FORCES DURING SPECIFIED PERIODS OF HOSTILITIES
Sec.
329.1 Definitions.
329.2 Eligibility.
329.3 Jurisdiction.
329.4 Application and evidence.
329.5 Natives of the Philippines with active duty service during
World War II.
Authority: 8 U.S.C. 1103, 1440, 1443.
08 CFR 329.1 Definitions.
As used in this part:
Honorable service and separation means service and separation from
service which the executive department under which the applicant served
determines to be honorable, including:
(1) That such applicant had not been separated from service on
account of alienage;
(2) That such applicant was not a conscientious objector who
performed no military, air or naval duty; and
(3) That such applicant did not refuse to wear a military uniform.
Service in an active duty status in the Armed Forces of the United
States means active service in the following organizations:
(1) United States Army, United States Navy, United States Marines,
United States Air Force, United States Coast Guard; or
(2) A National Guard unit during such time as the unit is Federally
recognized as a reserve component of the Armed Forces of the United
States and that unit is called for active duty.
World War I means the period beginning on April 6, 1917, and ending
on November 11, 1918.
(56 FR 50493, Oct. 7, 1991)
08 CFR 329.2 Eligibility.
To be eligible for naturalization under section 329(a) of the Act, an
applicant must establish that he or she:
(a) Has served honorably in an active duty status in the Armed Forces
of the United States during:
(1) World War I;
(2) The period beginning on September 1, 1939 and ending on December
31, 1946;
(3) The period beginning on June 25, 1950 and ending on July 1, 1955;
(4) The period beginning on February 28, 1961 and ending on October
15, 1978;
(5) The period beginning on October 25, 1983 and ending on November
2, 1983, for active service conducted:
(i) On the Islands of Grenada, Carriacou, Green Hog, and those
islands adjacent to Grenada in the Atlantic seaboard where such service
was in direct support of the military operations in Grenada; or
(ii) In the air space above Grenada; or
(iii) In the seas adjacent to Grenada where military operations were
conducted; or
(iv) At the Grantly Adams International Airport in Barbados; or
(6) Any other period as may be designated by the President in an
Executive Order pursuant to section 329(a) of the Act;
(b) If separated, has been separated honorably from service in the
Armed Forces of the United States under paragraph (a) of this section;
(c) Satisfies the permanent residence requirement in one of the
following ways:
(1) Any time after enlistment or induction into the Armed Forces of
the United States, the applicant was lawfully admitted to the United
States as a permanent resident; or
(2) At the time of enlistment or induction, the applicant was
physically present in the geographical territory of the United States,
the Canal Zone, American Samoa, Midway Island (prior to August 21,
1959), or Swain's Island, or in the ports, harbors, bays, enclosed sea
areas, or the three-mile territorial sea along the coasts of these land
areas, whether or not the applicant has been lawfully admitted to the
United States as a permanent resident;
(d) Has been, for at least one year prior to filing the application
for naturalization, and continues to be, of good moral character,
attached to the principles of the Constitution of the United States, and
favorably disposed toward the good order and happiness of the United
States; and
(e) Has complied with all other requirements for naturalization as
provided in part 316 of this chapter, except that:
(1) The applicant may be of any age;
(2) The applicant is not required to satisfy the residence
requirements under 316.2 (a)(3) through (a)(6) of this chapter; and
(3) The applicant may be naturalized even if an outstanding order to
show cause exists under part 242 of this chapter.
(56 FR 50493, Oct. 7, 1991)
08 CFR 329.3 Jurisdiction.
Except as noted in 329.5, an application under this part may be
filed in any office of the Service within the United States regardless
of the place of residence of the applicant.
(56 FR 50493, Oct. 7, 1991)
08 CFR 329.4 Application and evidence.
(a) Application. An applicant for naturalization under section 329
of the Act must submit an Application for Naturalization, Form N-400, as
provided in 316.4 of this chapter. The application must be accompanied
by Form N-426, Certificate of Military or Naval Service, in triplicate,
and Form G-325B, Biographic Form.
(b) Evidence. The applicant's eligibility for naturalization under
329.2 (a), (c)(1), or (c)(2) shall be established only by the
certification of the executive department under which the applicant
served or is serving.
(56 FR 50493, Oct. 7, 1991)
08 CFR 329.5 Natives of the Philippines with active duty service during
World War II.
(a) A person desiring to naturalize in accordance with section 405 of
the Immigration Act of 1990 shall establish that he/she:
(1) Was born in the Philippines;
(2) Served honorably at any time during the period beginning
September 1, 1939, and ending December 31, 1946 --
(i) In an active-duty status under the command of the United States
Armed Forces in the Far East, or
(ii) Within the Commonwealth Army of the Philippines, the Philippine
Scouts, or recognized guerrilla units; and
(3) Resided in the Philippines prior to the service described in
paragraph (a)(2) of this section.
(b) An application under this section shall be submitted in
compliance with 329.2. In addition to the forms and documentation
required in 329.2 and the appropriate fee as required in 103.7 of this
chapter, an applicant shall submit:
(1) Proof of birth in the Philippines;
(2) Police clearance for any place of residence for more than six
months in the previous 5 years if such residence was not in the United
States; and
(3) Proof of identity.
(c) If the applicant is residing in the United States, the
application shall be submitted to the district or sub-office of the
Service having jurisdiction over the place of residence in accordance
with 100.4 (b) and (c) of this chapter. A person residing outside the
United States shall submit the application to the Northern Service
Center, 100 Centennial Mall North, room B26, Lincoln, Nebraska 68509.
(d) A person residing outside the United States shall be examined on
his application at a location in the United States designated by the
Service. Any person residing outside the United States who wishes to be
examined on his application at a location in the United States other
than that designated by the Service shall submit with the application a
statement as to the desired location and the reasons therefor. The
Service may interview the applicant at other than the designated site
for good cause. The Service Center Director will determine whether good
cause exists and there shall be no appeal from the determination.
(e) To be considered an application for naturalization under section
405, the application must be received by the Service no earlier than
November 29, 1990 and no later than November 30, 1992.
(f) No decision to approve or deny an application for naturalization
under section 405 of the Immigration Act of 1990 may be made prior to
May 1, 1991.
(56 FR 11061, Mar. 15, 1991)
08 CFR 329.5 PART 330 -- SPECIAL CLASSES OF PERSONS WHO MAY BE
NATURALIZED: SEAMEN
Sec.
330.1 Eligibility.
330.2 Application.
Authority: 8 U.S.C. 1103, 1443.
08 CFR 330.1 Eligibility.
To be eligible for naturalization under section 330 of the Act, an
applicant must establish that he or she:
(a) Has been lawfully admitted as a permanent resident of the United
States;
(b) Has served honorably or with good conduct, during such periods of
lawful residence, in a capacity other than as a member of the Armed
Forces of the United States, on board:
(1) A vessel operated by the United States, or an agency thereof, the
full legal and equitable title to which is in the United States; or
(2) A vessel, whose home port is the United States, and
(i) Which is registered under the laws of the United States; or
(ii) The full legal and equitable title to which is in a citizen of
the United States, or a corporation organized under the laws of any of
the several States of the United States;
(c) Served in the capacity specified in paragraph (b) of this section
within five years immediately preceding the date on which the applicant
filed the application for naturalization, or on which the alien is
examined, if the application was filed early pursuant to section 334(a)
of the Act.
(d) Has been, during the five years preceding the filing of the
application for naturalization, or the examination on the application if
the application was filed early under section 334(a) of the Act, and
continues to be, of good moral character, attached to the principles of
the Constitution of the United States, and favorably disposed toward the
good order and happiness of the United States.
(1) An applicant is presumed to satisfy the requirements of this
paragraph during periods of service in accordance with paragraphs (b)
and (c) of this section, as reflected by the records and certificates
submitted by the applicant under 330.2(b).
(2) An applicant must demonstrate that he or she satisfies the
requirements of this paragraph for those required periods when that
applicant did not perform service in accordance with paragraphs (b) and
(c) of this section; and
(e) Has complied with all other requirements for naturalization as
provided in part 316 of this chapter, except that, for purposes of the
residence requirements under paragraphs 316.2 (a)(3) and (a)(4) of this
chapter, service satisfying the conditions of this section shall be
considered as residence and physical presence within the United States.
(56 FR 50493, Oct. 7, 1991)
08 CFR 330.2 Application.
(a) An applicant for naturalization under section 330 of the Act must
submit an Application for Naturalization, Form N-400, to the Service
office exercising jurisdiction over the applicant's actual residence in
the United States. For the purpose of this section, the term ''actual
residence'' means the applicant's residence and abode ashore as may have
been established during the period of qualifying service as a seaman
immediately prior to the filing of the application.
(b) An applicant under this part must submit authenticated copies of
the records and certificates of either:
(1) The Executive Department or Agencies having custody of records
reflecting the applicant's service on a vessel in United States
Government Service, if the applicant provided service under
330.1(b)(1); or
(2) The masters of those vessels maintaining a home port in the
United States, and either registered under the laws of the United States
or owned by United States citizens or corporations, if the applicant
provided service under 330.1(b)(2).
(56 FR 50493, Oct. 7, 1991)
08 CFR 330.2 PART 331 -- ALIEN ENEMIES; NATURALIZATION UNDER SPECIFIED
CONDITIONS AND PROCEDURES
Sec.
331.1 Definitions.
331.2 Eligibility.
331.3 Investigation.
331.4 Procedures.
Authority: 8 U.S.C. 1103, 1443.
Source: 56 FR 50494, Oct. 7, 1991, unless otherwise noted.
08 CFR 331.1 Definitions.
As used in this part:
Alien enemy means any person who is a native, citizen, subject or
denizen of any country, state or sovereignty with which the United
States is at war, for as long as the United States remains at war, as
determined by proclamation of the President or resolution of Congress.
Denizen includes, but is not limited to, any person who has been
admitted to residence and is entitled to certain rights in a country
other than the one of the person's nationality. A person holding a
status in another country equivalent to that of a lawful permanent
resident in the United States would be considered to be a denizen.
08 CFR 331.2 Eligibility.
An alien enemy may be naturalized as a citizen of the United States
under section 331 of the Act if:
(a) The alien's application for naturalization is pending at the
beginning of the state of war, or the Service has granted the alien an
exception from the classification as an alien enemy after conducting an
investigation in accordance with 331.3;
(b) The alien's loyalty to the United States is fully established
upon investigation by the Service in accordance with 331.3; and
(c) The alien is otherwise entitled to admission to citizenship.
08 CFR 331.3 Investigation.
The Service shall conduct a full investigation of any alien enemy
whose application for naturalization is pending upon declaration of war
or at any time thereafter. This investigation may take place either
prior to or after the examination on the application. This
investigation shall encompass, but not be limited to, the applicant's
loyalty to the United States and attachment to the country, state, or
sovereignty with which the United States is at war.
08 CFR 331.4 Procedures.
(a) Upon determining that an applicant for naturalization is an alien
enemy, the Service shall notify the applicant in writing of its
determination. Upon service of this notice to the applicant, the
provisions of section 336(b) of the Act will no longer apply to such
applicant, until that applicant is no longer classifiable as an alien
enemy.
(b) Upon completion of the investigation described in 331.3, if the
Service concludes that the applicant's loyalty and attachment to the
United States have been fully established, the application may be
granted.
08 CFR 331.4 PART 332 -- NATURALIZATION ADMINISTRATION
Sec.
332.1 Designation of service employees to administer oaths and
conduct examinations and hearings.
332.2 Establishment of photographic and fingerprinting studios.
332.3 Instruction and training in citizenship responsibilities.
332.4 Cooperation with official National and State organizations.
332.5 Official forms for use by clerks of court.
Authority: 8 U.S.C. 1103, 1443, 1447.
08 CFR 332.1 Designation of service employees to administer oaths and
conduct examinations and hearings.
(a) Examinations. All immigration examiners are hereby designated to
conduct the examination for naturalization required under section 335 of
the Act. A district director may also designate other officers of the
Service, who are classified at grade levels equal to or higher than the
grade of the immigration examiners, to conduct the examination under
section 335 of the Act, provided that each officer so designated has
received appropriate training.
(b) Hearings. Section 336 of the Act authorizes immigration officers
to conduct hearings under that section. A district director may
designate the officers who are designated under paragraph (a) of this
section to conduct hearings under section 336 of the Act.
(c) Depositions. All immigration officers and other officers or
employees of the Service who are classified at grade levels equal to or
higher than the grade of the immigration officers are hereby designated
to take depositions in matters relating to the administration of
naturalization and citizenship laws.
(d) Oaths and affirmations. All immigration officers and other
officers or employees of the Service who are classified at grade levels
equal to or higher than the grade of the immigration officers are hereby
designated to administer oaths or affirmations except for the oath of
allegiance as provided in 337.2 of this chapter.
(56 FR 50494, Oct. 7, 1991)
08 CFR 332.2 Establishment of photographic and fingerprinting studios.
District directors shall after investigation recommend to the
appropriate regional commissioner the establishment and operation of
studios providing photographic services, fingerprinting services or
both. The studios shall be operated by sponsoring organizations on a
nonprofit basis solely for the benefit of persons seeking to comply with
the requirements of the immigration and naturalization laws. Such
studios must be in a building occupied by the Service and be conducted
under the supervision of the district director. Each sponsoring
organization shall submit an annual accounting of the conduct of each
studio to the regional commissioner through the district director.
(51 FR 35628, Oct. 7, 1986. Redesignated and amended at 56 FR 50494,
Oct. 7, 1991)
08 CFR 332.3 Instruction and training in citizenship responsibilities.
(a) Headquarters and the field offices of the Service shall cooperate
with appropriate authorities or organizations in the community to
establish and maintain classes within, or under the supervision of, the
public schools, for the purpose of preparing applicants for
naturalization to accept the duties and responsibilities of citizenship.
Service officers shall, whenever practical, visit such classes or
otherwise provide necessary liaison with those authorities or
organizations that are providing such educational preparation.
(b) Citizenship textbooks and other study materials are intended for
the free use of applicants for naturalization who are enrolled in
instructional courses in or under the supervision of the public schools
as provided in paragraph (a) of this section. Such textbooks and other
study materials shall be distributed by the regional offices of the
Service to the appropriate representatives of the public schools upon
their written and signed requests.
(c) Public school certificates attesting to the attendance and
progress of enrollees shall be given favorable consideration by Service
officers in determining the applicant's overall knowledge and
understanding of the fundamentals of the history, principles, and form
of government of the United States, and the applicant's ability to read,
write, and speak the English language.
(56 FR 50495, Oct. 7, 1991)
08 CFR 332.4 Cooperation with official National and State
organizations.
The Central Office and the field offices shall take steps to obtain
the aid of and to cooperate with official National and State
organizations in the Service's program of promoting instruction and
training of applicants for naturalization for their citizenship duties
and responsibilities. Similar action shall be taken in relation to duly
accredited unofficial educational, social service, welfare, and other
organizations having as one of their objects the preparation of
applicants for naturalization for their citizenship duties and
responsibilities.
(22 FR 9818, Dec. 6, 1957. Redesignated at 56 FR 50495, Oct. 7, 1991)
08 CFR 332.5 Official forms for use by clerks of court.
(a) Official forms essential to exercise of jurisdiction. Before
exercising jurisdiction in naturalization proceedings, the
naturalization court shall direct the clerk of such court upon written
application to obtain from the Service, in accordance with section
310(c) of the Immigration and Nationality Act, proper forms, records,
booked, and supplies required in naturalization proceedings. Such
jurisdiction may not be exercised until such official forms, records,
and books have been supplied to such court. Only such forms as are
supplied shall be used in naturalization proceedings. Where sessions of
the court are held at different places, the judge of such court may
require the clerk to obtain a separate supply of official forms, records
and books for each such place.
(b) Official forms prescribed for use of clerks of naturalization
courts. Clerks of courts shall use only the forms listed in 499.1 of
this chapter in the exercise of naturalization jurisdiction.
(c) Initial application for official forms. Whenever the initial
application for forms, records, books and supplies is made by a State
court of record, it shall be accompanied by a certificate of the
Attorney General of the State, certifying that the said court is a court
of record, having a seal, a clerk, and jurisdiction in actions at law or
in equity, or at law and in equity, in which the amount in controversy
is unlimited.
(d) Subsequent application for use of official forms. Included with
the initial supply of official forms, records, and books furnished to
the various courts by the Service shall be Form N-3 entitled
''Requisition for Forms and Binders,'' and thereafter such forms shall
be used by clerks of courts in making requisition for forms, records,
books, and supplies for use in naturalization proceedings in their
respective courts.
(22 FR 9817, Dec. 6, 1957. Redesignated and amended at 56 FR 50495,
Oct. 7, 1991)
08 CFR 332.5 PART 333 -- PHOTOGRAPHS
Sec.
333.1 Description of required photographs.
333.2 Attachment of photographs to documents.
Authority: 8 U.S.C. 1103, 1443.
08 CFR 333.1 Description of required photographs.
(a) Every applicant required to furnish photographs of himself or
herself under section 333 of the Act and this chapter shall submit three
identical color photographs that shall have a glossy finish and shall be
no smaller than 40 mm in length by 35 mm in width, and no larger than 80
mm in length by 60 mm in width; shall be unmounted and printed on a
thin paper; shall have a white background; shall clearly show a
three-quarter profile view of the features of the applicant with head
bare (unless the applicant is wearing a headdress as required by a
religious order of which he or she is a member), with the distance from
the top of the head to point of chin approximately 30 mm; and shall
have been taken within 30 days of the date they are furnished. The
image must be at least 26 mm in width. Photographs must be in natural
color.
(b) The applicant, except in the case of a child or other person
physically incapable of signing his or her name, shall sign each copy of
the photograph on the front of the photograph with his or her full true
name, in such manner as not to obscure the features. An applicant
unable to write may make the signature by a mark. An applicant for
naturalization must sign the photographs in the English language, unless
the applicant is exempt from the English language requirement of part
312 of this chapter and is unable to sign in English, in which case the
photographs may be signed in any language.
(c) (1) If a child is unable to sign his or her name, the photographs
must be signed by a parent or guardian, the signature reading ''(name of
child) by (name of parent or guardian).''
(2) If an adult is physically unable to sign or make a mark, a
guardian or the Service employee conducting the interview will sign the
photographs as provided in paragraph (c)(1) of this section.
(d) The photographs must be signed when submitted with an application
if the instructions accompanying the application so require. If
signature is not required by the instructions, the photographs are to be
submitted without being signed and shall be signed at such later time
during the processing of the application as may be appropriate.
(56 FR 50495, Oct. 7, 1991)
08 CFR 333.2 Attachment of photographs to documents.
A signed photograph of the applicant must be securely and permanently
attached to each certificate of naturalization or citizenship, to each
original and duplicate declaration of intention issued by the Service,
and to each replacement copy of a declaration of intention, certificate
of naturalization, or certificate of citizenship issued by the Service.
If a seal is affixed to the document, the imprint of a part of the seal
must extend over the lower portion of the photograph in such a manner as
not to obscure the features of the applicant.
(56 FR 50495, Oct. 7, 1991)
08 CFR 333.2 PART 334 -- APPLICATION FOR NATURALIZATION
Sec.
334.1 Filing of application for naturalization.
334.2 Application for naturalization.
334.3 Oath or affirmation on application.
334.4 Investigation and report if applicant is sick or disabled.
334.5 Amendment of application for naturalization, reopening
proceedings.
334.6 -- 334.10 (Reserved)
334.11 Declaration of intention.
334.12 -- 334.15 (Reserved)
334.16 Amendment of petition for naturalization.
334.17 Transfer of petition for naturalization.
334.18 Withdrawal of petition and failure to prosecute.
Authority: 8 U.S.C. 1103, 1443.
08 CFR 334.1 Filing of application for naturalization.
Any person who is an applicant under sections 316, 319, 322, 324,
325, 327, 328, 329, or 330 of the Act and the corresponding parts of
this chapter, may apply for naturalization in accordance with the
procedures prescribed in this chapter at the Service office indicated in
the appropriate part of this chapter.
(56 FR 50496, Oct. 7, 1991)
08 CFR 334.2 Application for naturalization.
(a) An applicant may file an application for naturalization by filing
a completed Form N-400 signed in the applicant's own handwriting, if
physically able to do so, and by including any other documents required
by parts 316, 319, 322, 324, 325, 327, 328, 329, and 330 of this
chapter, as appropriate. An application prepared for a person
physically unable to write shall be signed by the preparer, in the space
marked ''Preparer's signature.'' The applicant shall include the fee as
required in 103.7 of chapter B of this title, and a photocopy of the
applicant's Alien Registration Card (Form I-551 or Form I-151).
(b) An application for naturalization may be filed up to 90 days
prior to the completion of the required period of residence, which may
include the three-month period of residence required to establish
jurisdiction under section 316(a) or 319(a) of the Act.
(56 FR 50496, Oct. 7, 1991)
08 CFR 334.3 Oath or affirmation on application.
The application for naturalization shall be executed under the
following oath (or affirmation): ''I swear (affirm) and certify under
penalty of perjury under the laws of the United States of America that I
know that the contents of this application for naturalization subscribed
by me, and the evidence submitted with it, are true and correct to the
best of my knowledge and belief.''
(56 FR 50496, Oct. 7, 1991)
08 CFR 334.4 Investigation and report if applicant is sick or disabled.
Whenever it appears that an applicant for naturalization may be
unable, because of sickness or other disability, to appear for the
initial examination on the application or for any subsequent hearing,
the district director shall cause an investigation to be conducted to
determine the circumstances surrounding the sickness or disability. The
district director shall determine, based on available medical evidence,
whether the sickness or disability is of a nature which so incapacitates
the applicant as to prevent the applicant's appearance at a Service
office or court having jurisdiction over the applicant's place of
residence. If so, the district director may designate another place
where the applicant may appear for the requisite naturalization
proceedings.
(56 FR 50496, Oct. 7, 1991)
08 CFR 334.5 Amendment of application for naturalization; reopening
proceedings.
(a) Clerical amendments -- (1) By applicant. An applicant may
request that the application for naturalization be amended either prior
to or subsequent to the administration of the oath of allegiance.
(2) By Service. The Service may amend, at any time, an application
for naturalization when in receipt of information that clearly indicates
that a clerical error has occurred.
(3) Amendment procedure. Any amendment will be limited to the
correction of clerical errors arising from oversight or omission. If
the amendment is approved, the amended application shall be filed with
the original application for naturalization.
(b) Substantive amendments. Any substantive amendments which affect
the jurisdiction or the decision on the merits of the application will
not be authorized. When the Service is in receipt of any information
that would indicate that an application for naturalization should not
have been granted on the merits, the Service may institute proceedings
to reopen the application before admission to citizenship, or to revoke
the naturalization of a person who has been admitted to citizenship, in
accordance with section 340 of the Act and 335.5 of this chapter.
(56 FR 50496, Oct. 7, 1991)
334.6 -- 334.10 (Reserved)
08 CFR 334.11 Declaration of intention.
Any person who is a lawful permanent resident over 18 years of age
may file an application for a declaration of intention to become a
citizen of the United States. Such application, with the requisite fee,
shall be filed on Form N-300 with the district director of the Service
office having jurisdiction over the applicant's place of residence. The
original application for the declaration of intention shall be retained
and filed in the applicant's Service file. The duplicate copy of the
application shall be filed in chronological order in the official files
of the district office. The declaration of intention shall be delivered
to the applicant.
(56 FR 50496, Oct. 7, 1991)
334.12 -- 334.15 (Reserved)
08 CFR 334.16 Amendment of petition for naturalization.
(a) During pendency of petition. An application to amend a petition
for naturalization, filed prior to October 1, 1991, while such petition
is pending, shall be made by the petitioner on Form N-410, with copies
thereof equal to the number of copies of the petition for
naturalization, and presented to the court at the hearing on the
petition for naturalization. The application shall be accompanied by
the fee specified in 103.7(b)(1) of this chapter, unless it was
initiated by, and for the convenience of, the government. When the
court orders the petition amended, the original order shall be filed
with the original petition and the copies attached to the respective
copies of the petition.
(b) After final action on petition. Whenever an application is made
to the court to amend a petition for naturalization after final action
thereon has been taken by the court, a copy of the application shall be
served upon the district director having administrative jurisdiction
over the territory in which the court is located, in the manner and
within the time provided by the rules of court in which application is
made. No objection shall be made to the amendment of a petition for
naturalization after the petitioner for naturalization has been admitted
to citizenship if the motion or application is to correct a clerical
error arising from oversight or omission. A representative of the
Service may appear at the hearing upon such application and be heard in
favor of or in opposition thereto. When the court orders the petition
amended, the clerk of court shall transmit a copy of the order to the
district director for inclusion in the Service file.
(22 FR 9819, Dec. 6, 1957, as amended at 32 FR 9635, July 4, 1967;
45 FR 10313, Feb. 15, 1980; 56 FR 50496, Oct. 7, 1991)
08 CFR 334.17 Transfer of petition for naturalization.
(a) Application for transfer. An application to transfer a petition
for naturalization, filed prior to October 1, 1991, shall be made on
Form N-455, in quadruplicate, to the district diector exercising
administrative jurisdiction over the place where the court in which the
petition is filed is located.
(b) Action by district director. If the district director consents
to the transfer, he shall so indicate on each copy of Form N-455, which
shall be filed with the clerk of court in which the petition is pending.
If the district director does not consent to the transfer he shall so
indicate on each copy of Form N-455 which shall be filed with the clerk
of court, with a memorandum of the district director setting forth the
reasons for the denial. The applicant shall be notified by the district
director of the filing of Form N-455 with the clerk of court, and
whether consent has been given by the district director.
(c) Action by court in which petition is filed. The court in which
the petition is filed shall enter an order on the original copy of Form
N-455, approving or disapproving the application. If the application is
approved, the original copy of Form N-455 shall be filed with the
naturalization record in the office of the clerk of court, the duplicate
and triplicate copies, duly attested and certified, transmitted to the
court to which the petition is to be transferred, and the quadruplicate
copy, also attested and certified, transmitted to the district director.
If the application is disapproved, the original Form N-455 shall be
filed with the naturalization record in the office of the clerk of court
and the remaining copies transmitted to the district director, who shall
notify the applicant of the disapproval.
(d) Action by court to which petition is transferred. The court to
which the petition is to be transferred shall enter an order on the
duplicate copy of Form N-455, approving or disapproving the transfer.
The duplicate copy shall be filed with the clerk of the court to which
the petition is to be transferred, and the triplicate copy, duly
attested and certified, transmitted to the clerk of the court in which
the petition is filed. If the application is disapproved, the clerk of
court receiving the triplicate copy shall notify the district director,
who shall notify the applicant of the disapproval.
(e) Transfer of petition and record. If the court to which the
petition is to be transferred approves the transfer, the clerk of court
in which the petition is filed shall file the triplicate copy of Form
N-455 with the naturalization record and forward a certified copy of the
petition, and the originals of all documents filed relating thereto, to
the court to which the petition is being transferred, and notify the
district director having administrative jurisdiction over the place in
which the petition is filed, of the action taken. Upon receipt of the
certified copy and record, the clerk of court to which the petition is
transferred shall index it, number it consecutively in the order in
which it is received, prefixed by the letters TR, and in a series
separate from petitions originally filed in the court. The petition
shall be made a part of the record of the naturalization court. No fee
shall be charged by the clerk of the court to which the petition is
transferred for the filing of the transferred petition or the issuance
of a certificate of naturalization.
(22 FR 9820, Dec. 6, 1957; 22 FR 9520, Nov. 28, 1957, as amended at
23 FR 5820, Aug. 1, 1958; 56 FR 50496, Oct. 7, 1991)
08 CFR 334.18 Withdrawal of petition and failure to prosecute.
(a) A petitioner who desires to withdraw his petition for
naturalization, filed prior to October 1, 1991, shall make request for
withdrawal on Form N-404, in duplicate. The original shall be filed
with the clerk of court and the duplicate with the office of the Service
exercising administrative jurisdiction over the district in which the
court is located. At the final hearing upon the petition, the officer
in attendance shall inform the court whether the district director
consents to the withdrawal of the petition. In cases in which the
district director does not consent to the withdrawal, the court shall
determine the petition on its merits.
(b) At the final hearing upon a petition for naturalization which the
petitioner has failed to prosecute, the officer in attendance shall
inform the court whether the district director consents to dismissal of
the petition for lack of prosecution. In cases in which the district
director does not move that the petition be dismissed for lack of
prosecution, the court shall determine the petition on its merits.
(22 FR 9819, Dec. 6, 1957, as amended at 56 FR 50496, Oct. 7, 1991)
08 CFR 334.18 PART 335 -- EXAMINATION ON APPLICATION FOR NATURALIZATION
Sec.
335.1 Investigation of applicant.
335.2 Examination of applicant.
335.3 Determination on application; continuance of examination.
335.4 Use of record of examination.
335.5 Receipt of derogatory information after grant.
335.6 -- 335.8 (Reserved)
335.9 Transfer of application.
335.10 Withdrawal of application.
335.11 Preliminary examinations on petitions for naturalization filed
prior to October 1, 1991.
335.12 Recommendations on petitions for naturalization of the
designated examiner and regional administrator; notice.
335.13 Notice of recommendation on petitions for naturalization of
designated examiner.
Authority: 8 U.S.C. 1103, 1443, 1447.
08 CFR 335.1 Investigation of applicant.
Subsequent to the filing of an application for naturalization, the
Service shall conduct an investigation of the applicant. The
investigation shall consist, at a minimum, of a review of all pertinent
records, police department checks, and a neighborhood investigation in
the vicinities where the applicant has resided and has been employed, or
engaged in business, for at least the five years immediately preceding
the filing of the application. The district director may waive the
neighborhood investigation of the applicant provided for in this
paragraph.
(56 FR 50497, Oct. 7, 1991)
08 CFR 335.2 Examination of applicant.
(a) General. Subsequent to the filing of an application for
naturalization, each applicant shall appear in person before a Service
officer designated to conduct examinations pursuant to 332.l of this
chapter. The examination shall be uniform throughout the United States
and shall encompass all factors relating to the applicant's eligibility
for naturalization. The applicant may request the presence of an
attorney or representative who has filed an appearance in accordance
with part 292 of chapter B of this title, to observe the examination and
make notes without otherwise participating in the examination procedure.
(b) Procedure. Prior to the beginning of the examination, the
Service officer shall make known to the applicant the official capacity
in which the officer is conducting the examination. The applicant shall
be questioned, under oath or affirmation, in a setting apart from the
public. Whenever necessary, the examining officer shall correct written
answers in the application for naturalization to conform to the oral
statements made under oath or affirmation. The Service officer shall
maintain, for the record, brief notations of the examination for
naturalization. At a minimum, the notations shall include a record of
the test administered to the applicant on English literacy and basic
knowledge of the history and government of the United States. The
Service officer may have a stenographic, mechanical, electronic, or
videotaped transcript made, or may prepare an affidavit covering the
testimony of the applicant. The questions to the applicant shall be
repeated in different form and elaborated, if necessary, until the
officer conducting the examination is satisfied that the applicant
either fully understands the questions or is unable to understand
English. The applicant and the Service shall have the right to present
such oral or documentary evidence and to conduct such cross-examination
as may be required for a full and true disclosure of the facts.
(c) Witnesses. Witnesses, if called, shall be questioned to discover
their own credibility and competency, as well as the extent of their
personal knowledge of the applicant and his or her qualifications to
become a naturalized citizen.
(1) Issuance of subpoenas. Subpoenas requiring the attendance of
witnesses or the production of documentary evidence, or both, may be
issued by the examining officer upon his or her own volition, or upon
written request of the applicant or his or her attorney or
representative. Such written request shall specify, as nearly as
possible, the relevance, materiality, and scope of the testimony or
documentary evidence sought and must show affirmatively that the
testimony or documentary evidence cannot otherwise be produced.
(2) Service of subpoenas. Subpoenas shall be issued on Form I-138,
and a record shall be made of service. The subpoena may be served by
any person over 18 years of age, not a party to the case, designated to
make such service by the district director.
(3) Witness fees. Mileage and fees for witnesses subpoenaed under
this section shall be paid by the party at whose instance the subpoena
is issued, at rates allowed and under conditions prescribed by the
Service. Before issuing a subpoena, the officer may require the deposit
of an amount adequate to cover the fees and mileage involved.
(4) Failure to appear. If the witness subpoenaed neglects or refuses
to testify or to produce documentary evidence as directed by the
subpoena, the district director shall request that the United States
Attorney for the proper district report such neglect or refusal to any
District Court of the United States, and file a motion in such court for
an order directing the witness to appear and to testify and produce the
documentary evidence described in the subpoena.
(5) Extraterritorial testimony. The testimony of a witness may be
taken outside the United States. The witness's name and address shall
be sent to the Service office abroad which has jurisdiction over the
witness's residence. The officer taking the statement shall be given
express instructions regarding any aspect of the case which may require
special development or emphasis during the interrogation of the witness.
(d) Record of examination. At the conclusion of the examination, all
corrections made on the application form and all supplemental material
shall be consecutively numbered and listed in the space provided on the
applicant's affidavit contained in the application form. The affidavit
must then be subscribed and sworn to, or affirmed, by the applicant and
signed by the Service officer. Evidence received by the officer shall
be placed into the record for determination of the case. All
documentary or written evidence shall be properly identified and
introduced into the record as exhibits by number, unless read into the
record. A deposition or statement taken by a Service officer during the
initial examination or any subsequent examination shall be included as
part of the record on the application.
(e) Use of interpreter. If the use of an interpreter is authorized
pursuant to 312.4 of this chapter, the examining officer shall note on
the application the use and identity of any interpreter. If the Service
officer is proficient in the applicant's native language, the Service
officer may conduct the examination in that language with the consent of
the applicant.
(56 FR 50497, Oct. 7, 1991)
08 CFR 335.3 Determination on application; continuance of examination.
(a) The Service officer shall grant the application if the applicant
has complied with all requirements for naturalization under this
chapter. A decision to grant or deny the application shall be made at
the time of the initial examination or within 120-days after the date of
the initial examination of the applicant for naturalization under
335.2. The applicant shall be notified that the application has been
granted or denied and, if the application has been granted, of the
procedures to be followed for the administration of the oath of
allegiance pursuant to part 337 of this chapter.
(b) Rather than make a determination on the application, the Service
officer may continue the initial examination on an application for one
reexamination, to afford the applicant an opportunity to overcome
deficiencies on the application that may arise during the examination.
The officer must inform the applicant of the grounds to be overcome.
The applicant shall not be required to appear for a reexamination
earlier than 60 days after the first examination. However, the
reexamination on the continued case shall be scheduled within the
120-day period after the initial examination, except as otherwise
provided under 312.5(b) of this chapter. If the applicant is unable to
overcome the deficiencies in the application, the application shall be
denied pursuant to 336.1 of this chapter.
(56 FR 50497, Oct. 7, 1991)
08 CFR 335.4 Use of record of examination.
In the event that an application is denied, the record of the
examination on the application for naturalization, including the
executed and corrected application form and supplements, affidavits,
transcripts of testimony, documents, and other evidence, shall be
submitted to the Service officer designated in 332.1 of this chapter to
conduct hearings on denials of applications for naturalization in
accordance with part 336 of this chapter. The record of the examination
shall be used for examining the petitioner and witnesses, if required to
properly dispose of issues raised in the matter.
(56 FR 50498, Oct. 7, 1991)
08 CFR 335.5 Receipt of derogatory information after grant.
In the event that the Service receives derogatory information
concerning an applicant whose application has already been granted as
provided in 335.3(a) of this chapter, but who has not yet taken the
oath of allegiance as provided in part 337 of this chapter, the Service
shall remove the applicant's name from any list of granted applications
or of applicants scheduled for administration of the oath of allegiance,
until such time as the matter can be resolved. The Service will notify
the applicant of the receipt of derogatory information, with a motion to
reopen the previously adjudicated application, giving the applicant 15
days to respond. If the applicant overcomes the derogatory information,
the application will be granted and the applicant will be scheduled for
administration of the oath of allegiance. Otherwise the motion to
reopen will be granted and the application will be denied pursuant to
336.1 of this chapter.
(56 FR 50498, Oct. 7, 1991)
335.6 -- 335.8 (Reserved)
08 CFR 335.9 Transfer of application.
(a) Request for transfer of application. An applicant who, after
filing an application for naturalization, changes residence, or plans to
change residence within three months, may request, in writing, that a
pending application be transferred from the current Service office to
the Service office having jurisdiction over the applicant's new place of
residence. The request shall be submitted to the office where the
application was originally filed. The request shall include the
applicant's name, alien registration number, date of birth, complete
current address including name of the county, complete address at the
time of filing the application, reason for the request to transfer the
application, and the date the applicant moved or intends to move to the
new jurisdiction.
(b) Discretion to authorize transfer. The district director may
authorize the transfer of an application for naturalization after such
application has been filed. In the event that the district director
does not consent to the transfer of the application, the application for
naturalization shall be adjudicated on its merits by the Service office
retaining jurisdiction, and, if denied, a final order will be issued.
(56 FR 50498, Oct. 7, 1991)
08 CFR 335.10 Withdrawal of application.
An applicant may request, in writing, that his or her application,
filed with the Service, be withdrawn. If the district director consents
to the withdrawal, the application will be denied without further notice
to the applicant and without prejudice to any future application. The
withdrawal by the applicant will constitute a waiver of any review
pursuant to part 336 of this chapter. If the district director does not
consent to the withdrawal, the application for naturalization shall be
adjudicated on its merits.
(56 FR 50498, Oct. 7, 1991)
08 CFR 335.11 Preliminary examinations on petitions for naturalization
filed prior to October 1, 1991.
(a) When held. Continued preliminary examinations shall be held on
petitions for naturalization filed prior to October 1, 1991 when it is
determined that further testimony is needed for the designated examiner
to prepare a recommendation to the court consistent with 335.12. The
examinations shall be open to the public.
(b) Conduct of examination. Preliminary examinations shall be held
before an employee of the Service designated by the district director to
conduct such proceedings and to make findings and recommendations
thereon to the naturalization court, who shall be known as the
''designated examiner.'' The petitioner and his or her witnesses and the
witnesses produced on behalf of the Government shall be present. The
designated examiner shall, prior to the commencement of the examination,
make known to the petitioner his or her official capacity and that of
any other officer of the Service who may participate in the proceeding.
The designated examiner shall have before him or her the entire record
of the preliminary interrogation, including the petitioner's application
to file a petition for naturalization (Form N-400) and any other
evidence or data that may be relevant or material to the inquiry. All
testimony taken at the examination shall be under oath or affirmation
administered by the designated examiner. The designated examiner may
interrogate the petitioner and witnesses produced in behalf of the
petitioner or the Government, and present evidence touching upon the
petitioner's admissibility to citizenship. He shall regulate the course
of the examination, rule upon applications for the issuance of subpoenas
and issue such subpoenas in proper cases, grant or deny continuances,
and rule on all objections to the introduction of evidence, which
rulings shall be entered on the record. Evidence held by the designated
examiner to be inadmissible shall nevertheless be received into the
record subject to the ruling of the court. The petitioner and the
Government shall have the right to present such oral or documentary
evidence and to conduct such cross-examination as may be required for a
full and true disclosure of the facts. If the petitioner is not
represented by an attorney or representative, the designated examiner
shall assist the petitioner in the introduction of all evidence
available in his or her behalf. All documentary or written evidence
shall be properly identified and introduced into the record as exhibits
by number, unless read into the record.
(c) Assignment of examining officer at preliminary examination. The
district director may in his or her discretion assign an employee of the
Service to act as examining officer at the preliminary examination.
Such employee shall examine and cross-examine witnesses produced in
behalf of the Government or the petitioner and present evidence
pertinent to the petitioner's admissibility to citizenship. The
designated examiner may take such part in the interrogation of the
petitioner and witnesses and the introduction of evidence as he or she
may deem necessary.
(d) Stenographic reporting of proceedings; mechanical recording
equipment. A stenographer shall be in attendance whenever, in the
opinion of the designated examiner, such attendance is desirable, and in
every case to which an examining officer is assigned. The stenographer
shall record verbatim the entire proceedings, including the oaths
administered and rulings on objections, but shall not record arguments
in support of objections, or statements made off the record with the
consent of the petitioner. The stenographer shall certify that the
transcribed minutes constitute a complete and accurate record of the
examination. Whenever, in the opinion of the designated examiner the
use of mechanical recording equipment in lieu of a stenographer is
deemed desirable, the proceedings may be recorded by such equipment.
(e) Issuance of subpoenas; attendance and mileage fees. Subpenas
requiring the attendance of witnesses or the production of documentary
evidence, or both, may be issued by the designated examiner, upon his or
her own volition or upon written application of the petitioner or his or
her attorney or representative, the examining officer, or the Service.
Such written application shall specify, as nearly as may be, the
relevance, materiality, and scope of the testimony or documentary
evidence sought and show affirmatively that the testimony or documentary
evidence cannot otherwise be produced. Subpenas shall be issued on Form
I-138 and due record shall be made of their service. The subpoena may
be served by any person over 18 years of age, not a party to the case,
designated to make such service by the district director. Mileage and
fees for witnesses subpoenaed under this section shall be paid by the
party at whose instance the subpoena is issued at rates allowed and
under conditions prescribed by the naturalization court in which the
petition is pending. Before issuing a subpoena the designated examiner
may require a deposit of an amount adequate to cover the fees and
mileage involved. If the witness subpoenaed neglects or refuses to
testify or produce documentary evidence as directed by the subpoena, the
district director shall request the United States Attorney for the
proper district to report such neglect or refusal to any court
exercising naturalization jurisdiction and to file a motion in such
court for an order directing the witness to appear and testify and to
produce the documentary evidence described in the subpoena.
(f) Briefs. At the conclusion of the preliminary examination the
petitioner or his or her attorney or representative, and the examining
officer if one was assigned, may submit briefs in support of arguments
made or issues raised at the examination.
(g) Representation by attorney or representative; absence of
representative; advice to petitioner. The petitioner may be
represented by an attorney or representative who has filed an appearance
in accordance with part 292 of this chapter. If at any stage of the
preliminary examination it appears to the designated examiner that he or
she may recommend denial of the petition, or granting thereof with the
facts to be presented to the court, he or she shall advise the
petitioner of his or her right to be represented by an attorney or
representative. A continuance of the examination shall be granted upon
the petitioner's motion for the purpose of obtaining an attorney or
representative. The petitioner's attorney or a representative shall be
permitted to be present at all times during the preliminary examination
or at any subsequent examinations and the petitioner shall not in any
such examination or subsequent examinations be interrogated in the
absence of his or her attorney or representative, unless the petitioner
waives such appearance. The attorney or a representative shall be
permitted to offer evidence to meet any evidence presented or adduced by
the Government or the designated examiner. A petitioner who is not
represented by an attorney or a representative shall be entitled to all
the benefits and the privileges provided for in this section.
(22 FR 9821, Dec. 6, 1957, as amended at 23 FR 2673, Apr. 23, 1958;
45 FR 83195, Dec. 18, 1980; 46 FR 5861, Jan. 21, 1981; 47 FR 10778,
Mar. 12, 1982; 56 FR 50498, Oct. 7, 1991)
08 CFR 335.12 Recommendations on petitions for naturalization of the
designated examiner and regional administrator; notice.
As soon as practicable after conclusion of the preliminary
examination on a petition for naturalization filed prior to October 1,
1991, the designated examiner shall prepare an appropriate
recommendation to the court. If the recommendation is for denial, or
for granting with the facts to be presented to the court, the designated
examiner shall prepare a memorandum summarizing the evidence, and
setting forth findings of fact and conclusions of law, and his or her
recommendation. No evidence dehors the record or evidence not
admissible in judicial proceedings under recognized rules of evidence
shall be considered in the preparation of the memorandum. The
memorandum shall be submitted before final hearing to the regional
operations liaison officer, in those cases or classes of cases
designated by him or her, for review and recommendation. If the
regional operations liaison officer does not agree with the
recommendation of the designated examiner, he or she shall prepare an
appropriate memorandum, with findings of fact, conclusions of law, and
the recommendation of the Service, subject to review and approval by the
Commissioner in those cases or classes of cases designated by him or
her, for presentation to the court with the designated examiner's
memorandum. In the preparation of memoranda, designated examiners and
regional operations liaison officers shall be bound by the
interpretations and rulings by the Attorney General or the Commissioner
on Questions of law.
(38 FR 29878, Oct. 30, 1973, as amended at 56 FR 50498, Oct. 7, 1991)
08 CFR 335.13 Notice of recommendation on petitions for naturalization
of designated examiner.
(a) Recommendation that petition be denied. When the designated
examiner proposes to recommend denial of the petition filed prior to
October 1, 1991, the petitioner or his or her attorney or representative
shall be notified thereof and furnished a copy of the designated
examiner's memorandum. The notice shall be given in conjunction with
notification of the date, place, and time of holding the final hearing.
The notice shall be sent by certified mail, with return receipt
requested, after any review made by the regional administrator.
(b) Recommendation that petition be granted. When the designated
examiner proposes to recommend granting of the petition filed prior to
October 1, 1991 and to present the facts and issues to the court, the
petitioner or his or her attorney or representative shall be notified of
the recommendation and furnished a copy of the designated examiner's
memorandum prior to the date of the hearing, and after any review made
by the regional administrator.
(c) Disagreement between recommendations of designated examiner and
the regional administrator. In those cases reviewed by the regional
administrator in which his or her views and recommendations do not agree
with those of the designated examiner, the notice required by paragraphs
(a) and (b) of this section shall also advise the petitioner of the
recommendation of the regional administrator and that both
recommendations will be presented to the court. There shall also be
enclosed with such notice a copy of the regional administrator's
memorandum.
(d) Briefs. If the petitioner intends to file a brief or memorandum
at the final hearing, he or she shall furnish a copy thereof to the
Service office from which the notice on Form N-425 emanated at least 5
days prior to the date of the final hearing. Failure to do so will
result in a motion for a continuance if deemed essential for the proper
presentation of the Government's case.
(22 FR 9822, Dec. 6, 1957, as amended at 35 FR 17530, Nov. 14, 1970;
56 FR 50498, Oct. 7, 1991)
08 CFR 335.13 PART 336 -- HEARINGS ON DENIALS OF APPLICATIONS FOR
NATURALIZATION
Sec.
336.1 Denial after section 335 examination.
336.2 Hearing before an immigration officer.
336.3 -- 336.8 (Reserved)
336.9 Judicial review of denial determinations on applications for
naturalization.
Authority: 8 U.S.C. 1103, 1443, 1447, 1448.
Source: 56 FR 50499, Oct. 7, 1991, unless otherwise noted.
08 CFR 336.1 Denial after section 335 examination.
(a) After completing all examination procedures contained in part 335
of this chapter and determining to deny an application for
naturalization, the Service shall serve a written notice of denial upon
an applicant for naturalization no later than 120 days after the date of
the applicant's first examination on the application.
(b) A notice of denial shall be prepared in a written, narrative
format, and shall recite, in clear concise language, the pertinent facts
upon which the determination was based, the specific legal section or
sections applicable to the finding of ineligibility, and the conclusions
of law reached by the examining officer in rendering the decision. Such
notice of denial shall also contain a specific statement of the
applicant's right either to accept the determination of the examining
officer, or request a hearing before an immigration officer.
(c) Service of the notice of denial may be made in person or by
certified mail to the applicant's last known address, or upon the
attorney or representative of record as provided in part 292 of this
chapter.
08 CFR 336.2 Hearing before an immigration officer.
(a) The applicant, or his or her authorized representative, may
request a hearing on the denial of the applicant's application for
naturalization by filing a request with the Service within thirty days
after the applicant receives the notice of denial under 336.1.
(b) Upon receipt of a timely request for a hearing, the Service shall
schedule a review hearing before an immigration officer, within a
reasonable period of time not to exceed 180 days from the date upon
which the appeal is filed. The review shall be with an officer other
than the officer who conducted the original examination under section
335 of the Act or who rendered the Service determination upon which the
hearing is based, and who is classified at a grade level equal to or
higher than the grade of the examining officer. The reviewing officer
shall have the authority and discretion to review the application for
naturalization, to examine the applicant, and either to affirm the
findings and determination of the original examining officer or to
redetermine the original decision of the Service in whole or in part.
The reviewing officer shall also have the discretion to review any
administrative record which was created as part of the examination
procedures as well as Service files and reports. He or she may receive
new evidence or take such additional testimony as may be deemed relevant
to the applicant's eligibility for naturalization. Based upon the
complexity of the issues to be reviewed or determined, and upon the
necessity of conducting further examinations with respect to essential
naturalization requirements, such as literacy or civics knowledge, the
reviewing immigration officer may, in his or her discretion, conduct a
full de novo hearing or may utilize a less formal review procedure, as
he or she deems reasonable and in the interest of justice.
336.3 -- 336.8 (Reserved)
08 CFR 336.9 Judicial review of denial determinations on applications
for naturalization.
(a) General. The provisions in part 310 of this chapter shall
provide the sole and exclusive procedures for requesting judicial review
of final determinations on applications for naturalization made pursuant
to section 336(a) of the Act and the provisions of this chapter by the
Service on or after October 1, 1991.
(b) Filing a petition. Under these procedures an applicant shall
file a petition for review in the United States District Court having
jurisdiction over his or her place of residence, in accordance with
chapter 7 of title 5, United States Code, within a period of not more
than 120 days after the Service's final determination. The petition for
review shall be brought against the Immigration and Naturalization
Service, and service of the petition for review shall be made upon the
Attorney General of the United States, and upon the official in charge
of the Service office where the hearing was held pursuant to 336.2.
(c) Standard of review. The review will be de novo, and the court
will make its own findings of fact and conclusions of law. The court
may also conduct, at the request of the petitioner, a hearing de novo on
the application for naturalization.
(d) Exhaustion of remedies. A Service determination denying an
application for naturalization under section 335(a) of the Act shall not
be subject to judicial review until the applicant has exhausted those
administrative remedies available to the applicant under section 336 of
the Act. Every petition for judicial review shall state whether the
validity of the final determination to deny an application for
naturalization has been upheld in any prior administrative proceeding
and, if so, the nature and date of such proceeding and the forum in
which such proceeding took place.
08 CFR 336.9 PART 337 -- OATH OF ALLEGIANCE
Sec.
337.1 Oath of allegiance.
337.2 Oath administered by the Immigration and Naturalization
Service.
337.3 Oath of allegiance administered to sick and disabled.
337.4 When requests for change of name granted.
337.5 -- 337.7 (Reserved)
337.8 Oath administered by the courts.
337.9 Effective date of naturalization.
Authority: 8 U.S.C. 1103, 1443, 1448.
08 CFR 337.1 Oath of allegiance.
(a) Form of oath. Except as otherwise provided in the Act and after
receiving notice from the district director that such applicant is
eligible for naturalization pursuant to 335.3 of this chapter, an
applicant for naturalization shall, before being admitted to
citizenship, take in a public ceremony held within the United States the
following oath of allegiance, to a copy of which the applicant shall
affix his or her signature:
I hereby declare, on oath, that I absolutely and entirely renounce
and abjure all allegiance and fidelity to any foreign prince, potentate,
state, or sovereignty, of whom or which I have heretofore been a subject
or citizen; that I will support and defend the Constitution and laws of
the United States of America against all enemies, foreign and domestic;
that I will bear true faith and allegiance to the same; that I will
bear arms on behalf of the United States when required by the law; that
I will perform noncombatant service in the Armed Forces of the United
States when required by the law; that I will perform work of national
importance under civilian direction when required by the law; and that
I take this obligation freely, without any mental reservation or purpose
of evasion; so help me God.
(b) Alteration of form of oath; affirmation in lieu of oath. In
those cases in which a petitioner or applicant for naturalization is
exempt from taking the oath prescribed in paragraph (a) of this section
in its entirety, the inapplicable clauses shall be deleted and the oath
shall be taken in such altered form. When a petitioner or applicant for
naturalization, by reason of religious training and belief (or
individual interpretation thereof), or for other reasons of good
conscience, cannot take the oath prescribed in paragraph (a) of this
section with the words ''on oath'' and ''so help me God'' included, the
words ''and solemnly affirm'' shall be substituted for the words ''on
oath,'' the words ''so help me God'' shall be deleted, and the oath
shall be taken in such modified form. Any reference to 'oath of
allegiance' in this chapter is understood to mean equally 'affirmation
of allegiance' as described in this paragraph.
(c) Obligations of oath. A petitioner or applicant for
naturalization shall, before being naturalized, establish that it is his
or her intention, in good faith, to assume and discharge the obligations
of the oath of allegiance, and that his or her attitude toward the
Constitution and laws of the United States renders him or her capable of
fulfilling the obligations of such oath.
(d) Renunciation of title or order of nobility. A petitioner or
applicant for naturalization who has borne any hereditary title or has
been of any of the orders of nobility in any foreign state shall, in
addition to taking the oath of allegiance prescribed in paragraph (a) of
this section, make under oath or affirmation in public an express
renunciation of such title or order of nobility, in the following form:
(1) I further renounce the title of (give title or titles) which I
have heretofore held; or
(2) I further renounce the order of nobility (give the order of
nobility) to which I have heretofore belonged.
(22 FR 9824, Dec. 6, 1957, as amended at 24 FR 2584, Apr. 3, 1959;
32 FR 13756, Oct. 3, 1967; 56 FR 50499, Oct. 7, 1991)
08 CFR 337.2 Oath administered by the Immigration and Naturalization
Service.
(a) Public ceremony. An applicant for naturalization who has elected
to have his or her oath of allegiance administered by the Service shall
appear in person in a public ceremony. Such ceremony shall be held at a
time and place designated by the Service within the United States and
within the jurisdiction where the application for naturalization was
filed, or into which the application for naturalization was transferred
pursuant to 335.9 of this chapter. Such ceremonies shall be conducted
at regular intervals, but in all events at least once monthly. Such
ceremonies shall be presented in such a manner as to preserve the
dignity and significance of the occasion. District directors shall
assure that ceremonies conducted in their districts, inclusive of those
held by suboffice managers, are in keeping with the Model Plan for
Naturalization Ceremonies. Organizations traditionally involved in
activities surrounding the ceremony should be encouraged to participate
in Service-administered ceremonies by local arrangement.
(b) Authority to administer oath of allegiance. The authority of the
Attorney General to administer the Oath of Allegiance shall be delegated
to the following officers of the Service: the Commissioner; district
directors; deputy district directors; officers-in-charge; or persons
acting in behalf of such officers due to their absence or because their
positions are vacant. In exceptional cases where the district director
or officer-in-charge determines that it is appropriate for employees of
a different rank to conduct ceremonies, the district director or
officer-in-charge may make a request through the Commissioner to the
Assistant Commissioner, Adjudications, for permission to delegate such
authority. The request shall furnish the reasons for seeking exemption
from the requirements of this paragraph. The Commissioner may delegate
such authority to such other officers of the Service or the Department
of Justice as he may deem appropriate.
(56 FR 50500, Oct. 7, 1991)
08 CFR 337.3 Oath of allegiance administered to sick and disabled.
Whenever it appears that an applicant for naturalization may be
unable, because of sickness or other disability, to take the oath of
allegiance in a public ceremony, the district director shall cause an
investigation to be conducted to determine the circumstances surrounding
the sickness or disability. The district director shall also determine
whether, as a matter of discretion, the oath may be administered at
another place within his or her area of jurisdiction in the United
States. The exercise of this alternative method of administering the
oath shall be deemed appropriate only in those circumstances where the
sickness or other disability so incapacitates the applicant as to
prevent him or her from appearing at a public oath administration
ceremony.
(56 FR 50500, Oct. 7, 1991)
08 CFR 337.4 When requests for change of name granted.
When the court has granted the petitioner's change of name request,
the petitioner shall subscribe his or her new name to the written oath
of allegiance.
(56 FR 50500, Oct. 7, 1991)
337.5 -- 337.7 (Reserved)
08 CFR 337.8 Oath administered by the courts.
(a) An applicant for naturalization shall notify the Service at the
time of the filing of, or no later than at the examination on, the
application, of his or her election to have the oath of allegiance
administered in an appropriate court having jurisdiction over the
applicant's place of residence. In order to assist the applicant in
making an informed election, the Service shall advise the candidate for
naturalization of the upcoming administrative and court oath ceremonies
at which the applicant's naturalization may be scheduled if the
applicant is found eligible for naturalization.
(b) In those instances in which the applicant has elected to have the
oath administered in a court ceremony, the Service shall notify both the
applicant and the clerk of court, in writing, that the applicant has
been determined by the Attorney General to be eligible for admission to
United States citizenship upon taking the requisite oath of allegiance
and renunciation in a public ceremony to be scheduled by the court.
(c) After administering the oath of allegiance, the clerk of court
shall issue to each person appearing in such ceremonies a document
evidencing that such an oath was administered in accordance with 339.1
of this chapter and shall make and keep on file, as part of the court's
record system, evidence that such document was issued. The document
prepared by the clerk shall not constitute proof of naturalization, and
such document shall clearly reflect on its face the ceremonial nature of
the oath-taking. Such document shall not be considered as evidence of
United States citizenship.
(d) Within thirty days after the applicant has appeared in court to
take the oath, the clerk of the court that administered the oath shall
forward to the Service evidence of the oath having been administered, on
forms prescribed for such purpose. The court shall also advise the
Service of any change of name, or other judicial relief that may have
been granted by the court as part of the oath administration proceeding,
by forwarding a certified copy of the court order reflecting the
exercise of judicial authority in the matter.
(e) Upon receipt of written confirmation from the court that the oath
of allegiance has been administered, the Service shall deliver to the
applicant within a reasonable period thereafter, a Certificate of
Naturalization in accordance with part 338 of this chapter. The
presence of a Service employee at the judicial ceremony to assist in the
personal delivery of the Certificate of Naturalization shall not relieve
the clerk of court of the requirements of paragraph (d) of this section.
(56 FR 50500, Oct. 7, 1991)
08 CFR 337.9 Effective date of naturalization.
(a) An applicant for naturalization shall be deemed a citizen of the
United States as of the date on which the applicant takes the prescribed
oath of allegiance, administered either by the Service in an
administrative ceremony or in a ceremony conducted by an appropriate
court under 337.8.
(b) When the taking of the oath is waived for a child pursuant to
part 322 of this chapter, the child shall be deemed a citizen of the
United States as of the date upon which the waiver was granted by the
Service. The appearance of the child and the child's parent(s) at an
oath ceremony, if the oath is waived under this paragraph, is not
required. Nothing in this paragraph is to be construed as preventing
the appearance of the child and parent(s) at an oath ceremony.
(56 FR 50500, Oct. 7, 1991)
08 CFR 337.9 PART 338 -- CERTIFICATE OF NATURALIZATION
Sec.
338.1 Execution and issuance of certificate.
338.2 Execution in case name is changed.
338.3 Delivery of certificates.
338.4 Signing of certificate.
338.5 Correction of certificates.
338.6 -- 338.10 (Reserved)
338.11 Execution and Issuance of Certificate of Naturalization by
clerk of court.
338.12 Endorsement by clerk of court in case name is changed.
338.13 Spoiled certificate.
Authority: 8 U.S.C. 1103, 1443.
08 CFR 338.1 Execution and issuance of certificate.
(a) Issuance. When an applicant for naturalization has taken and
subscribed to the oath of allegiance in accordance with 337.1, 337.2,
and 337.3 of this chapter, a Certificate of Naturalization shall be
issued to the applicant by the Service. When the oath of allegiance was
taken before a Federal or State court in accordance with 337.8 of this
chapter, the Certificate shall not be issued until verification of the
date and place of oathtaking is received from the court. The
certificate shall be signed by the applicant. The Commissioner's
signature shall be affixed to the certificate.
(b) Execution of certificate. The certificate shall be issued to the
applicant in his or her true, full, and correct name as it exists at the
time of the administration of the oath of allegiance. The certificate
shall show, under ''former nationality,'' the name of the applicant's
last country of citizenship, as shown in the application and Service
records, even though the applicant may be stateless at the time of
admission to citizenship. Photographs shall be affixed to the
certificate in the manner provided by part 333 of this chapter. The
original certificate shall be delivered to the applicant in person or by
certified mail.
(56 FR 50501, Oct. 7, 1991)
08 CFR 338.2 Execution in case name is changed.
Whenever the name of an applicant has been changed by order of a
court as a part of a naturalization, the clerk of court, or his or her
authorized deputy, shall forward a copy of the order changing the
applicant's name with the notifications required by part 339 of this
chapter. The Certificate of Naturalization will be issued to the
applicant in the name as changed.
(56 FR 50501, Oct. 7, 1991)
08 CFR 338.3 Delivery of certificates.
No Certificate of Naturalization will be delivered in any case in
which the naturalized person has not surrendered his or her alien
registration receipt card to the Service. Upon a finding that the card
is destroyed or otherwise unavailable, the district director may waive
the surrender of the card and the Certificate of Naturalization shall
then be delivered to the naturalized person.
(56 FR 50501, Oct. 7, 1991)
08 CFR 338.4 Signing of certificate.
If a child who has been admitted to citizenship under section 322 of
the Act is unable to sign his or her name, the Certificate of
Naturalization must be signed by the citizen parent who submitted the
application for the child. The signature will read ''(name of
naturalized child) by (signature of parent)''. A naturalized person
whose application was signed in a foreign language may sign the
certificate of naturalization in the same manner.
(56 FR 50501, Oct. 7, 1991)
08 CFR 338.5 Correction of certificates.
(a) Whenever a Certificate of Naturalization has been delivered which
does not conform to the facts shown on the application for
naturalization, or a clerical error was made in preparing the
certificate, an application for issuance of a corrected certificate,
Form N-565, without fee, may be filed by the naturalized person. The
application shall be filed at the Service office having jurisdiction
over the place of residence of the applicant.
(b) If the certificate was originally issued by a clerk of court
under a prior statute and the district director finds that a correction
is justified and can be made without mutilating the certificate, he or
she shall authorize the clerk of the issuing court, or his or her
authorized deputy, on Form N-459, in duplicate, to make the necessary
correction and to place a dated endorsement on the reverse of the
certificate, over the clerk's or deputy's signature and the seal of the
court, explaining the correction. The authorization shall be filed with
the naturalization record of the court, the corrected certificate shall
be returned to the naturalized person, and the duplicate Form N-459
shall be endorsed to show the date and nature of the correction and
endorsement made, and then returned to the district director. No fee
shall be charged the naturalized person for the correction. The
district director shall forward the duplicate endorsed authorization to
the official Service file.
(c) If the certificate was originally issued by the Service, and the
district director finds that a correction was justified, the necessary
correction shall be made to the certificate and a dated endorsement made
on the reverse of the certificate, over the signature of the district
director and the seal of the Department of Justice. A notation
regarding the correction shall be placed on the Form N-565 which shall
be forwarded to the Service file.
(d) When a correction made pursuant to paragraph (b) or (c) of this
section would or does result in mutilation of a certificate, the
district director shall issue a replacement certificate on Form N-570
and the surrendered certificate shall be destroyed.
(e) The correction will not be deemed to be justified where the
naturalized person later alleges that the name or date of birth which
the applicant stated to be his or her correct name or date of birth at
the time of naturalization was not in fact his or her name or date of
birth at the time of the naturalization.
(56 FR 50501, Oct. 7, 1991)
338.6 -- 338.10 (Reserved)
08 CFR 338.11 Execution and Issuance of Certificate of Naturalization
by clerk of court.
(a) When a petitioner for naturalization, whose petition for
naturalization was filed prior to October 1, 1991, has taken and
subscribed to the oath of allegiance, and a final order of citizenship
has been signed by the court, a certificate of naturalization shall be
issued in duplicate by the clerk of court on Form N-550 (rev. 11-1-87)
or N-550C. If the court maintains naturalization records using the
certificate stub, the certificates and the stub of the original
certificate shall be signed by the petitioner. If the court maintains
naturalization records on an electronic database then only the
certificates shall be signed by the petitioner and the information
contained on the stub shall be entered into and maintained in the
court's electronic database.
(b) The certificate shall show under ''former nationality'' the name
of the country of which the petitioner was last a citizen, as shown on
the petition, even though the petitioner may have been stateless at the
time of admission to citizenship. The clerk of court or the authorized
deputy shall endorse the alien registration number on the certificate
stub, or if using automation equipment, ensure it is part of the
electronic database record. The clerk of court or the authorized deputy
shall personally sign the certificate, and ensure that the essential
facts from the certificate are on the stub or entered into the
electronic database record. Both certificates and stubs shall be
prepared in one operation unless an automated system is used.
Photographs shall be affixed to the original and duplicate certificates
in the manner prescribed in 8 CFR part 333.
(c) The stub of the original certificate or the information recorded
from the stub that is maintained on the electronic database shall be
retained by the clerk of court. Courts using the certificate stub shall
file and maintain the stub in a 3'' 5'' card file container. The
electronic record shall be maintained in an accessible database with a
back-up system to ensure protection and integrity of data. The original
certificate shall be delivered to the petitioner. The duplicate
certificate shall not be separated from the stub, and shall be forwarded
to the appropriate office of the Immigration and Naturalization Service
with all other duplicate papers or records in accordance with 8 CFR part
333.
(56 FR 30679, July 5, 1991, as amended at 56 FR 50501, Oct. 7, 1991)
08 CFR 338.12 Endorsement by clerk of court in case name is changed.
Whenever the name of a petitioner, whose petition for naturalization
was filed prior to October 1, 1991, has been changed by order of a court
as part of a naturalization, the clerk of court or his or her authorized
deputy shall make the following endorsement on the front of the original
and duplicate certificate of naturalization: ''Name changed by decree
of court from XXXX, as part of the naturalization.'' inserting in full
the original name of the petitioner. This notation will be inserted
immediately following the year of naturalization. If the stubs are
being kept as naturalization records, a similar notation will be made on
the stubs of the original and duplicate certificates, an the stub of the
original certificate will be signed by the petitioner in the name as
changed. If the court is using an electronic database for
naturalization recordkeeping, the name change information will be
maintained in that database. The original certificate will be issued
and the duplicate, with or without the stub, depending on the specific
courts recordkeeping system, will be sent to the Immigration and
Naturalization Service.
(56 FR 30680, July 5, 1991; 56 FR 38485, Aug. 13, 1991, as amended
at 56 FR 50501, Oct. 7, 1991)
08 CFR 338.13 Spoiled certificate.
Whenever a certificate of naturalization is damaged, mutilated,
defaced, or otherwise spoiled before delivery by the clerk, the original
and duplicate, with stubs intact, shall be marked ''Spoiled'' and
transmitted to the appropriate immigration and naturalization office, in
the manner described in 339.2 of this chapter, with the monthly report
of the clerk on Form N-4. This section applies to certificates prepared
by the clerk of court pursuant to 338.11.
(22 FR 9824, Dec. 6, 1957, as amended at 56 FR 50502, Oct. 7, 1991)
08 CFR 338.13 PART 339 -- FUNCTlONS AND DUTIES OF CLERKS OF COURT
REGARDING NATURALIZATION PROCEEDINGS
Sec.
339.1 Administration of oath of allegiance to applicants for
naturalization.
339.2 Monthly reports.
339.3 Relinquishment of naturalization jurisdiction.
339.4 Binding of naturalization records.
339.5 Recordkeeping.
Authority: 8 U.S.C. 1103, 1443, 1448.
08 CFR 339.1 Administration of oath of allegiance to applicants for
naturalization.
It shall be the duty of a judge of a court that administers an oath
of allegiance to insure that such oath is administered to each applicant
for naturalization who has chosen to appear before the court. The clerk
of court shall issue to each person to whom such an oath is administered
a written notification verifying that such an oath has been
administered. The written notification shall include the applicant's
correct name, record of any name change, date of the administration of
the oath, and the applicant's alien registration number.
(56 FR 50502, Oct. 7, 1991)
08 CFR 339.2 Monthly reports.
(a) Administration of oath of allegiance. The clerk of court shall
submit to the Service office having administrative jurisdiction over the
place in which the court is located, a monthly report of all applicants
who have had the oath of allegiance administered by that court. The
report shall include each applicant's name, change of name, alien
registration number, and date of the administration of the oath. The
report shall be submitted within 30 days after the close of the month in
which the oath was administered.
(b) Petitions filed for de novo hearings. The clerk of court shall
submit to the district director having administrative jurisdiction over
the place in which the court is located, a monthly report of all persons
who have filed de novo review petitions before the court. The report
shall include each petitioner's name, alien registration number, date of
filing of the petition for a de novo review, and, once an order has been
entered, the disposition.
(c) Reports relating to petitions filed prior to October 1, 1991.
The clerks of court shall, on the first day of each month, submit to the
district director or officer in charge having administrative
jurisdiction over the place in which the court is located, a report on
Form N-4, in duplicate, listing all certificates of naturalization
issued or spoiled pursuant to 338.11 of this chapter during the
preceding month in accordance with the instructions contained in Form
N-4. The report shall be accompanied by all duplicates of certificates
of naturalization with stubs intact.
(56 FR 50502, Oct. 7, 1991)
08 CFR 339.3 Relinquishment of naturalization jurisdiction.
Whenever a court relinquishes naturalization jurisdiction, the clerk
of court shall, within ten days following the date of relinquishment,
furnish the district director having administrative jurisdiction over
the place in which the court is located, a certified copy of the order
of court relinquishing jurisdiction. A representative of the Service
shall thereafter examine the naturalization records in the office of the
clerk of court and shall bind and lock them. The clerk of court shall
return all unused forms and blank certificates of naturalization to the
district director with his monthly report on Form N-4.
(22 FR 9825, Dec. 6, 1957)
08 CFR 339.4 Binding of naturalization records.
Whenever a volume of petitions for naturalization, applications to
take the oath of allegiance, declarations of intention, orders of court,
or other documents affecting or relating to the naturalization of
persons is completed, it shall be bound and locked by the clerk of
court.
(22 FR 9825, Dec. 6, 1957)
08 CFR 339.5 Recordkeeping.
The maintenance of records and submission of reports under this
chapter may be accomplished by either electronic or paper means.
(56 FR 50502, Oct. 7, 1991)
08 CFR 339.5 PART 340 -- REVOCATION OF NATURALIZATION
Authority: 8 U.S.C. 1103, 1443.
08 CFR 340.11 Reports.
Whenever it appears that any grant of naturalization may have been
illegally procured or procured by concealment of a material fact or by
willful misrepresentation, the facts shall be reported to the district
director having jurisdiction over the naturalized person's last known
place of residence in the United States. If the district director is
satisfied that a prima facie showing has been made that grounds for a
revocation exist, he or she shall report the facts in writing to the
regional commissioner with a recommendation as to whether a revocation
proceeding should be instituted. If it appears that naturalization was
procured in violation of section 1425 of title 18 of the United States
Code the facts in regard thereto may be presented by the district
director to the appropriate United States Attorney for possible criminal
prosecution. It shall be the responsibility of the district director to
advise the Service office that originated the information upon which the
revocation inquiry is based about the progress of the investigation and
report the findings of the inquiry as soon as practicable.
(29 FR 2740, Feb. 27, 1964, as amended at 56 FR 50502, Oct. 7, 1991)
08 CFR 340.11 PART 341 -- CERTIFICATES OF CITIZENSHIP
Sec.
341.1 Application.
341.2 Examination upon application.
341.3 Depositions.
341.4 Surrender of immigration documents.
341.5 Report and recommendation.
341.6 Denial of application.
341.7 Issuance of certificate.
Authority: 66 Stat. 173, 238, 254, 264, as amended; 8 U.S.C.
1103, 1409(c), 1443, 1444, 1448, 1452, 1455; 8 CFR part 2.
Source: 30 FR 5472, Apr. 16, 1965, unless otherwise noted.
08 CFR 341.1 Application.
Form N-600. An application for a certificate of citizenship by or in
behalf of a person who claims to have acquired United States citizenship
under section 309(c) or to have acquired or derived United States
citizenship as specified in section 341 of the Act shall be submitted on
Form N-600 in accordance with the instructions thereon, accompanied by
the fee specified in 103.7(b)(1) of this chapter. The application
shall be supported by documentary and other evidence essential to
establish the claimed citizenship, such as birth, adoption, marriage,
death, and divorce certificates.
(Approved by the Office of Management and Budget under control number
1115-0018)
(52 FR 19719, May 27, 1987)
08 CFR 341.2 Examination upon application.
(a) Personal appearance of applicant and parent or guardian -- (1)
When testimony may be omitted. An application received at a Service
office having jurisdiction over the applicant's residence may be
processed without interview if accompanied by one of the following:
(i) A Department of State Form FS-240 (Report of Birth Abroad of a
Citizen of the United States);
(ii) An unexpired United States passport issued initially for a full
five/ten-year period to the applicant as a citizen of the United States,
or
(iii) The applicant's parent(s)' naturalization certificate(s).
(2) Testimony required. Each applicant, when notified to do so,
shall appear in person before an officer for examination under oath or
affirmation upon the application. A person under 18 years of age must
have a parent or guardian apply, appear, and testify for the applicant,
unless one is unavailable and the district director is satisfied that
the applicant is old enough to provide reliable testimony. The same
rule will apply for incompetent applicants. At the examination the
applicant and the acting parent or guardian, if necessary, shall present
testimony and evidence pertinent to the claim to citizenship and shall
have the right to review and rebut any adverse evidence on file, and to
cross-examine witnesses called by the Government.
(b) Witness -- (1) Personal appearance. A witness shall be called to
testify under oath or affirmation at the district director's option only
if that person's testimony is needed to prove a particular point, and
only if alternative proof is unavailable or more difficult to produce
than is the witness.
(2) Substitution and waiver. When testimony is deemed necessary by
the district director and the presentation of the person or persons
through whom citizenship is claimed is precluded by reason of death,
refusal to testify, unknown whereabouts, advanced age, mental or
physical incapacity, or severe illness or infirmity, another witness or
witnesses shall be produced. A substitute witness also may be produced
in lieu of such person if such person is a member of the United States
Armed Forces serving outside the United States in an area where his
testimony could not be taken without imposing extreme hardship upon him,
or without unduly delaying action on the application, and no issue is
present which can be resolved only by this testimony.
(c) Proof. The burden of proof shall be upon the claimant, or his
parent or guardian if one is acting in his behalf, to establish the
claimed citizenship by a preponderance of the evidence.
(d) Assignment and authority of officer. A district director shall
assign an officer of the Service to conduct the examination provided for
in paragraphs (a) and (b) of this section. The assigned officer shall
have authority to administer oaths or affirmations; to present and
receive evidence; to rule upon offers of proof; to take or cause to be
taken depositions or interrogatories; to regulate the course of the
examination; to examine and cross-examine all witnesses appearing in
the proceedings; to grant or order continuances; to consider and rule
upon objections to the introduction of evidence; to make a report and
recommendation to the district director as to whether the application
shall be granted or denied, and to take such other action as may be
appropriate to the conduct of the examination and the disposition of the
application.
(e) Conduct of examination. The assigned officer shall, at the
commencement of the examination of the claimant or the acting parent or
guardian, advise them of their rights as set forth in paragraphs (a) and
(f) of this section, and shall interrogate them under oath or
affirmation with regard to each assertion made in the application and
any other matter pertinent to the claim to citizenship; in addition,
when a witness is deemed necessary, he shall interrogate each witness
with regard to pertinent matters within the personal knowledge of the
witness, such as the relationship between the claimant and the citizen
source or sources; the citizenship of the latter, and any possible
expatriatory acts performed by the claimant and the citizen source or
sources. He may, in his discretion, have a transcript made of the
testimony. At the conclusion of the examination of the claimant or the
action parent or guardian, all corrections made on the applications form
shall be consecutively numbered and recorded in the space provided
therefor in the form. The affidavit shall then be signed and sworn to
or affirmed by the claimant or the acting parent or guardian; and the
remainder of the affidavit completed and signed by the assigned officer.
(f) Representation during proceedings. The claimant shall have the
right to representation during the proceedings, as provided in part 292
of this chapter, and such representative shall have the right to examine
and cross-examine witnesses appearing in the proceedings; to introduce
evidence; to object to the introduction of evidence, which objections
shall be stated succinctly and entered on the record, and to submit
briefs. If the claimant is not represented by an attorney or
representative, the assigned officer shall assist him in the
introduction of all evidence available in his behalf.
(g) Assignment of additional officer. The district director may, in
his discretion, assign an officer of the Service to examine and
cross-examine the applicant and any witnesses produced by the applicant
or by the Government and present evidence pertinent to the applicant's
claim to citizenship. The officer of the Service assigned to conduct
the examination under this part may take such part in the proceedings as
he may deem necessary.
(30 FR 5472, Apr. 16, 1965; 30 FR 5621, Apr. 21, 1965, as amended at
32 FR 6260, Apr. 21, 1967; 45 FR 84011, Dec. 22, 1980; 51 FR 35629,
Oct. 7, 1986)
08 CFR 341.3 Depositions.
If satisfied that a witness whose testimony is essential is not
available for examination in the United States, the assigned officer may
authorize the taking of a deposition abroad by written interrogatories
before an officer of the Service or a United States consular official.
08 CFR 341.4 Surrender of immigration documents.
Each claimant shall surrender any immigration identification and
alien registration receipt cards in his possession.
08 CFR 341.5 Report and recommendation.
The officer assigned to act on the application shall report his/her
findings and recommendation by completing the Report and Recommendation
section of the Form N-600 application, or by formal order, as
appropriate. The record, including the report and recommendation, shall
be submitted to the distict director, who shall sign the report either
approving or disapproving the recommendation.
(50 FR 39649, Sept. 30, 1985; 50 FR 41480, Oct. 11, 1985)
08 CFR 341.6 Denial of application.
If it is the decision of the district director to deny the
application for a Certificate of Citizenship, the applicant shall be
furnished the reasons for denial and advised of the right to appeal in
accordance with the provisions of 8 CFR 103.3(a). After an application
for a Certifcate of Citizenship has been denied and the appeal time has
run, a second application submitted by the same individual shall be
rejected and the applicant instructed to submit a motion for reopening
or reconsideration in accordance with 8 CFR 103.5. The motion shall be
accompanied by the rejected application and the fee specified in 8 CFR
103.7 reduced by the amount of the fee paid with the rejected
application. A decision shall be issued with notification of appeal
rights in all Certificate of Citizenship cases, including any case
denied due to the applicant's failure to prosecute the application.
(50 FR 39649, Sept. 30, 1985)
08 CFR 341.7 Issuance of certificate.
(a) If the application is granted, a Certificate of Citizenship shall
be issued and, unless the claimant is unable by reason of mental
incapacity or young age to understand the meaning thereof, he or she
shall take and subscribe to the oath of renunciation and allegiance,
prescribed by part 337 of this chapter, before a member of the Service
within the United States. Thereafter, delivery of the certificate shall
be made in the United States to the claimant or the acting parent or
guardian, either personally or by certified mail.
(b) The child on whose behalf an application for issuance of a
Certificate of Citizenship is made pursuant to section 341(c) of the Act
must meet the requirements of section 341(c)(2) at the time the
application is approved. The child becomes a citizen of the United
States upon approval of the application. The Certificate of Citizenship
issued pursuant to such approval will reflect the approval date of the
application.
(55 FR 31037, July 31, 1990)
08 CFR 341.7 PART 342 -- ADMINISTRATIVE CANCELLATION OF CERTIFICATES,
DOCUMENTS, OR RECORDS
Sec.
342.1 Notice.
342.2 Service of notice.
342.3 Allegations admitted; no answer filed; no personal appearance
requested.
342.4 Answer asserting defense; personal appearance requested.
342.5 Conduct of examination.
342.6 Depositions.
342.7 Report and recommendation.
342.8 Appeals.
342.9 Notice re 18 U.S.C. 1428.
Authority: Secs. 103, 342, 66 Stat. 173, 263; 8 U.S.C. 1103, 1453.
Source: 28 FR 209, Jan. 9, 1963, unless otherwise noted.
08 CFR 342.1 Notice.
If it shall appear to a district director that a person has illegally
or fraudulently obtained or caused to be created a certificate,
document, or record described in section 342 of the Act, a notice shall
be served upon the person of intention to cancel the certificate,
document, or record. The notice shall contain allegations of the
reasons for the proposed action and shall advise the person that he may
submit, within 60 days of service of the notice, an answer in writing
under oath or affirmation showing cause why the certificate, document,
or record should not be canceled, that he may appear in person before a
naturalization examiner in support of, or in lieu of his written answer,
and that he may have present at that time, without expense to the
Government, an attorney or representative qualified under part 292 of
this chapter. In such proceedings the person shall be known as the
respondent.
(29 FR 5511, Apr. 24, 1964, as amended at 37 FR 2767, Feb. 5, 1972)
08 CFR 342.2 Service of notice.
(a) Service. The notice required by 342.1 shall be served
personally by an employee of the Government by delivery to the
respondent, or by delivery to a person of suitable age and discretion at
the respondent's dwelling house or usual place of abode, or by mailing
to the respondent's last known address by registered or certified mail,
return receipt requested.
(b) Proof of Service. The post office return receipt, or the
certificate of the employee serving the notice by personal delivery,
setting forth the date and manner of service, shall constitute proof of
service. In the case of a mentally incompetent respondent or a child
under 14 years of age, service shall be made upon his guardian, near
relative or friend, and the person so served shall be permitted to
appear on behalf of the respondent.
(29 FR 5511, Apr. 24, 1964)
08 CFR 342.3 Allegations admitted; no answer filed; no personal
appearance requested.
If the answer admits all material allegations in the notice, or if no
answer is filed within the 60-day period or any extension thereof and no
personal appearance is requested within such period or periods, it shall
be deemed to authorize the district director, without further notice to
respondent, to find the facts to be as alleged in the notice and to
cancel the certificate, document, or record. No appeal shall lie from
such decision. Written notice of the decision shall be served upon the
respondent with demand for surrender of the certificate, document, or
record forthwith.
08 CFR 342.4 Answer asserting defense; personal appearance requested.
If the respondent files an answer within the prescribed period
asserting a defense to the allegations in the notice, or requests a
personal appearance, with or without an answer, the district director
shall designate a naturalization examiner to consider the case. The
respondent shall be notified that he may appear in person or through
counsel with any witnesses and evidence in defense of the allegations,
and shall be informed of the date, time, and place for such appearance.
08 CFR 342.5 Conduct of examination.
(a) Authority of naturalization examiner. The naturalization
examiner assigned to consider the case shall have authority to
administer oaths or affirmations to respondent and witnesses, issue
subpoenas, present and receive evidence, rule upon offers of proof, take
or cause depositions or interrogatories to be taken, regulate the course
of the examination, take testimony of respondent and witnesses, grant
continuances, consider and rule upon objections to the introduction of
evidence, make recommendations to the district director as to whether
cancellation shall be ordered or the proceedings terminated, and to take
any other action as may be appropriate to the conduct and disposition of
the case.
(b) Assignment of additional officer. The district director may, in
his discretion, assign an officer of the Service to examine and
cross-examine the respondent and witnesses and to present evidence
pertinent to the case. The naturalization examiner designated under
342.4 may take such part in the proceedings as he may deem necessary.
(c) Examination. The naturalization examiner designated under 342.4
shall, prior to commencement of the examination, make known to the
respondent his official capacity and that of any officer assigned
pursuant to paragraph (b) of this section, the nature of the
proceedings, his right to representation by counsel, to examine or
object to evidence against him, to present evidence in his own behalf,
to cross-examine witnesses presented by the Government, and shall read
the allegations in the notice to respondent and, if necessary, explain
them to him. The respondent shall be asked whether he admits or denies
the material allegations in the notice, or any of them, and whether he
concedes illegality or fraud. If respondent admits all the material
allegations and that the certificate, document, or record was procured
by fraud or illegality, and no issue of law or fact remains, the
naturalization examiner may determine that fraud or illegality has been
established on the basis of the respondent's admissions. The
allegations in the notice shall be taken as admitted if respondent,
without reasonable cause, fails or refuses to attend or remain in
attendance at the examination. The examination shall be recorded
verbatim except for statements made off the record with the permission
of the naturalization examiner.
(d) Prior statements. The naturalization examiner assigned to
consider the case may receive in evidence any oral or written statement
which is material and relevant to any issue in the case previously made
by the respondent or by any other person during any investigation,
examination, hearing, trial, proceeding, or interrogation.
(28 FR 209, Jan. 9, 1963, as amended at 32 FR 3340, Feb. 28, 1967)
08 CFR 342.6 Depositions.
Upon good cause shown, the testimony of any witness may be taken by
depositions, either orally or upon written interrogatories before a
person having authority to administer oaths (affirmations), as may be
designated by the naturalization examiner.
(37 FR 2767, Feb. 5, 1972)
08 CFR 342.7 Report and recommendation.
The naturalization examiner shall prepare a report summarizing the
evidence, discussing the applicable law, and containing his findings and
recommendations. The record, including the report and recommendation,
shall be forwarded to the district director, who shall sign the report,
either approving or disapproving the recommendation. If the decision of
the district director is that the proceedings be terminated, the
respondent shall be so informed.
08 CFR 342.8 Appeals.
Should the district director find that the certificate, document, or
record was fraudulently or illegally obtained, he shall enter an order
that it be cancelled and the certificate or document surrendered to the
Service forthwith. Written notification of such action shall be given
the respondent, with a copy of the decision, findings and decision of
the district director, and he shall be informed of his right of appeal
in accordance with the provisions of part 103 of this chapter.
08 CFR 342.9 Notice re 18 U.S.C. 1428.
The notice to surrender a cancelled certificate of citizenship or
copy thereof, prescribed by section 1428 of Title 18 of the United
States Code, shall be given by the district director in whose district
the person who has possession or control of such document resides.
(28 FR 9282, Aug. 23, 1963)
08 CFR 342.9 PART 343 -- CERTIFICATE OF NATURALIZATION OR REPATRIATION;
PERSONS WHO RESUMED CITIZENSHIP UNDER SECTION 323 OF THE NATIONALITY
ACT OF 1940, AS AMENDED, OR SECTION 4 OF THE ACT OF JUNE 29, 1906
Authority: Secs. 103, 332, 343, 344, 405, 66 Stat. 173, 252, 263,
264, 280; 8 U.S.C. 1101, 1103, 1443, 1454, 1455.
08 CFR 343.1 Application.
A person who lost citizenship of the United States incidental to
service in one of the allied armies during World War I or II, or by
voting in a political election in a country not at war with the United
States during World War II, and who was naturalized under the provisions
of section 323 of the Nationality Act of 1940, as amended, or a person
who, before January 13, 1941, resumed United States citizenship under
the twelfth subdivision of section 4 of the act of June 29, 1906, may
obtain a certificate evidencing such citizenship by making application
therefor on Form N-580. The applicant shall be required to appear in
person before an assigned officer for interrogation under oath or
affirmation upon the application. When the application is approved, a
certificate of naturalization or repatriation shall be issued and
delivered in person, in the United States only, upon the applicant's
signed receipt therefor. If the application is denied, the applicant
shall be notified of the reasons therefor and his right to appeal in
accordance with the provisions of part 103 of this chapter.
(23 FR 9125, Nov. 26, 1958, as amended at 32 FR 9635, July 4, 1967)
08 CFR 343.1 PART 343a -- NATURALIZATION AND CITIZENSHIP PAPERS LOST,
MUTILATED, OR DESTROYED; NEW CERTIFICATE IN CHANGED NAME; CERTIFIED
COPY OF REPATRIATION PROCEEDINGS
Sec.
343a.1 Application for replacement of or new papers relating to
naturalization, citizenship, or repatriation.
343a.2 turn or replacement of surrendered certificate of
naturalization or citizenship.
Authority: Secs. 103, 324, 332, 343, 344, 405, 66 Stat. 173, 246,
247, 252, 263, 264, 265, 280; 8 U.S.C. 1101 note, 1103, 1435, 1443,
1454, 1455.
08 CFR 343a.1 Application for replacement of or new papers relating to
naturalization, citizenship, or repatriation.
(a) Lost, mutilated, or destroyed naturalization papers. A person
whose declaration of intention, certificate of naturalization,
citizenship, or repatriation, or whose certified copy of proceedings
under the act of June 25, 1936, as amended, or under section 317(b) of
the Nationality Act of 1940, or under section 324(c) of the Immigration
and Nationality Act, or under the provisions of any private law, has
been lost, mutilated, or destroyed, shall apply on Form N-565 for a new
paper in lieu thereof.
(b) New certificate in changed name. A naturalized citizen whose
name has been changed after naturalization by order of court or by
marriage shall apply on Form N-565 for a new certificate of
naturalization, or of citizenship, in the changed name.
(c) Disposition. The applicant shall only be required to appear in
person before an officer for interview under oath or affirmation in
specific cases. Those cases which necessitate an interview enabling an
officer to properly adjudicate the application at the office having
jurisdiction will be determined by a supervising officer. If an
application for a new certificate of naturalization, citizenship, or
repatriation or a new declaration of intention is approved, the new
certificate or declaration shall be issued and delivered by personal
service in accordance with 103.5a(a)(2) of this chapter. If an
application for a new certified copy of the proceedings under the Act of
June 25, 1936, as amended, or under section 317(b) of the Nationality
Act of 1940, or under section 324(c) of the Immigration and Nationality
Act, or under the provisions of any private law is approved, a certified
positive photocopy of the record of the proceedings filed with the
Service shall be issued. If, subsequent to naturalization or
repatriation, the applicant's name was changed by marriage, the
certification of the positive photocopy shall show both the name in
which the proceedings were conducted and the changed name. The new
certified copy shall be personally delivered to the applicant upon his
or her signed receipt therefor. If the application is denied, the
applicant shall be notified of the reasons therefor and of the right to
appeal in accordance with the provisions of part 103 of this chapter.
(23 FR 9125, Nov. 26, 1958, as amended at 32 FR 9635, July 7, 1967;
51 FR 35629, Oct. 7, 1986)
08 CFR 343a.2 Return or replacement of surrendered certificate of
naturalization or citizenship.
A certificate of naturalization or citizenship which is contained in
a Service file, and which was surrendered on a finding that loss of
nationality occurred directly or through a parent as a result of the
application of any of the following sections of law may, upon request,
be returned to the person to whom it was originally issued,
notwithstanding the fact that he or she has since been naturalized or
repatriated in the United States or abroad:
(a) Section 404 (b) or (c) of the Nationality Act of 1940;
(b) Section 352 of the Immigration and Nationality Act, which was
invalidated by Schneider v. Rusk, 377 U.S. 163;
(c) Section 401(e) of the Nationality Act of 1940;
(d) Section 349(a)(5) of the Immigration and Nationality Act, which
was invalidated by Afroyim v. Rusk, 387 U.S. 253;
(e) Section 301(b) of the Immigration and Nationality Act
(f) Section 301(c) of the Immigration and Nationality Act relative to
persons born after May 24, 1934, which was invalidated by amendment to
section 301(b) on October 27, 1972, Public Law 92-584.
If, after having been surrendered to the Department of State or to
the Service, the certificate was lost, mutilated, or destroyed as a
result of action by the Service or that Department, a replacement
certificate may be issued in the name shown in the surrendered
certificate without fee and without requiring the submission of Form
N-565. A surrendered certificate shall not be regarded as mutilated and
a replacement shall not be issued solely because of holes made in it to
accommodate a fastener, unless the citizen declines to accept the return
of the surrendered certificate in that condition and insists upon
issuance of a replacement. When it is desired that the replacement
certificate be furnished in a name other than the one shown in the
surrendered certificate, the regular application procedure with payment
of fee must be followed.
(51 FR 35629, Oct. 7, 1986)
08 CFR 343a.2 PART 343b -- SPECIAL CERTIFICATE OF NATURALIZATION FOR
RECOGNITION BY A FOREIGN STATE
Sec.
343b.1 Application.
343b.2 Number of applications required.
343b.3 Interrogation.
343b.4 Applicant outside of United States.
343b.5 Verification of naturalization.
343b.11 Disposition of application.
Authority: 8 U.S.C. 1103, 1443, 1454, 1455.
08 CFR 343b.1 Application.
A naturalized citizen who desires to obtain recognition as a citizen
of the United States by a foreign state shall submit an application on
Form N-565. He shall not be furnished with verification of his
naturalization for such purpose in any other way. An applicant who is a
claimant against a foreign government for property damage pursuant to
the provisions of a peace treaty shall not be requested to furnish the
name, official title, and address of a foreign official unless such
information is available when the investigation of the applicant is
conducted. The applicant shall be required to appear in person before
an assigned officer for interrogation under oath or affirmation upon the
application.
(32 FR 9636, July 4, 1967, as amended at 56 FR 50502, Oct. 7, 1991)
08 CFR 343b.2 Number of applications required.
A special certificate of naturalization is delivered to one foreign
government official only. An applicant who desires recognition as a
U.S. citizen by more than one foreign official, whether in the same
country or not, must file a separate application for each certificate
required.
(32 FR 9636, July 4, 1967)
Editorial Note: At 56 FR 50502, Oct. 7, 1991, the Immigration and
Naturalization Service attempted to amend 343b.2 by removing the form
number ''N-577'' and replacing it with ''N-565''; however, because this
referece does not exist at this location, this amendment could not be
incorporated. INS will publish a document at a later date correctly
amending 343b.2.
08 CFR 343b.3 Interrogation.
When Form N-577 presents a prima facie case, it shall be forwarded to
the district director, without first interrogating the applicant, for
issuance of the certificate. Interrogation of the applicant shall be
conducted before the application is forwarded if he appears in person to
file the application or if it is necessary in order to properly
adjudicate the case. In that event the officer interviewing the
applicant will complete the report on page 2 of Form N-577 before
transmitting the application to the district director. In all other
cases the interview shall take place at any time before the certificate
is transmitted to the State Department (unless the applicant is abroad)
and the report completed after the interview.
(32 FR 9636, July 4, 1967)
08 CFR 343b.4 Applicant outside of United States.
If the application is received by a Service officer stationed outside
the United States, he shall, when practicable, interrogate the applicant
before the application is forwarded to the district director in the
United States having jurisdiction over the applicant's place of
residence for issuance of the certificate. When such interrogation is
not practicable, or is not conducted because the application is
submitted directly to the Commissioner or a district director of the
Service in the United States, the certificate may nevertheless be issued
and the recommendation conditioned upon satisfactory interrogation by a
State Department representative. When forwarding the certificate in
such a case, the Secretary of State shall be informed that the applicant
has not been interviewed, and requested to have his representative
abroad interview the applicant regarding identity and possible
expatriation. If identity is not established or if expatriation has
occurred, the request shall be made that the certificate be returned to
the Service.
(37 FR 7584, Apr. 18, 1972)
08 CFR 343b.5 Verification of naturalization.
The application shall not be granted without first obtaining
verification of the applicant's naturalization.
(32 FR 9636, July 4, 1967)
08 CFR 343b.11 Disposition of application.
(a) Issuance of certificate. If the application is granted, a
special certificate of naturalization of Form N-578 shall be issued by
the district director and forwarded to the Secretary of State for
transmission to the proper authority of the foreign state. The district
director shall forward the original certificate by letter, in
triplicate, to the Secretary of State, Attention: Office of Citizens'
Consular Service, Department of State, Washington, DC 20520; forward
the application and the duplicate certificate to the official Service
file, and send Form N-568 to the applicant.
(b) Application denied. If the application is denied, the applicant
shall be notified of the reasons therefor and of his right to appeal in
accordance with the provisions of part 103 of this chapter.
(23 FR 9126, Nov. 26, 1958 and 32 FR 9636, July 4, 1967, as amended
at 36 FR 11636, June 17, 1971; 45 FR 38340, June 9, 1980)
08 CFR 343b.11 PART 343c -- CERTIFICATIONS FROM RECORDS
Authority: 5 U.S.C. 552 (80 Stat. 383); as amended by Pub. L.
93-502 (88 Stat. 1561); sec. 103 Immigration and Nationality Act (66
Stat. 173; 8 U.S.C. 1103).
08 CFR 343c.1 Application for certification of naturalization record of
court or certificate of naturalization or citizenship.
An application for certification of a naturalization record of any
court, or of any part thereof, or of any certificate of naturalization,
repatriation, or citizenship, under section 343(e) of the Act for use in
complying with any statute, Federal or State, or in any judicial
proceeding, shall be made on Form G-641.
(40 FR 50703, Oct. 31, 1975)
08 CFR 343c.1 PART 349 -- LOSS OF NATIONALITY
Authority: Sec. 103, 66 Stat. 173; 8 U.S.C. 1103. Interprets or
applies 401(i), 54 Stat. 1169; 8 U.S.C. 801, 1946 ed.
08 CFR 349.1 Japanese renunciation of nationality.
A Japanese who renounced United States nationality pursuant to the
provisions of section 401(i), Nationality Act of 1940, who claims that
his renunciation is void, shall complete Form N-576, Supplemental
Affidavit to be Submitted with Applications of Japanese Renunciants.
The affidavit shall be submitted to the Assistant Attorney General,
Civil Division, Department of Justice, Washington, DC 20530, with a
covering letter requesting a determination of the validity of the
renunciation.
(32 FR 9636, July 4, 1967)
08 CFR 349.1 PART 392 -- SPECIAL CLASSES OF PERSONS WHO MAY BE
NATURALIZED: PERSONS WHO DIE WHILE SERVING ON ACTIVE DUTY WITH THE
UNITED STATES ARMED FORCES DURING CERTAIN PERIODS OF HOSTILITIES
Sec.
392.1 Definitions.
392.2 Eligibility for posthumous citizenship.
392.3 Application for posthumous citizenship.
392.4 Issuance of a certificate of citizenship.
Authority: 8 U.S.C. 1103, 1440 and note, and 1440-1; 8 CFR part 2.
Source: 56 FR 22822, May 17, 1991, unless otherwise noted.
08 CFR 392.1 Definitions.
As used in this part:
Active-duty status means full-time duty in the active military
service of the United States, and includes full-time training duty,
which constitutes qualifying service under section 329(a) of the Act.
Active service in the United States Coast Guard during one of the
periods of hostilities specified herein shall constitute service in the
military, air, or naval forces of the United States. Active-duty status
also includes annual training duty and attendance, while in the active
military service, at a service school designated by the military
authorities under 10 U.S.C. 101(22). The order of a national guardsman
into active duty for training under 10 U.S.C. 672 constitutes service in
active-duty status in the military forces of the United States. Active
duty in a noncombatant capacity is qualifying service.
Decedent means the person on whose behalf an application for a
certificate of posthumous citizenship is made.
Induction, enlistment, and reenlistment, refer to the decedent's
place of entry into active duty military service.
Korean Hostilities relates to the period from June 25, 1950, to July
1, 1955, inclusive.
Lodge Act means the Act of June 30, 1950, which qualified for
naturalization nonresident aliens who served honorably for 5 years in
the United States Army during specified periods, notwithstanding that
they never formally became lawful permanent residents of the United
States.
Next-of-kin means the closest surviving blood or legal relative of
the decedent in the following order of succession:
(1) The surviving spouse;
(2) The decedent's surviving son or daughter, if the decedent has no
surviving spouse;
(3) The decedent's surviving parent, if the decedent has no surviving
spouse or sons or daughters; or,
(4) The decedent's surviving brother or sister, if none of the
persons described in paragraphs (1) through (3) of this definition
survive the decedent.
Other periods of military hostilities means any period designated by
the President under Executive Order as a period in which Armed Forces of
the United States are or were engaged in military operations involving
armed conflict with a hostile foreign force.
Representative means:
(1) The duly appointed executor or administrator of the decedent's
estate, including a special administrator appointed for the purpose of
seeking the decedent's naturalization; or,
(2) The duly appointed guardian, conservator, or committee of the
decedent's next-of-kin; or,
(3) A service organization listed in 38 U.S.C. 3402, or chartered by
Congress, or State, or other service organization recognized by the
Department of Veterans Affairs.
Vietnam Hostilities relates to the period from February 28, 1961, to
October 15, 1978, inclusive.
World War I relates to the period from April 6, 1917, to November 11,
1918, inclusive.
World War II relates to the period from September 1, 1939, to
December 31, 1946, inclusive.
08 CFR 392.2 Eligibility for posthumous citizenship.
(a) General. Any alien or noncitizen national of the United States
is eligible for posthumous United States citizenship who:
(1) Served honorably in an active-duty status with the military, air,
or naval forces of the United States during World War I, World War II,
the Korean Hostilities, the Vietnam Hostilities, or in other periods of
military hostilities designated by the President under Executive Order;
and,
(2) Died as a result of injury or disease incurred in or aggravated
by service in the United States Armed Forces during a period of military
hostilities listed in paragraph (a)(1) of this section. Where the
person died subsequent to separation from military service, the death
must have resulted from an injury or disease that was sustained,
acquired, or exacerbated during active-duty service in a qualifying
period of military hostilities as specified in this part.
(b) Qualifying enlistment. In conjunction with the qualifying
service as described in paragraph (a)(1) of this section, the decedent
must have:
(1) Enlisted, reenlisted, or been inducted in the United States, the
Canal Zone, American Samoa, or Swains Island;
(2) Been lawfully admitted to the United States for permanent
residence, at any time; or,
(3) Enlisted or reenlisted in the United States Army pursuant to the
provisions of the Lodge Act. In such case, the decedent shall be
considered to have been lawfully admitted to the United States as a
permanent resident for purposes of this section, provided he or she:
(i) Entered the United States, its outlying possessions, or the Canal
Zone, at some time during the period of army service, pursuant to
military orders; and
(ii) Was honorably discharged following completion of at least 5 full
years of active duty service, even though the active-duty service may
not have occurred during a qualifying period of hostilities specified in
section 329(a) of the Act.
(c) Character of military service. Where the character of military
service is not certified as honorable by the executive department under
which the person served, or where the person was dishonorably discharged
or discharged under conditions other than honorable, such service shall
not satisfy the requirement of paragraph (a)(1) of this section.
(d) Certification of eligibility. (1) The executive department under
which the decedent served shall determine whether:
(i) The decedent served honorably in an active-duty status;
(ii) The separation from such service was under honorable conditions;
and,
(iii) The decedent died as a result of injury or disease incurred in,
or aggravated by active duty service during a qualifying period of
military hostilities.
(2) The certification required by section 329A(c)(2) of the Act to
prove military service and service-connected death shall be requested by
the applicant on Form N-644, Application for Posthumous Citizenship.
Form N-644 shall also be used to verify the decedent's place of
induction, enlistment or reenlistment.
08 CFR 392.3 Application for posthumous citizenship.
(a) Persons who may apply. (1) Only one person who is either the
next-of-kin or another representative of the decedent shall be permitted
to apply for posthumous citizenship on the decedent's behalf. A person
who is a next-of-kin who wishes to apply for posthumous citizenship on
behalf of the decedent, shall, if there is a surviving next-of-kin in
the line of succession above him or her, be required to obtain
authorization to make the application from all surviving next-of-kin in
the line of succession above him or her. The authorization shall be in
the form of an affidavit stating that the affiant authorizes the
requester to apply for posthumous citizenship on behalf of the decedent.
The affidavit must include the name and address of the affiant, and the
relationship of the affiant to the decedent.
(2) When there is a surviving next-of-kin, an application for
posthumous citizenship shall only be accepted from a representative
provided authorization has been obtained from all surviving next-of-kin.
However, this requirement shall not apply to the executor or
administrator of the decedent's estate. In the case of a service
organization acting as a representative, authorization must also have
been obtained from any appointed representative. A veterans service
organization must submit evidence of recognition by the Department of
Veterans Affairs.
Once the Service has granted posthumous citizenship to a person, no
subsequent applications on his or her behalf shall be approved, nor
shall any additional original certificates be issued, except in the case
of an application for issuance of a replacement certificate for one
lost, mutiliated, or destroyed.
(b) Filing of application. (1) An application for posthumous
citizenship shall be submitted by mail on Form N-644, according to the
instructions on the form, to the INS Service Center having jurisdiction
over the applicant's state of residence. Persons residing outside the
United States must mail their applications to any one of the four
Service Centers.
(2) Form N-644 must be accompanied by the appropriate fee specified
by and remitted in accordance with the provisions of 103.7 (a) and (b)
of this chapter. The fee may not be waived or refunded. To facilitate
the certification process, a legible copy of each of the following
documents, if available, should be submitted with Form N-644:
(i) DD Form 214, Certificate of Release or Discharge from Active
Duty;
(ii) DD Form 1300, Report of Casualty/Military Death Certificate;
or,
(iii) Other military or State-issued death certificate.
(c) Application period for requesting posthumous citizenship. Form
N-644 shall be filed with the appropriate INS Service Center not later
than March 5, 1992, or 2 years after the date of the person's death,
whichever date is later.
(d) Denial of application. When the application is denied, the
applicant shall be notified of the decision and the reason(s) for
denial. There is no appeal from the denial of an application under this
part.
08 CFR 392.4 Issuance of a certificate of citizenship.
(a) Approval of application. If the application (Form N-644) is
approved, the director of the Service Center shall issue a Certificate
of Citizenship, Form N-645, to the applicant, in the name of the
decedent.
(b) Delivery of certificate. Delivery of the Certificate of
Citizenship shall be made by registered mail to the address designated
by the applicant. If the applicant resides outside the United States,
the certificate shall be sent by registered mail to the Service office
abroad, if one is located where delivery is to be made; otherwise, it
shall be forwarded to the nearest American Embassy or Consulate.
(c) Effective date of citizenship. Where the Service has approved an
Application for Posthumous Citizenship (Form N-644), the decedent shall
be considered a United States citizen as of the date of his or her
death.
(d) Ineligibility for immigration benefits. The granting of
posthumous citizenship under section 329A of the Immigration and
Naturalization Act, as amended, and issuance of a certificate under
paragraph (a) of this section, shall not entitle the surviving spouse,
parent, son, daughter, or other relative of the decedent to any benefit
under any provision of the Act. Nor shall such grant make applicable
the provisions of section 319(d) of the Act to the surviving spouse.
(e) Replacement certificate. An application for a replacement
Certificate of Citizenship (Form N-645) shall be made on Form N-565,
Application for a New Naturalization or Citizenship Paper, for a lost,
mutilated, or destroyed certificate. Form N-565 shall be completed
according to the instructions on the form and submitted by mail with the
appropriate fee to the INS Service Center having jurisdiction over the
applicant's state of residence. Persons residing outside the United
States must mail their application to the Service Center that issued the
original certificate.
08 CFR 392.4 PART 499 -- NATIONALITY FORMS
Authority: 8 U.S.C. 1103; 8 CFR part 2.
08 CFR 499.1 Prescribed forms.
The forms listed below are hereby prescribed for use in compliance
with the provisions of this subchapter C. To the maximum extent
feasible the forms used should bear the edition date shown or a
subsequent edition date.
G-639 (6-12-82) -- Freedom of Information/Privacy Act Request.
G-652 (2-1-78) -- Affidavit of Identity.
G-658 (11-1-75) -- Record of Information Disclosure (Privacy Act).
I-138 (11-5-70) -- Subpoena.
M-288 (1987) -- United States History 1600-1987, Level II.
M-289 (1987) -- United States History 1600-1987, Level I.
M-290 (1987) -- U.S. Government Structure, Level II.
M-291 (1987) -- U.S. Government Structure, Level I.
M-302 (3-16-89) -- For The People * * *, U.S. Citizenship Education
and Naturalization Information.
M-303 (3-16-89) -- By The People * * *, U.S. Government Structure.
M-304 (3-16-89) -- Of The People * * *, U.S. History 1600-1988.
N-3 (1-30-83) -- Requisition for Forms and Binders.
N-4 (12-31-82) -- Monthly Report -- Naturalization Papers Forwarded.
N-5 (12-24-52) -- Continuation Sheet of Monthly Report --
Naturalization Papers Forwarded.
N-300 (5-5-83) -- Application to File Declaration of Intention.
N-336 ( ) -- Request for Hearing on a Decision in Naturalization
Proceedings under section 336 of the Act.
N-400 (12-5-86) -- Application for Naturalization.
N-404 (8-1-65) -- Request for Withdrawal of Petition for
Naturalization.
N-410 (5-5-83) -- Motion for Amendment of Petition (application).
N-425 (2-12-82) -- Notice to Petitioner of Proposed Recommendation of
Denial of Petition for Naturalization.
N-426 (5-12-77) -- Certification of Military or Naval Service.
N-445 (4-15-82) -- Notice to Petitioner to Appear in Court for Final
Hearing on Petition for Naturalization, and Questionnaire to be
Submitted by Petitioner at the Final Hearing or to Applicant to Appear
for Oath Ceremony, and Questionnaire to be Submitted at the Oath
Ceremony.
N-445B (4-20-82) -- Notice to Petitioner to Appear in Court for Final
Hearing on Petition for Naturalization Filed in Behalf of his Natural or
Adopted Child, and Questionnaire to be Submitted by Petitioner at the
Final Hearing.
N-455 (5-5-83) -- Application for Transfer of Petition for
Naturalization.
N-458 (1-30-83) -- Application to Correct Certificate of
Naturalization.
N-459 (12-15-58) -- Authorization to Clerk of Court to Correct
Certificate of Naturalization.
N-470 (5-5-83) -- Application to Preserve Residence for
Naturalization Purposes (under Sec. 316(b) or 317, Immigration and
Nationality Act).
N-472 (4-5-82) -- Approval of Application to Preserve Residence for
Naturalization Purposes.
N-480 (2-5-68) -- Naturalization Petitions Recommended to be Granted
(and) Order of Court Granting Petitions for Naturalization.
N-481 (9-20-67) -- Naturalization Petitions Recommended to be
Granted. (Continuation Sheet)
N-484 (2-5-68) -- Naturalization Petitions Recommended to be Denied
(and) Order of Court Denying Petitions for Naturalization.
N-485 (2-5-68) -- Naturalization Petitions Recommended to be Granted
(on behalf of children) (and) Order of Court Granting Petitions for
Naturalization.
N-550 (3-1-80) -- Certificate of Naturalization.
N-565 (5-5-83) -- Application to Replace a Naturalization/Citizenship
Certificate.
N-578 (10-3-62) -- Special Certificate of Naturalization.
N-600 (5-5-83) -- Application for Certificate of Citizenship.
N-642 (4-14-88) -- Data Sheet for Derivative Citizenship.
N-643 (4-14-88) -- Application for Certificate of Citizenship in
behalf of an Adopted Child.
N-644 ( ) -- Application for Posthumous Citizenship.
N-645 ( ) -- Certificate of Citizenship.
(49 FR 7104, Feb. 27, 1984, as amended at 53 FR 33445, Aug. 31, 1988;
54 FR 7174, Feb. 17, 1989; 55 FR 12629, Apr. 5, 1990; 56 FR 22824,
May 17, 1991; 56 FR 50502, 50503, Oct. 7, 1991)
08 CFR 499.1 FINDING AIDS
A list of CFR titles, subtitles, chapters, subchapters and parts and
an alphabetical list of agencies publishing in the CFR are included in
the CFR Index and Finding Aids volume to the Code of Federal Regulations
which is published separately and revised annually.
Table of CFR Titles and Chapters
Alphabetical List of Agencies Appearing in the CFR
List of CFR Sections Affected
Chap.
08 CFR 499.1 Table of CFR Titles and Chapters
08 CFR 499.1 Title 1 -- General Provisions
I Administrative Committee of the Federal Register (Parts 1 -- 49)
II Office of the Federal Register (Parts 50 -- 299)
III Administrative Conference of the United States (Parts 300 -- 399)
IV Miscellaneous Agencies (Parts 400 -- 500)
08 CFR 499.1 Title 2 -- (Reserved)
08 CFR 499.1 Title 3 -- The President
I Executive Office of the President (Parts 100 -- 199)
08 CFR 499.1 Title 4 -- Accounts
I General Accounting Office (Parts 1 -- 99)
II Federal Claims Collection Standards (General Accounting Office --
Department of Justice) (Parts 100 -- 299)
III General Accounting Office (CASB) (Parts 300 -- 499)
08 CFR 499.1 Title 5 -- Administrative Personnel
I Office of Personnel Management (Parts 1 -- 1199)
II Merit Systems Protection Board (Parts 1200 -- 1299)
III Office of Management and Budget (Parts 1300 -- 1399)
IV Advisory Committee on Federal Pay (Parts 1400 -- 1499)
V The International Organizations Employees Loyalty Board (Parts 1500
-- 1599)
VI Federal Retirement Thrift Investment Board (Parts 1600 -- 1699)
VII Advisory Commission on Intergovernmental Relations (Parts 1700 --
1799)
VIII Office of Special Council (Parts 1800 -- 1899)
IX Appalachian Regional Commission (Parts 1900 -- 1999)
XI United States Soldiers' and Airmen's Home (Parts 2100 -- 2199)
XIV Federal Labor Relations Authority, General Counsel of the Federal
Labor Relations Authority and Federal Service Impasses Panel (Parts 2400
-- 2499)
XV Office of Administration, Executive Office of the President (Parts
2500 -- 2599)
XVI Office of Government Ethics (Parts 2600 -- 2699)
08 CFR 499.1 Title 6 -- (Reserved)
08 CFR 499.1 Title 7 -- Agriculture
Subtitle A -- Office of the Secretary of Agriculture (Parts 0 -- 26)
Subtitle B -- Regulations of the Department of Agriculture
I Agricultural Marketing Service (Standards, Inspections, Marketing
Practices), Department of Agriculture (Parts 27 -- 209)
II Food and Nutrition Service, Department of Agriculture (Parts 210
-- 299)
III Animal and Plant Health Inspection Service, Department of
Agriculture (Parts 300 -- 399)
IV Federal Crop Insurance Corporation, Department of Agriculture
(Parts 400 -- 499)
V Agricultural Research Service, Department of Agriculture (Parts 500
-- 599)
VI Soil Conservation Service, Department of Agriculture (Parts 600 --
699)
VII Agricultural Stabilization and Conservation Service (Agricultural
Adjustment), Department of Agriculture (Parts 700 -- 799)
VIII Federal Grain Inspection Service, Department of Agriculture
(Parts 800 -- 899)
IX Agricultural Marketing Service (Marketing Agreements and Orders;
Fruits, Vegetables, Nuts), Department of Agriculture (Parts 900 -- 999)
X Agricultural Marketing Service (Marketing Agreements and Orders;
Milk), Department of Agriculture (Parts 1000 -- 1199)
XI Agricultural Marketing Service (Marketing Agreements and Orders;
Miscellaneous Commodities), Department of Agriculture (Parts 1200 --
1299)
XIV Commodity Credit Corporation, Department of Agriculture (Parts
1400 -- 1499)
XV Foreign Agricultural Service, Department of Agriculture (Parts
1500 -- 1599)
XVI Rural Telephone Bank, Department of Agriculture (Parts 1600 --
1699)
XVII Rural Electrification Administration, Department of Agriculture
(Parts 1700 -- 1799)
XVIII Farmers Home Administration, Department of Agriculture (Parts
1800 -- 2099)
XXI Foreign Economic Development Service, Department of Agriculture
(Parts 2100 -- 2199)
XXII Office of International Cooperation and Development, Department
of Agriculture (Parts 2200 -- 2299)
XXV Office of the General Sales Manager, Department of Agriculture
(Parts 2500 -- 2599)
XXVI Office of Inspector General, Department of Agriculture (Parts
2600 -- 2699)
XXVII Office of Information Resources Management, Department of
Agriculture (Parts 2700 -- 2799)
XXVIII Office of Operations, Department of Agriculture (Parts 2800 --
2899)
XXIX Office of Energy, Department of Agriculture (Parts 2900 -- 2999)
XXX Office of Finance and Management, Department of Agriculture
(Parts 3000 -- 3099)
XXXI Office of Environmental Quality, Department of Agriculture
(Parts 3100 -- 3199)
XXXII Office of Grants and Program Systems, Department of Agriculture
(Parts 3200 -- 3299)
XXXIII Office of Transportation, Department of Agriculture (Parts
3300 -- 3399)
XXXIV Cooperative State Research Service, Department of Agriculture
(Parts 3400 -- 3499)
XXXVI National Agricultural Statistics Service, Department of
Agriculture (Parts 3600 -- 3699)
XXXVII Economic Research Service, Department of Agriculture (Parts
3700 -- 3799)
XXXVIII World Agricultural Outlook Board, Department of Agriculture
(Parts 3800 -- 3899)
XXXIX Economic Analysis Staff, Department of Agriculture (Parts 3900
-- 3999)
XL Economics Management Staff, Department of Agriculture (Parts 4000
-- 4099)
XLI National Agricultural Library, Department of Agriculture (Part
4100)
08 CFR 499.1 Title 8 -- Aliens and Nationality
I Immigration and Naturalization Service, Department of Justice
(Parts 1 -- 499)
08 CFR 499.1 Title 9 -- Animals and Animal Products
I Animal and Plant Health Inspection Service, Department of
Agriculture (Parts 1 -- 199)
II Packers and Stockyards Administration, Department of Agriculture
(Parts 200 -- 299)
III Food Safety and Inspection Service, Meat and Poultry Inspection,
Department of Agriculture (Parts 300 -- 399)
08 CFR 499.1 Title 10 -- Energy
I Nuclear Regulatory Commission (Parts 0 -- 199)
II Department of Energy (Parts 200 -- 699)
III Department of Energy (Parts 700 -- 999)
X Department of Energy (General Provisions) (Parts 1000 -- 1099)
XV Office of the Federal Inspector for the Alaska Natural Gas
Transportation System (Parts 1500 -- 1599)
XVII Defense Nuclear Facilities Safety Board (Parts 1700 -- 1799)
08 CFR 499.1 Title 11 -- Federal Elections
I Federal Election Commission (Parts 1 -- 9099)
08 CFR 499.1 Title 12 -- Banks and Banking
I Comptroller of the Currency, Department of the Treasury (Parts 1 --
199)
II Federal Reserve System (Parts 200 -- 299)
III Federal Deposit Insurance Corporation (Parts 300 -- 399)
IV Export-Import Bank of the United States (Parts 400 -- 499)
V Office of Thrift Supervision, Department of The Treasury (Parts 500
-- 599)
VI Farm Credit Administration (Parts 600 -- 699)
VII National Credit Union Administration (Parts 700 -- 799)
VIII Federal Financing Bank (Parts 800 -- 899)
IX Federal Housing Finance Board (Parts 900 -- 999)
XI Federal Financial Institutions Examination Council (Parts 1100 --
1199)
XIII Farm Credit System Assistance Board (Parts 1300 -- 1399)
XIV Farm Credit System Insurance Corporation (Parts 1400 -- 1499)
XV Oversight Board (Parts 1500 -- 1599)
XVI Resolution Trust Corporation (Parts 1600 -- 1699)
08 CFR 499.1 Title 13 -- Business Credit and Assistance
I Small Business Administration (Parts 1 -- 199)
III Economic Development Administration, Department of Commerce
(Parts 300 -- 399)
08 CFR 499.1 Title 14 -- Aeronautics and Space
I Federal Aviation Administration, Department of Transportation
(Parts 1 -- 199)
II Office of the Secretary, Department of Transportation (Aviation
Proceedings) (Parts 200 -- 399)
III Office of Commercial Space Transportation, Department of
Transportation (Parts 400 -- 499)
V National Aeronautics and Space Administration (Parts 1200 -- 1299)
08 CFR 499.1 Title 15 -- Commerce and Foreign Trade
Subtitle A -- Office of the Secretary of Commerce (Parts 0 -- 29)
Subtitle B -- Regulations Relating to Commerce and Foreign Trade
I Bureau of the Census, Department of Commerce (Parts 30 -- 199)
II National Institute of Standards and Technology, Department of
Commerce (Parts 200 -- 299)
III International Trade Administration, Department of Commerce (Parts
300 -- 399)
IV Foreign-Trade Zones Board (Parts 400 -- 499)
VII Bureau of Export Administration, Department of Commerce (Parts
700 -- 799)
VIII Bureau of Economic Analysis, Department of Commerce (Parts 800
-- 899)
IX National Oceanic and Atmospheric Administration, Department of
Commerce (Parts 900 -- 999)
XI Technology Administration, Department of Commerce (Parts 1100 --
1199)
XII United States Travel and Tourism Administration, Department of
Commerce (Parts 1200 -- 1299)
XIII East-West Foreign Trade Board (Parts 1300 -- 1399)
XIV Minority Business Development Agency (Parts 1400 -- 1499)
Subtitle C -- Regulations Relating to Foreign Trade Agreements
XX Office of the United States Trade Representative (Parts 2000 --
2099)
Subtitle D -- Regulations Relating to Telecommunications and
Information
XXIII National Telecommunications and Information Administration,
Department of Commerce (Parts 2300 -- 2399)
08 CFR 499.1 Title 16 -- Commercial Practices
I Federal Trade Commission (Parts 0 -- 999)
II Consumer Product Safety Commission (Parts 1000 -- 1799)
08 CFR 499.1 Title 17 -- Commodity and Securities Exchanges
I Commodity Futures Trading Commission (Parts 1 -- 199)
II Securities and Exchange Commission (Parts 200 -- 399)
IV Department of the Treasury (Parts 400 -- 499)
08 CFR 499.1 Title 18 -- Conservation of Power and Water Resources
I Federal Energy Regulatory Commission, Department of Energy (Parts 1
-- 399)
III Delaware River Basin Commission (Parts 400 -- 499)
VI Water Resources Council (Parts 700 -- 799)
VIII Susquehanna River Basin Commission (Parts 800 -- 899)
XIII Tennessee Valley Authority (Parts 1300 -- 1399)
08 CFR 499.1 Title 19 -- Customs Duties
I United States Customs Service, Department of the Treasury (Parts 1
-- 199)
II United States International Trade Commission (Parts 200 -- 299)
III International Trade Administration, Department of Commerce (Parts
300 -- 399)
08 CFR 499.1 Title 20 -- Employees' Benefits
I Office of Workers' Compensation Programs, Department of Labor
(Parts 1 -- 199)
II Railroad Retirement Board (Parts 200 -- 399)
III Social Security Administration, Department of Health and Human
Services (Parts 400 -- 499)
IV Employees' Compensation Appeals Board, Department of Labor (Parts
500 -- 599)
V Employment and Training Administration, Department of Labor (Parts
600 -- 699)
VI Employment Standards Administration, Department of Labor (Parts
700 -- 799)
VII Benefits Review Board, Department of Labor (Parts 800 -- 899)
VIII Joint Board for the Enrollment of Actuaries (Parts 900 -- 999)
IX Office of the Assistant Secretary for Veterans' Employment and
Training, Department of Labor (Parts 1000 -- 1099)
08 CFR 499.1 Title 21 -- Food and Drugs
I Food and Drug Administration, Department of Health and Human
Services (Parts 1 -- 1299)
II Drug Enforcement Administration, Department of Justice (Parts 1300
-- 1399)
08 CFR 499.1 Title 22 -- Foreign Relations
I Department of State (Parts 1 -- 199)
II Agency for International Development, International Development
Cooperation Agency (Parts 200 -- 299)
III Peace Corps (Parts 300 -- 399)
IV International Joint Commission, United States and Canada (Parts
400 -- 499)
V United States Information Agency (Parts 500 -- 599)
VI United States Arms Control and Disarmament Agency (Parts 600 --
699)
VII Overseas Private Investment Corporation, International
Development Cooperation Agency (Parts 700 -- 799)
IX Foreign Service Grievance Board Regulations (Parts 900 -- 999)
X Inter-American Foundation (Parts 1000 -- 1099)
XI International Boundary and Water Commission, United States and
Mexico, United States Section (Parts 1100 -- 1199)
XII United States International Development Cooperation Agency (Parts
1200 -- 1299)
XIII Board for International Broadcasting (Parts 1300 -- 1399)
XIV Foreign Service Labor Relations Board; Federal Labor Relations
Authority; General Counsel of the Federal Labor Relations Authority;
and the Foreign Service Impasse Disputes Panel (Parts 1400 -- 1499)
XV African Development Foundation (Parts 1500 -- 1599)
XVI Japan-United States Friendship Commission (Parts 1600 -- 1699)
08 CFR 499.1 Title 23 -- Highways
I Federal Highway Administration, Department of Transportation (Parts
1 -- 999)
II National Highway Traffic Safety Administration and Federal Highway
Administration, Department of Transportation (Parts 1200 -- 1299)
III National Highway Traffic Safety Administration, Department of
Transportation (Parts 1300 -- 1399)
08 CFR 499.1 Title 24 -- Housing and Urban Development
Subtitle A -- Office of the Secretary, Department of Housing and
Urban Development (Parts 0 -- 99)
Subtitle B -- Regulations Relating to Housing and Urban Development
I Office of Assistant Secretary for Equal Opportunity, Department of
Housing and Urban Development (Parts 100 -- 199)
II Office of Assistant Secretary for Housing-Federal Housing
Commissioner, Department of Housing and Urban Development (Parts 200 --
299)
III Government National Mortgage Association, Department of Housing
and Urban Development (Parts 300 -- 399)
V Office of Assistant Secretary for Community Planning and
Development, Department of Housing and Urban Development (Parts 500 --
599)
VI Office of Assistant Secretary for Community Planning and
Development, Department of Housing and Urban Development (Parts 600 --
699)
VII Office of the Secretary, Department of Housing and Urban
Development (Section 8 Housing Assistance Programs and Public and Indian
Housing Programs) (Parts 700 -- 799)
VIII Office of the Assistant Secretary for Housing -- Federal Housing
Commissioner, Department of Housing and Urban Development (Section 8
Housing Assistance Programs and Section 202 Direct Loan Program) (Parts
800 -- 899)
IX Office of Assistant Secretary for Public and Indian Housing,
Department of Housing and Urban Development (Parts 900 -- 999)
X Office of Assistant Secretary for Housing -- Federal Housing
Commissioner, Department of Housing and Urban Development (Interstate
Land Sales Registration Program) (Parts 1700 -- 1799)
XI Solar Energy and Energy Conservation Bank, Department of Housing
and Urban Development (Parts 1800 -- 1899)
XII Office of Inspector General, Department of Housing and Urban
Development (Parts 2000 -- 2099)
XV Mortgage Insurance and Loan Programs under the Emergency
Homeowners' Relief Act, Department of Housing and Urban Development
(Parts 2700 -- 2799)
XX Office of Assistant Secretary for Housing -- Federal Housing
Commissioner, Department of Housing and Urban Development (Parts 3200 --
3699)
XXV Neighborhood Reinvestment Corporation (Parts 4100 -- 4199)
08 CFR 499.1 Title 25 -- Indians
I Bureau of Indian Affairs, Department of the Interior (Parts 1 --
299)
II Indian Arts and Crafts Board, Department of the Interior (Parts
300 -- 399)
III National Indian Gaming Commission (Parts 500 -- 599)
IV Office of Navajo and Hopi Indian Relocation (Parts 700 -- 799)
08 CFR 499.1 Title 26 -- Internal Revenue
I Internal Revenue Service, Department of the Treasury (Parts 1 --
799)
08 CFR 499.1 Title 27 -- Alcohol, Tobacco Products and Firearms
I Bureau of Alcohol, Tobacco and Firearms, Department of the Treasury
(Parts 1 -- 299)
08 CFR 499.1 Title 28 -- Judicial Administration
I Department of Justice (Parts 0 -- 199)
III Federal Prison Industries, Inc., Department of Justice (Parts 300
-- 399)
V Bureau of Prisons, Department of Justice (Parts 500 -- 599)
VI Offices of Independent Counsel, Department of Justice (Parts 600
-- 699)
VII Office of Independent Counsel (Parts 700 -- 799)
08 CFR 499.1 Title 29 -- Labor
Subtitle A -- Office of the Secretary of Labor (Parts 0 -- 99)
Subtitle B -- Regulations Relating to Labor
I National Labor Relations Board (Parts 100 -- 199)
II Bureau of Labor-Management Relations and Cooperative Programs,
Department of Labor (Parts 200 -- 299)
III National Railroad Adjustment Board (Parts 300 -- 399)
IV Office of Labor-Management Standards, Department of Labor (Parts
400 -- 499)
V Wage and Hour Division, Department of Labor (Parts 500 -- 899)
IX Construction Industry Collective Bargaining Commission (Parts 900
-- 999)
X National Mediation Board (Parts 1200-1299)
XII Federal Mediation and Conciliation Service (Parts 1400-1499)
XIV Equal Employment Opportunity Commission (Parts 1600-1699)
XVII Occupational Safety and Health Administration, Department of
Labor (Parts 1900 -- 1999)
XX Occupational Safety and Health Review Commission (Parts 2200 --
2499)
XXV Pension and Welfare Benefits Administration, Department of Labor
(Parts 2500 -- 2599)
XXVI Pension Benefit Guaranty Corporation (Parts 2600 -- 2699)
XXVII Federal Mine Safety and Health Review Commission (Parts 2700 --
2799)
08 CFR 499.1 Title 30 -- Mineral Resources
I Mine Safety and Health Administration, Department of Labor (Parts 1
-- 199)
II Minerals Management Service, Department of the Interior (Parts 200
-- 299)
III Board of Surface Mining and Reclamation Appeals, Department of
the Interior (Parts 300 -- 399)
IV Geological Survey, Department of the Interior (Parts 400 -- 499)
VI Bureau of Mines, Department of the Interior (Parts 600 -- 699)
VII Office of Surface Mining Reclamation and Enforcement, Department
of the Interior (Parts 700 -- 999)
08 CFR 499.1 Title 31 -- Money and Finance: Treasury
Subtitle A -- Office of the Secretary of the Treasury (Parts 0 -- 50)
Subtitle B -- Regulations Relating to Money and Finance
I Monetary Offices, Department of the Treasury (Parts 51 -- 199)
II Fiscal Service, Department of the Treasury (Parts 200 -- 399)
IV Secret Service, Department of the Treasury (Parts 400 -- 499)
V Office of Foreign Assets Control, Department of the Treasury (Parts
500 -- 599)
VI Bureau of Engraving and Printing, Department of the Treasury
(Parts 600 -- 699)
VII Federal Law Enforcement Training Center, Department of the
Treasury (Parts 700 -- 799)
VIII Office of International Investment, Department of the Treasury
(Parts 800 -- 899)
08 CFR 499.1 Title 32 -- National Defense
Subtitle A -- Department of Defense
I Office of the Secretary of Defense (Parts 1 -- 399)
V Department of the Army (Parts 400 -- 699)
VI Department of the Navy (Parts 700 -- 799)
VII Department of the Air Force (Parts 800 -- 1099)
Subtitle B -- Other Regulations Relating to National Defense
XII Defense Logistics Agency (Parts 1200-1299)
XVI Selective Service System (Parts 1600-1699)
XIX Central Intelligence Agency (Parts 1900 -- 1999)
XX Information Security Oversight Office (Parts 2000 -- 2099)
XXI National Security Council (Parts 2100 -- 2199)
XXIV Office of Science and Technology Policy (Parts 2400 -- 2499)
XXVII Office for Micronesian Status Negotiations (Parts 2700 -- 2799)
XXVIII Office of the Vice President of the United States (Parts 2800
-- 2899)
08 CFR 499.1 Title 33 -- Navigation and Navigable Waters
I Coast Guard, Department of Transportation (Parts 1 -- 199)
II Corps of Engineers, Department of the Army (Parts 200 -- 399)
IV Saint Lawrence Seaway Development Corporation, Department of
Transportation (Parts 400 -- 499)
08 CFR 499.1 Title 34 -- Education
Subtitle A -- Office of the Secretary, Department of Education (Parts
1 -- 99)
Subtitle B -- Regulations of the Offices of the Department of
Education
I Office for Civil Rights, Department of Education (Parts 100 -- 199)
II Office of Elementary and Secondary Education, Department of
Education (Parts 200 -- 299)
III Office of Special Education and Rehabilitative Services,
Department of Education (Parts 300 -- 399)
IV Office of Vocational and Adult Education, Department of Education
(Parts 400 -- 499)
V Office of Bilingual Education and Minority Languages Affairs,
Department of Education (Parts 500 -- 599)
VI Office of Postsecondary Education, Department of Education (Parts
600 -- 699)
VII Office of Educational Research and Improvement, Department of
Education (Parts 700 -- 799)
08 CFR 499.1 Title 35 -- Panama Canal
I Panama Canal Regulations (Parts 1 -- 299)
08 CFR 499.1 Title 36 -- Parks, Forests, and Public Property
I National Park Service, Department of the Interior (Parts 1 -- 199)
II Forest Service, Department of Agriculture (Parts 200 -- 299)
III Corps of Engineers, Department of the Army (Parts 300 -- 399)
IV American Battle Monuments Commission (Parts 400 -- 499)
V Smithsonian Institution (Parts 500 -- 599)
VII Library of Congress (Parts 700 -- 799)
VIII Advisory Council on Historic Preservation (Parts 800 -- 899)
IX Pennsylvania Avenue Development Corporation (Parts 900-999)
XI Architectural and Transportation Barriers Compliance Board (Parts
1100 -- 1199)
XII National Archives and Records Administration (Parts 1200 -- 1299)
08 CFR 499.1 Title 37 -- Patents, Trademarks, and Copyrights
I Patent and Trademark Office, Department of Commerce (Parts 1 --
199)
II Copyright Office, Library of Congress (Parts 200 -- 299)
III Copyright Royalty Tribunal (Parts 300 -- 399)
IV Assistant Secretary for Technology Policy, Department of Commerce
(Parts 400-499)
V Under Secretary for Technology, Department of Commerce (Parts 500
-- 599)
08 CFR 499.1 Title 38 -- Pensions, Bonuses, and Veterans' Relief
I Department of Veterans Affairs (Parts 0 -- 99)
08 CFR 499.1 Title 39 -- Postal Service
I United States Postal Service (Parts 1-999)
III Postal Rate Commission (Parts 3000 -- 3099)
08 CFR 499.1 Title 40 -- Protection of Environment
I Environmental Protection Agency (Parts 1 -- 799)
V Council on Environmental Quality (Parts 1500-1599)
08 CFR 499.1 Title 41 -- Public Contracts and Property Management
Subtitle B -- Other Provisions Relating to Public Contracts
50 Public Contracts, Department of Labor (Parts 50-1 -- 50-999)
51 Committee for Purchase from the Blind and Other Severely
Handicapped (Parts 51-1 -- 51-99)
60 Office of Federal Contract Compliance Programs, Equal Employment
Opportunity, Department of Labor (Parts 60-1 -- 60-999)
61 Office of the Assistant Secretary for Veterans Employment and
Training, Department of Labor (Parts 61-1 -- 61-999)
Subtitle C -- Federal Property Management Regulations System
101 Federal Property Management Regulations (Parts 101-1 -- 101-99)
105 General Services Administration (Parts 105-1 -- 105-999)
109 Department of Energy Property Management Regulations (Parts 109-1
-- 109-99)
114 Department of the Interior (Parts 114-1 -- 114-99)
115 Environmental Protection Agency (Parts 115-1 -- 115-99)
128 Department of Justice (Parts 128-1 -- 128-99)
132 Department of the Air Force (Parts 132-1 -- 132-99)
Subtitle D -- Other Provisions Relating to Property Management
(Reserved)
Subtitle E -- Federal Information Resources Management Regulations
System
201 Federal Information Resources Management Regulation (Parts 201-1
-- 201-99)
Subtitle F -- Federal Travel Regulation System
301 Travel Allowances (Parts 301-1 -- 301-99)
302 Relocation Allowances (Parts 302-1 -- 302-99)
303 Payment of Expenses Connected with the Death of Certain Employees
(Parts 303-1 -- 303-2)
304 Payment from a non-Federal source for travel expenses (Parts
304-1 -- 304-99)
08 CFR 499.1 Title 42 -- Public Health
I Public Health Service, Department of Health and Human Services
(Parts 1 -- 199)
IV Health Care Financing Administration, Department of Health and
Human Services (Parts 400 -- 499)
V Office of Inspector General-Health Care, Department of Health and
Human Services (Parts 1000 -- 1999)
08 CFR 499.1 Title 43 -- Public Lands: Interior
Subtitle A -- Office of the Secretary of the Interior (Parts 1 --
199)
Subtitle B -- Regulations Relating to Public Lands
I Bureau of Reclamation, Department of the Interior (Parts 200 --
499)
II Bureau of Land Management, Department of the Interior (Parts 1000
-- 9999)
08 CFR 499.1 Title 44 -- Emergency Management and Assistance
I Federal Emergency Management Agency (Parts 0 -- 399)
IV Department of Commerce and Department of Transportation (Parts 400
-- 499)
08 CFR 499.1 Title 45 -- Public Welfare
Subtitle A -- Department of Health and Human Services, General
Administration (Parts 1 -- 199)
Subtitle B -- Regulations Relating to Public Welfare
II Office of Family Assistance (Assistance Programs), Family Support
Administration, Department of Health and Human Services (Parts 200 --
299)
III Office of Child Support Enforcement (Child Support Enforcement
Program), Family Support Administration, Department of Health and Human
Services (Parts 300 -- 399)
IV Office of Refugee Resettlement, Family Support Administration,
Department of Health and Human Services (Parts 400 -- 499)
V Foreign Claims Settlement Commission of the United States,
Department of Justice (Parts 500 -- 599)
VI National Science Foundation (Parts 600 -- 699)
VII Commission on Civil Rights (Parts 700 -- 799)
VIII Office of Personnel Management (Parts 800 -- 899)
X Office of Community Services, Family Support Administration,
Department of Health and Human Services (Parts 1000 -- 1099)
XI National Foundation on the Arts and the Humanities (Parts 1100 --
1199)
XII ACTION (Parts 1200 -- 1299)
XIII Office of Human Development Services, Department of Health and
Human Services (Parts 1300 -- 1399)
XVI Legal Services Corporation (Parts 1600 -- 1699)
XVII National Commission on Libraries and Information Science (Parts
1700 -- 1799)
XVIII Harry S. Truman Scholarship Foundation (Parts 1800 -- 1899)
XX Commission on the Bicentennial of the United States Constitution
(Parts 2000 -- 2099)
XXI Commission on Fine Arts (Parts 2100 -- 2199)
XXII Christopher Columbus Quincentenary Jubilee Commission (2200 --
2299)
08 CFR 499.1 Title 46 -- Shipping
I Coast Guard, Department of Transportation (Parts 1 -- 199)
II Maritime Administration, Department of Transportation (Parts 200
-- 399)
III Coast Guard (Great Lakes Pilotage), Department of Transportation
(Parts 400 -- 499)
IV Federal Maritime Commission (Parts 500 -- 599)
08 CFR 499.1 Title 47 -- Telecommunication
I Federal Communications Commission (Parts 0 -- 199)
II Office of Science and Technology Policy and National Security
Council (Parts 200 -- 299)
III National Telecommunications and Information Administration,
Department of Commerce (Parts 300 -- 399)
08 CFR 499.1 Title 48 -- Federal Acquisition Regulations System
1 Federal Acquisition Regulation (Parts 1 -- 99)
2 Department of Defense (Parts 200 -- 299)
3 Department of Health and Human Services (Parts 300 -- 399)
4 Department of Agriculture (Parts 400 -- 499)
5 General Services Administration (Parts 500 -- 599)
6 Department of State (Parts 600 -- 699)
7 Agency for International Development (Parts 700 -- 799)
8 Department of Veterans Affairs (Parts 800 -- 899)
9 Department of Energy (Parts 900 -- 999)
10 Department of the Treasury (Parts 1000 -- 1099)
12 Department of Transportation (Parts 1200 -- 1299)
13 Department of Commerce (Parts 1300 -- 1399)
14 Department of the Interior (Parts 1400 -- 1499)
15 Environmental Protection Agency (Parts 1500 -- 1599)
16 Office of Personnel Management Federal Employees Health Benefits
Acquisition Regulation (Parts 1600 -- 1699)
17 Office of Personnel Management (Parts 1700 -- 1799)
18 National Aeronautics and Space Administration (Parts 1800 -- 1899)
19 United States Information Agency (Parts 1900 -- 1999)
22 Small Business Administration (Parts 2200 -- 2299)
24 Department of Housing and Urban Development (Parts 2400 -- 2499)
25 National Science Foundation (Parts 2500 -- 2599)
28 Department of Justice (Parts 2800 -- 2899)
29 Department of Labor (Parts 2900 -- 2999)
34 Department of Education Acquisition Regulation (Parts 3400 --
3499)
35 Panama Canal Commission (Parts 3500 -- 3599)
44 Federal Emergency Management Agency (Parts 4400 -- 4499)
51 Department of the Army Acquisition Regulations (Parts 5100 --
5199)
52 Department of the Navy Acquisition Regulations (Parts 5200 --
5299)
53 Department of the Air Force Federal Acquisition Regulation
Supplement (Parts 5300 -- 5399)
57 African Development Foundation (Parts 5700 -- 5799)
61 General Services Administration Board of Contract Appeals (Parts
6100 -- 6199)
63 Department of Transportation Board of Contract Appeals (Parts 6300
-- 6399)
99 Cost Accounting Standards Board, Office of Federal Procurement
Policy, Office of Management and Budget (Parts 9900-9999)
08 CFR 499.1 Title 49 -- Transportation
Subtitle A -- Office of the Secretary of Transportation (Parts 1 --
99)
Subtitle B -- Other Regulations Relating to Transportation
I Research and Special Programs Administration, Department of
Transportation (Parts 100 -- 199)
II Federal Railroad Administration, Department of Transportation
(Parts 200 -- 299)
III Federal Highway Administration, Department of Transportation
(Parts 300 -- 399)
IV Coast Guard, Department of Transportation (Parts 400 -- 499)
V National Highway Traffic Safety Administration, Department of
Transportation (Parts 500 -- 599)
VI Urban Mass Transportation Administration, Department of
Transportation (Parts 600 -- 699)
VII National Railroad Passenger Corporation (AMTRAK) (Parts 700 --
799)
VIII National Transportation Safety Board (Parts 800 -- 899)
X Interstate Commerce Commission (Parts 1000 -- 1399)
08 CFR 499.1 Title 50 -- Wildlife and Fisheries
I United States Fish and Wildlife Service, Department of the Interior
(Parts 1 -- 199)
II National Marine Fisheries Service, National Oceanic and
Atmospheric Administration, Department of Commerce (Parts 200 -- 299)
III International Regulatory Agencies (Fishing and Whaling) (Parts
300 -- 399)
IV Joint Regulations (United States Fish and Wildlife Service,
Department of the Interior and National Marine Fisheries Service,
National Oceanic and Atmospheric Administration, Department of
Commerce); Endangered Species Committee Regulations (Parts 400 -- 499)
V Marine Mammal Commission (Parts 500 -- 599)
VI Fishery Conservation and Management, National Oceanic and
Atmospheric Administration, Department of Commerce (Parts 600 -- 699)
08 CFR 499.1 CFR Index and Finding Aids Subject/Agency Index List
of Agency Prepared Indexes Parallel Tables of Statutory Authorities and
Rules Acts Requiring Publication in the Federal Register List of CFR
Titles, Chapters, Subchapters, and Parts
08 CFR 499.1 Alphabetical List of Agencies Appearing in the CFR
CFR Title, Subtitle or
Agency
Chapter
ACTION 45, XII
Administrative Committee of the Federal Register 1, I
Administrative Conference of the United States 1, III
Advisory Commission on Intergovernmental Relations 5, VII
Advisory Committee on Federal Pay 5, IV
Advisory Council on Historic Preservation 36, VIII
African Development Foundation 22, XV; 48, 57
Agency for International Development 22, II; 48, 7
Agricultural Marketing Service 7, I, IX, X, XI
Agricultural Research Service 7, V
Agricultural Stabilization and Conservation Service 7, VII
Agriculture Department
Agricultural Marketing Service 7, I, IX, X, XI
Agricultural Research Service 7, V
Agricultural Stabilization and Conservation Service 7, VII
Animal and Plant Health Inspection Service 7, III; 9, I
Commodity Credit Corporation 7, XIV
Cooperative State Research Service 7, XXXIV
Economic Analysis Staff 7, XXXIX
Economic Research Service 7, XXXVII
Economics Management Staff 7, XL
Energy, Office of 7, XXIX
Environmental Quality, Office of 7, XXXI
Farmers Home Administration 7, XVIII
Federal Acquisition Regulation 48, 4
Federal Crop Insurance Corporation 7, IV
Federal Grain Inspection Service 7, VIII
Finance and Management, Office of 7, XXX
Food and Nutrition Service 7, II
Food Safety and Inspection Service 9, III
Foreign Agricultural Service 7, XV
Foreign Economic Development Service 7, XXI
Forest Service 36, II
General Sales Manager, Office of 7, XXV
Grants and Program Systems, Office of 7, XXXII
Information Resources Management, Office of 7, XXVII
Inspector General, Office of 7, XXVI
International Cooperation and Development Office 7, XXII
National Agricultural Library 7, XLI
National Agricultural Statistics Service 7, XXXVI
Operations Office 7, XXVIII
Packers and Stockyards Administration 9, II
Rural Electrification Administration 7, XVII
Rural Telephone Bank 7, XVI
Secretary of Agriculture, Office of 7, Subtitle A
Soil Conservation Service 7, VI
Transportation, Office of 7, XXXIII
World Agriculture Outlook Board 7, XXXVIII
Air Force Department 32, VII; 41, Subtitle C, Ch. 132
Federal Acquisition Regulation Supplement 48, 53
Alaska Natural Gas Transportation System, Office of the Federal
Inspector 10, XV
Alcohol, Tobacco and Firearms, Bureau of 27, I
AMTRAK 49, VII
American Battle Monuments Commission 36, IV
Animal and Plant Health Inspection Service 7, III; 9, I
Appalachian Regional Commission 5, IX
Architectural and Transportation Barriers Compliance Board 36, XI
Arms Control and Disarmament Agency, U.S. 22, VI
Army Department 32, V
Engineers, Corps of 33, II; 36, III
Federal Acquisition Regulation 48, 51
Assistant Secretary for Technology Policy, Department of Commerce 37,
IV
Benefits Review Board 20, VII
Bicentennial of the United States Constitution, Commission on the 45,
XX
Bilingual Education and Minority Languages Affairs, Office of 34, V
Blind and Other Severely Handicapped, Committee for Purchase from 41,
51
Board for International Broadcasting 22, XIII
Budget, Office of Management and 5, III
Census Bureau 15, I
Central Intelligence Agency 32, XIX
Child Support Enforcement, Office of 45, III
Christopher Columbus Quincentenary Jubilee Commission 45, XXII
Civil Rights Commission 45, VII
Civil Rights, Office for (Education Department) 34, I
Claims Collection Standards, Federal 4, II
Coast Guard 33, I; 46, I, III; 49, IV
Commerce Department 44, IV
Census Bureau 15, I
Assistant Secretary for Technology Policy 37, IV
Economic Affairs, Under Secretary 37, V
Economic Analysis, Bureau of 15, VIII
Economic Development Administration 13, III
Endangered Species Committee 50, IV
Export Administration Bureau 15, VII
Federal Acquisition Regulation 48, 13
Fishery Conservation and Management 50, VI
International Trade Administration 15, III; 19, III
National Institute of Standards and Technology 15, II
National Marine Fisheries Service 50, II, IV
National Oceanic and Atmospheric Administration 15, IX; 50, II, III,
IV, VI
National Telecommunications and Information Administration 15, XXIII;
47, III
Patent and Trademark Office 37, I
Productivity, Technology and Innovation, Assistant Secretary for 37,
IV
Secretary of Commerce, Office of 15, Subtitle A
Technology Administration 15, XI
Under Secretary for Technology 37, V
United States Travel and Tourism Administration 15, XII
Commercial Space Transportation, Office of, Department of
Transportation 14, III
Commission on the Bicentennial of the United States Constitution 45,
XX
Committee for Purchase from the Blind and Other Severely Handicapped
41, 51
Commodity Credit Corporation 7, XIV
Commodity Futures Trading Commission 17, I
Community Planning and Development, Office of Assistant Secretary for
24, V, VI
Community Services, Office of 45, X
Comptroller of the Currency 12, I
Construction Industry Collective Bargaining Commission 29, IX
Consumer Product Safety Commission 16, II
Cooperative State Research Service 7, XXXIV
Copyright Office 37, II
Copyright Royalty Tribunal 37, III
Cost Accounting Standards Board, Office of Federal Procurement Policy
48, 99
Council on Environmental Quality 40, V
Customs Service, United States 19, I
Defense Department 32, Subtitle A
Air Force Department 32, VII; 41, Subtitle C, Ch. 132
Army Department 32, V; 33, II; 36, III, 48, 51
Engineers, Corps of 33, II; 36, III
Federal Acquisition Regulation 48, 2
Navy Department 32, VI; 48, 52
Secretary of Defense, Office of 32, I
Defense Logistics Agency 32, XII
Defense Nuclear Facilities Safety Board 10, XVII
Delaware River Basin Commission 18, III
Drug Enforcement Administration 21, II
East-West Foreign Trade Board 15, XIII
Economic Affairs, Under Secretary (Commerce) 37, V
Economic Analysis, Bureau of 15, VIII
Economic Analysis Staff, Department of Agriculture 7, XXXIX
Economic Development Administration 13, III
Economics Management Staff 7, XL
Economic Research Service 7, XXXVII
Education, Department of
Bilingual Education and Minority Languages Affairs, Office of 34, V
Civil Rights, Office for 34, I
Educational Research and Improvement, Office of 34, VII
Elementary and Secondary Education, Office of 34, II
Federal Acquisition Regulation 48, 34
Postsecondary Education, Office of 34, VI
Secretary of Education, Office of 34, Subtitle A
Special Education and Rehabilitative Services, Office of 34, III
Vocational and Adult Education, Office of 34, IV
Educational Research and Improvement, Office of 34, VII
Elementary and Secondary Education, Office of 34, II
Employees' Compensation Appeals Board 20, IV
Employees Loyalty Board, International Organizations 5, V
Employment and Training Administration 20, V
Employment Standards Administration 20, VI
Endangered Species Committee 50, IV
Energy, Department of 10, II, III, X; 41, 109
Federal Acquisition Regulation 48, 9
Federal Energy Regulatory Commission 18, I
Energy, Office of, Department of Agriculture 7, XXIX
Engineers, Corps of 33, II; 36, III
Engraving and Printing, Bureau of 31, VI
Environmental Protection Agency 40, I; 41, 115; 48, 15
Environmental Quality, Office of (Agriculture Department) 7, XXXI
Equal Employment Opportunity Commission 29, XIV
Equal Opportunity, Office of Assistant Secretary for 24, I
Executive Office of the President 3, I
Administration, Office of 5, XV
Export Administration Bureau 15, VII
Export-Import Bank of the United States 12, IV
Family Assistance, Office of 45, II
Family Support Administration 45, II, III, IV, X
Farm Credit Administration 12, VI
Farm Credit System Assistance Board 12, XIII
Farm Credit System Insurance Corporation 12, XIV
Farmers Home Administration 7, XVIII
Federal Acquisition Regulation 48, 1
Federal Aviation Administration 14, I
Federal Claims Collection Standards 4, II
Federal Communications Commission 47, I
Federal Contract Compliance Programs, Office of 41, 60
Federal Crop Insurance Corporation 7, IV
Federal Deposit Insurance Corporation 12, III
Federal Election Commission 11, I
Federal Emergency Management Agency 44, I; 48, 44
Federal Energy Regulatory Commission 18, I
Federal Financial Institutions Examination Council 12, XI
Federal Financing Bank 12, VIII
Federal Grain Inspection Service 7, VIII
Federal Highway Administration 23, I, II; 49, III
Federal Home Loan Mortgage Corporation 1, IV
Federal Housing Finance Board 12, IX
Federal Information Resources Management Regulations 41, Subtitle E,
Ch. 201
Federal Inspector for the Alaska Natural Gas Transportation System,
Office of 10, XV
Federal Labor Relations Authority, and General Counsel of the Federal
Labor Relations Authority 5, XIV; 22, XIV
Federal Law Enforcement Training Center 31, VII
Federal Maritime Commission 46, IV
Federal Mediation and Conciliation Service 29, XII
Federal Mine Safety and Health Review Commission 29, XXVII
Federal Pay, Advisory Committee on 5, IV
Federal Prison Industries, Inc. 28, III
Federal Procurement Policy Office 48, 99
Federal Property Management Regulations 41, 101
Federal Property Management Regulations System 41, Subtitle C
Federal Railroad Administration 49, II
Federal Register, Administrative Committee of 1, I
Federal Register, Office of 1, II
Federal Reserve System 12, II
Federal Retirement Thrift Investment Board 5, VI
Federal Service Impasses Panel 5, XIV
Federal Trade Commission 16, I
Federal Travel Regulation System 41, Subtitle F
Finance and Management, Department of Agriculture 7, XXX
Fine Arts Commission 45, XXI
Fiscal Service 31, II
Fish and Wildlife Service, United States 50, I, IV
Fishery Conservation and Management 50, VI
Fishing and Whaling, International Regulatory Agencies 50, III
Food and Drug Administration 21, I
Food and Nutrition Service 7, II
Food Safety and Inspection Service 9, III
Foreign Agricultural Service 7, XV
Foreign Assets Control, Office of 31, V
Foreign Claims Settlement Commission of United States 45, V
Foreign Economic Development Service 7, XXI
Foreign Service Grievance Board 22, IX
Foreign Service Impasse Disputes Panel 22, XIV
Foreign Service Labor Relations Board 22, XIV
Foreign-Trade Zones Board 15, IV
Forest Service 36, II
General Accounting Office 4, I, II, III
General Sales Manager, Office of 7, XXV
General Services Administration
Contract Appeals Board 48, 61
Federal Acquisition Regulation 48, 5
Federal Information Resources Management Regulations 41, Subtitle E,
Ch. 201
Federal Property Management Regulations System 41, 101, 105
Federal Travel Regulation System 41, Subtitle F
Payment of Expenses Connected With the Death of Certain Employees 41,
303
Reduction in Meeting and Training Allowance Payments 41, 304
Relocation Allowances 41, 302
Travel Allowances 41, 301
Geological Survey 30, IV
Government Ethics, Office of 5, XVI
Government National Mortgage Association 24, III
Grants and Program Systems, Office of 7, XXXII
Great Lakes Pilotage 46, III
Harry S. Truman Scholarship Foundation 45, XVIII
Health and Human Services, Department of 45, Subtitle A
Child Support Enforcement, Office of 45, III
Community Services, Office of 45, X
Family Assistance, Office of 45, II
Family Support Administration 45, II, III, IV, X
Federal Acquisition Regulation 48, 3
Food and Drug Administration 21, I
Health Care Financing Administration 42, IV
Human Development Services Office 45, XIII
Inspector General, Office of 42, V
Public Health Service 42, I
Refugee Resettlement, Office of 45, IV
Social Security Administration 20, III; 45, IV
Health Care Financing Administration 42, IV
Housing and Urban Development, Department of
Community Planning and Development, Office of Assistant Secretary for
24, V, VI
Equal Opportunity, Office of Assistant Secretary for 24, I
Federal Acquisition Regulation 48, 24
Government National Mortgage Association 24, III
Housing -- Federal Housing Commissioner, Office of Assistant
Secretary for 24, II, VIII, X, XX
Inspector General, Office of 24, XII
Mortgage Insurance and Loan Programs Under Emergency Homeowners'
Relief Act 24, XV
Public and Indian Housing, Office of Assistant Secretary for 24, IX
Secretary, Office of 24, Subtitle B, VII
Solar Energy and Energy Conservation Bank 24, XI
Housing -- Federal Housing Commissioner, Office of Assistant
Secretary for 24, II, VIII, X, XX
Human Development Services Office 45, XIII
Immigration and Naturalization Service 8, I
Indian Affairs, Bureau of 25, I
Indian Arts and Crafts Board 25, II
Information Agency, United States 22, V; 48, 19
Information Resources Management, Office of, Agriculture Department
7, XXVII
Information Security Oversight Office 32, XX
Inspector General, Office of, Agriculture Department 7, XXVI
Inspector General, Office of, Health and Human Services Department
42, V
Inspector General, Office of, Housing and Urban Development
Department 24, XII
Inter-American Foundation 22, X
Intergovernmental Relations, Advisory Commission on 5, VII
Interior Department
Endangered Species Committee 50, IV
Federal Acquisition Regulation 48, 14
Federal Property Management Regulations System 41, 114
Fish and Wildlife Service, United States 50, I, IV
Geological Survey 30, IV
Indian Affairs, Bureau of 25, I
Indian Arts and Crafts Board 25, II
Land Management Bureau 43, II
Minerals Management Service 30, II
Mines, Bureau of 30, VI
National Park Service 36, I
Reclamation Bureau 43, I
Secretary of the Interior, Office of 43, Subtitle A
Surface Mining and Reclamation Appeals, Board of 30, III
Surface Mining Reclamation and Enforcement, Office of 30, VII
United States Fish and Wildlife Service 50, I, IV
Internal Revenue Service 26, I
International Boundary and Water Commission, United States and Mexico
22, XI
International Cooperation and Development Office, Department of
Agriculture 7, XXII
International Development, Agency for 22, II
International Development Cooperation Agency 22, XII
International Development, Agency for 22, II
Overseas Private Investment Corporation 22, VII
International Joint Commission, United States and Canada 22, IV
International Organizations Employees Loyalty Board 5, V
International Regulatory Agencies (Fishing and Whaling) 50, III
International Trade Administration 15, III; 19, III
International Trade Commission, United States 19, II
Interstate Commerce Commission 49, X
Japan-United States Friendship Commission 22, XVI
Joint Board for the Enrollment of Actuaries 20, VIII
Justice Department 28, I; 41, 128
Drug Enforcement Administration 21, II
Federal Acquisition Regulation 48, 28
Federal Claims Collection Standards 4, II
Federal Prison Industries, Inc. 28, III
Foreign Claims Settlement Commission of the United States 45, V
Immigration and Naturalization Service 8, I
Offices of Independent Counsel 28, VI
Prisons, Bureau of 28, V
Labor Department
Benefits Review Board 20, VII
Employees' Compensation Appeals Board 20, IV
Employment and Training Administration 20, V
Employment Standards Administration 20, VI
Federal Acquisition Regulation 48, 29
Federal Contract Compliance Programs, Office of 41, 60
Federal Procurement Regulations System 41, 50
Labor-Management Relations and Cooperative Programs, Bureau of 29, II
Labor-Management Standards, Office of 29, IV
Mine Safety and Health Administration 30, I
Occupational Safety and Health Administration 29, XVII
Pension and Welfare Benefits Administration 29, XXV
Public Contracts 41, 50
Secretary of Labor, Office of 29, Subtitle A
Veterans' Employment and Training, Office of the Assistant Secretary
for 41, 61; 20, IX
Wage and Hour Division 29, V
Workers' Compensation Programs, Office of 20, I
Labor-Management Relations and Cooperative Programs, Bureau of 29, II
Labor-Management Standards, Office of 29, IV
Land Management, Bureau of 43, II
Legal Services Corporation 45, XVI
Library of Congress 36, VII
Copyright Office 37, II
Management and Budget, Office of 5, III; 48, 99
Marine Mammal Commission 50, V
Maritime Administration 46, II
Merit Systems Protection Board 5, II
Micronesian Status Negotiations, Office for 32, XXVII
Mine Safety and Health Administration 30, I
Minerals Management Service 30, II
Mines, Bureau of 30, VI
Minority Business Development Agency 15, XIV
Miscellaneous Agencies 1, IV
Monetary Offices 31, I
Mortgage Insurance and Loan Programs Under the Emergency Homeowners'
Relief Act, Department of Housing and Urban Development 24, XV
National Aeronautics and Space Administration 14, V; 48, 18
National Agricultural Library 7, XLI
National Agricultural Statistics Service 7, XXXVI
National Archives and Records Administration 36, XII
National Bureau of Standards 15, II
National Capital Planning Commission 1, IV
National Commission for Employment Policy 1, IV
National Commission on Libraries and Information Science 45, XVII
National Credit Union Administration 12, VII
National Foundation on the Arts and the Humanities 45, XI
National Highway Traffic Safety Administration 23, II, III; 49, V
National Indian Gaming Commission 25, III
National Institute of Standards and Technology 15, II
National Labor Relations Board 29, I
National Marine Fisheries Service 50, II, IV
National Mediation Board 29, X
National Oceanic and Atmospheric Administration 15, IX; 50, II, III,
IV, VI
National Park Service 36, I
National Railroad Adjustment Board 29, III
National Railroad Passenger Corporation (AMTRAK) 49, VII
National Science Foundation 45, VI; 48, 25
National Security Council 32, XXI
National Security Council and Office of Science and Technology Policy
47, II
National Telecommunications and Information Administration 15, XXIII;
47, III
National Transportation Safety Board 49, VIII
Office of Navajo and Hopi Indian Relocation 25, IV
Navy Department 32, VI; 48, 52
Neighborhood Reinvestment Corporation 24, XXV
Nuclear Regulatory Commission 10, I
Occupational Safety and Health Administration 29, XVII
Occupational Safety and Health Review Commission 29, XX
Office of Independent Counsel 28, VII
Offices of Independent Counsel, Department of Justice 28, VI
Operations Office, Department of Agriculture 7, XXVIII
Overseas Private Investment Corporation 22, VII
Oversight Board 12, XV
Packers and Stockyards Administration 9, II
Panama Canal Commission 48, 35
Panama Canal Regulations 35, I
Patent and Trademark Office 37, I
Payment of Expenses Connected With the Death of Certain Employees 41,
303
Peace Corps 22, III
Pennsylvania Avenue Development Corporation 36, IX
Pension and Welfare Benefits Administration, Department of Labor 29,
XXV
Pension Benefit Guaranty Corporation 29, XXVI
Personnel Management, Office of 5, I; 45, VIII; 48, 17
Federal Employees Health Benefits Acquisition Regulation 48, 16
Postal Rate Commission 39, III
Postal Service, United States 39, I
Postsecondary Education, Office of 34, VI
President's Commission on White House Fellowships 1, IV
Presidential Documents 3
Prisons, Bureau of 28, V
Productivity, Technology and Innovation, Assistant Secretary
(Commerce) 37, IV
Property Management Regulations System, Federal 41, Subtitle C
Public Contracts, Department of Labor 41, 50
Public Health Service 42, I
Railroad Retirement Board 20, II
Reclamation Bureau 43, I
Reduction in Meeting and Training Allowance Payments 41, 304
Refugee Resettlement, Office of 45, IV
Regional Action Planning Commissions 13, V
Relocation Allowances 41, 302
Research and Special Programs Administration 49, I
Resolution Trust Corporation 12, XVI
Rural Electrification Administration 7, XVII
Rural Telephone Bank 7, XVI
Saint Lawrence Seaway Development Corporation 33, IV
Science and Technology Policy, Office of 32, XXIV
Science and Technology Policy, Office of, and National Security
Council 47, II
Secret Service 31, IV
Securities and Exchange Commission 17, II
Selective Service System 32, XVI
Small Business Administration 13, I; 48, 22
Smithsonian Institution 36, V
Social Security Administration 20, III; 45, IV
Soil Conservation Service 7, VI
Solar Energy and Energy Conservation Bank, Department of Housing and
Urban Development 24, XI
Soldiers' and Airmen's Home, United States 5, XI
Special Counsel, Office of 5, VIII
Special Education and Rehabilitative Services, Office of 34, III
State Department 22, I
Federal Acquisition Regulation 48, 6
Surface Mining and Reclamation Appeals, Board of 30, III
Susquehanna River Basin Commission 18, VIII
Technology Administration 15, XI
Tennessee Valley Authority 18, XIII
Thrift Supervision Office, Department of the Treasury 12, V
Trade Representative, United States, Office of 15, XX
Transportation, Department of 44, IV
Coast Guard 33, I; 46, I, III; 49, IV
Commercial Space Transportation, Office of 14, III
Contract Appeals Board 48, 63
Federal Acquisition Regulation 48, 12
Federal Aviation Administration 14, I
Federal Highway Administration 23, I, II; 49, III
Federal Railroad Administration 49, II
Maritime Administration 46, II
National Highway Traffic Safety Administration 23, II, III; 49, V
Research and Special Programs Administration 49, I
Saint Lawrence Seaway Development Corporation 33, IV
Secretary of Transportation, Office of 14, II; 49, Subtitle A
Urban Mass Transportation Administration 49, VI
Transportation, Office of, Department of Agriculture 7, XXXIII
Travel Allowance 41, 301
Travel and Tourism Administration, United States 15, XII
Treasury Department 17, IV
Alcohol, Tobacco and Firearms, Bureau of 27, I
Comptroller of the Currency 12, I
Customs Service, United States 19, I
Engraving and Printing, Bureau of 31, VI
Federal Acquisition Regulation 48, 10
Federal Law Enforcement Training Center 31, VII
Fiscal Service 31, II
Foreign Assets Control, Office of 31, V
Internal Revenue Service 26, I
Monetary Offices 31, I
Secret Service 31, IV
Secretary of the Treasury, Office of 31, Subtitle A
Thrift Supervision Office 12, V
United States Customs Service 19, I
Truman, Harry S. Scholarship Foundation 45, XVIII
Under Secretary for Technology, Department of Commerce 37, V
United States and Canada, International Joint Commission 22, IV
United States Arms Control and Disarmament Agency 22, VI
United States Customs Service 19, I
United States Fish and Wildlife Service 50, I, IV
United States Information Agency 22, V; 48, 19
United States International Development Cooperation Agency 22, XII
United States International Trade Commission 19, II
United States Postal Service 39, I
United States Soldiers' and Airmen's Home 5, XI
United States Trade Representative, Office of 15, XX
United States Travel and Tourism Adminstration 15, XII
Urban Mass Transportation Administration 49, VI
Veterans Affairs Department 38, I; 48, 8
Veterans' Employment and Training, Office of the Assistant Secretary
for 41, 61; 20, IX
Vice President of the United States, Office of 32, XXVIII
Vocational and Adult Education, Office of 34, IV
Wage and Hour Division 29, V
Water Resources Council 18, VI
Workers' Compensation Programs, Office of 20, I
World Agriculture Outlook Board 7, XXXVIII
08 CFR 499.1 8 CFR (1-1-92 Edition)
08 CFR 499.1 List of CFR Sections Affected
08 CFR 499.1 List of CFR Sections Affected
All changes in this volume of the Code of Federal Regulations which
were made by documents published in the Federal Register since January
1, 1986, are enumerated in the following list. Entries indicate the
nature of the changes effected. Page numbers refer to Federal Register
pages. The user should consult the entries for chapters and parts as
well as sections for revisions.
For the period before January 1, 1986, see the ''List of CFR Sections
Affected, 1949-1963, 1964-1972, and 1973-1985'' published in seven
separate volumes.
08 CFR 499.1 1986
8 CFR
51 FR
Page
Chapter I
100.2 (a)(4) and (b)(2) revised 19824
100.4 (a) and (e) revised 34439
(c)(2) amended 42080
103 Authority citation revised 39994
103.1 (d) and (j) revised 19824
(s) revised 34439
103.7 (d)(3) revised 8183
(b)(1) amended 39994
109.1 (a)(7) added 44782
204.1 (d)(2) revised 18571
(d)(2) (i) and (ii) corrected 20794
212.1 (e)(3) amended 18769
Heading and (d) revised 44783
212.4 (a) revised 32295
214.2 (b)(3) added; eff. 1-8-87 44267
223 Authority citation revised 12596
223.1 Revised 12596
223a Authority citation revised 12596
223a.3 Revised 12596
238 Authority citation revised; section authority citations removed
8643
238.3 (b) amended 4158,
5988, 13210, 16288, 23215, 26375, 27157, 28060, 29085, 30475, 35205,
35499
238.4 Amended 8643,
13210, 18769, 21510, 21511, 26375, 28923, 30838
242.1 (a) revised 34081
242.2 (a) revised 34081
242.7 (a) revised 34082
243.3 Revised 23042
245.2 (a)(3) revised; authority citation removed 7432
(a) (2) through (4) revised; (a)(5) added 25357
287.3 Revised 34082
316a Authority citation revised 40124
316a.2 Amended 34582
316a.21 Revised 40124
332c.1 Revised 35628
341.2 (a) revised 35629
343a.1 Heading and (c) revised 35629
343a.2 Revised 35629
08 CFR 499.1 1987
8 CFR
52 FR
Page
Chapter I
1 Authority citation revised; section authority citations removed
2936
1.1 (h) revised 2936
3 Authority citation revised; section authority citations removed
2936
Nomenclature change 2941
3.1 (b)(3) revised 2943
(d)(3) revised 24981
3.3 (a) amended; (b) revised 2936
3.4 Amended 2936
3.7 Revised 2936
Corrected 7369
3.11 Added 2942
3.12 -- 3.38 (Subpart C) Added 2936
100 Authority citation revised 16191
100.2 (c)(3) (iv) and (v) amended; (c)(3)(vi) added 16191
100.4 (f) added 16191
(c)(4) revised 22629
103 Authority citation revised; section authority citations removed
2939
Authority citation revised 16192
103.1 (l)(1) amended 2985
(f)(1) (iv) and (v) and (q) amended; (f)(1)(vi) and (2) (xxvii)
through (xxxii), (n)(2) and (t) added; (n) redesignated as (n)(1) 16192
(o)(2) revised 22629
103.2 (c) added 16192
103.3 (a) redesignated as (a)(1); (a)(2) added 16192
103.4 Revised 661
Existing text designated as (a); (b) added 16192
103.5 Existing text designated as (a); (b) added 16193
103.7 (d) (1) and (4) revised 3
(c)(1) revised 2939
(b)(1) amended 16193, 19719
103.8 Introductory text republished; (c) revised 2942
103.10 (b)(1)(ii) removed; (b)(1) (iii) through (vi) redesignated as
(b)(1) (ii) through (v) 2942
103.37 Added 16193
109 Removed 16220
204 Authority citation revised 30900, 33797
204.1 (d)(2) revised 30900
(a)(2)(iii) amended 44593
204.2 (c)(7) revised 16233
204.5 Revised 33797
210 Added 16199
210.1 (k) amended 28662
210.2 (a)(3) and (c)(1) amended 28662
210.6 Added 28663
211 Authority citation revised 16193
211.1 (d) added 16193
211.5 (d) added 16193
212 Authority citation revised 16193,
16372, 48083, 48802
212.1 (e) through (j) redesignated as (f) through (k); new (e) added
48083
212.3 Revised 2943, 11621
212.5 (b) amended; (d)(2) redesignated as (d)(2)(i); (d)(2)(ii)
added 16194
(f) added 48802
212.11 Added; interim 16372
212.12 Added 48802
212.13 Added 48804
214 Authority citation revised 13226,
20555, 45446, 48084
214.1 (a) revised 45446
214.2 (h)(6)(i) and (9) and (l) revised; (h)(6)(ii), (10), (11),
(12), (13), and (14) redesignated as (h)(6)(v), (11), (13), (10), (14),
and (15); new (h)(10) and (11) revised; new (h)(6)(ii), (iii), and
(iv) and (12) added 5750
(l) correctly designated; (l)(3)(i) corrected 7063
(f)(4)(ii), (5), (6) (ii) through (v), (7), (8), and (10) revised
13226
(h) (3) through (15) redesignated as (h) (4) through (16); new
(h)(3) added; new (h)(4) heading revised; (h)(4)(ii)(B) amended;
interim 20555
(b)(3) addition at 51 FR 44267 clarification 30329
(b)(1) amended 48084
214.3 (g)(1) (i) through (xii) revised; flush text following
(g)(1)(xii) added 13229
234 Authority citation revised 16194
234.2 (b) amended 16194
236 Authority citation revised; section authority citations removed
2939
236.5 (a), (b), and (c) removed; (d) and (e) redesignated as (b) and
(c); new (a) added 2939
236.6 Revised 2939
236.7 Revised 2939
238 Authority citation revised 26944, 26945, 48084
238.3 (b) amended 2670, 26945
(a) revised 48084
238.4 Amended 26944
238.5 Added 48084
241 Heading and authority citation revised; interim 16372
241.2 Added; interim 16372
242 Authority citation revised; section authority citations removed
2939
Authority citation revised 16194, 16372
242.1 (a) and (b) revised 2939
(a) revised 3098
(a) introductory text corrected 5616
Effective date corrected 6133
242.2 (a) introductory text amended; (b) revised 2939
(a) revised 3098
(a)(1)(viii) corrected 5616
Effective date corrected 6133
(a) through (e) redesignated as (b) through (f); (a) and (g) added;
interim 16372
242.5 (b) amended 2940
242.7 (a) and (b) revised 2940
(a) revised 3099
(a)(3) corrected 5616
Effective date corrected 6133
242.12 Revised 2940
242.13 Revised 2940
242.14 (e) revised 2940
242.16 (d) amended 2940
242.20 Revised 2941
242.21 Existing text designated as (a); (b) added 16194
242.22 Revised 26470
244.2 Revised 24982
245 Authority citation revised 34764, 48084
245.1 (b)(5) through (8) and (c) through (f) redesignated as (b)(7)
through (10) and (d) through (g); new (b)(5) and (6) and (c) added;
interim 6321
(b)(11) added 48084
245.2 (a)(3)(iv) revised 34764
245.6 Redesignated as 245.7; new 245.6 added; interim 6322
(c)(3) corrected 13827
245.7 Redesignated as 245.8; new 245.7 redesignated from 245.6;
interim 6322
245.8 Redesignated as 245.9; new 245.8 redesignated from 245.7;
interim 6322
245.9 Redesignated from 245.8; interim 6322
245a Added 16208
245a.1 (c)(1), (d)(2), (e), and (l) amended; (d)(4) added; interim
43845
245a.2 (a)(2)(ii), (b)(8), (c)(8), (d)(4)(iii), (e) (1) and (2), (g),
(k)(4), (m)(2)(i) and (3), (n) (1) and (2), (q), (t)(5), (u)(1)
introductory text and (ii) and (w) amended; (b) introductory text and
(s) heading revised; (b) (9) through (15) added; interim 43845
245a.3 (a) and (b)(4)(i) amended; (b)(4)(ii) revised; (b)(4)(iii)
removed; interim 43846
248 Authority citation revised 11621, 48084
248.1 (e) added; interim 11621
248.2 (e) added 48084
249.2 Revised; interim 6322
264 Authority citation revised 16194
264.1 (a), (b), and (c) amended 16194
274a Added 16221
Authority citation revised 43052
274a.6 Revised; interim 43053
287 Authority citation revised 16372
287.1 (g) through (i) added; interim 16372
287.7 Added; interim 16373
292 Authority citation revised; section authority citations removed
2941
292.3 (a) introductory text, (5) and (b) revised 24981
292.4 (a) revised 2941
299 Authority citation revised 16195, 48084
299.1 Amended 16195, 48084
299.3 Amended 16195
316a Authority citation revised 46739
316a.2 Amended 46739
341.1 Revised 19719
341.7 Revised; interim 13229
08 CFR 499.1 1988
8 CFR
53 FR
Page
Chapter I
1 Authority citation revised 30016
1.1 (o) added 30016
3.1 (a)(1) revised 15659
100 Authority citation revised 15194, 23603
100.4 (c)(2) amended 15194
(b)(14) and (d) amended 23603
(f) amended; interim 43985
103 Authority citation revised 26034
103.1 (n)(2) amended; interim 10064
(q) amended 35799
(n)(3) added; interim 43985
103.2 (b)(2) redesignated as (b)(3) and revised; new (b)(2) added
26034
103.4 (b) revised; interim 43985
103.7 (b)(1) amended; interim 43985
103.37 Removed; interim 43986
204 Authority citation revised 30016
204.1 (a) (2) through (4) and (d) (2) through (4) redesignated as (a)
(3) through (5) and (d) (3) through (5); new (a)(2) and (d)(2) added
30016
204.5 (c) corrected 2824
205 Authority citation revised 30016
205.1 (a)(10) added 30017
210 Revised; interim 10064
210.3 (b)(4) added; interim 27335
211 Authority citation revised 18260, 30017
211.1 (b)(1) revised 30017
211.5 (a) and (b) revised; (d) removed; interim 18260
212 Authority citation revised 9282,
17450, 24900, 30017, 40667
212.1 (i) added 24900
212.4 (e) revised 40867
212.5 (a)(2)(ii) revised 17450
212.7 (a) revised 30017
212.11 Revised 9282
214 Authority citation revised 3331,
24900, 30017, 46852
214.2 (n) redesignated as (o); new (n) added; interim 3331
(b)(3) redesignated as (b)(4); new (b)(3) added 24900
(n) revised 26231
(k) revised 30017
(a) (2), (3), and (g)(2) revised; (a) (4) through (10) and (g)(3)
through (11) added; interim 46852
216 Added 30018
217 Added 24901
Authority citation revised 50160
217.2 (d) added 50160
217.3 (c) heading and introductory text amended; (d) added 50160
217.5 (a) revised 50161
223 Authority citation revised 30021
223.2 Revised 30021
223a Authority citation revised 30021
223a.4 Revised 30021
223a.5 (a) revised 30021
235 Authority citation revised 23380, 30021
235.11 Added 30021
235.12 Added 23380
236 Authority citation revised 24902
236.9 Added 24903
241 Heading and authority citation revised 9282
241.2 Revised 9282
242 Authority citation revised 9282,
10064, 17450, 24903, 30022
242.1 (a) introductory text amended; (d) added 24903
242.2 (a) revised; (g) removed; (b) through (f) redesignated as (c)
through (g); new (b) added; new (c)(2), (d), and (e) amended 9283
242.7 (a) revised 30022
242.17 (a) revised 30022
242.21 (b) heading and text amended; interim 10064
242.24 Added 17450
245 Authority citation revised 24903, 30022
245.1 (b)(15) added 24903
(b) (12), (13) and (14) and (h) added 30022
245.8 Revised 30023
245a Heading and authority citation revised; interim 9274, 43992
245a.1 (o) and (p) revised 9863
(d)(4) revised 23382
(h) revised; (r) through (u) added; interim 43992
245a.2 (b) (8), (9), (11), and (12), (d)(4)(iii), (r), and (t)(4)
revised 23382
245a.3 (b)(3) revised 23382
Revised; interim 43993
245a.4 Added; interim 9274
248 Authority citation revised 24903
248.2 (f) added 24903
264 Authority citation revised 43986
264.1 (c) amended; interim 43986
271 Added 26036
274 Revised 43187
274a Authority citation revised 8612
274a.1 Introductory text amended 8612
274a.2 A. redesignated as (a); (b)(1)(v)(B)(1) introductory text
revised; (b)(1)(ii)(A), (v)(B)(1)(i), (2), (3) introductory text, (i),
and (iii), (vi), (vii) and (viii) (C) and (G), and (2)(i)(B) and (ii)
amended; (b)(1)(v)(B)(4) and (2)(iii) added 8612
274a.3 Amended 8613
274a.7 (a) and (b)(3) amended 8613
274a.9 (c) amended; (d) revised 8613
274a.12 (a)(11), (b) (10), (11) and (15), and (c) (1), (3) (i) and
(ii) and (15) amended; (b)(6) revised 8614
(c) (1) and (4) amended; interim 46855
274a.13 (a) amended 8614
274a.14 (b)(1)(i) amended 8614
(c) suspended 20087
286 Added 5757
287 Authority citation revised 9283
287.1 (g) through (i) revised 9283
287.7 Revised 9283
292.1 (a)(6) revised 7728
299 Authority citation revised 24903,
33442, 33444
299.1 Amended 24903
Revised 33444
299.5 Added 33442
Table amended (OMB numbers); interim 43986
337 Authority citation revised 23603
337.2 Revised 23603
341 Authority citation revised 23603
341.7 Revised 23603
499.1 Amended 33445
08 CFR 499.1 1989
8 CFR
54 FR
Page
Chapter I
100.2 (c)(3)(vii) added 18649
100.4 (c)(2) amended 2994, 39336
(f) amended 29439
(c) (2) and (3) amended 47674
101 Authority citation revised 5927
101.5 Added 5927
103 Authority citation revised 29441,
29881, 47348, 51870
103.1 (q) amended 6876
(f)(3) and (u) added 18649
(f)(2)(xxxii) removed 29439
(f)(2)(xxxii) added 29441
(f)(2) (xxxi), (xxxii), and (t) revised; (f)(2)(xxxiii) and (n)(4)
added; interim 29881
103.2 (d) added; interim 29881
103.3 (a)(3) added; interim 29881
103.5 (c) added; interim 29881
103.7 (b)(1) amended; interim 13, 29882, 48231
(b) (1) and (3) amended 13515
(b)(1) amended 47348
Regulation at 54 FR 13 confirmed 48577
(b)(1) amended; eff. 1-18-90 51870
204 Authority citation revised 11161
204.1 (a)(3) (ii) and (iii) revised 34142
204.2 (c) (3), (4), and (5) revised; interim 11161
(c) (3) through (5) revised 36754
210 Authority citation revised 4757
210.1 (b) through (r) redesignated as (c) through (s); new (b) added
50339
210.3 (b)(4) revised 4757
210.5 (b)(2) removed; (b)(3) redesignated as (b)(2); (b) heading,
(1), and new (2) revised 50339
210a Added; interim 29882
210a.1 (d) amended; interim 36277
210a.2 (c)(1) amended; interim 36277
210a.3 (a), (b), (c) and (d)(1) amended; interim 36277
210a.5 (i)(1), (3), (4), (5) and (6) revised; interim 36277
210a.6 (g) amended; interim 36277
210a.7 (c) amended; interim 36277
211 Authority citation revised 8184, 30369
211.1 (b)(1) revised 30369
211.5 (a) and (b) revised 8184
212.1 (l) added; interim 13
Regulation at 54 FR 13 confirmed 48577
214 Authority citation revised 10979, 48577
214.2 (b)(1) revised; (b)(4) redesignated as (b)(5); new (b)(4) and
(l)(17) added; interim 14
(e) redesignated as (e)(1); new (e)(1) heading and (2) added 10979
Regulation at 54 FR 14 confirmed; (b) (1) and (4) and (l)(17)
revised 48577
(l)(17) designation corrected; (l)(17)(i) corrected 51816
214.3 (e)(2), and (h) revised 19544
214.4 (a)(1)(iii) revised; (a)(1)(xviii) added 19544
214.6 Added; interim 15
Revised 48579
216 Authority citation revised 30369
216.4 (a)(4) revised 30369
217.5 (a) revised 27120
232 Revised 101
233 Removed 101
235 Authority citation revised; section authority citations removed
101
235.3 (d) revised; (a) amended; (e) and (f) added 101
(f) corrected 6365
235.5 (c) removed 101
237 Authority citation revised 102
237.4 Amended 102
237.5 Existing text designated as (a); (b) added 102
237.6 (a)(5) added 102
238.3 (c) added 102
(b) amended 47675
238.4 Amended 47675
239 Authority citation revised 102
239.2 (b) removed; (c), (d), and (e) redesignated as (b), (c), and
(d) 102
(d) correctly redesignated as (c) 1050
242.21 (b) amended 29439
243 Authority citation revised 39337
243.2 Revised 39337
245 Authority citation revised 29441, 47348, 47968
245.1 (b)(5), (6), (c)(1) introductory text, (2) introductory text,
(ii) and (3) revised 29441
(c)(1) introductory text correctly designated 47676
245.2 (a)(5)(ii) revised 29441
(a)(3)(iv) amended 47348
(a)(5)(ii) corrected 47676
245.6 (a), (c)(2) and (d)(2) revised; (f), (g) and (h) added 29441
(a), (d)(2), and (g)(2) corrected 47676
245.9 Revised (temporary) 47968
245a Authority citation revised 6505
245a.1 (i), (r), (s) (2) through (5) revised; (s) introductory text
republished; (v) added 29448
245a.2 (a)(2)(i) and (c)(5) removed; (d)(4) introductory text and
(k)(4) revised 29449
245a.3 (a) revised; interim 13361
Revised 29449
(b)(6), (12)(iii) and (c)(3) corrected 43384
245a.4 Revised 6505
(a)(10), (b)(4)(v) introductory text, (b)(11)(iv)(C) and (c) revised
29455
(c) corrected 47676
245a.5 Added 29437
(c) table amended 49964
264.1 (c) revised; interim 50340
(c)(3)(v) (B) and (C) correctly designated 51816
274a.12 (b)(16) added; interim 16
Regulation at 54 FR 16 confirmed 48577
280 Authority citation revised; section authority citations removed
102
280.1 Amended 18649
280.4 Amended 18649
280.5 Amended 18649
280.6 Amended 102
280.11 Amended 18649
280.12 Amended 18649
280.13 Amended 18649
280.15 Amended 18649
280.51 (a) and (c) amended 18649
280.52 Added 102
286.2 Immigration user fee 47677
287 Authority citation revised 39337, 48851
287.6 (c) heading revised 39337
(d) added 48851
299 Authority citation revised 39337
299.1 Amended 102,
7173, 29440, 30370, 39337
Amended; interim 48231
299.5 Amended 7174,
29440, 30370
Table amended; interim 48231
316a.2 Amended 47677
499 Authority citation revised 7174
499.1 Amended 7174
08 CFR 499.1 1990
8 CFR
55 FR
Page
Chapter I
3.1 (b)(9) added 30680
3.22 (b)(1) amended 30680
103 Authority citation revised 12627
Fee review; comments discussion 20261
103.1 (f)(1)(v) revised 20769
Regulation at 54 FR 29881 confirmed; (n)(4) amended 20774 (s)
amended 12627
(n)(1) and (q) amended; (v) added 30680
(f)(2)(ix) revised 41988
Technical correction 43439
103.2 Regulation at 54 FR 29881 confirmed 20774
(b)(3) correctly removed; CFR correction 12815
103.3 Regulation at 54 FR 29881 confirmed; (a)(3)(i) amended 20775
(a)(1), (b), and (c) revised; (a)(2) and (3) redesignated as
(a)(3) and (4); new (a)(2) added; (d) and (e) removed 20769
(a)(2)(v)(A)(1) and (2)(iii) corrected 23345
103.4 (a) revised 20770
103.5 (a) revised 20770
Regulation at 54 FR 29881 confirmed; (c)(1) amended 20775
(a) amended; interim 25931
103.7 (b)(1) amended 12629
Regulation at 54 FR 29882 confirmed 20775
Regulation at 54 FR 48231 confirmed 29342
208 Authority citation revised 2805
Revised 30680
208.5 Existing text designated as (a); new (a) heading and (b)
added; interim 2805
210.2 (e)(3) revised; interim 12629
210.3 (d)(2) amended; (d)(3) added; interim 12629
210.4 (d)(2) revised; (d)(3) added; interim 12629
210a Regulation at 54 FR 29882 and 54 FR 36277 confirmed; revised
20775
210a.1 Regulation at 54 FR 36277 confirmed 20774
(j) corrected 23345
210a.2 Regulation at 54 FR 36277 confirmed 20774
210a.3 Regulation at 54 FR 36277 confirmed 20774
210a.4 (d)(1) corrected 23345
210a.5 Regulation at 54 FR 36277 confirmed 20774
210a.6 Regulation at 54 FR 36277 confirmed 20774
210a.7 Regulation at 54 FR 36277 confirmed 20774
(j) corrected 23345
212 Authority citation revised 24859, 36259
212.1 (e)(3) revised 36259
212.2 (a) revised; interim 24859
214 Authority citation revised 5573
214.2 (h)(1) through (16) redesignated as (h)(2) through (17); new
(h)(1) added; new (h)(2), (3), and (5) through (17) revised 2621
(a)(5) through (7), (g)(2), (3), (5), (6), (7), (9), and (11) revised
5573
(h)(2)(i)(B), (C), (F)(2), (v), (4)(i)(D), (ii), (vi)(B), (viii)(B),
(ix) 7881
(h)(8)(ii)(A), (B), (C), and (iii)(C) amended 7882
(h)(1)(i), (ii)(A), (2)(i)(A), (iii) and (iv) revised; (h)(3)(v)(C)
removed; (h)(3) through (17) redesignated as (h)(4) through (18); new
(h)(3) added; new (h)(4)(vii)(D), (5)(x), (9)(iii)(A), (13)(ii),
(14)(i), (15)(i)(A) through (C), (ii)(B) and (17)(iii)(A) revised;
interim 34897
(h)(2)(i)(D) and (v) amended; nomenclature change; interim 34900
(h)(4)(i), (A), (C), (iii)(C), (v)(A)(1)(i), (ii), (iii), (B)(2)(ii),
(vi)(A), (vii)(A), and (E) amended; interim 34900
(h)(5)(i)(A), (D), (ii), (vi)(B), (viii)(B), (ix) amended; interim
34900
(h)(6)(iii)(C) amended; interim 34900
(h)(9)(ii)(A) through (C), (iii)(B)(1) and (2) amended; interim
34900
(h)(13)(iv), (15)(ii)(A), (16)(i) heading, (A)(1), (A)(1)(i), (B)(1)
and (ii) amended; interim 34900
(h)(16)(ii) amended; interim 34901
214.4 (b) through (h) revised; (i), (j), and (k) removed 41988
Technical correction 43439
235.12 Application deadline 14234
236 Authority citation revised 30686
236.3 Revised 30686
238 Authority citation revised 3715
238.3 (b) amended 1578, 3715
238.4 Amended 1578, 3715
241 Authority citation revised 11153
241.1 Revised 11153
242 Authority citation revised 1579, 2805, 24859, 30686, 43327
242.1 (a) revised 1579
(a)(15) and (16) amended; (a)(17) added 12627
242.2 (c)(1) revised 1579
(c)(1) introductory text revised; (c)(2) amended; interim 24859
(a)(1) revised; interim 43327
242.5 (a)(1) amended 12627
(a)(2) amended; interim 24859
242.17 (c) revised; interim 2805
(c) revised 30687
244 Authority citation revised 24859
244.1 Amended; interim 24859
245 Fee review; comments discussion 20261
245.1 (c)(2)(iv) and (d)(3) added; (f)(1) revised; interim 10397
245.2 (a)(5)(ii) amended; interim 10397
245.10 Added; interim 24860
253 Authority citation revised 30687
253.1 (f) revised 30687
264.1 Regulation at 54 FR 50340 confirmed; (c)(1)(ii), (2)(ii),
(iii)(B), (D), (iv)(A) and (3)(iii)(C) amended; (c)(2)(i)(F) removed;
(c)(2)(i)(C) through (E) redesignated as (c)(2)(i)(D) through (F); new
(c)(2)(i)(C) added; new (c)(2)(i)(E) and (F) revised 20262
274a Authority citation revised 5576
274a.1 (c), (h), (j) and (k) revised; (l) added; interim 25931
274a.2 (a), (b)(1)(i), (ii), (iii), (iv), (v) introductory text, (A)
introductory text, (1), (6) through (7) and (B)(1) revised;
(b)(1)(v)(A)(8) through (10) added; interim 25932
(b)(1)(v)(C), (vi), (vii), and (viii) revised; interim 25933
(b)(2)(ii), (3), (c)(1), (d)(1) and (2) revised; interim 25934
274a.5 Revised; interim 25934
274a.7 (a) revised; (b)(3) amended; (b)(4) added; interim 25935
274a.9 (a) revised; (c) heading, (1) introductory text heading, (i)
and (d) amended; (e) added; interim 25935
274a.10 (a), (b) introductory text, (1) introductory text, (ii)(A)
through (C) and (3) revised; interim 25935
274a.11 Removed; interim 25935
274a.12 (c)(4) revised 5576
(a) introductory text and (b)(15) revised; (a)(9) and (b)(4)
removed; interim 25935
(c) introductory text, (1), (4), (8), (9), (10), (11), (12), and (13)
revised; (c)(15) removed; (c)(16) and (17) added; interim 25936
274a.13 (a), (b), and (d) revised; interim 25937
286.5 (b), (c), and (d) revised; interim 729
Regulation at 55 FR 729 confirmed 18860
287.4 (a)(1) amended 12628
287.7 (a)(1) revised; interim 43327
292.1 (a)(2) revised 49251
299.1 Amended 12629
Regulation at 54 FR 48231 confirmed 29342
299.3 Amended 12629
299.5 Amended 12629
Regulation at 54 FR 48231 confirmed 29342
316a Authority citation revised 31037
316a.2 Amended 31037
334 Authority citation revised 31037
334.13 Amended 31037
341 Authority citation revised 31037
341.7 Revised 31037
499.1 Amended 12629
08 CFR 499.1 1991
8 CFR
56 FR
Page
Chapter I
3.1 (b)(10) added; interim 624
Regulation at 56 FR 624 confirmed 23496
100 Authority citation revised 50811
100.4 (g) added; interim 50811
101.6 Added; interim 23208
103 Authority citation revised 12649, 21919
103.1 (b)(3)(ii) revised; (f)(2)(xxxii) and (xxxiii) amended;
(f)(2)(xxxiv) added; interim 624
(f)(2)(xxxiii) and (xxxiv) amended; (f)(2)(xxxv) and (xxxvi) added;
interim 23209
Regulation at 56 FR 624 confirmed 23496
(f)(2)(ii) revised 60905
103.2 (b)(3)(i) amended; (b)(3)(ii) revised 624
103.5 (a) revised 41782
103.7 (b)(1) amended; interim 624, 21919, 22822, 31060
(b)(1) and (3) amended 12649
Regulation at 56 FR 624 confirmed 23496
(b)(1) amended 23498
(c)(4) added; interim 32501
Regulation at 56 FR 22822 confirmed 49672
(b)(1) amended; (b)(3) removed; interim 50480
204 Authority citation revised 60905
204.1 (a)(2)(iii) revised; interim 28312
204.5 Revised 60905
204.6 Revised 60910
204.8 Added; interim 23210
208 Authority citation revised 50812
208.3 (a) amended; interim 50812
208.4 (a) revised; (b) redesignated as (c); new (b) added; interim
50812
209 Authority citation revised 26898
209.2 Introductory text added; (a) revised; (b), (c) and (f)
amended; interim 26898
210a.8 (b)(3) amended; interim 38333
212.2 Revised; inerim 23212
212.3 Revised; interim 50034
214 Authority citation revised 38333
Authority citation revised 61119
214.1 (e), (f) and (g) amended; interim 38333
214.2 (c)(1) amended 480
(q) added; interim 41624
(b)(4)(i)(D)(1) revised 482
(g)(1) revised 2841
(h)(3)(i)(B) and (v)(C) amended; (h)(3)(iv)(E) removed 11916
(h)(17) revised 11917
(d) revised; interim; effective to 12-31-91 26017
Regulation at 56 FR 26017 comment time extended 31305
(j)(1)(v) revised 33371
(a)(10), (e)(1), (f)(12)(i)(E), (g)(10) and (m)(16)(i)(E) amended;
interim 38333
(f) and (m)(14)(iii) revised; (m)(14)(ii) amended 55613
(h)(4)(iv) an d(v) removed; (h)(4)(vi), (vIII) and (9)(iii)(A)
through (C) redesignated as (h)(4)(iv), (v) and (9)(iii)(B) through (D);
(h)(1), (2)(i)(A), (B), (D), (E), (ii), (4) heading, (i) through (iiI),
new (iv), (8), new (9)(iii)(B), (D), (10)(ii), (iii), (11)(i), (13)
through (16) and (18) revised; new (h)(4)(vi) through (ix), (6)(vi)(E),
(7)(iv), and (9)(iii)(A) added 61119
(h)(2)(iii), (iv), (4)(v)(E), (5)(i)(A), (6)(iii)(E), (vi), (7), (i),
(ii), (iii), (9)(i) and (ii)(A) through (c) amended; (l)(3)(vi) and
(viiI) redesignated as (l)(3)(vii) and (viii); (l)(1)(i), (ii)(A)(,
(B), (C), (D), (F), (G), (H), (K), (L), (2)(i), (3)(iii), (v),
(5)(ii)(C), (6), (7)(i) introductory text, (C), (ii), (8)(ii), (iii),
(9)(i), (10)(i), (12), (14)(i), (15) and (16) revised; new (l)(3)(vi)
added 61127
(l)(1)(ii)(M), (2)(i) through (ii), (3) introductory text, (iii),
(v), (4)(iv) introductory text, (5)(ii)(A), (B), (7)(i)(A)(1), (B)(1),
(9)(iii)(B), (13) heading, (i), (ii), (14)(ii) introductory text, (D),
(ii)(A), (17)(i), (ii), (iv), (v)(A) and (B) amended 61130
(o) redesignated as (s); new (o) and (p) added 61130
(r) added 66967
214.6 (d)(2)(ii) revised 482
216 Authority citation revised 22637
216.5 (a)(1), (2), (e)(2)(ii) and (iii) revised; (a)(3) and (e)(3)
added; interim 22637
217.2 (a) introductory text, (4) and (b) through (d) revised; (a)(5)
and (6) removed; (a)(7) and (8) redesignated as (a)(5) and (6) 32953
217.4 (b) and (d) revised 32953
217.5 (a) revised; interim 46716
217.6 (a), (b)(1)(ii), (iv), (v), (2)(i) and (iv) revised;
(b)(2)(vi) added 32954
235 Authority citation revised 50812
235.6 (a) amended; interim 50812
237 Authority citation revised 23214
237.4 Removed 23214
240 Added; interim 619
Regulation at 56 FR 619 confirmed 23496
240.1 Amended 23497
240.2 (a) amended 23497
240.4 (a) amended 23497
240.5 (a) amended 23497
240.6 Amended 23497
240.7 (d) amended 23497
240.8 Amended 23497
240.9 (a)(1) introductory text, (2) introductory text, (2)(i)
introductory text, (3) and (c) amended 23497
240.10 (c) introductory text, (d) introductory text, (2), (f)(3), (3)
and (4)(iii) amended; (e)(1) introductory text, (f)(1), (2)
introductory text and (4)(ii) revised 23497
240.11 Amended 23497
240.12 (a) amended 23498
240.14 (b)(1) and (3) amended; (d) removed 23498
240.15 (a) and (b) amended 23498
240.17 (a) and (b) revised 23498
240.18 (a), (b) and (d) amended 23498
240.41 Amended 23498
240.42 (a) amended 23498
(d) revised 41445
240.43 (a) amended 23498
240.46 Revised 23498
240.47 Introductory text amended; (b) revised 23498
240.48 Added; interim 32501
241 Heading revised 8906
241.1 Removed; new 241.1 redesignated from 241.2 8906
Amended; interim 38333
241.2 Redesignated as 241.1 8906
242 Authority citation revised 23214, 38333
242.1 (a)(16) and (17) amended; (a)(18) and (19) added 18502
(a)(19) amended; (a)(20) and (21) added; interim 50812
242.2 (c)(1)(xv) and (xvi) amended; (c)(1)(xvii) and (xviii) added
18503
(h) added 23214
Regulation at 55 FR 43327 confirmed 33205
242.5 (a)(1) and (c) amended 18503
242.7a Amended; interim 38333
242.8 (a) amended; interim 38333
242.16 (c) amended 8907
242.17 (d) amended; interim 38333
242.23 (c) and (d) amended; interim 38333
243 Authority citation revised 48730
243.8 Amended 48730
245.1 (b) introductory text, (4), (c)(1), (2)(iv), (d)(3) and (f)(1)
revised; interim 28040
(b)(14) revised; interim 28313
(b)(8), (10) and (12) amended; (d)(2) and (g) removed; (d)(3) and
(h) redesignated as (d)(2) and (g); (d)(1), (f) and new (g) revised
49840
245.2 (a)(5)(ii) amended; interim 28042
(a)(1) and (3)(i) amended; (a)(2)(i), (iii), (3)(iii), (4)(iii),
(5)(iii), (b) and (e) removed; (a)(2)(ii), (iv), (3)(iv), (4)(iv),
(5)(iv), (c) and (d) redesignated as (a)(2)(i), (ii), (3)(iii),
(4)(iii), (5)(iii), (b) and (c); new (a)(2)(i) revised 49841
245.4 Removed; new 245.4 redesignated from 245.7 49841
245.5 Removed; new 245.5 redesignated from 245.8 and revised 49841
245.6 Removed; new 245.6 redesignated from 245.9 and amended 49841
245.7 Redesignated as 245.4; new 245.7 redesignated from 245.10
49841
245.8 Redesignated as 245.5 and revised 49841
245.9 Redesignated as 245.6 and amended 49841
245.10 Redesignated as 245.7 49841
245a Authority citation revised 31061
245a.1 (e) amended; interim 31061
245a.2 (u)(1)(iv) amended; interim 31061
245a.3 (a)(2), (b)(1), (c)(3) and (d)(6) amended; (a)(3) added;
interim 31061
251 Authority citation revised 26017
251.1 (a) and (d) revised; interim; effective to 12-31-91 26017
Regulation at 56 FR 26017 comment time extended 31305
258 Added; interim; effective to 12-31-91 26018
Regulation at 56 FR 26018 comment time extended 31305
264.1 (c)(2)(iv)(A) amended 483
264.3 Added 1566
274.9 (a) amended 8686
274.10 (a) introductory text, (4) and concluding text amended 8686
274.11 Amended 8686
274.12 Amended 8686
274a.1 (c), (j), (k) and (l) revised 41783
274a.2 (b)(1)(v)(B)(1)(iii) through (viii) redesignated as
(b)(1)(v)(B)(1)(iv) through (ix); (a) introductory text, (b)(1)(i)(A),
(v) introductory text, (A)(1), (B)(1)(i), new (v) and (C)(3) amended;
new (b)(1)(v)(B)(1)(iii) added; (b)(1)(v)(C)(4), (8) and (vi) through
(viii) revised 41784
(b)(2)(ii) and (iii) revised; (b)(3) amended 41785
(c)(1), (d)(1)(i), and (ii) revised; (d)(1) introductory text and
(2) amended 41786
274a.7 (a) revised 41786
274a.9 (b), (d) and (e) amended; (c) introductory text and (1)(i)
revised 41786
274a.10 (b) nomenclature change; (b) introductory text, (1)
introductory text, and (3) amended 41786
274a.12 (a) introductory text revised; (a)(11) amended; (a)(12) and
(c)(19) added; interim 624
Regulation at 56 FR 624 confirmed 23498
(a) concluding text added 23499
(a) introductory text, (1), (b)(15), (c) introductory text, (1), (4),
(10), (12) introductory text, (13) introductory text, and (17)(i)
amended; (c)(18) added 41787
(b)(6), (c)(3) and (6) revised 55616
274a.13 (a) revised; (d) amended 41787
280.2 Amended; interim 26020
Regulation at 56 FR 26020 confirmed 45885
280.7 Amended; interim 26020
Regulation at 56 FR 26020 confirmed 45885
280.52 Revised; interim 26020
Regulation at 56 FR 26020 confirmed 45885
286 Authority citation revised 21919
286.8 Added; interim 21919
287.7 Regulation at 55 FR 43327 confirmed 33205
299.1 Amended; interim 624
Amended; interim 21920
Regulation at 56 FR 624 confirmed 23496
299.5 Amended; interim 624
Amended; interim 21920
Table amended (OMB numbers); interim 22822
Regulation at 56 FR 624 confirmed 23496
Regulation at 56 FR 22822 confirmed 49672
Amended; interim 50480
310 Added; interim 50480
312 Revised; interim 50481
313 Added; interim 50482
315 Added; interim 50483
316 Added; interim 50484
316.5 (d) redesignated from 316a.21 and revised; interim 50487
316.20 (a), (b) and (c) redesignated from 316a.2, 316a.3 and 316a.4;
(a) heading, (b) heading, and (c) heading added; interim 50487
316a Removed; interim 50487
316a.2 Redesignated as 316.20(a); (a) heading added; interim 50487
316a.3 Redesignated as 316.20(b); (b) heading added; interim 50487
316a.4 Redesignated as 316.20(c); (c) heading added; interim 50487
316a.21 Redesignated as 316.5(d) and revised; interim 50487
319 Authority citation revised 50487
319.1 Revised; interim 50488
319.2 Revised; interim 50488
319.3 Revised; interim 50488
319.4 Redesignated as 319.5 and amended; new 319.4 added; interim
50489
319.5 Redesignated as 319.6; new 319.5 redesignated from 319.4;
interim 50489
319.6 Redesignated from 319.5; interim 50489
319.11 Revised; interim 50489
322 Revised; interim 50489
324 Heading and authority citation revised; interim 50490
324.1 Added; interim 50490
324.2 Redesignated from 324.11 and revised; interim 50490
324.3 Redesignated from 324.12; interim 50490
Revised; interim 50491
324.4 Redesignated from 324.13; interim 50490
Amended; interim 50491
324.5 Redesignated from 324.14; interim 50490
Amended; interim 50491
324.11 Redesignated as 324.2; interim 50490
324.12 Redesignated as 324.3; interim 50490
324.13 Redesignated as 324.4; interim 50490
324.14 Redesignated as 324.5; interim 50490
324.15 Removed; interim 50491
325 Added; interim 50491
327 Revised; interim 50492
328 Revised; interim 50492
329 Heading and authority citation revised; interim 11061
Authority citation revised 50493
329.1 Revised; interim 50493
329.2 Revised; interim 50493
329.3 Added; interim 50493
329.4 Added; interim 50493
329.5 Added; interim 11061
330 Revised; interim 50493
331 Added; interim 50494
332 Heading and authority citation revised; interim 50494
332.1 Redesignated from 332d.1 and revised; interim 50494
332.2 Redesignated from 332c.1 and amended; interim 50495
332.3 Added; interim 50495
332.4 Redesignated from 332b.5; interim 50495
332.5 Added; (a) through (d) redesignated from 332a.1, 332a.2,
332a.11, and 332a.12; new (b) revised; new (a) heading, new (c)
heading and new (d) heading added; interim 50495
332.11 Redesignated as 335.2; interim 50494
332.13 Redesignated as 335.3; interim 50494
332a Removed; interim 50495
332a.1 Redesignated as 332.5(a); (a) heading added; interim 50495
332a.2 Redesignated as 332.5(b) and revised; interim 50495
332a.11 Redesignated as 332.5(c); (c) heading added; interim 50495
332a.12 Redesignated as 332.5(d); (d) heading added; interim 50495
332b Removed; interim 50495
332b.1 Removed; interim 50495
332b.3 Removed; interim 50495
332b.4 Removed; interim 50495
332b.5 Redesignated as 332.4; interim 50495
332c Removed; interim 50495
332c.1 Redesignated as 332.2 and amended; interim 50495
332d Removed; interim 50495
332d.1 Redesignated as 332.1 and revised; interim 50494
333 Revised; interim 50495
334 Heading revised; interim 50495
Authority citation revised 50496
334.1 Revised; interim 50496
334.2 Redesignated as 334.3 and revised; new 334.2 redesignated from
334.11 and revised; interim 50496
334.3 Removed; interim 50496
Redesignated from 334.2 and revised; interim 50496
334.4 Redesignated from 334.14 and revised; interim 50496
334.5 Added; interim 50496
334.11 Redesignated as 334.2 and revised; new 334.11 redesignated
from 334a.1 and revised; interim 50496
334.13 Removed; interim 50496
334.14 Redesignated as 334.4 and revised; interim 50496
334.15 Removed; interim 50496
334.16 Heading revised; (a) and (b) amended; interim 50496
334.17 (a) amended; interim 50496
334.18 (a) amended; interim 50496
334.21 Removed; interim 50496
334a Removed; interim 50496
334a.1 Redesignated as 334.11 and revised; interim 50496
335 Heading revised; interim 50496
Authority citation revised 50497
335.1 Added; interim 50497
335.2 Redesignated from 332.11; interim 50494
Revised; interim 50497
335.3 Redesignated from 332.13; interim 50494
Revised; interim 50497
335.4 Added; interim 50498
335.5 Added; interim 50498
335.9 Added; interim 50498
335.10 Added; interim 50498
335.11 Heading and (a) revised; (b) through (g) amended; (h)
removed; interim 50498
335.12 Heading revised; amended; interim 50498
335.13 Heading revised; (a) through (d) amended; nomenclature
change; interim 50498
335a Removed; interim 50498
335c Removed; interim 50498
336 Revised; interim 50499
337 Authority citation revised 50499
337.1 (a) revised; (b) and (c) amended; (d) added; interim 50499
337.2 Redesignated as 337.9 and revised; new 337.2 added; interim
50500
337.3 Removed; new 337.3 redesignated from 337.11 and revised;
interim 50500
337.4 Revised; interim 50500
337.8 Added; interim 50500
337.9 Redesignated from 337.2 and revised; interim 50500
337.11 Redesignated as 337.3 and revised; interim 50500
338 Authority citation revised 30679, 50501
338.1 Added; interim 50501
338.2 Added; interim 50501
338.3 Redesignated from 338.14 and revised; interim 50501
338.4 Redesignated from 338.15 and revised; interim 50501
338.5 Redesignated from 338.16 and revised; interim 50501
338.11 Revised 30679
Heading revised; (a) amended; interim 50501
338.12 Revised 30680
Corrected 38485
Heading revised; amended; interim 50501
338.13 Amended; interim 50502
338.14 Redesignated as 338.3 and revised; interim 50501
338.15 Redesignated as 338.4 and revised; interim 50501
338.16 Redesignated as 338.5 and revised; interim 50501
339 Heading and authority citation revised; interim 50502
339.1 Revised; interim 50502
339.2 Revised; interim 50502
339.5 Revised; interim 50502
340 Authority citation revised 50502
340.11 Amended; interim 50502
343b Authority citation revised 50502
343b.1 Amended; interim 50502
343b.2 Amended; interim 50502
344 Removed; interim 50502
392 Added; interim 22822
Regulation at 56 FR 22822 confirmed 49672
499.1 Table amended; interim 22824
Regulation at 56 FR 22824 confirmed 49672
Amended; interim 50502, 50503
08 CFR 499.1 1992
14 CFR
57 FR
Page
Chapter I
214.2 (h)(4)(v)(E) correctly designated; (h)(6)(vi) introductory
text corrected 749
Aliens and Nationality
8
Revised as of January 1, 1992
CONTAINING
A CODIFICATION OF DOCUMENTS
OF GENERAL APPLICABILITY
AND FUTURE EFFECT
AS OF JANUARY 1, 1992
With Ancillaries
Published by
the Office of the Federal Register
National Archives and Records
Administration
as a Special Edition of
the Federal Register
Washington, DC 20402-9328
08 CFR 499.1 Table of Contents
Page
Explanation v
Title 8:
Chapter I -- Immigration and Naturalization Service, Department of
Justice
Finding Aids:
Table of CFR Titles and Chapters
Alphabetical List of Agencies Appearing in the CFR
List of CFR Sections Affected
08 CFR 499.1 Explanation
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
departments and agencies of the Federal Government. The Code is divided
into 50 titles which represent broad areas subject to Federal
regulation. Each title is divided into chapters which usually bear the
name of the issuing agency. Each chapter is further subdivided into
parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16 as of January 1
Title 17 through Title 27 as of April 1
Title 28 through Title 41 as of July 1
Title 42 through Title 50 as of October 1
The appropriate revision date is printed on the cover of each volume.
LEGAL STATUS
The contents of the Federal Register are required to be judicially
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie
evidence of the text of the original documents (44 U.S.C. 1510).
HOW TO USE THE CODE OF FEDERAL REGULATIONS
The Code of Federal Regulations is kept up to date by the individual
issues of the Federal Register. These two publications must be used
together to determine the latest version of any given rule.
To determine whether a Code volume has been amended since its
revision date (in this case, January 1, 1992), consult the ''List of CFR
Sections Affected (LSA),'' which is issued monthly, and the ''Cumulative
List of Parts Affected,'' which appears in the Reader Aids section of
the daily Federal Register. These two lists will identify the Federal
Register page number of the latest amendment of any given rule.
EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal
Register since the last revision of that volume of the Code. Source
citations for the regulations are referred to by volume number and page
number of the Federal Register and date of publication. Publication
dates and effective dates are usually not the same and care must be
exercised by the user in determining the actual effective date. In
instances where the effective date is beyond the cut-off date for the
Code a note has been inserted to reflect the future effective date. In
those instances where a regulation published in the Federal Register
states a date certain for expiration, an appropriate note will be
inserted following the text.
OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires Federal
agencies to display an OMB control number with their information
collection request. Many agencies have begun publishing numerous OMB
control numbers as amendments to existing regulations in the CFR. These
OMB numbers are placed as close as possible to the applicable
recordkeeping or reporting requirements.
OBSOLETE PROVISIONS
Provisions that become obsolete before the revision date stated on
the cover of each volume are not carried. Code users may find the text
of provisions in effect on a given date in the past by using the
appropriate numerical list of sections affected. For the period before
January 1, 1986, consult either the List of CFR Sections Affected,
1949-1963, 1964-1972, or 1973-1985, published in seven separate volumes.
For the period beginning January 1, 1986, a ''List of CFR Sections
Affected'' is published at the end of each CFR volume.
CFR INDEXES AND TABULAR GUIDES
A subject index to the Code of Federal Regulations is contained in a
separate volume, revised annually as of January 1, entitled CFR Index
and Finding Aids. This volume contains the Parallel Table of Statutory
Authorities and Agency Rules (Table I), and Acts Requiring Publication
in the Federal Register (Table II). A list of CFR titles, chapters, and
parts and an alphabetical list of agencies publishing in the CFR are
also included in this volume.
An index to the text of ''Title 3 -- The President'' is carried
within that volume.
The Federal Register Index is issued monthly in cumulative form.
This index is based on a consolidation of the ''Contents'' entries in
the daily Federal Register.
A List of CFR Sections Affected (LSA) is published monthly, keyed to
the revision dates of the 50 CFR titles.
REPUBLICATION OF MATERIAL
There are no restrictions on the republication of material appearing
in the Code of Federal Regulations.
INQUIRIES AND SALES
For a summary, legal interpretation, or other explanation of any
regulation in this volume, contact the issuing agency. Inquiries
concerning editing procedures and reference assistance with respect to
the Code of Federal Regulations may be addressed to the Director, Office
of the Federal Register, National Archives and Records Administration,
Washington, DC 20408 (telephone 202-523-3517). All mail order sales are
handled exclusively by the Superintendent of Documents, Attn: New
Orders, P.O. Box 371954, Pittsburgh, PA 15250-7954. Charge orders may
be telephoned to the Government Printing Office order desk at
202-783-3238.
Martha L. Girard,
Director,
Office of the Federal Register.
January 1, 1992.
08 CFR 499.1 THIS TITLE
Title 8 -- Aliens and Nationality is composed of one volume. The
contents of this volume represent all current regulations issued by the
Immigration and Naturalization Service, Department of Justice as of
January 1, 1992.
For this volume, Rob Sheehan was Chief Editor. The Code of Federal
Regulations publication program is under the direction of Richard L.
Claypoole, assisted by Alomha S. Morris.
09 CFR 0.0 9 CFR Ch. I (1-1-92 Edition)
09 CFR 0.0 Animal and Plant Health Inspection Service, USDA
09 CFR 0.0 Title 9 -- Animals and Animal Products
09 CFR 0.0 (This book contains parts 1 to 199)
Part
chapter i -- Animal and Plant Health Inspection Service, Department
of Agriculture 1
Editorial Note: Other regulations issued by the Department of
Agriculture appear in title 7, title 36, chapter II, and title 41,
chapter 4.
09 CFR 0.0 9 CFR Ch. I (1-1-92 Edition)
09 CFR 0.0 Animal and Plant Health Inspection Service, USDA
09 CFR 0.0 CHAPTER I -- ANIMAL AND PLANT HEALTH
09 CFR 0.0 INSPECTION SERVICE, DEPARTMENT OF
09 CFR 0.0 AGRICULTURE
09 CFR 0.0 SUBCHAPTER A -- ANIMAL WELFARE
Part
Page
1 Definition of terms
2 Regulations
3 Standards
4 Rules of practice governing proceedings under the Animal Welfare
Act
11 Horse protection regulations
12 Rules of practice governing proceedings under the Horse Protection
Act
09 CFR 0.0
09 CFR 0.0 SUBCHAPTER B -- COOPERATIVE CONTROL AND ERADICATION OF
LIVESTOCK OR POULTRY DISEASES
49 Rules of practice governing proceedings under certain acts
50 Animals destroyed because of tuberculosis
51 Animals destroyed because of brucellosis
52 (Reserved)
53 Foot-and-mouth disease, pleuropneumonia, rinderpest, and certain
other communicable diseases of livestock or poultry
54 Animals destroyed because of scrapie
55 (Reserved)
56 Swine destroyed because of hog cholera
09 CFR 0.0
09 CFR 0.0 SUBCHAPTER C -- INTERSTATE TRANSPORTATION OF ANIMALS
(INCLUDING POULTRY) AND ANIMAL PRODUCTS
70 Rules of practice governing proceedings under certain acts
71 General provisions
72 Texas (splenetic) fever in cattle
73 Scabies in cattle
74 (Reserved)
75 Communicable diseases in horses, asses, ponies, mules, and zebras
76 Hog cholera and other communicable swine diseases
77 Tuberculosis
78 Brucellosis
79 Scrapie in sheep
80 Paratuberculosis in domestic animals
82 Exotic newcastle disease in all birds and poultry: Psittacosis
and Ornithosis in poultry: Poultry disease caused by salmonella
enteritidis serotype enteritidis
85 Pseudorabies
89 Statement of policy under the Twenty-Eight Hour Law
09 CFR 0.0
09 CFR 0.0 SUBCHAPTER D -- EXPORTATION AND IMPORTATION OF ANIMALS
(INCLUDING POULTRY) AND ANIMAL PRODUCTS
91 Inspection and handling of livestock for exportation
92 Importation of certain animals and poultry and certain animal and
poultry products; inspection and other requirements for certain means
of conveyance and shipping containers thereon
93 Importation of elephants hippopotami, rhinoceroses, and tapirs
94 Rinderpest, foot-and-mouth disease, fowl pest (fowl plague),
Newcastle disease (avian pneumoencephalitis), African swine fever, and
hog cholera: prohibited and restricted importations
95 Sanitary control of animal byproducts (except casings), and hay
and straw, offered for entry into the United States
96 Restriction of importations of foreign animal casings offered for
entry into the United States
97 Overtime services relating to imports and exports
98 Importation of certain animal embryos and animal semen
99 Rules of practice governing proceedings under certain acts
09 CFR 0.0
09 CFR 0.0 SUBCHAPTER E -- VIRUSES, SERUMS, TOXINS, AND ANALOGOUS
PRODUCTS; ORGANISMS AND VECTORS
101 Definitions
102 Licenses for biological products
103 Experimental production, distribution, and evaluation of
biological products prior to licensing
104 Permits for biological products
105 Suspension of biologics licenses or permits
106 Exemption for biological products used in department programs or
under department control or supervision
107 Exemptions from preparation pursuant to an unsuspended and
unrevoked license
108 Facility requirements for licensed establishments
109 Sterilization and pasteurization at licensed establishments
112 Packaging and labeling
113 Standard requirements
114 Production requirements for biological products
115 Inspections
116 Records
117 Animals at licensed establishments
118 Detention; seizure and condemnation
122 Organisms and vectors
123 Rules of practice governing proceedings under the
Virus-Serum-Toxin Act
09 CFR 0.0
09 CFR 0.0 SUBCHAPTER F -- POULTRY IMPROVEMENT
145 National Poultry Improvement Plan
146 (Reserved)
147 Auxiliary provisions on National Poultry Improvement Plan
09 CFR 0.0
09 CFR 0.0 SUBCHAPTER G -- ANIMAL BREEDS
151 Recognition of breeds and books of record of purebred animals
09 CFR 0.0
09 CFR 0.0 SUBCHAPTER H -- VOLUNTARY INSPECTION AND CERTIFICATION
SERVICE
156 Inspection and certification of animal byproducts
09 CFR 0.0
09 CFR 0.0 SUBCHAPTER I -- ACCREDITATION OF VETERINARIANS AND
SUSPENSION OR REVOCATION OF SUCH ACCREDITATION
160 Definition of terms
161 Requirements and standards for accredited veterinarians and
suspension or revocation of such accreditation
162 Rules of practice governing revocation or suspension of
veterinarians' accreditation
09 CFR 0.0
09 CFR 0.0 SUBCHAPTER J -- PUBLIC INFORMATION
165 Availability of information
09 CFR 0.0
09 CFR 0.0 SUBCHAPTER K -- SWINE HEALTH PROTECTION
166 Swine health protection
167 Rules of practice governing proceedings under the Swine Health
Protection Act
168 -- 199 (Reserved)
09 CFR 0.0 9 CFR Ch. I (1-1-92 Edition)
09 CFR 0.0 Animal and Plant Health Inspection Service, USDA
09 CFR 0.0 SUBCHAPTER A -- ANIMAL WELFARE
09 CFR 0.0 Pt. 1
09 CFR 0.0 PART 1 -- DEFINITION OF TERMS
Authority: 7 U.S.C. 2131-2157; 7 CFR 2.17, 2.51, and 371.2(g).
09 CFR 1.1 Definitions.
For the purposes of this subchapter, unless the context otherwise
requires, the following terms shall have the meanings assigned to them
in this section. The singular form shall also signify the plural and
the masculine form shall also signify the feminine. Words undefined in
the following paragraphs shall have the meaning attributed to them in
general usage as reflected by definitions in a standard dictionary.
Act means the Act of August 24, 1966 (Pub. L. 89-544), (commonly
known as the Laboratory Animal Welfare Act), as amended by the Act of
December 24, 1970 (Pub. L. 91-579), (the Animal Welfare Act of 1970),
the Act of April 22, 1976 (Pub. L. 94-279), (the Animal Welfare Act of
1976), and the Act of December 23, 1985 (Pub. L. 99-198), (the Food
Security Act of 1985), and as it may be subsequently amended.
Activity means, for purposes of part 2, subpart C of this subchapter,
those elements of research, testing, or teaching procedures that involve
the care and use of animals.
Administrative unit means the organizational or management unit at
the departmental level of a research facility.
Administrator means the Administrator of the Animal and Plant Health
Inspection Service, U.S. Department of Agriculture, or any other
official of the Animal and Plant Health Inspection Service to whom
authority has been delegated to act in his stead.
Ambient temperature means the air temperature surrounding the animal.
Animal means any live or dead dog, cat, nonhuman primate, guinea pig,
hamster, rabbit, or any other warmblooded animal, which is being used,
or is intended for use for research, teaching, testing, experimentation,
or exhibition purposes, or as a pet. This term excludes: Birds, rats
of the genus Rattus and mice of the genus Mus bred for use in research,
and horses not used for research purposes and other farm animals, such
as, but not limited to livestock or poultry, used or intended for use as
food or fiber, or livestock or poultry used or intended for use for
improving animal nutrition, breeding, management, or production
efficiency, or for improving the quality of food or fiber. With respect
to a dog, the term means all dogs, including those used for hunting,
security, or breeding purposes.
Animal act means any performance of animals where such animals are
trained to perform some behavior or action or are part of a show,
performance, or exhibition.
APHIS means the Animal and Plant Health Inspection Service, United
States Department of Agriculture.
APHIS official means any person employed by the Department who is
authorized to perform a function under the Act and the regulations in 9
CFR parts 1, 2, and 3.
APHIS, REAC Sector Supervisor means a veterinarian or his designee,
employed by APHIS, who is assigned by the Administrator to supervise and
perform the official work of APHIS in a given State or States. As used
in part 2 of this subchapter, the APHIS, REAC Sector Supervisor shall be
deemed to be the person in charge of the official work of APHIS in the
State in which the dealer, exhibitor, research facility, intermediate
handler, carrier, or operator of an auction sale has his principal place
of business.
Attending veterinarian means a person who has graduated from a
veterinary school accredited by the American Veterinary Medical
Association's Council on Education, or has a certificate issued by the
American Veterinary Medical Association's Education Commission for
Foreign Veterinary Graduates, or has received equivalent formal
education as determined by the Administrator; has received training
and/or experience in the care and management of the species being
attended; and who has direct or delegated authority for activities
involving animals at a facility subject to the jurisdiction of the
Secretary.
Business hours means a reasonable number of hours between 7 a.m. and
7 p.m., Monday through Friday, except for legal Federal holidays, each
week of the year, during which inspections by APHIS may be made.
Business year means the 12-month period during which business is
conducted, and may be either on a calendar or fiscal-year basis.
Carrier means the operator of any airline, railroad, motor carrier,
shipping line, or other enterprise which is engaged in the business of
transporting any animals for hire.
Cat means any live or dead cat (Felis catus) or any cat-hybrid cross.
Class ''A'' licensee (breeder) means a person subject to the
licensing requirements under part 2 and meeting the definition of a
''dealer'' ( 1.1), and whose business involving animals consists only of
animals that are bred and raised on the premises in a closed or stable
colony and those animals acquired for the sole purpose of maintaining or
enhancing the breeding colony.
Class ''B'' licensee means a person subject to the licensing
requirements under part 2 and meeting the definition of a ''dealer'' (
1.1), and whose business includes the purchase and/or resale of any
animal. This term includes brokers, and operators of an auction sale,
as such individuals negotiate or arrange for the purchase, sale, or
transport of animals in commerce. Such individuals do not usually take
actual physical possession or control of the animals, and do not usually
hold animals in any facilities. A class ''B'' licensee may also exhibit
animals as a minor part of the business.
Class ''C'' licensee (exhibitor) means a person subject to the
licensing requirements under part 2 and meeting the definition of an
''exhibitor'' ( 1.1), and whose business involves the showing or
displaying of animals to the public. A class ''C'' licensee may buy and
sell animals as a minor part of the business in order to maintain or add
to his animal collection.
Commerce means trade, traffic, transportation, or other commerce:
(1) Between a place in a State and any place outside of such State,
including any foreign country, or between points within the same State
but through any place outside thereof, or within any territory,
possession, or the District of Columbia; or
(2) Which affects the commerce described in this part.
Committee means the Institutional Animal Care and Use Committee
(IACUC) established under section 13(b) of the Act. It shall consist of
at least three (3) members, one of whom is the attending veterinarian of
the research facility and one of whom is not affiliated in any way with
the facility other than as a member of the committee, however, if the
research facility has more than one Doctor of Veterinary Medicine (DVM),
another DVM with delegated program responsibility may serve. The
research facility shall establish the Committee for the purpose of
evaluating the care, treatment, housing, and use of animals, and for
certifying compliance with the Act by the research facility.
Dealer means any person who, in commerce, for compensation or profit,
delivers for transportation, or transports, except as a carrier, buys,
or sells, or negotiates the purchase or sale of: Any dog or other
animal whether alive or dead (including unborn animals, organs, limbs,
blood, serum, or other parts) for research, teaching, testing,
experimentation, exhibition, or for use as a pet; or any dog for
hunting, security, or breeding purposes. This term does not include: A
retail pet store, as defined in this section, unless such store sells
any animals to a research facility, an exhibitor, or a dealer
(wholesale); or any person who does not sell, or negotiate the purchase
or sale of any wild or exotic animal, dog, or cat and who derives no
more than $500 gross income from the sale of animals other than wild or
exotic animals, dogs, or cats, during any calendar year.
Department means the U.S. Department of Agriculture.
Deputy Administrator means the Deputy Administrator for Regulatory
Enforcement and Animal Care (REAC) or any other official of REAC to whom
authority has been delegated to act in his stead.
Dog means any live or dead dog (Canis familiaris) or any dog-hybrid
cross.
Dwarf hamster means any species of hamster such as the Chinese and
Armenian species whose adult body size is substantially less than that
attained by the Syrian or Golden species of hamsters.
Endangered species means those species defined in the Endangered
Species Act (16 U.S.C. 1531 et seq.) and as it may be subsequently
amended.
Euthanasia means the humane destruction of an animal accomplished by
a method that produces rapid unconsciousness and subsequent death
without evidence of pain or distress, or a method that utilizes
anesthesia produced by an agent that causes painless loss of
consciousness and subsequent death
Exhibitor means any person (public or private) exhibiting any
animals, which were purchased in commerce or the intended distribution
of which affects commerce, or will affect commerce, to the public for
compensation, as determined by the Secretary. This term includes
carnivals, circuses, animal acts, zoos, and educational exhibits,
exhibiting such animals whether operated for profit or not. This term
excludes retail pet stores, horse and dog races, organizations
sponsoring and all persons participating in State and county fairs,
livestock shows, rodeos, field trials, coursing events, purebred dog and
cat shows and any other fairs or exhibitions intended to advance
agricultural arts and sciences as may be determined by the Secretary.
Exotic animal means any animal not identified in the definition of
''animal'' provided in this part that is native to a foreign country or
of foreign origin or character, is not native to the United States, or
was introduced from abroad. This term specifically includes animals
such as, but not limited to, lions, tigers, leopards, elephants, camels,
antelope, anteaters, kangaroos, and water buffalo, and species of
foreign domestic cattle, such as Ankole, Gayal, and Yak.
Farm animal means any domestic species of cattle, sheep, swine,
goats, llamas, or horses, which are normally and have historically, been
kept and raised on farms in the United States, and used or intended for
use as food or fiber, or for improving animal nutrition, breeding,
management, or production efficiency, or for improving the quality of
food or fiber. This term also includes animals such as rabbits, mink,
and chinchilla, when they are used solely for purposes of meat or fur,
and animals such as horses and llamas when used solely as work and pack
animals.
Federal agency means an Executive agency as such term is defined in
section 105 of title 5, United States Code, and with respect to any
research facility means the agency from which the research facility
receives a Federal award for the conduct of research, experimentation,
or testing involving the use of animals.
Federal award means any mechanism (including a grant, award, loan,
contract, or cooperative agreement) under which Federal funds are used
to support the conduct of research, experimentation, or testing,
involving the use of animals. The permit system established under the
authorities of the Endangered Species Act, the Marine Mammal Protection
Act, and the Migratory Bird Treaty Act, are not considered to be Federal
awards under the Animal Welfare Act.
Federal research facility means each department, agency, or
instrumentality of the United States which uses live animals for
research or experimentation.
Field study means any study conducted on free-living wild animals in
their natural habitat, which does not involve an invasive procedure, and
which does not harm or materially alter the behavior of the animals
under study.
Handling means petting, feeding, watering, cleaning, manipulating,
loading, crating, shifting, transferring, immobilizing, restraining,
treating, training, working and moving, or any similar activity with
respect to any animal.
Housing facility means any land, premises, shed, barn, building,
trailer, or other structure or area housing or intended to house
animals.
Hybrid cross means an animal resulting from the crossbreeding between
two different species or types of animals. Crosses between wild animal
species, such as lions and tigers, are considered to be wild animals.
Crosses between wild animal species and domestic animals, such as dogs
and wolves or buffalo and domestic cattle, are considered to be domestic
animals.
Impervious surface means a surface that does not permit the
absorption of fluids. Such surfaces are those that can be thoroughly
and repeatedly cleaned and disinfected, will not retain odors, and from
which fluids bead up and run off or can be removed without their being
absorbed into the surface material.
Indoor housing facility means any structure or building with
environmental controls housing or intended to house animals and meeting
the following three requirements:
(1) It must be capable of controlling the temperature within the
building or structure within the limits set forth for that species of
animal, of maintaining humidity levels of 30 to 70 percent and of
rapidly eliminating odors from within the building; and
(2) It must be an enclosure created by the continuous connection of a
roof, floor, and walls (a shed or barn set on top of the ground does not
have a continuous connection between the walls and the ground unless a
foundation and floor are provided); and
(3) It must have at least one door for entry and exit that can be
opened and closed (any windows or openings which provide natural light
must be covered with a transparent material such as glass or hard
plastic).
Intermediate handler means any person, including a department,
agency, or instrumentality of the United States or of any State or local
government (other than a dealer, research facility, exhibitor, any
person excluded from the definition of a dealer, research facility, or
exhibitor, an operator of an auction sale, or a carrier), who is engaged
in any business in which he receives custody of animals in connection
with their transportation in commerce.
Inspector means any person employed by the Department who is
authorized to perform a function under the Act and the regulations in 9
CFR parts 1, 2, and 3.
Institutional official means the individual at a research facility
who is authorized to legally commit on behalf of the research facility
that the requirements of 9 CFR parts 1, 2, and 3 will be met.
Isolation in regard to marine mammals means the physical separation
of animals to prevent contact and a separate, noncommon, water
circulation and filtration system for the isolated animals.
Licensed veterinarian means a person who has graduated from an
accredited school of veterinary medicine or has received equivalent
formal education as determined by the Administrator, and who has a valid
license to practice veterinary medicine in some State.
Licensee means any person licensed according to the provisions of the
Act and the regulations in part 2 of this subchapter.
Major operative procedure means any surgical intervention that
penetrates and exposes a body cavity or any procedure which produces
permanent impairment of physical or physiological functions.
Minimum horizontal dimension (MHD) means the diameter of a circular
pool of water, or in the case of a square, rectangle, oblong, or other
shape pool, the diameter of the largest circle that can be inserted
within the confines of such a pool of water.
Mobile or traveling housing facility means a transporting vehicle
such as a truck, trailer, or railway car, used to house animals while
traveling for exhibition or public education purposes.
Nonconditioned animals means animals which have not been subjected to
special care and treatment for sufficient time to stabilize, and where
necessary, to improve their health.
Nonhuman primate means any nonhuman member of the highest order of
mammals including prosimians, monkeys, and apes.
Operator of an auction sale means any person who is engaged in
operating an auction at which animals are purchased or sold in commerce.
Outdoor housing facility means any structure, building, land, or
premise, housing or intended to house animals, which does not meet the
definition of any other type of housing facility provided in the
regulations, and in which temperatures cannot be controlled within set
limits.
Painful procedure as applied to any animal means any procedure that
would reasonably be expected to cause more than slight or momentary pain
or distress in a human being to which that procedure was applied, that
is, pain in excess of that caused by injections or other minor
procedures.
Paralytic drug means a drug which causes partial or complete loss of
muscle contraction and which has no anesthetic or analgesic properties,
so that the animal cannot move, but is completely aware of its
surroundings and can feel pain.
Person means any individual, partnership, firm, joint stock company,
corporation, association, trust, estate, or other legal entity.
Pet animal means any animal that has commonly been kept as a pet in
family households in the United States, such as dogs, cats, guinea pigs,
rabbits, and hamsters. This term excludes exotic animals and wild
animals.
Positive physical contact means petting, stroking, or other touching,
which is beneficial to the well-being of the animal.
Primary conveyance means the main method of transportation used to
convey an animal from origin to destination, such as a motor vehicle,
plane, ship, or train.
Primary enclosure means any structure or device used to restrict an
animal or animals to a limited amount of space, such as a room, pen,
run, cage, compartment, pool, hutch, or tether. In the case of animals
restrained by a tether (e.g., dogs on chains), it includes the shelter
and the area within reach of the tether.
Principal investigator means an employee of a research facility, or
other person associated with a research facility, responsible for a
proposal to conduct research and for the design and implementation of
research involving animals.
Quorum means a majority of the Committee members.
Random source means dogs and cats obtained from animal pounds or
shelters, auction sales, or from any person who did not breed and raise
them on his or her premises.
Registrant means any research facility, carrier, intermediate
handler, or exhibitor not required to be licensed under section 3 of the
Act, registered pursuant to the provisions of the Act and the
regulations in part 2 of this subchapter.
Research facility means 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: Provided, That the Administrator may
exempt, by regulation, any such school, institution, organization, or
person that does not use or intend to use live dogs or cats, except
those schools, institutions, organizations, or persons, which use
substantial numbers (as determined by the Administrator) of live animals
the principal function of which schools, institutions, organizations, or
persons, is biomedical research or testing, when in the judgment of the
Administrator, any such exemption does not vitiate the purpose of the
Act.
Retail pet store means 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
coldblooded species. Such definition excludes --
(1) Establishments or persons who deal in dogs used for hunting,
security, or breeding purposes;
(2) Establishments or persons exhibiting, selling, or offering to
exhibit or sell any wild or exotic or other nonpet species of
warmblooded animals (except birds), such as skunks, raccoons, nonhuman
primates, squirrels, ocelots, foxes, coyotes, etc.;
(3) Any establishment or person selling warmblooded animals (except
birds, and laboratory rats and mice) for research or exhibition
purposes; and
(4) Any establishment wholesaling any animals (except birds, rats and
mice).
(5) Any establishment exhibiting pet animals in a room that is
separate from or adjacent to the retail pet store, or in an outside
area, or anywhere off the retail pet store premises.
Sanitize means to make physically clean and to remove and destroy, to
the maximum degree that is practical, agents injurious to health.
Secretary means the Secretary of Agriculture of the United States or
his representative who shall be an employee of the Department.
Sheltered housing facility means a housing facility which provides
the animals with shelter; protection from the elements; and protection
from temperature extremes at all times. A sheltered housing facility
may consist of runs or pens totally enclosed in a barn or building, or
of connecting inside/outside runs or pens with the inside pens in a
totally enclosed building.
Standards means the requirements with respect to the humane housing,
exhibition, handling, care, treatment, temperature, and transportation
of animals by dealers, exhibitors research facilities, carriers,
intermediate handlers, and operators of auction sales as set forth in
part 3 of this subchapter.
State means a State of the United States, the District of Columbia,
Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa,
or any other territory or possession of the United States.
Study area means any building room, area, enclosure, or other
containment outside of a core facility or centrally designated or
managed area in which animals are housed for more than 12 hours.
Transporting device means an interim vehicle or device, other than
man, used to transport an animal between the primary conveyance and the
terminal facility or in and around the terminal facility of a carrier or
intermediate handler.
Transporting vehicle means any truck, car, trailer, airplane, ship,
or railroad car used for transporting animals.
Weaned means that an animal has become accustomed to take solid food
and has so done, without nursing, for a period of at least 5 days.
Wild animal means any animal which 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, opossum, raccoon,
mink, armadillo, coyote, squirrel, fox, wolf.
Wild state means living in its original, natural condition; not
domesticated.
Zoo means any park, building, cage, enclosure, or other structure or
premise in which a live animal or animals are kept for public exhibition
or viewing, regardless of compensation.
(54 FR 36119, Aug. 31, 1989, as amended at 55 FR 12631, Apr. 5, 1990)
09 CFR 1.1 Pt. 2
09 CFR 1.1 PART 2 -- REGULATIONS
09 CFR 1.1 Subpart A -- Licensing
Sec.
2.1 Requirements and application.
2.2 Acknowledgement of regulations and standards.
2.3 Demonstration of compliance with regulations and standards.
2.4 Non-interference with APHIS officials.
2.5 Duration of license and termination of license.
2.6 Annual license fees.
2.7 Annual report by licensees.
2.8 Notification of change of name, address, control, or ownership of
business.
2.9 Officers, agents, and employees of licensees whose licenses have
been suspended or revoked.
2.10 Licensees whose licenses have been suspended or revoked.
2.11 Denial of initial license application.
09 CFR 1.1 Subpart B -- Registration
2.25 Requirements and procedures.
2.26 Acknowledgement of regulations and standards.
2.27 Notification of change of operation.
09 CFR 1.1 Subpart C -- Research Facilities
2.30 Registration.
2.31 Institutional Animal Care and Use Committee (IACUC).
2.32 Personnel qualifications.
2.33 Attending veterinarian and adequate veterinary care.
2.34 (Reserved)
2.35 Recordkeeping requirements.
2.36 Annual report.
2.37 Federal research facilities.
2.38 Miscellaneous.
09 CFR 1.1 Subpart D -- Attending Veterinarian and Adequate Veterinary
Care
2.40 Attending veterinarian and adequate veterinary care (dealers and
exhibitors).
09 CFR 1.1 Subpart E -- Identification of Animals
2.50 Time and method of identification.
2.51 Form of official tag.
2.52 How to obtain tags.
2.53 Use of tags.
2.54 Lost tags.
2.55 Removal and disposal of tags.
09 CFR 1.1 Subpart F -- Stolen Animals
2.60 Prohibition on the purchase, sale, use, or transportation of
stolen animals.
09 CFR 1.1 Subpart G -- Records
2.75 Records: Dealers and exhibitors.
2.76 Records: Operators of auction sales and brokers.
2.77 Records: Carriers, and intermediate handlers.
2.78 Health certification and identification.
2.79 C.O.D. shipments.
2.80 Records, disposition.
09 CFR 1.1 Subpart H -- Compliance With Standards and Holding Period
2.100 Compliance with standards.
2.101 Holding period.
2.102 Holding facility.
09 CFR 1.1 Subpart I -- Miscellaneous
2.125 Information as to business; furnishing of same by dealers,
exhibitors, operators of auction sales, intermediate handlers, and
carriers.
2.126 Access and inspection of records and property.
2.127 Publication of names of persons subject to the provisions of
this part.
2.128 Inspection for missing animals.
2.129 Confiscation and destruction of animals.
2.130 Minimum age requirements.
2.131 Handling of animals.
2.132 Procurement of random source dogs and cats, dealers.
Authority: 7 U.S.C. 2131-2157; 2.17, 2.51, and 371.2(g).
Source: 54 FR 36147, Aug. 31, 1989, unless otherwise noted.
09 CFR 1.1 Subpart A -- Licensing
09 CFR 2.1 Requirements and application.
(a)(1) Any person operating or desiring to operate as a dealer,
exhibitor, or operator of an auction sale, except persons who are
exempted from the licensing requirements under paragraph (a)(3) of this
section, must have a valid license. A person must be 18 years of age or
older to obtain a license. A person seeking a license shall apply on a
form which will be furnished by the APHIS, REAC Sector Supervisor in the
State in which that person operates or intends to operate. The
applicant shall provide the information requested on the application
form, including a valid mailing address through which the licensee or
applicant can be reached at all times, and a valid premises address
where animals, animal facilities, equipment, and records may be
inspected for compliance. The applicant shall file the completed
application form with the APHIS, REAC Sector Supervisor.
(2) If an applicant for a license or license renewal operates in more
than one State, he or she shall apply in the State in which he or she
has his or her principal place of business. All premises, facilities,
or sites where such person operates or keeps animals shall be indicated
on the application form or on a separate sheet attached to it. The
completed application form, along with the application fee indicated in
paragraph (d) of this section, and the annual license fee indicated in
table 1 or 2 of 2.6 shall be filed with the APHIS, REAC Sector
Supervisor.
(3) The following persons are exempt from the licensing requirements
under section 2 or section 3 of the Act:
(i) Retail pet stores which sell nondangerous, pet-type animals, such
as dogs, cats, birds, rabbits, hamsters, guinea pigs, gophers, domestic
ferrets, chinchilla, rats, and mice, for pets, at retail only:
Provided, That, Anyone wholesaling any animals, selling any animals for
research or exhibition, or selling any wild, exotic, or nonpet animals
retail, must have a license;
(ii) Any person who sells or negotiates the sale or purchase of any
animal except wild or exotic animals, dogs, or cats, and who derives no
more than $500 gross income from the sale of such animals to a research
facility, an exhibitor, a dealer, or a pet store during any calendar
year and is not otherwise required to obtain a license;
(iii) Any person who maintains a total of three (3) or fewer breeding
female dogs and/or cats and who sells only the offspring of these dogs
or cats, which were born and raised on his or her premises, for pets or
exhibition, and is not otherwise required to obtain a license;
(iv) Any person who sells fewer than 25 dogs and/or cats per year
which were born and raised on his or her premises, for research,
teaching, or testing purposes or to any research facility and is not
otherwise required to obtain a license. The sale of any dog or cat not
born and raised on the premises for research purposes requires a
license;
(v) Any person who arranges for transportation or transports animals
solely for the purpose of breeding, exhibiting in purebred shows,
boarding (not in association with commercial transportation), grooming,
or medical treatment, and is not otherwise required to obtain a license;
(vi) Any person who buys, sells, transports, or negotiates the sale,
purchase, or transportation of any animals used only for the purposes of
food or fiber (including fur);
(vii) Any person who breeds and raises domestic pet animals for
direct retail sales to another person for the buyer's own use and who
buys no animals for resale and who sells no animals to a research
facility, an exhibitor, a dealer, or a pet store (e.g., a purebred dog
or cat fancier) and is not otherwise required to obtain a license;
(viii) Any person who buys animals solely for his or her own use or
enjoyment and does not sell or exhibit animals, or is not otherwise
required to obtain a license;
(b) Any person who sells fewer than 25 dogs or cats per year for
research or teaching purposes and who is not otherwise required to
obtain a license may obtain a voluntary license, provided the animals
were born and raised on his or her premises. A voluntary licensee shall
comply with the requirements for dealers set forth in this part and the
Specifications for the Humane Handling, Care, Treatment, and
Transportation of Dogs and Cats set forth in part 3 of this subchapter
and shall agree in writing on a form furnished by APHIS to comply with
all the requirements of the Act and this subchapter. Voluntary licenses
will not be issued to any other persons. To obtain a voluntary license
the applicant shall submit to the APHIS, REAC Sector Supervisor the
application fee of $10 plus an annual license fee. The class of license
issued and the fee for a voluntary license shall be that of a Class
''A'' licensee (breeder). Voluntary licenses will not be issued to any
other persons or for any other class of license.
(c) No person shall have more than one license.
(d) A license will be issued to any applicant, except as provided in
2.10 and 2.11, when the applicant:
(1) Has met the requirements of this section and of 2.2 and 2.3;
and
(2) Has paid the application fee of $10 and the annual license fee
indicated in 2.6 to the APHIS, REAC Sector Supervisor and the payment
has cleared normal banking procedures.
(e)(1) On or before the expiration date of the license, a licensee
who wishes a renewal shall submit to the APHIS, REAC Sector Supervisor a
completed application form and the application fee of $10, plus the
annual license fee indicated in 2.6 by certified check, cashier's
check, personal check, or money order. A voluntary licensee who wishes
a renewal shall also submit the $10 application fee plus an annual
license fee. An applicant whose check is returned by the bank will be
charged a fee of $15 for each returned check. One returned check will
be deemed nonpayment of fees and will result in denial of license.
Payment of fees must then be made by certified check, cashier's check,
or money order. An applicant will not be licensed until his or her
payment has cleared normal banking procedures.
(2) The $10 application fee must also be paid if an applicant is
applying for a changed class of license. The applicant may pay such
fees by certified check, cashier's check, personal check, or money
order. An applicant whose check is returned by a bank will be charged a
fee of $15 for each returned check and will be required to pay all
subsequent fees by certified check, money order, or cashier's check. A
license will not be issued until payment has cleared normal banking
procedures.
(f) The failure of any person to comply with any provision of the
Act, or any of the provisions of the regulations or standards in this
subchapter, shall constitute grounds for denial of a license; or for
its suspension or revocation by the Secretary, as provided in the Act.
09 CFR 2.2 Acknowledgment of regulations and standards.
APHIS will supply a copy of the applicable regulations and standards
to the applicant with each request for a license application or renewal.
The applicant shall acknowledge receipt of the regulations and
standards and agree to comply with them by signing the application form
before a license will be issued or renewed.
09 CFR 2.3 Demonstration of compliance with standards and regulations.
(a) Each applicant must demonstrate that his or her premises and any
animals, facilities, vehicles, equipment, or other premises used or
intended for use in the business comply with the regulations and
standards set forth in parts 2 and 3 of this subchapter. Each applicant
for an initial license or license renewal must make his or her animals,
premises, facilities, vehicles, equipment, other premises, and records
available for inspection during business hours and at other times
mutually agreeable to the applicant and APHIS, to ascertain the
applicant's compliance with the standards and regulations.
(b) In the case of an application for an initial license, the
applicant must demonstrate compliance with the regulations and
standards, as required in paragraph (a) of this section, before APHIS
will issue a license. If the applicant's animals, premises, facilities,
vehicles, equipment, other premises, or records do not meet the
requirements of this subchapter, APHIS will advise the applicant of
existing deficiencies and the corrective measures that must be completed
to come into compliance with the regulations and standards. The
applicant will have two more chances to demonstrate his or her
compliance with the regulations and standards through re-inspection by
APHIS. If the applicant fails the third inspection he or she will
forfeit the application fee and cannot re-apply for a license for a
period of 6 months following the third inspection. Issuance of the
license will be denied until the applicant demonstrates upon inspection
that the animals, premises, facilities, vehicles, equipment, other
premises and records are in compliance with all regulations and
standards in this subchapter.
09 CFR 2.4 Non-interference with APHIS officials.
A licensee or applicant for an initial license shall not interfere
with, threaten, abuse (including verbally abuse), or harass any APHIS
official in the course of carrying out his or her duties.
09 CFR 2.5 Duration of license and termination of license.
(a) A license issued under this part shall be valid and effective
unless:
(1) The license has been revoked or suspended pursuant to section 19
of the Act.
(2) The license is voluntarily terminated upon request of the
licensee, in writing, to the APHIS, REAC Sector Supervisor.
(3) The license has expired or been terminated under this part.
(4) The applicant has failed to pay the application fee and the
annual license fee as required in 2.1 and 2.6.
There will be no refund of fees if a license is terminated prior to
its expiration date.
(b) Any person who is licensed must file an application for a license
renewal and an annual report form (VS Form 18-3) as required by 2.7,
and pay the required fees, on or before the expiration date of the
present license or the license shall expire and automatically terminate
on its anniversary date. The licensee will be notified by certified
mail at least 60 days prior to the expiration date of the license.
Failure to comply with the annual reporting requirements, or to pay the
required license fees prior to the expiration date of the license, shall
result in automatic termination of such license on the anniversary date
of the license.
(c) Licensees must accept delivery of registered mail or certified
mail notice and provide the APHIS, REAC Sector Supervisor notice of
their address in conformity with the requirements in 2.1.
(d) Any person who seeks the reinstatement of a license that has been
automatically terminated must follow the procedure applicable to new
applicants for a license set forth in 2.1.
(e) Licenses are issued to specific persons for specific premises and
do not transfer upon change of ownership, nor are they valid at a
different location.
(f) A license which is invalid under this part shall be surrendered
to the APHIS, REAC Sector Supervisor. If the license cannot be found,
the licensee shall provide a written statement so stating to the APHIS,
REAC Sector Supervisor.
09 CFR 2.6 Annual license fees.
(a) In addition to the application fee of $10 required to be paid
upon the application for a license, license renewal, or changed class of
license under 2.1, each licensee shall submit to the APHIS, REAC Sector
Supervisor the annual license fee prescribed in this section. Paragraph
(b) of this section indicates the method used to calculate the
appropriate fee. The amount of the fee is determined from Table 1 or 2
in paragraph (c) of this section.
(b)(1) Class ''A'' license. The annual license renewal fee for a
Class ''A'' dealer shall be based on 50 percent of the total gross
amount, expressed in dollars, derived from the sale of animals to
research facilities, dealers, exhibitors, retail pet stores, and persons
for use as pets, directly or through an auction sale, by the dealer or
applicant during his or her preceding business year (calendar or fiscal)
in the case of a person who operated during such a year. If animals are
leased, the lessor shall pay a fee based on 50 percent of any
compensation received from the leased animals and the lessee shall pay a
fee based upon the net compensation received from the leased animals, as
indicated for dealers in Table 1 in paragraph (c) of this section.
(2) Class ''B'' license. The annual license renewal fee for a Class
''B'' dealer shall be established by calculating the total amount
received from the sale of animals to research facilities, dealers,
exhibitors, retail pet stores, and persons for use as pets, directly or
through an auction sale, during the preceding business year (calendar or
fiscal) less the amount paid for the animals by the dealer or applicant.
This net difference, exclusive of other costs, shall be the figure used
to determine the license fee of a Class ''B'' dealer. If animals are
leased, the lessor and lessee shall each pay a fee based on the net
compensation received from the leased animals calculated from Table 1 in
paragraph (c) of this section.
(3) The annual license renewal fee for a broker or operator of an
auction sale shall be that of a class ''B'' dealer and shall be based on
the total gross amount, expressed in dollars, derived from commissions
or fees charged for the sale of animals, or for negotiating the sale of
animals, by brokers or by the operator of an auction sale, to research
facilities, dealers, exhibitors, retail pet stores, and persons for use
as pets, during the preceding business year (calendar or fiscal).
(4) In the case of a new applicant for a license as a dealer, broker
or operator of an auction sale who did not operate during a preceding
business year, the annual license fee will be based on the anticipated
yearly dollar amount of business, as provided in paragraphs (b)(1), (2),
and (3) of this section, derived from the sale of animals to research
facilities, dealers, exhibitors, retail pet stores, and persons for use
as pets, directly or through an auction sale.
(5) The amount of the annual fee to be paid upon application for a
class ''C'' license as an exhibitor under this section shall be based on
the number of animals which the exhibitor owned, held, or exhibited at
the time the application is signed and dated or during the previous
year, whichever is greater, and will be the amount listed in Table 2 in
paragraph (c) of this section. Animals which are leased shall be
included in the number of animals being held by both the lessor and the
lessee when calculating the annual fee. An exhibitor shall pay his or
her annual license fee on or before the expiration date of the license
and the fee shall be based on the number of animals which the exhibitor
is holding or has held during the year (both owned and leased).
(c) The license fee shall be computed in accordance with the
following tables:
(d) If a person meets the licensing requirements for more than one
class of license, he shall be required to obtain a license and pay the
fee for the type business which is predominant for his operation, as
determined by the Secretary.
(e) In any situation in which a licensee shall have demonstrated in
writing to the satisfaction of the Secretary that he or she has good
reason to believe that the dollar amount of his or her business for the
forthcoming business year will be less than the previous business year,
then his or her estimated dollar amount of business shall be used for
computing the license fee for the forthcoming business year: Provided,
however, That if the dollar amount upon which the license fee is based
for that year does in fact exceed the amount estimated, the difference
in amount of the fee paid and that which was due under paragraphs (b)
and (c) of this section based upon the actual dollar business upon which
the license fee is based, shall be payable in addition to the required
annual license fee for the next subsequent year, on the anniversary date
of his or her license as prescribed in this section.
09 CFR 2.7 Annual report by licensees.
(a) Each year, within 30 days prior to the expiration date of his or
her license, a licensee shall file with the APHIS, REAC Sector
Supervisor an application for license renewal and annual report upon a
form which the APHIS, REAC Sector Supervisor will furnish to him or her
upon request.
(b) A person licensed as a dealer shall set forth in his or her
license renewal application and annual report the dollar amount of
business, from the sale of animals, upon which the license fee is based,
directly or through an auction sale, to research facilities, dealers,
exhibitors, retail pet stores, and persons for use as pets, by the
licensee during the preceding business year (calendar or fiscal), and
any other information as may be required thereon.
(c) A licensed dealer who operates as a broker or an operator of an
auction sale shall set forth in his or her license renewal application
and annual report the total gross amount, expressed in dollars, derived
from commissions or fees charged for the sale of animals by the licensee
to research facilities, dealers, exhibitors, retail pet stores, and
persons for use as pets, during the preceding business year (calendar or
fiscal), and any other information as may be required thereon.
(d) A person licensed as an exhibitor shall set forth in his or her
license renewal application and annual report the number of animals
owned, held, or exhibited by him or her, including those which are
leased, during the previous year or at the time he signs and dates the
report, whichever is greater.
09 CFR 2.8 Notification of change of name, address, control, or
ownership of business.
A licensee shall promptly notify the APHIS, REAC Sector Supervisor by
certified mail of any change in the name, address, management, or
substantial control or ownership of his business or operation, or of any
additional sites, within 10 days of any change
09 CFR 2.9 Officers, agents, and employees of licensees whose licenses
have been suspended or revoked.
Any person who has been or is an officer, agent, or employee of a
licensee whose license has been suspended or revoked and who was
responsible for or participated in the violation upon which the order of
suspension or revocation was based will not be licensed within the
period during which the order of suspension or revocation is in effect.
09 CFR 2.10 Licensees whose licenses have been suspended or revoked.
(a) Any person whose license has been suspended for any reason shall
not be licensed in his or her own name or in any other manner within the
period during which the order of suspension is in effect. No
partnership, firm, corporation, or other legal entity in which any such
person has a substantial interest, financial or otherwise, will be
licensed during that period. Any person whose license has been
suspended for any reason may apply to the APHIS, REAC Sector Supervisor,
in writing, for reinstatement of his or her license.
(b) Any person whose license has been revoked shall not be licensed
in his or her own name or in any other manner; nor will any
partnership, firm, corporation, or other legal entity in which any such
person has a substantial interest, financial or otherwise, be licensed.
(c) Any person whose license has been suspended or revoked shall not
buy, sell, transport, exhibit, or deliver for transportation, any animal
during the period of suspension or revocation.
09 CFR 2.11 Denial of initial license application.
(a) A license will not be issued to any applicant who:
(1) Has not complied with the raquirements of 2.1, 2.2, 2.3, and
2.4 and has not paid the fees indicated in 2.6;
(2) Is not in compliance with any of the regulations or standards in
this subchapter;
(3) Has had a license revoked or whose license is suspended, as set
forth in 2.10;
(4) Has been fined, sentenced to jail, or pled nolo contendere (no
contest) under State or local cruelty to animal laws within l year of
application, except that if no penalty is imposed as a result of the
plea of nolo contendere the applicant may reapply immediately; or
(5) Has made any false or fraudulent statements, or provided any
false or fraudulent records to the Department.
(b) An applicant whose license application has been denied may
request a hearing in accordance with the applicable rules of practice
for the purpose of showing why the application for license should not be
denied. The license denial shall remain in effect until the final legal
decision has been rendered. Should the license denial be upheld, the
applicant may again apply for a license l year from the date of the
final order denying the application.
(c) No partnership, firm, corporation, or other legal entity in which
a person whose license application has been denied has a substantial
interest, financial or otherwise, will be licensed within 1 year of the
license denial.
09 CFR 2.11 Subpart B -- Registration
09 CFR 2.25 Requirements and procedures.
(a) Each carrier and intermediate handler, and each exhibitor not
required to be licensed under section 3 of the Act and the regulations
of this subchapter, shall register with the Secretary by completing and
filing a properly executed form which will be furnished, upon request,
by the APHIS, REAC Sector Supervisor. The registration form shall be
filed with the APHIS, REAC Sector Supervisor for the State in which the
registrant has his or her principal place of business, and shall be
updated every 3 years by the completion and filing of a new registration
form which will be provided by the APHIS, REAC Sector Supervisor.
(b) A subsidiary of a business corporation, rather than the parent
corporation, will be registered as an exhibitor unless the subsidiary is
under such direct control of the parent corporation that the Secretary
determines that it is necessary that the parent corporation be
registered to effectuate the purposes of the Act.
09 CFR 2.26 Acknowledgment of regulations and standards.
APHIS will supply a copy of the regulations and standards in this
subchapter with each registration form. The registrant shall
acknowledge receipt of and shall agree to comply with the regulations
and standards by signing a form provided for this purpose by APHIS, and
by filing it with the APHIS, REAC Sector Supervisor.
09 CFR 2.27 Notification of change of operation.
(a) A registrant shall notify the APHIS, REAC Sector Supervisor by
certified mail of any change in the name, address, or ownership, or
other change in operations affecting its status as an exhibitor,
carrier, or intermediate handler, within 10 days after making such
change.
(b)(1) A registrant which has not used, handled, or transported
animals for a period of at least 2 years may be placed in an inactive
status by making a written request to the APHIS, REAC Sector Supervisor
A registrant shall notify the APHIS, REAC Sector Supervisor in writing
at least 10 days before using, handling, or transporting animals again
after being in an inactive status.
(2) A registrant which goes out of business or which ceases to
function as a carrier, intermediate handler, or exhibitor, or which
changes its method of operation so that it no longer uses, handles, or
transports animals, and which does not plan to use, handle, or transport
animals again at any time in the future, may have its registration
canceled by making a written request to the APHIS, REAC Sector
Supervisor. The former registrant is responsible for reregistering and
demonstrating its compliance with the Act and regulations should it
start using, handling, or transporting animals at any time after its
registration is canceled.
09 CFR 2.27 Subpart C -- Research Facilities
09 CFR 2.30 Registration.
(a) Requirements and procedures. (1) Each research facility other
than a Federal research facility, shall register with the Secretary by
completing and filing a properly executed form which will be furnished,
upon request, by the APHIS, REAC Sector Supervisor. The registration
form shall be filed with the APHIS, REAC Sector Supervisor for the State
in which the research facility has its principal place of business, and
shall be updated every 3 years by the completion and filing of a new
registration form which will be provided by the APHIS, REAC Sector
Supervisor. Except as provided in paragraph (a)(2) of this section,
where a school or department of a university or college uses or intends
to use live animals for research, tests, experiments, or teaching, the
university or college rather than the school or department will be
considered the research facility and will be required to register with
the Secretary. An official who has the legal authority to bind the
parent organization shall sign the registration form.
(2) In any situation in which a school or department of a university
or college demonstrates to the Secretary that it is a separate legal
entity and its operations and administration are independent of those of
the university or college, the school or department will be registered
rather than the university or college.
(3) A subsidiary of a business corporation, rather than the parent
corporation, will be registered as a research facility unless the
subsidiary is under such direct control of the parent corporation that
the Secretary determines that it is necessary that the parent
corporation be registered to effectuate the purposes of the Act.
(b) Acknowledgment of regulations and standards. APHIS will supply a
copy of the regulations and standards in this subchapter with each
registration form. The research facility shall acknowledge receipt of
and shall agree to comply with the regulations and standards by signing
a form provided for this purpose by APHIS, and by filing it with the
APHIS, REAC Sector Supervisor.
(c) Notification of change of operation. (1) A research facility
shall notify the APHIS, REAC Sector Supervisor by certified mail of any
change in the name, address, or ownership, or other change in operations
affecting its status as a research facility, within 10 days after making
such change.
(2) A research facility which has not used, handled, or transported
animals for a period of at least 2 years may be placed in an inactive
status by making a written request to the APHIS, REAC Sector Supervisor.
A research facility shall file an annual report of its status (active
or inactive). A research facility shall notify the APHIS, REAC Sector
Supervisor in writing at least 10 days before using, handling, or
transporting animals again after being in an inactive status.
(3) A research facility which goes out of business or which ceases to
function as a research facility, or which changes its method of
operation so that it no longer uses, handles, or transports animals, and
which does not plan to use, handle, or transport animals at any time in
the future, may have its registration canceled by making a written
request to the APHIS, REAC Sector Supervisor. The research facility is
responsible for reregistering and demonstrating its compliance with the
Act and regulations should it start using, handling, or transporting
animals at any time after its registration is canceled.
09 CFR 2.31 Institutional Animal Care and Use Committee (IACUC).
(a) The Chief Executive Officer of the research facility shall
appoint an Institutional Animal Care and Use Committee (IACUC),
qualified through the experience and expertise of its members to assess
the research facility's animal program, facilities, and procedures.
Except as specifically authorized by law or these regulations, nothing
in this part shall be deemed to permit the Committee or IACUC to
prescribe methods or set standards for the design, performance, or
conduct of actual research or experimentation by a research facility.
(b) IACUC Membership. (1) The members of each Committee shall be
appointed by the Chief Executive Officer of the research facility;
(2) The Committee shall be composed of a Chairman and at least two
additional members;
(3) Of the members of the Committee:
(i) At least one shall be a Doctor of Veterinary Medicine, with
training or experience in laboratory animal science and medicine, who
has direct or delegated program responsibility for activities involving
animals at the research facility;
(ii) At least one shall not be affiliated in any way with the
facility other than as a member of the Committee, and shall not be a
member of the immediate family of a person who is affiliated with the
facility. The Secretary intends that such person will provide
representation for general community interests in the proper care and
treatment of animals;
(4) If the Committee consists of more than three members, not more
than three members shall be from the same administrative unit of the
facility.
(c) IACUC Functions. With respect to activities involving animals,
the IACUC, as an agent of the research facility, shall:
(1) Review, at least once every six months, the research facility's
program for humane care and use of animals, using title 9, chapter I,
subchapter A -- Animal Welfare, as a basis for evaluation;
(2) Inspect, at least once every six months, all of the research
facility's animal facilities, including animal study areas, using title
9, chapter I, subchapter A-Animal Welfare, as a basis for evaluation;
Provided, however, That animal areas containing free-living wild animals
in their natural habitat need not be included in such inspection;
(3) Prepare reports of its evaluations conducted as required by
paragraphs (c) (1) and (2) of this section, and submit the reports to
the Institutional Official of the research facility; Provided, however,
That the IACUC may determine the best means of conducting evaluations of
the research facility's programs and facilities; and Provided, further,
That no Committee member wishing to participate in any evaluation
conducted under this subpart may be excluded. The IACUC may use
subcommittees composed of at least two Committee members and may invite
ad hoc consultants to assist in conducting the evaluations, however, the
IACUC remains responsible for the evaluations and reports as required by
the Act and regulations. The reports shall be reviewed and signed by a
majority of the IACUC members and must include any minority views. The
reports shall be updated at least once every six months upon completion
of the required semiannual evaluations and shall be maintained by the
research facility and made available to APHIS and to officials of
funding Federal agencies for inspection and copying upon request. The
reports must contain a description of the nature and extent of the
research facility's adherence to this subchapter, must identify
specifically any departures from the provisions of title 9, chapter I,
subchapter A -- Animal Welfare, and must state the reasons for each
departure. The reports must distinguish significant deficiencies from
minor deficiencies. A significant deficiency is one which, with
reference to Subchapter A, and, in the judgment of the IACUC and the
Institutional Official, is or may be a threat to the health or safety of
the animals. If program or facility deficiencies are noted, the reports
must contain a reasonable and specific plan and schedule with dates for
correcting each deficiency. Any failure to adhere to the plan and
schedule that results in a significant deficiency remaining uncorrected
shall be reported in writing within 15 business days by the IACUC,
through the Institutional Official, to APHIS and any Federal agency
funding that activity;
(4) Review, and, if warranted, investigate concerns involving the
care and use of animals at the research facility resulting from public
complaints received and from reports of noncompliance received from
laboratory or research facility personnel or employees;
(5) Make recommendations to the Institutional Official regarding any
aspect of the research facility's animal program, facilities, or
personnel training;
(6) Review and approve, require modifications in (to secure
approval), or withhold approval of those components of proposed
activities related to the care and use of animals, as specified in
paragraph (d) of this section;
(7) Review and approve, require modifications in (to secure
approval), or withhold approval of proposed significant changes
regarding the care and use of animals in ongoing activities; and
(8) Be authorized to suspend an activity involving animals in
accordance with the specifications set forth in paragraph (d)(6) of this
section.
(d) IACUC review of activities involving animals. (1) In order to
approve proposed activities or proposed significant changes in ongoing
activities, the IACUC shall conduct a review of those components of the
activities related to the care and use of animals and determine that the
proposed activities are in accordance with this subchapter unless
acceptable justification for a departure is presented in writing;
Provided, however, That field studies as defined in part 1 of this
subchapter are exempt from this requirement. Further, the IACUC shall
determine that the proposed activities or significant changes in ongoing
activities meet the following requirements:
(i) Procedures involving animals will avoid or minimize discomfort,
distress, and pain to the animals;
(ii) The principal investigator has considered alternatives to
procedures that may cause more than momentary or slight pain or distress
to the animals, and has provided a written narrative description of the
methods and sources, e g. , the Animal Welfare Information Center, used
to determine that alternatives were not available;
(iii) The principal investigator has provided written assurance that
the activities do not unnecessarily duplicate previous experiments;
(iv) Procedures that may cause more than momentary or slight pain or
distress to the animals will:
(A) Be performed with appropriate sedatives, analgesics or
anesthetics, unless withholding such agents is justified for scientific
reasons, in writing, by the principal investigator and will continue for
only the necessary period of time;
(B) Involve, in their planning, consultation with the attending
veterinarian or his or her designee;
(C) Not include the use of paralytics without anesthesia;
(v) Animals that would otherwise experience severe or chronic pain or
distress that cannot be relieved will be painlessly euthanized at the
end of the procedure or, if appropriate, during the procedure;
(vi) The animals' living conditions will be appropriate for their
species in accordance with part 3 of this subchapter, and contribute to
their health and comfort. The housing, feeding, and nonmedical care of
the animals will be directed by the attending veterinarian or other
scientist trained and experienced in the proper care, handling, and use
of the species being maintained or studied;
(vii) Medical care for animals will be available and provided as
necessary by a qualified veterinarian;
(viii) Personnel conducting procedures on the species being
maintained or studied will be appropriately qualified and trained in
those procedures;
(ix) Activities that involve surgery include appropriate provision
for pre-operative and post-operative care of the animals in accordance
with established veterinary medical and nursing practices. All survival
surgery will be performed using aseptic procedures, including surgical
gloves, masks, sterile instruments, and aseptic techniques. Major
operative procedures on non-rodents will be conducted only in facilities
intended for that purpose which shall be operated and maintained under
aseptic conditions. Non-major operative procedures and all surgery on
rodents do not require a dedicated facility, but must be performed using
aseptic procedures. Operative procedures conducted at field sites need
not be performed in dedicated facilities, but must be performed using
aseptic procedures;
(x) No animal will be used in more than one major operative procedure
from which it is allowed to recover, unless:
(A) Justified for scientific reasons by the principal investigator,
in writing;
(B) Required as routine veterinary procedure or to protect the health
or well-being of the animal as determined by the attending veterinarian;
or
(C) In other special circumstances as determined by the Administrator
on an individual basis. Written requests and supporting data should be
sent to the Administrator, APHIS, USDA, 6505 Belcrest Road, Room 268,
Hyattsville, MD 20782;
(xi) Methods of euthanasia used must be in accordance with the
definition of the term set forth in 9 CFR part 1, 1.1 of this
subchapter, unless a deviation is justified for scientific reasons, in
writing, by the investigator.
(2) Prior to IACUC review, each member of the Committee shall be
provided with a list of proposed activities to be reviewed. Written
descriptions of all proposed activities that involve the care and use of
animals shall be available to all IACUC members, and any member of the
IACUC may obtain, upon request, full Committee review of those
activities. If full Committee review is not requested, at least one
member of the IACUC, designated by the chairman and qualified to conduct
the review, shall review those activities, and shall have the authority
to approve, require modifications in (to secure approval), or request
full Committee review of any of those activities. If full Committee
review is requested for a proposed activity, approval of that activity
may be granted only after review, at a convened meeting of a quorum of
the IACUC, and with the approval vote of a majority of the quorum
present. No member may participate in the IACUC review or approval of
an activity in which that member has a conflicting interest (e.g., is
personally involved in the activity), except to provide information
requested by the IACUC, nor may a member who has a conflicting interest
contribute to the constitution of a quorum;
(3) The IACUC may invite consultants to assist in the review of
complex issues arising out of its review of proposed activities.
Consultants may not approve or withhold approval of an activity, and may
not vote with the IACUC unless they are also members of the IACUC;
(4) The IACUC shall notify principal investigators and the research
facility in writing of its decision to approve or withhold approval of
those activities related to the care and use of animals, or of
modifications required to secure IACUC approval. If the IACUC decides
to withhold approval of an activity, it shall include in its written
notification a statement of the reasons for its decision and give the
principal investigator an opportunity to respond in person or in
writing. The IACUC may reconsider its decision, with documentation in
Committee minutes, in light of the information provided by the principal
investigator;
(5) The IACUC shall conduct continuing reviews of activities covered
by this subchapter at appropriate intervals as determined by the IACUC,
but not less than annually;
(6) The IACUC may suspend an activity that it previously approved if
it determines that the activity is not being conducted in accordance
with the description of that activity provided by the principal
investigator and approved by the Committee. The IACUC may suspend an
activity only after review of the matter at a convened meeting of a
quorum of the IACUC and with the suspension vote of a majority of the
quorum present;
(7) If the IACUC suspends an activity involving animals, the
Institutional Official, in consultation with the IACUC, shall review the
reasons for suspension, take appropriate corrective action, and report
that action with a full explanation to APHIS and any Federal agency
funding that activity; and
(8) Proposed activities and proposed significant changes in ongoing
activities that have been approved by the IACUC may be subject to
further appropriate review and approval by officials of the research
facility. However, those officials may not approve an activity
involving the care and use of animals if it has not been approved by the
IACUC.
(e) A proposal to conduct an activity involving animals, or to make a
significant change in an ongoing activity involving animals, must
contain the following:
(1) Identification of the species and the approximate number of
animals to be used;
(2) A rationale for involving animals, and for the appropriateness of
the species and numbers of animals to be used;
(3) A complete description of the proposed use of the animals;
(4) A description of procedures designed to assure that discomfort
and pain to animals will be limited to that which is unavoidable for the
conduct of scientifically valuable research, including provision for the
use of analgesic, anesthetic, and tranquilizing drugs where indicated
and appropriate to minimize discomfort and pain to animals; and
(5) A description of any euthanasia method to be used.
09 CFR 2.32 Personnel qualifications.
(a) It shall be the responsibility of the research facility to ensure
that all scientists, research technicians, animal technicians, and other
personnel involved in animal care, treatment, and use are qualified to
perform their duties. This responsibility shall be fulfilled in part
through the provision of training and instruction to those personnel.
(b) Training and instruction shall be made available, and the
qualifications of personnel reviewed, with sufficient frequency to
fulfill the research facility's responsibilities under this section and
2.31.
(c) Training and instruction of personnel must include guidance in at
least the following areas:
(1) Humane methods of animal maintenance and experimentation,
including:
(i) The basic needs of each species of animal;
(ii) Proper handling and care for the various species of animals used
by the facility;
(iii) Proper pre-procedural and post-procedural care of animals; and
(iv) Aseptic surgical methods and procedures;
(2) The concept, availability, and use of research or testing methods
that limit the use of animals or minimize animal distress;
(3) Proper use of anesthetics, analgesics, and tranquilizers for any
species of animals used by the facility;
(4) Methods whereby deficiencies in animal care and treatment are
reported, including deficiencies in animal care and treatment reported
by any employee of the facility. No facility employee, Committee
member, or laboratory personnel shall be discriminated against or be
subject to any reprisal for reporting violations of any regulation or
standards under the Act;
(5) Utilization of services (e.g., National Agricultural Library,
National Library of Medicine) available to provide information:
(i) On appropriate methods of animal care and use;
(ii) On alternatives to the use of live animals in research;
(iii) That could prevent unintended and unnecessary duplication of
research involving animals; and
(iv) Regarding the intent and requirements of the Act.
09 CFR 2.33 Attending veterinarian and adequate veterinary care.
(a) Each research facility shall have an attending veterinarian who
shall provide adequate veterinary care to its animals in compliance with
this section:
(1) Each research facility shall employ an attending veterinarian
under formal arrangements. In the case of a part-time attending
veterinarian or consultant arrangements, the formal arrangements shall
include a written program of veterinary care and regularly scheduled
visits to the research facility;
(2) Each research facility shall assure that the attending
veterinarian has appropriate authority to ensure the provision of
adequate veterinary care and to oversee the adequacy of other aspects of
animal care and use; and
(3) The attending veterinarian shall be a voting member of the IACUC;
Provided, however, That a research facility with more than one Doctor
of Veterinary Medicine (DVM) may appoint to the IACUC another DVM with
delegated program responsibility for activities involving animals at the
research facility.
(b) Each research facility shall establish and maintain programs of
adequate veterinary care that include:
(1) The availability of appropriate facilities, personnel, equipment,
and services to comply with the provisions of this subchapter;
(2) The use of appropriate methods to prevent, control, diagnose, and
treat diseases and injuries, and the availability of emergency, weekend,
and holiday care;
(3) Daily observation of all animals to assess their health and
well-being; Provided, however, That daily observation of animals may be
accomplished by someone other than the attending veterinarian; and
Provided, further, That a mechanism of direct and frequent communication
is required so that timely and accurate information on problems of
animal health, behavior, and well-being is conveyed to the attending
veterinarian;
(4) Guidance to principal investigators and other personnel involved
in the care and use of animals regarding handling, immobilization,
anesthesia, analgesia, tranquilization, and euthanasia; and
(5) Adequate pre-procedural and post-procedural care in accordance
with current established veterinary medical and nursing procedures.
09 CFR 2.35 Recordkeeping requirements.
(a) The research facility shall maintain the following IACUC records:
(1) Minutes of IACUC meetings, including records of attendance,
activities of the Committee, and Committee deliberations;
(2) Records of proposed activities involving animals and proposed
significant changes in activities involving animals, and whether IACUC
approval was given or withheld; and
(3) Records of semiannual IACUC reports and recommendations
(including minority views), prepared in accordance with the requirements
of 2.31(c)(3) of this subpart, and forwarded to the Institutional
Official.
(b) Every research facility shall make, keep, and maintain records or
forms which fully and correctly disclose the following information
concerning each live dog or cat purchased or otherwise acquired, owned,
held, or otherwise in their possession or under their control,
transported, euthanized, sold, or otherwise disposed of by the research
facility. The records shall include any offspring born of any animal
while in the research facility's possession or under its control:
(1) The name and address of the person from whom a dog or cat was
purchased or otherwise acquired, whether or not the person is required
to be licensed or registered under the Act;
(2) The USDA license or registration number of the person if he or
she is licensed or registered under the Act;
(3) The vehicle license number and state, and the driver's license
number and state of the person, if he or she is not licensed or
registered under the Act;
(4) The date of acquisition of each dog or cat;
(5) The official USDA tag number or tattoo assigned to each dog or
cat under 2.38(g) of this subpart;
(6) A description of each dog or cat which shall include:
(i) The species and breed or type of animal;
(ii) The sex;
(iii) The date of birth or approximate age; and
(iv) The color and any distinctive markings;
(7) Any identification number or mark assigned to each dog or cat by
the research facility.
(c) In addition to the information required to be kept and maintained
by every research facility concerning each live dog or cat under
paragraph (a) of this section, every research facility transporting,
selling, or otherwise disposing of any live dog or cat to another
person, shall make and maintain records or forms which fully and
correctly disclose the following information:
(1) The name and address of the person to whom a live dog or cat is
transported, sold, or otherwise disposed of;
(2) The date of transportation, sale, euthanasia, or other
disposition of the animal; and
(3) The method of transportation, including the name of the initial
carrier or intermediate handler, or if a privately owned vehicle is used
to transport the dog or cat, the name of the owner of the privately
owned vehicle.
(d)(1) The USDA Interstate and International Certificate of Health
Examination for Small Animals (VS Form 18-1) and Record of Dogs and Cats
on Hand (VS Form 18-5) are forms which may be used by research
facilities to keep and maintain the information required by paragraph
(b) of this section.
(2) The USDA Interstate and International Certificate of Health
Examination for Small Animals (VS Form 18-1) and Record of Disposition
of Dogs and Cats (VS Form 18-6) are forms which may be used by research
facilities to keep and maintain the information required by paragraph
(c) of this section.
(e) One copy of the record containing the information required by
paragraphs (b) and (c) of this section shall accompany each shipment of
any live dog or cat sold or otherwise disposed of by a research facility
Provided, however, That information which indicates the source and date
of acquisition of any dog or cat need not appear on the copy of the
record accompanying the shipment. One copy of the record containing the
information required by paragraphs (b) and (c) of this section shall be
retained by the research facility.
(f) All records and reports shall be maintained for at least three
years. Records that relate directly to proposed activities and proposed
significant changes in ongoing activities reviewed and approved by the
IACUC shall be maintained for the duration of the activity and for an
additional three years after completion of the activity. All records
shall be available for inspection and copying by authorized APHIS or
funding Federal agency representatives at reasonable times. APHIS
inspectors will maintain the confidentiality of the information and will
not remove the materials from the research facilities' premises unless
there has been an alleged violation, they are needed to investigate a
possible violation, or for other enforcement purposes. Release of any
such materials, including reports, summaries, and photographs that
contain trade secrets or commercial or financial information that is
privileged or confidential will be governed by applicable sections of
the Freedom of Information Act. Whenever the Administrator notifies a
research facility in writing that specified records shall be retained
pending completion of an investigation or proceeding under the Act, the
research facility shall hold those records until their disposition is
authorized in writing by the Administrator.
09 CFR 2.36 Annual report.
(a) The reporting facility shall be that segment of the research
facility, or that department, agency, or instrumentality of the United
States, that uses or intends to use live animals in research, tests,
experiments, or for teaching. Each reporting facility shall submit an
annual report to the APHIS, REAC Sector Supervisor for the State where
the facility is located on or before December 1 of each calendar year.
The report shall be signed and certified by the CEO or Institutional
Official, and shall cover the previous Federal fiscal year.
(b) The annual report shall:
(1) Assure that professionally acceptable standards governing the
care, treatment, and use of animals, including appropriate use of
anesthetic, analgesic, and tranquilizing drugs, prior to, during, and
following actual research, teaching, testing, surgery, or
experimentation were followed by the research facility;
(2) Assure that each principal investigator has considered
alternatives to painful procedures;
(3) Assure that the facility is adhering to the standards and
regulations under the Act, and that it has required that exceptions to
the standards and regulations be specified and explained by the
principal investigator and approved by the IACUC. A summary of all such
exceptions must be attached to the facility's annual report. In
addition to identifying the IACUC-approved exceptions, this summary must
include a brief explanation of the exceptions, as well as the species
and number of animals affected;
(4) State the location of all facilities where animals were housed or
used in actual research, testing, teaching, or experimentation, or held
for these purposes;
(5) State the common names and the numbers of animals upon which
teaching, research, experiments, or tests were conducted involving no
pain, distress, or use of pain-relieving drugs. Routine procedures
(e.g., injections, tattooing, blood sampling) should be reported with
this group;
(6) State the common names and the numbers of animals upon which
experiments, teaching, research, surgery, or tests were conducted
involving accompanying pain or distress to the animals and for which
appropriate anesthetic, analgesic, or tranquilizing drugs were used;
(7) State the common names and the numbers of animals upon which
teaching, experiments, research, surgery, or tests were conducted
involving accompanying pain or distress to the animals and for which the
use of appropriate anesthetic, analgesic, or tranquilizing drugs would
have adversely affected the procedures, results, or interpretation of
the teaching, research, experiments, surgery, or tests. An explanation
of the procedures producing pain or distress in these animals and the
reasons such drugs were not used shall be attached to the annual report;
(8) State the common names and the numbers of animals being bred,
conditioned, or held for use in teaching, testing, experiments,
research, or surgery but not yet used for such purposes.
09 CFR 2.37 Federal research facilities.
Each Federal research facility shall establish an Institutional
Animal Care and Use Committee which shall have the same composition,
duties, and responsibilities required of nonfederal research facilities
by 2.31 with the following exceptions:
(a) The Committee shall report deficiencies to the head of the
Federal agency conducting the research rather than to APHIS; and
(b) The head of the Federal agency conducting the research shall be
responsible for all corrective action to be taken at the facility and
for the granting of all exceptions to inspection protocol.
09 CFR 2.38 Miscellaneous.
(a) Information as to business: furnishing of same by research
facilities. Each research facility shall furnish to any APHIS official
any information concerning the business of the research facility which
the APHIS official may request in connection with the enforcement of the
provisions of the Act, the regulations, and the standards in this
subchapter. The information shall be furnished within a reasonable time
and as may be specified in the request for information.
(b) Access and inspection of records and property. (1) Each research
facility shall, during business hours, allow APHIS officials:
(i) To enter its place of business;
(ii) To examine records required to be kept by the Act and the
regulations in this part;
(iii) To make copies of the records;
(iv) To inspect the facilities, property, and animals, as the APHIS
officials consider necessary to enforce the provisions of the Act, the
regulations, and the standards in this subchapter; and
(v) To document, by the taking of photographs and other means,
conditions and areas of noncompliance.
(2) The use of a room, table or other facilities necessary for the
proper examination of the records and for inspection of the property or
animals shall be extended to APHIS officials by the research facility.
(c) Publication of names of research facilities subject to the
provisions of this part. APHIS will publish lists of research
facilities registered in accordance with the provisions of this subpart
in the Federal Register. The lists may be obtained upon request from
the APHIS, REAC Sector Supervisor.
(d) Inspection for missing animals. Each research facility shall
allow, upon request and during business hours, police or officers of
other law enforcement agencies with general law enforcement authority
(not those agencies whose duties are limited to enforcement of local
animal regulations) to enter its place of business to inspect animals
and records for the purpose of seeking animals that are missing, under
the following conditions:
(1) The police or other law officer shall furnish to the research
facility a written description of the missing animal and the name and
address of its owner before making a search;
(2) The police or other law officer shall abide by all security
measures required by the research facility to prevent the spread of
disease, including the use of sterile clothing, footwear, and masks
where required, or to prevent the escape of an animal.
(e) Confiscation and destruction of animals. (1) If an animal being
held by a research facility is not being used to carry out research,
testing, or experimentation, and is found by an APHIS official to be
suffering as a result of the failure of the research facility to comply
with any provision of the regulations or the standards set forth in this
subchapter, the APHIS official shall make a reasonable effort to notify
the research facility of the condition of the animal(s) and request that
the condition be corrected and that adequate care be given to alleviate
the animal's suffering or distress, or that the animal(s) be destroyed
by euthanasia. In the event that the research facility refuses to
comply with this request, the APHIS official may confiscate the
animal(s) for care, treatment, or disposal as indicated in paragraph
(e)(2) of this section, if, in the opinion of the Administrator, the
circumstances indicate the animal's health is in danger.
(2) In the event that the APHIS official is unable to locate or
notify the research facility as required in this section, the APHIS
official shall contact a local police or other law officer to accompany
him or her to the premises and shall provide for adequate care when
necessary to alleviate the animal's suffering. If, in the opinion of
the Administrator, the condition of the animal(s) cannot be corrected by
this temporary care, the APHIS official shall confiscate the animal(s).
(3) Confiscated animals may be placed, by sale or donation, with
other registrants or licensees that comply with the standards and
regulations and can provide proper care, or they may be euthanized. The
research facility from which the animals were confiscated shall bear all
costs incurred in performing the placement or euthanasia activities
authorized by this section.
(f) Handling. (1) Handling of all animals shall be done as
expeditiously and carefully as possibls in a manner that does not cause
trauma, overheating, excessive cooling, behavioral stress, physical
harm, or unnecessary discomfort.
(2)(i) Physical abuse shall not be used to train, work, or otherwise
handle animals.
(ii) Deprivation of food or water shall not be used to train, work,
or otherwise handle animals; Provided, however: That the short-term
withholding of food or water from animals, when specified in an
IACUC-approved activity that includes a description of monitoring
procedures, is allowed by these regulations.
(g) Identification of dogs and cats. (1) All live dogs or cats,
including those from any exempt source, delivered for transportation,
transported, purchased or otherwise acquired. sold, or disposed of by a
research facility, shall be identified at the time of such delivery for
transportation, purchase, sale, disposal, or acquisition in one of the
following ways:
(i) By the official tag or tattoo which was affixed to the animal at
the time it was acquired by the research facility, as required by this
section; or
(ii) By a tag, tattoo, or collar, applied to the live dog or cat by
the research facility and which individually identifies the dog or cat
by number.
(2) All official tag or tattoo numbers shall be correctly listed in
the records of purchase, acquisition, disposal, or sale which shall be
maintained in accordance with 2.35.
(3) Unweaned puppies or kittens need not be individually identified
while they are maintained as a litter with their dam in the same primary
enclosure, provided the dam has been individually identified.
(4) The official tag shall be made of a durable alloy such as brass,
bronze, or steel, or of a durable plastic. Aluminum of a sufficient
thickness to assure the tag is durable and legible may also be used.
The tag may be circular in shape and not less than 1 1/4 inches in
diameter, or oblong and flat in shape and not less than 2 inches by 3/4
inch, and riveted to an acceptable collar.
(5) Each tag shall have the following information embossed or stamped
on so that it is easily readable:
(i) The letters ''USDA'';
(ii) Numbers identifying the State and dealer, exhibitor, or research
facility (e.g., 39-AB); and
(iii) Numbers identifying the animal (e.g., 82488).
(6) Official tags shall be serially numbered and shall be applied to
dogs or cats in the manner set forth in this section in as close to
consecutive numerical order as possible. No tag number shall be used to
identify more than one animal or shall be reused within a 5-year period.
(7) Research facilities may obtain, at their own expense, official
tags from commercial tag manufacturers. /1/ At the time the research
facility is registered, the Department will assign identification
letters and numbers to be used on the official tags.
(8) Each research facility shall be held accountable for all official
tags acquired. In the event an official tag is lost from a dog or cat
while in the possession of a research facility, the facility shall make
a diligent effort to locate and reapply the tag to the proper animal.
If the lost tag is not located, the research facility shall affix
another official tag to the animal in the manner prescribed in this
section and record the tag number on the official records.
(9) When a dog or cat wearing or identified by an official tag
arrives at a research facility, the facility may continue to use that
tag to identify the dog or cat or the tag may be replaced as indicated
in paragraph (g)(1) of this section. All tags removed by a research
facility shall be retained and disposed of as indicated in this section.
(10) Where a dog or cat to which is affixed or which is identified by
an official tag is euthanized, or dies from other causes, the research
facility shall remove and retain the tag for the required period, as set
forth in paragraph (g)(11) of this section.
(11) All official tags removed and retained by a research facility
shall be held until called for by an APHIS official or for a period of 1
year.
(12) When official tags are removed from animals for disposal, the
tags must be disposed of so as to preclude their reuse for animal
identification. No animal identification number shall be used within
any 5-year period following its previous use.
(h) Health certification. (1) No research facility, including a
Federal research facility, shall deliver to any intermediate handler or
carrier for transportation, in commerce, or shall transport in commerce
any dog, cat, or nonhuman primate unless the dog, cat, or nonhuman
primate is accompanied by a health certificate executed and issued by a
licensed veterinarian. The health certificate shall state that:
(i) The licensed vetarinarian inspected the dog, cat, or nonhuman
primate on a specified date which shall not be more than 10 days prior
to the delivery of the dog, cat, or nonhuman primate for transportation;
and
(ii) When so inspected, the dog, cat, or nonhuman primate appeared to
the licensed veterinarian to be free of any infectious disease or
physical abnormality which would endanger the animal(s) or other animals
or endanger public health.
(2) The Secretary may provide exceptions to the health certification
requirement on an individual basis for animals shipped to a research
facility for purposes of research, testing, or experimentation when the
research facility requires animals not eligible for certification.
Requests should be addressed to the Administrator, APHIS, USDA, Room
268, Federal Building, 6505 Belcrest Road, Hyattsville, MD 20782.
(3) The U.S. Interstate and International Certificate of Health
Examination for Small Animals (VS Form 18-1) may be used for health
certification by a licensed veterinarian as required by this section.
(i) Holding of animals. If any research facility obtains prior
approval of the APHIS, REAC Sector Supervisor, it may arrange to have
another person hold animals: Provided, That:
(1) The other person agrees, in writing, to comply with the
regulations in this part and the standards in part 3 of this subchapter,
and to allow inspection of the premises by an APHIS official during
business hours;
(2) The animals remain under the total control and responsibility of
the research facility; and
(3) The Institutional Official agrees, in writing, that the other
person or premises is a recognized animal site under its research
facility registration. Veterinary Services Form 18-9 shall be used for
approval.
(j) Holding period. Research facilities that obtain dogs and cats
from sources other than dealers, exhibitors, and exempt persons shall
hold the animals for 5 full days, not including the day of acquisition,
after acquiring the animal, excluding time in transit, before they may
be used by the facility. Research facilities shall comply with the
identification of animals requirements set forth in 2.38(g) during this
period.
(k) Compliance with standards and prohibitions. (1) Each research
facility shall comply in all respects with the regulations set forth in
subpart C of this part and the standards set forth in part 3 of this
subchapter for the humane handling, care, treatment, housing, and
transportation of animals; Provided, however, That exceptions to the
standards in part 3 and the provisions of subpart C of this part may be
made only when such exceptions are specified and justified in the
proposal to conduct the activity and are approved by the IACUC.
(2) No person shall obtain live random source dogs or cats by use of
false pretenses, misrepresentation, or deception.
(3) No person shall acquire, buy, sell, exhibit, use for research,
transport, or offer for transportation, any stolen animal.
/1/ A list of the commercial manufacturers who produce these tags and
are known to the Department may be obtained from the APHIS, REAC Sector
Supervisor. Any manufacturer who desires to be included in the list
should notify the Administrator.
09 CFR 2.38 Subpart D -- Attending Veterinarian and Adequate Veterinary Care
09 CFR 2.40 Attending veterinarian and adequate veterinary care
(dealers and exhibitors).
(a) Each dealer or exhibitor shall have an attending veterinarian who
shall provide adequate veterinary care to its animals in compliance with
this section.
(1) Each dealer and exhibitor shall employ an attending veterinarian
under formal arrangements. In the case of a part-time attending
veterinarian or consultant arrangements, the formal arrangements shall
include a written program of veterinary care and regularly scheduled
visits to the premises of the dealer or exhibitor; and
(2) Each dealer and exhibitor shall assure that the attending
veterinarian has appropriate authority to ensure the provision of
adequate veterinary care and to oversee the adequacy of other aspects of
animal care and use.
(b) Each dealer or exhibitor shall establish and maintain programs of
adequate veterinary care that include:
(1) The availability of appropriate facilities, personnel, equipment,
and services to comply with the provisions of this subchapter;
(2) The use of appropriate methods to prevent, control, diagnose, and
treat diseases and injuries, and the availability of emergency, weekend,
and holiday care;
(3) Daily observation of all animals to assess their health and
well-being; Provided, however, That daily observation of animals may be
accomplished by someone other than the attending veterinarian; and
Provided, further, That a mechanism of direct and frequent communication
is required so that timely and accurate information on problems of
animal health, behavior, and well-being is conveyed to the attending
veterinarian;
(4) Adequate guidance to personnel involved in the care and use of
animals regarding handling, immobilization, anesthesia, analgesia,
tranquilization, and euthanasia; and
(5) Adequate pre-procedural and post-procedural care in accordance
with established veterinary medical and nursing procedures.
09 CFR 2.40 Subpart E -- Identification of Animals
09 CFR 2.50 Time and method of identification.
(a) A class ''A'' dealer (breeder) shall identify all live dogs and
cats on the premises as follows:
(1) All live dogs and cats held on the premises, purchased, or
otherwise acquired, sold or otherwise disposed of, or removed from the
premises for delivery to a research facility or exhibitor or to another
dealer, or for sale, through an auction sale or to any person for use as
a pet, shall be identified by an official tag of the type described in
2.51 affixed to the animal's neck by means of a collar made of material
generally considered acceptable to pet owners as a means of identifying
their pet dogs or cats /2/ , or shall be identified by a distinctive and
legible tattoo marking acceptable to and approved by the Administrator.
(2) Live puppies or kittens, less than 16 weeks of age, shall be
identified by:
(i) An official tag as described in 2.51;
(ii) A distinctive and legible tattoo marking approved by the
Administrator; or
(iii) A plastic-type collar acceptable to the Administrator which has
legibly placed thereon the information required for an official tag
pursuant to 2.51.
(b) A class ''B'' dealer shall identify all live dogs and cats under
his or her control or on his or her premises as follows:
(1) When live dogs or cats are held, purchased, or otherwise
acquired, they shall be immediately identified:
(i) By affixing to the animal's neck an official tag as set forth in
2.51 by means of a collar made of material generally acceptable to pet
owners as a means of identifying their pet dogs or cats /3/ ; or
(ii) By a distinctive and legible tattoo marking approved by the
Administrator.
(2) If any live dog or cat is already identified by an official tag
or tattoo which has been applied by another dealer or exhibitor, the
dealer or exhibitor who purchases or otherwise acquires the animal may
continue identifying the dog or cat by the previous identification
number, or may replace the previous tag with his own official tag or
approved tattoo. In either case, the class B dealer or class C
exhibitor shall correctly list all old and new official tag numbers or
tattoos in his or her records of purchase which shall be maintained in
accordance with 2.75 and 2.77. Any new official tag or tattoo number
shall be used on all records of any subsequent sales by the dealer or
exhibitor, of any dog or cat.
(3) Live puppies or kittens less than 16 weeks of age, shall be
identified by:
(i) An official tag as described in 2.51;
(ii) A distinctive and legible tattoo marking approved by the
Administrator; or
(iii) A plastic-type collar acceptable to the Administrator which has
legibly placed thereon the information required for an official tag
pursuant to 2.51.
(4) When any dealer has made a reasonable effort to affix an official
tag to a cat, as set forth in paragraphs (a) and (b) of this section,
and has been unable to do so, or when the cat exhibits serious distress
from the attachment of a collar and tag, the dealer shall attach the
collar and tag to the door of the primary enclosure containing the cat
and take measures adequate to maintain the identity of the cat in
relation to the tag. Each primary enclosure shall contain no more than
one weaned cat without an affixed collar and official tag, unless the
cats are identified by a distinctive and legible tattoo or plastic-type
collar approved by the Administrator.
(c) A class ''C'' exhibitor shall identify all live dogs and cats
under his or her control or on his or her premises, whether held,
purchased, or otherwise acquired:
(1) As set forth in paragraph (b)(1) or (b)(3) of this section, or
(2) By identifying each dog or cat with:
(i) An official USDA sequentially numbered tag that is kept on the
door of the animal's cage or run;
(ii) A record book containing each animal's tag number, a written
description of each animal, the data required by 2.75(a), and a clear
photograph of each animal; and
(iii) A duplicate tag that accompanies each dog or cat whenever it
leaves the compound or premises.
(d) Unweaned puppies or kittens need not be individually identified
as required by paragraphs (a) and (b) of this section while they are
maintained as a litter with their dam in the same primary enclosure,
provided the dam has been individually identified.
(e)(1) All animals, except dogs and cats, delivered for
transportation, transported, purchased, sold, or otherwise acquired or
disposed of by any dealer or exhibitor shall be identified by the dealer
or exhibitor at the time of delivery for transportation, purchase, sale,
acquisition or disposal, as provided for in this paragraph and in
records maintained as required in 2.75 and 2.77.
(2) When one or more animals, other than dogs or cats, are confined
in a primary enclosure, the animal(s) shall be identified by:
(i) A label attached to the primary enclosure which shall bear a
description of the animals in the primary enclosure, including:
(A) The number of animals;
(B) The species of the animals;
(C) Any distinctive physical features of the animals; and
(D) Any identifying marks, tattoos, or tags attached to the animals;
(ii) Marking the primary enclosure with a painted or stenciled number
which shall be recorded in the records of the dealer or exhibitor
together with:
(A) A description of the animal(s);
(B) The species of the animal(s); and
(C) Any distinctive physical features of the animal(s); or
(iii) A tag or tattoo applied to each animal in the primary enclosure
by the dealer or exhibitor which individually identifies each animal by
description or number.
(3) When any animal, other than a dog or cat, is not confined in a
primary enclosure, it shall be identified on a record, as required by
2.75, which shall accompany the animal at the time it is delivered for
transportation, transported, purchased, or sold, and shall be kept and
maintained by the dealer or exhibitor as part of his or her records.
/2/ In general, well fitted collars made of leather or plastic will
be acceptable under this provision. The use of certain types of chains
presently used by some dealers may also be deemed acceptable. APHIS
will determine the acceptability of a material proposed for usage as
collars from the standpoint of humane considerations on an individual
basis in consultation with the dealer or exhibitor involved. The use of
materials such as wire, elastic, or sharp metal that might cause
discomfort or injury to the dogs or cats is not acceptable.
/3/ See footnote 2 in 2.50(a)(1).
09 CFR 2.51 Form of official tag.
(a) The official tag shall be made of a durable alloy such as brass,
bronze, or steel, or of a durable plastic. Aluminum of a sufficient
thickness to assure the tag is durable and legible may also be used.
The tag shall be one of the following shapes:
(1) Circular in shape and not less than 1 1/4 inches in diameter, or
(2) Oblong and flat in shape, not less than 2 inches by 3/4 inch and
riveted to an acceptable collar.
(b) Each tag shall have the following information embossed or stamped
on so that it is easily readable:
(1) The letters ''USDA'';
(2) Numbers identifying the State and dealer, exhibitor, or research
facility (e.g., 39-AB); and
(3) Numbers identifying the animal (e.g., 82488).
(c) Official tags shall be serially numbered. No individual dealer
or exhibitor shall use any identification tag number more than once
within a 5-year period.
09 CFR 2.52 How to obtain tags.
Dealers or exhibitors may obtain, at their own expense, official tags
from commercial tag manufacturers. /4/ At the time the dealer or
exhibitor is issued a license or is registered, the Department will
assign identification letters and numbers and inform them of the
identification letters and numbers to be used on the official tags.
/4/ A list of the commercial manufacturers who produce these tags and
are known to the Department may be obtained from the APHIS, REAC Sector
Supervisor. Any manufacturer who desires to be included in the list
should notify the Administrator.
09 CFR 2.53 Use of tags.
Official tags obtained by a dealer, exhibitor, or research facility,
shall be applied to dogs or cats in the manner set forth in 2.50 and in
as close to consecutive numerical order as possible. No tag number
shall be used to identify more than one animal. No number shall be
repeated within a 5-year period.
09 CFR 2.54 Lost tags.
Each dealer or exhibitor shall be held accountable for all official
tags acquired. In the event an official tag is lost from a dog or cat
while in the possession of a dealer or exhibitor, the dealer or
exhibitor shall make a diligent effort to locate and reapply the tag to
the proper animal. If the lost tag is not located, the dealer or
exhibitor shall affix another official tag to the animal in the manner
prescribed in 2.50, and record the tag number on the official records.
09 CFR 2.55 Removal and disposal of tags.
(a) Where a dog or cat to which is affixed or which is identified by
an official tag is euthanized, or dies from other causes, the dealer or
exhibitor shall remove and retain the tag for the required period, as
set forth in paragraph (b) of this section.
(b) All official tags removed and retained by a dealer or exhibitor
shall be held until called for by an APHIS official or for a period of 1
year.
(c) When official tags are removed from animals for disposal, the
tags must be disposed of so as to preclude their reuse for animal
identification. No animal identification number shall be used within
any 5-year period following its previous use.
09 CFR 2.55 Subpart F -- Stolen Animals
09 CFR 2.60 Prohibition on the purchase, sale, use, or transportation
of stolen animals.
No person shall buy, sell, exhibit, use for research, transport, or
offer for transportation, any stolen animal.
09 CFR 2.60 Subpart G -- Records
09 CFR 2.75 Records: Dealers and exhibitors.
(a)(1) Each dealer, other than operators of auction sales and brokers
to whom animals are consigned, and each exhibitor shall make, keep, and
maintain records or forms which fully and correctly disclose the
following information concerning each dog or cat purchased or otherwise
acquired, owned, held, or otherwise in his or her possession or under
his or her control, or which is transported, euthanized, sold, or
otherwise disposed of by that dealer or exhibitor. The records shall
include any offspring born of any animal while in his or her possession
or under his or her control.
(i) The name and address of the person from whom a dog or cat was
purchased or otherwise acquired whether or not the person is required to
be licensed or registered under the Act;
(ii) The USDA license or registration number of the person if he or
she is licensed or registered under the Act;
(iii) The vehicle license number and state, and the driver's license
number and state of the person, if he or she is not licensed or
registered under the Act;
(iv) The name and address of the person to whom a dog or cat was sold
or given and that person's license or registration number if he or she
is licensed or registered under the Act;
(v) The date a dog or cat was acquired or disposed of, including by
euthanasia;
(vi) The official USDA tag number or tattoo assigned to a dog or cat
under 2.50 and 2.54;
(vii) A description of each dog or cat which shall include:
(A) The species and breed or type;
(B) The sex;
(C) The date of birth or approximate age; and
(D) The color and any distinctive markings;
(viii) The method of transportation including the name of the initial
carrier or intermediate handler or, if a privately owned vehicle is used
to transport a dog or cat, the name of the owner of the privately owned
vehicle;
(ix) The date and method of disposition of a dog or cat, e.g., sale,
death, euthanasia, or donation.
(2) Record of Dogs and Cats on Hand (VS Form 18-5) and Record of
Disposition of Dogs and Cats (VS Form 18-6) are forms which may be used
by dealers and exhibitors to make, keep, and maintain the information
required by paragraph (a)(1) of this section.
(3) The USDA Interstate and International Certificate of Health
Examination for Small Animals (VS Form 18-1) may be used by dealers and
exhibitors to make, keep, and maintain the information required by
paragraph (a)(1) of this section and 2.79.
(4) One copy of the record containing the information required by
paragraph (a)(1) of this section shall accompany each shipment of any
dog or cat purchased or otherwise acquired by a dealer or exhibitor.
One copy of the record containing the information required by paragraph
(a)(1) of this section shall accompany each shipment of any dog or cat
sold or otherwise disposed of by a dealer or exhibitor: Provided,
however, That information which indicates the source and date of
acquisition of a dog or cat need not appear on the copy of the record
accompanying the shipment. One copy of the record containing the
information required by paragraph (a)(1) of this section shall be
retained by the dealer or exhibitor.
(b)(1) Every dealer other than operators of auction sales and brokers
to whom animals are consigned, and exhibitor shall make, keep, and
maintain records or forms which fully and correctly disclose the
following information concerning animals other than dogs and cats,
purchased or otherwise acquired, owned, held, leased, or otherwise in
his or her possession or under his or her control, or which is
transported, sold, euthanized, or otherwise disposed of by that dealer
or exhibitor. The records shall include any offspring born of any
animal while in his or her possession or under his or her control.
(i) The name and address of the person from whom the animals were
purchased or otherwise acquired;
(ii) The USDA license or registration number of the person if he or
she is licensed or registered under the Act;
(iii) The vehicle license number and state, and the driver's license
number and state of the person, if he or she is not licensed or
registered under the Act;
(iv) The name and address of the person to whom an animal was sold or
given;
(v) The date of purchase, acquisition, sale, or disposal of the
animal(s);
(vi) The species of the animal(s); and
(vii) The number of animals in the shipment.
(2) Record of Animals on Hand (other than dogs and cats) (VS Form
18-19) and Record of Acquisition, Disposition, or Transport of Animals
(other than dogs and cats) (VS Form 18-20) are forms which may be used
by dealers and exhibitors to keep and maintain the information required
by paragraph (b)(1) of this section concerning animals other than dogs
and cats except as provided in 2.79.
(3) One copy of the record containing the information required by
paragraph (b)(1) of this section shall accompany each shipment of any
animal(s) other than a dog or cat purchased or otherwise acquired by a
dealer or exhibitor. One copy of the record containing the information
required by paragraph (b)(1) of this section shall accompany each
shipment of any animal other than a dog or cat sold or otherwise
disposed of by a dealer or exhibitor; Provided, however, That
information which indicates the source and date of acquisition of any
animal other than a dog or cat need not appear on the copy of the record
accompanying the shipment. The dealer or exhibitor shall retain one
copy of the record containing the information required by paragraph
(b)(1) of this section.
09 CFR 2.76 Records: Operators of auction sales and brokers.
(a) Every operator of an auction sale or broker shall make, keep, and
maintain records or forms which fully and correctly disclose the
following information concerning each animal consigned for auction or
sold, whether or not a fee or commission is charged:
(1) The name and address of the person who owned or consigned the
animal(s) for sale;
(2) The name and address of the buyer or consignee who received the
animal;
(3) The USDA license or registration number of the person(s) selling,
consigning, buying, or receiving the animals if he or she is licensed or
registered under the Act;
(4) The vehicle license number and state, and the driver's license
number and state of the person, if he or she is not licensed or
registered under the Act;
(5) The date of the consignment;
(6) The official USDA tag number or tattoo assigned to the animal
under 2.50 and 2.54;
(7) A description of the animal which shall include:
(i) The species and breed or type of animal;
(ii) The sex of the animal; and
(iii) The date of birth or approximate age; and
(iv) The color and any distinctive markings;
(8) The auction sales number or records number assigned to the
animal.
(b) One copy of the record containing the information required by
paragraph (a) of this section shall be given to the consignor of each
animal, one copy of the record shall be given to the purchaser of each
animal: Provided, however, That information which indicates the source
and date of consignment of any animal need not appear on the copy of the
record given the purchaser of any animal. One copy of the record
containing the information required by paragraph (a) of this section
shall be retained by the operator of such auction sale, or broker, for
each animal sold by the auction sale or broker.
09 CFR 2.77 Records: Carriers and intermediate handlers.
(a) In connection with all live animals accepted for shipment on a
C.O.D. basis or other arrangement or practice under which the cost of an
animal or the transportation of an animal is to be paid and collected
upon delivery of the animal to the consignee, the accepting carrier or
intermediate handler, if any, shall keep and maintain a copy of the
consignor's written guarantee for the payment of transportation charged
for any animal not claimed as provided in 2.80, including, where
necessary, both the return transportation charges and an amount
sufficient to reimburse the carrier for out-of-pocket expenses incurred
for the care, feeding, and storage of the animal. The carrier or
intermediate handler at destination shall also keep and maintain a copy
of the shipping document containing the time, date, and method of each
attempted notification and the final notification to the consignee and
the name of the person notifying the consignee, as provided in 2.80.
(b) In connection with all live dogs, cats, or nonhuman primates
delivered for transportation, in commerce, to any carrier or
intermediate handler, by any dealer, research facility, exhibitor,
operator of an auction sale, broker, or department, agency or
instrumentality of the United States or of any state or local
government, the accepting carrier or intermediate handler shall keep and
maintain a copy of the health certification completed as required by
2.79, tendered with each live dog, cat, or nonhuman primate.
09 CFR 2.78 Health certification and identification.
(a) No dealer, exhibitor, operator of an auction sale, broker, or
department, agency, or instrumentality of the United States or of any
State or local government shall deliver to any intermediate handler or
carrier for transportation, in commerce, or shall transport in commerce
any dog, cat, or nonhuman primate unless the dog, cat, or nonhuman
primate is accompanied by a health certificate executed and issued by a
licensed veterinarian. The health certificate shall state that:
(1) The licensed veterinarian inspected the dog, cat, or nonhuman
primate on a specified date which shall not be more than 10 days prior
to the delivery of the dog, cat, or nonhuman primate for transportation;
and
(2) when so inspected, the dog, cat, or nonhuman primate appeared to
the licensed veterinarian to be free of any infectious disease or
physical abnormality which would endanger the animal(s) or other animals
or endanger public health.
(b) The Secretary may provide exceptions to the health certification
requirement on an individual basis for animals shipped to a research
facility for purposes of research, testing, or experimentation when the
research facility requires animals not eligible for certification.
Requests should be addressed to the Administrator, APHIS, USDA, Room
206, Federal Building, 6505 Belcrest Road, Hyattsville, MD 20782.
(c) No intermediate handler or carrier to whom any live dog, cat, or
nonhuman primate is delivered for transportation by any dealer, research
facility, exhibitor, broker, operator of an auction sale, or department,
agency, or instrumentality of the United States or any State or local
government shall receive a live dog, cat, or nonhuman primate for
transportation, in commerce, unless and until it is accompanied by a
health certificate issued by a licensed veterinarian in accordance with
paragraph (a) of this section, or an exemption issued by the Secretary
in accordance with paragraph (b) of this section.
(d) The U.S. Interstate and International Certificate of Health
Examination for Small Animals (VS Form 18-1) may be used for health
certification by a licensed veterinarian as required by this section.
09 CFR 2.79 C.O.D. shipments.
(a) No carrier or intermediate handler shall accept any animal for
transportation, in commerce, upon any C.O.D. or other basis where any
money is to be paid and collected upon delivery of the animal to the
consignee, unless the consignor guarantees in writing the payment of all
transportation, including any return transportation, if the shipment is
unclaimed or the consignee cannot be notified in accordance with
paragraphs (b) and (c) of this section, including reimbursing the
carrier or intermediate handler for all out-of-pocket expenses incurred
for the care, feeding, and storage or housing of the animal.
(b) Any carrier or intermediate handler receiving an animal at a
destination on a C.O.D. or other basis any money is to be paid and
collected upon delivery of the animal to the consignee shall attempt to
notify the consignee at least once every 6 hours for a period of 24
hours after arrival of the animal at the animal holding area of the
terminal cargo facility. The carrier or intermediate handler shall
record the time, date, and method of each attempted notification and the
final notification to the consignee, and the name of the person
notifying the consignee, on the shipping document and on the copy of the
shipping document accompanying the C.O.D. shipment. If the consignee
cannot be notified of the C.O.D. shipment within 24 hours after its
arrival, the carrier or intermediate handler shall return the animal to
the consignor, or to whomever the consignor has designated, on the next
practical available transportation, in accordance with the written
agreement required in paragraph (a) of this section and shall notify the
consignor. Any carrier or intermediate handler which has notified a
consignee of the arrival of a C.O.D. or other shipment of an animal,
where any money is to be paid and collected upon delivery of the animal
to the consignee, which is not claimed by the consignee within 48 hours
from the time of notification, shall return the animal to the consignor,
or to whomever the consignor has designated, on the next practical
available transportation, in accordance with the written agreement
required in paragraph (a) of this section and shall notify the
consignor.
(c) It is the responsibility of any carrier or intermediate handler
to hold, feed, and care for any animal accepted for transportation, in
commerce, under a C.O.D. or other arrangement where any money is to be
paid and collected upon delivery of the animal until the consignee
accepts shipment at destination or until returned to the consignor or
his or her designee should the consignee fail to accept delivery of the
animal or if the consignee could not be notified as prescribed in
paragraph (b) of this section.
(d) Nothing in this section shall be construed as prohibiting any
carrier or intermediate handler from requiring any guarantee in addition
to that required in paragraph (a) of this section for the payment of the
cost of any transportation or out-of-pocket or other incidental expenses
incurred in the transportation of any animal.
09 CFR 2.80 Records, disposition.
(a) No dealer, exhibitor, broker, operator of an auction sale,
carrier, or intermediate handler shall, for a period of 1 year, destroy
or dispose of, without the consent in writing of the Administrator, any
books, records, documents, or other papers required to be kept and
maintained under this part.
(b) Unless otherwise specified, the records required to be kept and
maintained under this part shall be held for 1 year after an animal is
euthanized or disposed of and for any period in excess of one year as
necessary to comply with any applicable Federal, State, or local law.
Whenever the Administrator notifies a dealer, exhibitor, broker,
operator of an auction sale, carrier, or intermediate handler in writing
that specified records shall be retained pending completion of an
investigation or proceeding under the Act, the dealer, exhibitor,
broker, operator of an auction sale, carrier, or intermediate handler
shall hold those records until their disposition is authorized by the
Administrator.
09 CFR 2.80 Subpart H -- Compliance With Standards and Holding Period
09 CFR 2.100 Compliance with standards.
(a) Each dealer, exhibitor, operator of an auction sale, and
intermediate handler shall comply in all respects with the regulations
set forth in part 2 and the standards set forth in part 3 of this
subchapter for the humane handling, care, treatment, housing, and
transportation of animals.
(b) Each carrier shall comply in all respects with the regulations in
part 2 and the standards in part 3 of this subchapter setting forth the
conditions and requirements for the humane transportation of animals in
commerce and their handling, care, and treatment in connection
therewith.
09 CFR 2.101 Holding period.
(a) Any live dog or cat acquired by a dealer /5/ or exhibitor shall
be held by him or her, under his or her supervision and control, for a
period of not less than 5 full days, not including the day of
acquisition, after acquiring the animal, excluding time in transit:
Provided, however:
(1) That any live dog or cat acquired by a dealer or exhibitor from
any private or contract animal pound or shelter shall be held by that
dealer or exhibitor under his or her supervision and control for a
period of not less than 10 full days, not including the day of
acquisition, after acquiring the animal, excluding time in transit;
(2) Live dogs or cats which have completed a 5-day holding period
with another dealer or exhibitor, or a 10-day holding period with
another dealer or exhibitor if obtained from a private or contract
shelter or pound, may be sold or otherwise disposed of by subsequent
dealers or exhibitors after a minimum holding period of 24 hours by each
subsequent dealer or exhibitor excluding time in transit;
(3) Any dog or cat suffering from disease, emaciation, or injury may
be destroyed by euthanasia prior to the completion of the holding period
required by this section; and
(4) Any live dog or cat, 120 days of age or less, that was obtained
from the person that bred and raised such dog or cat, may be exempted
from the 5-day holding requirement and may be disposed of by dealers or
exhibitors after a minimum holding period of 24 hours, excluding time in
transit. Each subsequent dealer or exhibitor must also hold each such
dog or cat for a 24-hour period excluding time in transit.
(b) During the period in which any dog or cat is being held as
required by this section, the dog or cat shall be unloaded from any
means of conveyance in which it was received, for food, water, and rest,
and shall be handled, cared for, and treated in accordance with the
standards set forth in part 3, subpart A, of this subchapter and 2.131.
/5/ An operator of an auction sale is not considered to have acquired
a dog or cat which is sold through the auction sale.
09 CFR 2.102 Holding facility.
(a) If any dealer or exhibitor obtains the prior approval of the
APHIS, REAC Sector Supervisor, he may arrange to have another person
hold animals for the required period provided for in paragraph (a) of
2.101: Provided, That:
(1) The other person agrees in writing to comply with the regulations
in part 2 and the standards in part 3 of this subchapter and to allow
inspection of his premises by an APHIS official during business hours;
and
(2) The animals remain under the total control and responsibility of
the dealer or exhibitor.
(3) Approval will not be given for a dealer or exhibitor holding a
license as set forth in 2.1 to have animals held for purposes of this
section by another licensed dealer or exhibitor. Veterinary Services
Form 18-9 shall be used for approval.
(b) If any intermediate handler obtains prior approval of the APHIS,
REAC Sector Supervisor, it may arrange to have another person hold
animals: Provided, That:
(1) The other person agrees in writing to comply with the regulations
in part 2 and the standards in part 3 of this subchapter and to allow
inspection of the premises by an APHIS official during business hours;
and
(2) The animals remain under the total control and responsibility of
the research facility or intermediate handler.
09 CFR 2.102 Subpart I -- Miscellaneous
09 CFR 2.125 Information as to business; furnishing of same by
dealers, exhibitors, operators of auction sales, intermediate handlers,
and carriers.
Each dealer, exhibitor, operator of an auction sale, intermediate
handler, and carrier shall furnish to any APHIS official any information
concerning the business of the dealer, exhibitor, operator of an auction
sale, intermediate handler or carrier which the APHIS official may
request in connection with the enforcement of the provisions of the Act,
the regulations and the standards in this subchapter. The information
shall be furnished within a reasonable time and as may be specified in
the request for information.
09 CFR 2.126 Access and inspection of records and property.
(a) Each dealer, exhibitor, intermediate handler, or carrier, shall,
during business hours, allow APHIS officials:
(1) To enter its place of business;
(2) To examine records required to be kept by the Act and the
regulations in this part;
(3) To make copies of the records;
(4) To inspect and photograph the facilities, property and animals,
as the APHIS officials consider necessary to enforce the provisions of
the Act, the regulations and the standards in this subchapter; and
(5) To document, by the taking of photographs and other means,
conditions and areas of noncompliance.
(b) The use of a room, table, or other facilities necessary for the
proper examination of the records and inspection of the property or
animals shall be extended to APHIS officials by the dealer, exhibitor,
intermediate handler or carrier.
09 CFR 2.127 Publication of names of persons subject to the provisions
of this part.
APHIS will publish lists of persons licensed or registered in
accordance with the provisions of this part in the Federal Register.
The lists may be obtained upon request from the APHIS, REAC Sector
Supervisor.
09 CFR 2.128 Inspection for missing animals.
Each dealer, exhibitor, intermediate handler and carrier shall allow,
upon request and during business hours, police or officers of other law
enforcement agencies with general law enforcement authority (not those
agencies whose duties are limited to enforcement of local animal
regulations) to enter his or her place of business to inspect animals
and records for the purpose of seeking animals that are missing, under
the following conditions:
(a) The police or other law officer shall furnish to the dealer,
exhibitor, intermediate handler or carrier a written description of the
missing animal and the name and address of its owner before making a
search.
(b) The police or other law officer shall abide by all security
measures required by the dealer, exhibitor, intermediate handler or
carrier to prevent the spread of disease, including the use of sterile
clothing, footwear, and masks where required, or to prevent the escape
of an animal.
09 CFR 2.129 Confiscation and destruction of animals.
(a) If an animal being held by a dealer, exhibitor, intermediate
handler, or by a carrier is found by an APHIS official to be suffering
as a result of the failure of the dealer, exhibitor, intermediate
handler, or carrier to comply with any provision of the regulations or
the standards set forth in this subchapter, the APHIS official shall
make a reasonable effort to notify the dealer, exhibitor, intermediate
handler, or carrier of the condition of the animal(s) and request that
the condition be corrected and that adequate care be given to alleviate
the animal's suffering or distress, or that the animal(s) be destroyed
by euthanasia. In the event that the dealer, exhibitor, intermediate
handler, or carrier refuses to comply with this request, the APHIS
official may confiscate the animal(s) for care, treatment, or disposal
as indicated in paragraph (b) of this section, if, in the opinion of the
Administrator, the circumstances indicate the animal's health is in
danger.
(b) In the event that the APHIS official is unable to locate or
notify the dealer, exhibitor, intermediate handler, or carrier as
required in this section, the APHIS official shall contact a local
police or other law officer to accompany him to the premises and shall
provide for adequate care when necessary to alleviate the animal's
suffering. If in the opinion of the Administrator, the condition of the
animal(s) cannot be corrected by this temporary care, the APHIS official
shall confiscate the animals.
(c) Confiscated animals may be placed, by sale or donation, with
other licensees or registrants which comply with the standards and
regulations and can provide proper care, or they may be euthanized. The
dealer, exhibitor, intermediate handler, or carrier from whom the
animals were confiscated shall bear all costs incurred in performing the
placement or euthanasia activities authorized by this section.
09 CFR 2.130 Minimum age requirements.
No dog or cat shall be delivered by any person to any carrier or
intermediate handler for transportation, in commerce, or shall be
transported in commerce by any person, except to a registered research
facility, unless such dog or cat is at least eight (8) weeks of age and
has been weaned.
09 CFR 2.131 Handling of animals.
(a)(1) Handling of all animals shall be done as expeditiously and
carefully as possible in a manner that does not cause trauma,
overheating, excessive cooling, behavioral stress, physical harm, or
unnecessary discomfort.
(2)(i) Physical abuse shall not be used to train, work, or otherwise
handle animals.
(ii) Deprivation of food or water shall not be used to train, work,
or otherwise handle animals; Provided, however, That the short-term
withholding of food or water from animals by exhibitors is allowed by
these regulations as long as each of the animals affected receives its
full dietary and nutrition requirements each day.
(b)(1) During public exhibition, any animal must be handled so there
is minimal risk of harm to the animal and to the public, with sufficient
distance and/or barriers between the animal and the general viewing
public so as to assure the safety of animals and the public.
(2) Performing animals shall be allowed a rest period between
performances at least equal to the time for one performance.
(3) Young or immature animals shall not be exposed to rough or
excessive public handling or exhibited for periods of time which would
be detrimental to their health or well-being.
(4) Drugs, such as tranquilizers, shall not be used to facilitate,
allow, or provide for public handling of the animals.
(c)(1) Animals shall be exhibited only for periods of time and under
conditions consistent with their good health and well-being.
(2) A responsible, knowledgeable, and readily identifiable employee
or attendant must be present at all times during periods of public
contact.
(3) During public exhibition, dangerous animals such as lions,
tigers, wolves, bears, or elephants must be under the direct control and
supervision of a knowledgeable and experienced animal handler.
(4) If public feeding of animals is allowed, the food must be
provided by the animal facility and shall be appropriate to the type of
animal and its nutritional needs and diet.
09 CFR 2.132 Procurement of random source dogs and cats, dealers.
(a) A class ''B'' dealer may obtain live random source dogs and cats
only from:
(1) Other dealers who are licensed under the Act and in accordance
with the regulations in part 2;
(2) State, county, or city owned and operated animal pounds or
shelters; and
(3) A legal entity organized and operated under the laws of the State
in which it is located as an animal pound or shelter, such as a humane
shelter or contract pound.
(b) A class ''B'' dealer shall not obtain live random source dogs and
cats from individuals who have not bred and raised the dogs and cats on
their own premises.
(c) Live nonrandom source dogs and cats may be obtained from persons
who have bred and raised the dogs and cats on their own premises, such
as hobby breeders.
(d) No person shall obtain live random source dogs or cats by use of
false pretenses, misrepresentation, or deception.
(e) Any dealer, exhibitor, research facility, carrier, or
intermediate handler who also operates a private or contract animal
pound or shelter shall comply with the following:
(1) The animal pound or shelter shall be located on premises that are
physically separated from the licensed or registered facility. The
animal housing facility of the pound or shelter shall not be adjacent to
the licensed or registered facility.
(2) Accurate and complete records shall be separately maintained by
the licensee or registrant and by the pound or shelter. The records
shall be in accordance with 2.75 and 2.76, unless the animals are lost
or stray. If the animals are lost or stray, the pound or shelter
records shall provide:
(i) An accurate description of the animal;
(ii) How, where, from whom, and when the dog or cat was obtained;
(iii) How long the dog or cat was held by the pound or shelter before
being transferred to the dealer; and
(iv) The date the dog or cat was transferred to the dealer.
(3) Any dealer who obtains or acquires a live random source dog or
cat from a private or contract pound or shelter, including a pound or
shelter he or she operates, shall hold the dog or cat for a period of at
least 10 full days, not including the day of acquisition, excluding time
in transit, after acquiring the animal, and otherwise in accordance with
2.101.
09 CFR 2.132 Pt. 3
09 CFR 2.132 PART 3 -- STANDARDS
09 CFR 2.132 Subpart A -- Specifications for the Humane Handling, Care,
Treatment, and Transportation of Dogs and Cats
Sec.
3.1 Housing facilities, general.
3.2 Indoor housing facilities.
3.3 Sheltered housing facilities.
3.4 Outdoor housing facilities.
3.5 Mobile or traveling housing facilities.
3.6 Primary enclosures.
3.7 Compatible grouping.
3.8 Exercise for dogs.
3.9 Feeding.
3.10 Watering.
3.11 Cleaning, sanitization, housekeeping, and pest control.
3.12 Employees.
3.13 Consignments to carriers and intermediate handlers.
3.14 Primary enclosures used to transport live dogs and cats.
3.15 Primary conveyances (motor vehicle, rail, air, and marine).
3.16 Food and water requirements.
3.17 Care in transit.
3.18 Terminal facilities.
3.19 Handling.
09 CFR 2.132 Subpart B -- Specifications for the Humane Handling, Care,
Treatment, and Transportation of Guinea Pigs and Hamsters
3.25 Facilities, general.
3.26 Facilities, indoor.
3.27 Facilities, outdoor.
3.28 Primary enclosures.
3.29 Feeding.
3.30 Watering.
3.31 Sanitation.
3.32 Employees.
3.33 Classification and separation.
3.34 (Reserved)
3.35 Consignments to carriers and intermediate handlers.
3.36 Primary enclosures used to transport live guinea pigs and
hamsters.
3.37 Primary conveyances (motor vehicle, rail, air, and marine).
3.38 Food and water requirements.
3.39 Care in transit.
3.40 Terminal facilities.
3.41 Handling.
09 CFR 2.132 Subpart C -- Specifications for the Humane Handling, Care,
Treatment and Transportation of Rabbits
3.50 Facilities, general.
3.51 Facilities, indoor.
3.52 Facilities, outdoor.
3.53 Primary enclosures.
3.54 Feeding.
3.55 Watering.
3.56 Sanitation.
3.57 Employees.
3.58 Classification and separation.
3.59 (Reserved)
3.60 Consignments to carriers and intermediate handlers.
3.61 Primary enclosures used to transport live rabbits.
3.62 Primary conveyances (motor vehicle, rail, air, and marine).
3.63 Food and water requirements.
3.64 Care in transit.
3.65 Terminal facilities.
3.66 Handling.
09 CFR 2.132 Subpart D -- Specifications for the Humane Handling, Care,
Treatment, and Transportation of Nonhuman Primates
Sec.
3.75 Housing facilities, general.
3.76 Indoor housing facilities.
3.77 Sheltered housing facilities.
3.78 Outdoor housing facilities.
3.79 Mobile or traveling housing facilities.
3.80 Primary enclosures.
3.81 Environment enhancement to promote psychological well-being.
3.82 Feeding.
3.83 Watering.
3.84 Cleaning, sanitization, housekeeping, and pest control.
3.85 Employees.
3.86 Consignments to carriers and intermediate handlers.
3.87 Primary enclosures used to transport nonhuman primates.
3.88 Primary conveyances (motor vehicle, rail, air, and marine).
3.89 Food and water requirements.
3.90 Care in transit.
3.91 Terminal facilities.
3.92 Handling.
09 CFR 2.132 Subpart E -- Specifications for the Humane Handling, Care,
Treatment, and Transportation of Marine Mammals
3.100 Special considerations regarding compliance and/or variance.
3.101 Facilities, general.
3.102 Facilities, indoor.
3.103 Facilities, outdoor.
3.104 Space requirements.
3.105 Feeding.
3.106 Water quality.
3.107 Sanitation.
3.108 Employees or attendants.
3.109 Separation.
3.110 Veterinary care.
3.111 (Reserved)
3.112 Consignments to carriers and intermediate handlers.
3.113 Primary enclosures used to transport marine mammals.
3.114 Primary conveyances (motor vehicle, rail, air, and marine).
3.115 Food and water requirements.
3.116 Care in transit.
3.117 Terminal facilities.
3.118 Handling.
09 CFR 2.132 Subpart F -- Specifications for the Humane Handling, Care,
Treatment, and Transportation of Warmblooded Animals Other Than Dogs,
Cats, Rabbits, Hamsters, Guinea Pigs, Nonhuman Primates, and Marine
Mammals
3.125 Facilities, general.
3.126 Facilities, indoor.
3.127 Facilities, outdoor.
3.128 Space requirements.
3.129 Feeding.
3.130 Watering.
3.131 Sanitation.
3.132 Employees.
3.133 Separation.
3.134 -- 3.135 (Reserved)
3.136 Consignments to carriers and intermediate handlers.
3.137 Primary enclosures used to transport live animals.
3.138 Primary conveyances (motor vehicle, rail, air, and marine).
3.139 Food and water requirements.
3.140 Care in transit.
3.141 Terminal facilities.
3.142 Handling.
Authority: 7 U.S.C. 2131-2156; 7 CFR 2.17, 2.51, and 371.2(d).
Source: 32 FR 3273, Feb. 24, 1967, unless otherwise noted.
09 CFR 2.132 Subpart A -- Specifications for the Humane Handling, Care,
Treatment, and Transportation of Dogs and Cats /1/
Source: 56 FR 6486, Feb. 15, 1991, unless otherwise noted.
09 CFR 2.132 Facilities and Operating Standards
09 CFR 3.1 Housing facilities, general.
(a) Structure; construction. Housing facilities for dogs and cats
must be designed and constructed so that they are structurally sound.
They must be kept in good repair, and they must protect the animals from
injury, contain the animals securely, and restrict other animals from
entering.
(b) Condition and site. Housing facilities and areas used for
storing animal food or bedding must be free of any accumulation of
trash, waste material, junk, weeds, and other discarded materials.
Animal areas inside of housing facilities must be kept neat and free of
clutter, including equipment, furniture, and stored material, but may
contain materials actually used and necessary for cleaning the area, and
fixtures or equipment necessary for proper husbandry practices and
research needs. Housing facilities other than those maintained by
research facilities and Federal research facilities must be physically
separated from any other business. If a housing facility is located on
the same premises as another business, it must be physically separated
from the other business so that animals the size of dogs, skunks, and
raccoons are prevented from entering it.
(c) Surfaces -- (1) General requirements. The surfaces of housing
facilities -- including houses, dens, and other furniture-type fixtures
and objects within the facility -- must be constructed in a manner and
made of materials that allow them to be readily cleaned and sanitized,
or removed or replaced when worn or soiled. Interior surfaces and any
surfaces that come in contact with dogs or cats must:
(i) Be free of excessive rust that prevents the required cleaning and
sanitization, or that affects the structural strength of the surface;
and
(ii) Be free of jagged edges or sharp points that might injure the
animals.
(2) Maintenance and replacement of surfaces. All surfaces must be
maintained on a regular basis. Surfaces of housing facilities --
including houses, dens, and other furniture-type fixtures and objects
within the facility -- that cannot be readily cleaned and sanitized,
must be replaced when worn or soiled.
(3) Cleaning. Hard surfaces with which the dogs or cats come in
contact must be spot-cleaned daily and sanitized in accordance with
3.11(b) of this subpart to prevent accumulation of excreta and reduce
disease hazards. Floors made of dirt, absorbent bedding, sand, gravel,
grass, or other similar material must be raked or spot-cleaned with
sufficient frequency to ensure all animals the freedom to avoid contact
with excreta. Contaminated material must be replaced whenever this
raking and spot-cleaning is not sufficient to prevent or eliminate
odors, insects, pests, or vermin infestation. All other surfaces of
housing facilities must be cleaned and sanitized when necessary to
satisfy generally accepted husbandry standards and practices.
Sanitization may be done using any of the methods provided in
3.11(b)(3) for primary enclosures.
(d) Water and electric power. The housing facility must have
reliable electric power adequate for heating, cooling, ventilation, and
lighting, and for carrying out other husbandry requirements in
accordance with the regulations in this subpart. The housing facility
must provide adequate running potable water for the dogs' and cats'
drinking needs, for cleaning, and for carrying out other husbandry
requirements.
(e) Storage. Supplies of food and bedding must be stored in a manner
that protects the supplies from spoilage, contamination, and vermin
infestation. The supplies must be stored off the floor and away from
the walls, to allow cleaning underneath and around the supplies. Foods
requiring refrigeration must be stored accordingly, and all food must be
stored in a manner that prevents contamination and deterioration of its
nutritive value. All open supplies of food and bedding must be kept in
leakproof containers with tightly fitting lids to prevent contamination
and spoilage. Only food and bedding that is currently being used may be
kept in the animal areas. Substances that are toxic to the dogs or cats
but are required for normal husbandry practices must not be stored in
food storage and preparation areas, but may be stored in cabinets in the
animal areas.
(f) Drainage and waste disposal. Housing facility operators must
provide for regular and frequent collection, removal, and disposal of
animal and food wastes, bedding, debris, garbage, water, other fluids
and wastes, and dead animals, in a manner that minimizes contamination
and disease risks. Housing facilities must be equipped with disposal
facilities and drainage systems that are constructed and operated so
that animal waste and water are rapidly eliminated and animals stay dry.
Disposal and drainage systems must minimize vermin and pest
infestation, insects, odors, and disease hazards. All drains must be
properly constructed, installed, and maintained. If closed drainage
systems are used, they must be equipped with traps and prevent the
backflow of gases and the backup of sewage onto the floor. If the
facility uses sump or settlement ponds, or other similar systems for
drainage and animal waste disposal, the system must be located far
enough away from the animal area of the housing facility to prevent
odors, diseases, pests, and vermin infestation. Standing puddles of
water in animal enclosures must be drained or mopped up so that the
animals stay dry. Trash containers in housing facilities and in food
storage and food preparation areas must be leakproof and must have
tightly fitted lids on them at all times. Dead animals, animal parts,
and animal waste must not be kept in food storage or food preparation
areas, food freezers, food refrigerators, or animal areas.
(g) Washrooms and sinks. Washing facilities such as washrooms,
basins, sinks, or showers must be provided for animal caretakers and
must be readily accessible.
/1/ These minimum standards apply only to live dogs and cats, unless
stated otherwise.
09 CFR 3.2 Indoor housing facilities.
(a) Heating, cooling, and temperature. Indoor housing facilities for
dogs and cats must be sufficiently heated and cooled when necessary to
protect the dogs and cats from temperature extremes and to provide for
their health and well-being. When dogs or cats are present, the ambient
temperature in the facility must not fall below 50 F (10 C) for dogs
and cats not acclimated to lower temperatures, for those breeds that
cannot tolerate lower temperatures without stress or discomfort (such as
short-haired breeds), and for sick, aged, young, or infirm dogs and
cats, except as approved by the attending veterinarian. Dry bedding,
solid resting boards, or other methods of conserving body heat must be
provided when temperatures are below 50 F (10 C). The ambient
temperature must not fall below 45 F (7.2 C) for more than 4
consecutive hours when dogs or cats are present, and must not rise above
85 F (29.5 C) for more than 4 consecutive hours when dogs or cats are
present.
(b) Ventilation. Indoor housing facilities for dogs and cats must be
sufficiently ventilated at all times when dogs or cats are present to
provide for their health and well-being, and to minimize odors, drafts,
ammonia levels, and moisture condensation. Ventilation must be provided
by windows, vents, fans, or air conditioning. Auxiliary ventilation,
such as fans, blowers, or air conditioning must be provided when the
ambient temperature is 85 F (29.5 C) or higher. The relative humidity
must be maintained at a level that ensures the health and well-being of
the dogs or cats housed therein, in accordance with the directions of
the attending veterinarian and generally accepted professional and
husbandry practices.
(c) Lighting. Indoor housing facilities for dogs and cats must be
lighted well enough to permit routine inspection and cleaning of the
facility, and observation of the dogs and cats. Animal areas must be
provided a regular diurnal lighting cycle of either natural or
artificial light. Lighting must be uniformly diffused throughout animal
facilities and provide sufficient illumination to aid in maintaining
good housekeeping practices, adequate cleaning, adequate inspection of
animals, and for the well-being of the animals. Primary enclosures must
be placed so as to protect the dogs and cats from excessive light.
(d) Interior surfaces. The floors and walls of indoor housing
facilities, and any other surfaces in contact with the animals, must be
impervious to moisture. The ceilings of indoor housing facilities must
be impervious to moisture or be replaceable (e.g., a suspended ceiling
with replaceable panels).
09 CFR 3.3 Sheltered housing facilities.
(a) Heating, cooling, and temperature. The sheltered part of
sheltered housing facilities for dogs and cats must be sufficiently
heated and cooled when necessary to protect the dogs and cats from
temperature extremes and to provide for their health and well-being.
The ambient temperature in the sheltered part of the facility must not
fall below 50 F (10 C) for dogs and cats not acclimated to lower
temperatures, for those breeds that cannot tolerate lower temperatures
without stress and discomfort (such as short-haired breeds), and for
sick, aged, young, or infirm dogs or cats, except as approved by the
attending veterinarian. Dry bedding, solid resting boards, or other
methods of conserving body heat must be provided when temperatures are
below 50 F (10 C). The ambient temperature must not fall below 45 F
(7.2 C) for more than 4 consecutive hours when dogs or cats are present,
and must not rise above 85 F (29.5 C) for more than 4 consecutive hours
when dogs or cats are present.
(b) Ventilation. The enclosed or sheltered part of sheltered housing
facilities for dogs and cats must be sufficiently ventilated when dogs
or cats are present to provide for their health and well-being, and to
minimize odors, drafts, ammonia levels, and moisture condensation.
Ventilation must be provided by windows, doors, vents, fans, or air
conditioning. Auxiliary ventilation, such as fans, blowers, or
air-conditioning, must be provided when the ambient temperature is 85 F
(29.5 C) or higher.
(c) Lighting. Sheltered housing facilities for dogs and cats must be
lighted well enough to permit routine inspection and cleaning of the
facility, and observation of the dogs and cats. Animal areas must be
provided a regular diurnal lighting cycle of either natural or
artificial light. Lighting must be uniformly diffused throughout animal
facilities and provide sufficient illumination to aid in maintaining
good housekeeping practices, adequate cleaning, adequate inspection of
animals, and for the well-being of the animals. Primary enclosures must
be placed so as to protect the dogs and cats from excessive light.
(d) Shelter from the elements. Dogs and cats must be provided with
adequate shelter from the elements at all times to protect their health
and well-being. The shelter structures must be large enough to allow
each animal to sit, stand, and lie in a normal manner and to turn about
freely.
(e) Surfaces. (1) The following areas in sheltered housing
facilities must be impervious to moisture:
(i) Indoor floor areas in contact with the animals;
(ii) Outdoor floor areas in contact with the animals, when the floor
areas are not exposed to the direct sun, or are made of a hard material
such as wire, wood, metal, or concrete; and
(iii) All walls, boxes, houses, dens, and other surfaces in contact
with the animals.
(2) Outside floor areas in contact with the animals and exposed to
the direct sun may consist of compacted earth, absorbent bedding, sand,
gravel, or grass.
09 CFR 3.4 Outdoor housing facilities.
(a) Restrictions. (1) The following categories of dogs or cats must
not be kept in outdoor facilities, unless that practice is specifically
approved by the attending veterinarian:
(i) Dogs or cats that are not acclimated to the temperatures
prevalent in the area or region where they are maintained;
(ii) Breeds of dogs or cats that cannot tolerate the prevalent
temperatures of the area without stress or discomfort (such as
short-haired breeds in cold climates); and
(iii) Sick, infirm, aged or young dogs or cats.
(2) When their acclimation status is unknown, dogs and cats must not
be kept in outdoor facilities when the ambient temperature is less than
50 F (10 C).
(b) Shelter from the elements. Outdoor facilities for dogs or cats
must include one or more shelter structures that are accessible to each
animal in each outdoor facility, and that are large enough to allow each
animal in the shelter structure to sit, stand, and lie in a normal
manner, and to turn about freely. In addition to the shelter
structures, one or more separate outside areas of shade must be
provided, large enough to contain all the animals at one time and
protect them from the direct rays of the sun. Shelters in outdoor
facilities for dogs or cats must contain a roof, four sides, and a
floor, and must:
(1) Provide the dogs and cats with adequate protection and shelter
from the cold and heat;
(2) Provide the dogs and cats with protection from the direct rays of
the sun and the direct effect of wind, rain, or snow;
(3) Be provided with a wind break and rain break at the entrance;
and
(4) Contain clean, dry, bedding material if the ambient temperature
is below 50 F (10 C). Additional clean, dry bedding is required when
the temperature is 35 F (1.7 C) or lower.
(c) Construction. Building surfaces in contact with animals in
outdoor housing facilities must be impervious to moisture. Metal
barrels, cars, refrigerators or freezers, and the like must not be used
as shelter structures. The floors of outdoor housing facilities may be
of compacted earth, absorbent bedding, sand, gravel, or grass, and must
be replaced if there are any prevalent odors, diseases, insects, pests,
or vermin. All surfaces must be maintained on a regular basis.
Surfaces of outdoor housing facilities -- including houses, dens, etc.
-- that cannot be readily cleaned and sanitized, must be replaced when
worn or soiled.
09 CFR 3.5 Mobile or traveling housing facilities.
(a) Heating, cooling, and temperature. Mobile or traveling housing
facilities for dogs and cats must be sufficiently heated and cooled when
necessary to protect the dogs and cats from temperature extremes and to
provide for their health and well-being. The ambient temperature in the
mobile or traveling housing facility must not fall below 50 F (10 C) for
dogs and cats not acclimated to lower temperatures, for those breeds
that cannot tolerate lower temperatures without stress or discomfort
(such as short-haired breeds), and for sick, aged, young, or infirm dogs
and cats. Dry bedding, solid resting boards, or other methods of
conserving body heat must be provided when temperatures are below 50 F
(10 C). The ambient temperature must not fall below 45 F (7.2 C) for
more than 4 consecutive hours when dogs or cats are present, and must
not exceed 85 F (29.5 C) for more than 4 consecutive hours when dogs or
cats are present.
(b) Ventilation. Mobile or traveling housing facilities for dogs and
cats must be sufficiently ventilated at all times when dogs or cats are
present to provide for the health and well-being of the animals, and to
minimize odors, drafts, ammonia levels, moisture condensation, and
exhaust fumes. Ventilation must be provided by means of windows, doors,
vents, fans, or air conditioning. Auxiliary ventilation, such as fans,
blowers, or air conditioning, must be provided when the ambient
temperature within the animal housing area is 85 F (29.5 C) or higher.
(c) Lighting. Mobile or traveling housing facilities for dogs and
cats must be lighted well enough to permit proper cleaning and
inspection of the facility, and observation of the dogs and cats.
Animal areas must be provided a regular diurnal lighting cycle of either
natural or artificial light. Lighting must be uniformly diffused
throughout animal facilities and provide sufficient illumination to aid
in maintaining good housekeeping practices, adequate cleaning, adequate
inspection of animals, and for the well-being of the animals.
09 CFR 3.6 Primary enclosures.
Primary enclosures for dogs and cats must meet the following minimum
requirements:
(a) General requirements.
(1) Primary enclosures must be designed and constructed of suitable
materials so that they are structurally sound. The primary enclosures
must be kept in good repair.
(2) Primary enclosures must be constructed and maintained so that
they:
(i) Have no sharp points or edges that could injure the dogs and
cats;
(ii) Protect the dogs and cats from injury;
(iii) Contain the dogs and cats securely;
(iv) Keep other animals from entering the enclosure;
(v) Enable the dogs and cats to remain dry and clean;
(vi) Provide shelter and protection from extreme temperatures and
weather conditions that may be uncomfortable or hazardous to all the
dogs and cats;
(vii) Provide sufficient shade to shelter all the dogs and cats
housed in the primary enclosure at one time;
(viii) Provide all the dogs and cats with easy and convenient access
to clean food and water;
(ix) Enable all surfaces in contact with the dogs and cats to be
readily cleaned and sanitized in accordance with 3.11(b) of this
subpart, or be replaceable when worn or soiled;
(x) Have floors that are constructed in a manner that protects the
dogs' and cats' feet and legs from injury, and that, if of mesh or
slatted construction, do not allow the dogs' and cats' feet to pass
through any openings in the floor. If the floor of the primary
enclosure is constructed of wire, a solid resting surface or surfaces
that, in the aggregate, are large enough to hold all the occupants of
the primary enclosure at the same time comfortably must be provided;
and
(xi) Provide sufficient space to allow each dog and cat to turn about
freely, to stand, sit, and lie in a comfortable, normal position, and to
walk in a normal manner.
(b) Additional requirements for cats.
(1) Space. Each cat, including weaned kittens, that is housed in any
primary enclosure must be provided minimum vertical space and floor
space as follows:
(i) Prior to February 15, 1994 each cat housed in any primary
enclosure shall be provided a minimum of 2 1/2 square feet of floor
space;
(ii) On and after February 15, 1994:
(A) Each primary enclosure housing cats must be at least 24 in. high
(60.96 cm);
(B) Cats up to and including 8.8 lbs (4 kg) must be provided with at
least 3.0 ft /2/ (0.28 m /2/ );
(C) Cats over 8.8 lbs (4 kg) must be provided with at least 4.0 ft
/2/ (0.37 m /2/ );
(iii) Each queen with nursing kittens must be provided with an
additional amount of floor space, based on her breed and behavioral
characteristics, and in accordance with generally accepted husbandry
practices. If the additional amount of floor space for each nursing
kitten is equivalent to less than 5 percent of the minimum requirement
for the queen, such housing must be approved by the attending
veterinarian in the case of a research facility, and, in the case of
dealers and exhibitors, such housing must be approved by the
Administrator; and
(iv) The minimum floor space required by this section is exclusive of
any food or water pans. The litter pan may be considered part of the
floor space if properly cleaned and sanitized.
(2) Compatibility. All cats housed in the same primary enclosure
must be compatible, as determined by observation. Not more than 12
adult nonconditioned cats may be housed in the same primary enclosure.
Queens in heat may not be housed in the same primary enclosure with
sexually mature males, except for breeding. Except when maintained in
breeding colonies, queens with litters may not be housed in the same
primary enclosure with other adult cats, and kittens under 4 months of
age may not be housed in the same primary enclosure with adult cats,
other than the dam or foster dam. Cats with a vicious or aggressive
disposition must be housed separately.
(3) Litter. In all primary enclosures, a receptacle containing
sufficient clean litter must be provided to contain excreta and body
wastes.
(4) Resting surfaces. Each primary enclosure housing cats must
contain a resting surface or surfaces that, in the aggregate, are large
enough to hold all the occupants of the primary enclosure at the same
time comfortably. The resting surfaces must be elevated, impervious to
moisture, and be able to be easily cleaned and sanitized, or easily
replaced when soiled or worn. Low resting surfaces that do not allow
the space under them to be comfortably occupied by the animal will be
counted as part of the floor space.
(5) Cats in mobile or traveling shows or acts. Cats that are part of
a mobile or traveling show or act may be kept, while the show or act is
traveling from one temporary location to another, in transport
containers that comply with all requirements of 3.14 of this subpart
other than the marking requirements in 3.14(a)(6) of this subpart.
When the show or act is not traveling, the cats must be placed in
primary enclosures that meet the minimum requirements of this section.
(c) Additional requirements for dogs. -- (1) Space. (i) Each dog
housed in a primary enclosure (including weaned puppies) must be
provided a minimum amount of floor space, calculated as follows: Find
the mathematical square of the sum of the length of the dog in inches
(measured from the tip of its nose to the base of its tail) plus 6
inches; then divide the product by 144. The calculation is: (length
of dog in inches + 6) (length of dog in inches + 6) = required floor
space in square inches. Required floor space in inches/144 = required
floor space in square feet.
(ii) Each bitch with nursing puppies must be provided with an
additional amount of floor space, based on her breed and behavioral
characteristics, and in accordance with generally accepted husbandry
practices as determined by the attending veterinarian. If the
additional amount of floor space for each nursing puppy is less than 5
percent of the minimum requirement for the bitch, such housing must be
approved by the attending veterinarian in the case of a research
facility, and, in the case of dealers and exhibitors, such housing must
be approved by the Administrator.
(iii) The interior height of a primary enclosure must be at least 6
inches higher than the head of the tallest dog in the enclosure when it
is in a normal standing position: Provided that, prior to February 15,
1994, each dog must be able to stand in a comfortable normal position.
(2) Dogs on tethers. (i) Dogs may be kept on tethers only in outside
housing facilities that meet the requirements of 3.4 of this subpart,
and only when the tether meets the requirements of this paragraph. The
tether must be attached to the front of the dog's shelter structure or
to a post in front of the shelter structure and must be at least three
times the length of the dog, as measured from the tip of its nose to the
base of its tail. The tether must allow the dog convenient access to
the shelter structure and to food and water containers. The tether must
be of the type and strength commonly used for the size dog involved and
must be attached to the dog by a well-fitted collar that will not cause
trauma or injury to the dog. Collars made of materials such as wire,
flat chains, chains with sharp edges, or chains with rusty or nonuniform
links are prohibited. The tether must be attached so that the dog
cannot become entangled with other objects or come into physical contact
with other dogs in the outside housing facility, and so the dog can roam
to the full range of the tether.
(ii) On and after February 15, 1994, dog housing areas where dogs are
on tethers must be enclosed by a perimeter fence that is of sufficient
height to keep unwanted animals out. Fences less than 6 feet high must
be approved by the Administrator. The fence must be constructed so that
it protects the dogs by preventing animals the size of dogs, skunks, and
raccoons from going through it or under it and having contact with the
dogs inside.
(3) Compatibility. All dogs housed in the same primary enclosure
must be compatible, as determined by observation. Not more than 12
adult nonconditioned dogs may be housed in the same primary enclosure.
Bitches in heat may not be housed in the same primary enclosure with
sexually mature males, except for breeding. Except when maintained in
breeding colonies, bitches with litters may not be housed in the same
primary enclosure with other adult dogs, and puppies under 4 months of
age may not be housed in the same primary enclosure with adult dogs,
other than the dam or foster dam. Dogs with a vicious or aggressive
disposition must be housed separately.
(4) Dogs in mobile or traveling shows or acts. Dogs that are part of
a mobile or traveling show or act may be kept, while the show or act is
traveling from one temporary location to another, in transport
containers that comply with all requirements of 3.14 of this subpart
other than the marking requirements in 3.14(a)(6) of this subpart.
When the show or act is not traveling, the dogs must be placed in
primary enclosures that meet the minimum requirements of this section.
(d) Innovative primary enclosures not precisely meeting the floor
area and height requirements provided in paragraphs (b)(1) and (c)(1) of
this section, but that provide the dogs or cats with a sufficient volume
of space and the opportunity to express species-typical behavior, may be
used at research facilities when approved by the Committee, and by
dealers and exhibitors when approved by the Administrator.
(Approved by the Office of Management and Budget under control number
0579-0093)
09 CFR 3.6 Animal Health and Husbandry Standards
09 CFR 3.7 Compatible grouping.
Dogs and cats that are housed in the same primary enclosure must be
compatible, with the following restrictions:
(a) Females in heat (estrus) may not be housed in the same primary
enclosure with males, except for breeding purposes;
(b) Any dog or cat exhibiting a vicious or overly aggressive
disposition must be housed separately;
(c) Puppies or kittens 4 months of age or less may not be housed in
the same primary enclosure with adult dogs or cats other than their dams
or foster dams, except when permanently maintained in breeding colonies;
(d) Dogs or cats may not be housed in the same primary enclosure with
any other species of animals, unless they are compatible; and
(e) Dogs and cats that have or are suspected of having a contagious
disease must be isolated from healthy animals in the colony, as directed
by the attending veterinarian. When an entire group or room of dogs and
cats is known to have or believed to be exposed to an infectious agent,
the group may be kept intact during the process of diagnosis, treatment,
and control.
09 CFR 3.8 Exercise for dogs.
Dealers, exhibitors, and research facilities must develop, document,
and follow an appropriate plan to provide dogs with the opportunity for
exercise. In addition, the plan must be approved by the attending
veterinarian. The plan must include written standard procedures to be
followed in providing the opportunity for exercise. The plan must be
made available to APHIS upon request, and, in the case of research
facilities, to officials of any pertinent funding Federal agency. The
plan, at a minimum, must comply with each of the following:
(a) Dogs housed individually. Dogs over 12 weeks of age, except
bitches with litters, housed, held, or maintained by any dealer,
exhibitor, or research facility, including Federal research facilities,
must be provided the opportunity for exercise regularly if they are kept
individually in cages, pens, or runs that provide less than two times
the required floor space for that dog, as indicated by 3.6(c)(1) of
this subpart.
(b) Dogs housed in groups. Dogs over 12 weeks of age housed, held,
or maintained in groups by any dealer, exhibitor, or research facility,
including Federal research facilities, do not require additional
opportunity for exercise regularly if they are maintained in cages,
pens, or runs that provide in total at least 100 percent of the required
space for each dog if maintained separately. Such animals may be
maintained in compatible groups, unless:
(1) Housing in compatible groups is not in accordance with a research
proposal and the proposal has been approved by the research facility
Committee;
(2) In the opinion of the attending veterinarian, such housing would
adversely affect the health or well-being of the dog(s); or
(3) Any dog exhibits aggressive or vicious behavior.
(c) Methods and period of providing exercise opportunity. (1) The
frequency, method, and duration of the opportunity for exercise shall be
determined by the attending veterinarian and, at research facilities, in
consultation with and approval by the Committee.
(2) Dealers, exhibitors, and research facilities, in developing their
plan, should consider providing positive physical contact with humans
that encourages exercise through play or other similar activities. If a
dog is housed, held, or maintained at a facility without sensory contact
with another dog, it must be provided with positive physical contact
with humans at least daily.
(3) The opportunity for exercise may be provided in a number of ways,
such as:
(i) Group housing in cages, pens or runs that provide at least 100
percent of the required space for each dog if maintained separately
under the minimum floor space requirements of 3.6(c)(1) of this
subpart;
(ii) Maintaining individually housed dogs in cages, pens, or runs
that provide at least twice the minimum floor space required by
3.6(c)(1) of this subpart;
(iii) Providing access to a run or open area at the frequency and
duration prescribed by the attending veterinarian; or
(iv) Other similar activities.
(4) Forced exercise methods or devices such as swimming, treadmills,
or carousel-type devices are unacceptable for meeting the exercise
requirements of this section.
(d) Exemptions. (1) If, in the opinion of the attending
veterinarian, it is inappropriate for certain dogs to exercise because
of their health, condition, or well-being, the dealer, exhibitor, or
research facility may be exempted from meeting the requirements of this
section for those dogs. Such exemption must be documented by the
attending veterinarian and, unless the basis for exemption is a
permanent condition, must be reviewed at least every 30 days by the
attending veterinarian.
(2) A research facility may be exempted from the requirements of this
section if the principal investigator determines for scientific reasons
set forth in the research proposal that it is inappropriate for certain
dogs to exercise. Such exemption must be documented in the
Committee-approved proposal and must be reviewed at appropriate
intervals as determined by the Committee, but not less than annually.
(3) Records of any exemptions must be maintained and made available
to USDA officials or any pertinent funding Federal agency upon request.
(Approved by the Office of Management and Budget under control number
0579-0093)
09 CFR 3.9 Feeding.
(a) Dogs and cats must be fed at least once each day, except as
otherwise might be required to provide adequate veterinary care. The
food must be uncontaminated, wholesome, palatable, and of sufficient
quantity and nutritive value to maintain the normal condition and weight
of the animal. The diet must be appropriate for the individual animal's
age and condition.
(b) Food receptacles must be used for dogs and cats, must be readily
accessible to all dogs and cats, and must be located so as to minimize
contamination by excreta and pests, and be protected from rain and snow.
Feeding pans must either be made of a durable material that can be
easily cleaned and sanitized or be disposable. If the food receptacles
are not disposable, they must be kept clean and must be sanitized in
accordance with 3.11(b) of this subpart. Sanitization is achieved by
using one of the methods described in 3.11(b)(3) of this subpart. If
the food receptacles are disposable, they must be discarded after one
use. Self-feeders may be used for the feeding of dry food. If
self-feeders are used, they must be kept clean and must be sanitized in
accordance with 3.11(b) of this subpart. Measures must be taken to
ensure that there is no molding, deterioration, and caking of feed.
09 CFR 3.10 Watering.
If potable water is not continually available to the dogs and cats,
it must be offered to the dogs and cats as often as necessary to ensure
their health and well-being, but not less than twice daily for at least
1 hour each time, unless restricted by the attending veterinarian.
Water receptacles must be kept clean and sanitized in accordance with
3.11(b) of this subpart, and before being used to water a different dog
or cat or social grouping of dogs or cats.
09 CFR 3.11 Cleaning, sanitization, housekeeping, and pest control.
(a) Cleaning of primary enclosures. Excreta and food waste must be
removed from primary enclosures daily, and from under primary enclosures
as often as necessary to prevent an excessive accumulation of feces and
food waste, to prevent soiling of the dogs or cats contained in the
primary enclosures, and to reduce disease hazards, insects, pests and
odors. When steam or water is used to clean the primary enclosure,
whether by hosing, flushing, or other methods, dogs and cats must be
removed, unless the enclosure is large enough to ensure the animals
would not be harmed, wetted, or distressed in the process. Standing
water must be removed from the primary enclosure and animals in other
primary enclosures must be protected from being contaminated with water
and other wastes during the cleaning. The pans under primary enclosures
with grill-type floors and the ground areas under raised runs with wire
or slatted floors must be cleaned as often as necessary to prevent
accumulation of feces and food waste and to reduce disease hazards
pests, insects and odors.
(b) Sanitization of primary enclosures and food and water
receptacles. (1) Used primary enclosures and food and water receptacles
must be cleaned and sanitized in accordance with this section before
they can be used to house, feed, or water another dog or cat, or social
grouping of dogs or cats.
(2) Used primary enclosures and food and water receptacles for dogs
and cats must be sanitized at least once every 2 weeks using one of the
methods prescribed in paragraph (b)(3) of this section, and more often
if necessary to prevent an accumulation of dirt, debris, food waste,
excreta, and other disease hazards.
(3) Hard surfaces of primary enclosures and food and water
receptacles must be sanitized using one of the following methods:
(i) Live steam under pressure;
(ii) Washing with hot water (at least 180 F (82.2 C)) and soap or
detergent, as with a mechanical cage washer; or
(iii) Washing all soiled surfaces with appropriate detergent
solutions and disinfectants, or by using a combination
detergent/disinfectant product that accomplishes the same purpose, with
a thorough cleaning of the surfaces to remove organic material, so as to
remove all organic material and mineral buildup, and to provide
sanitization followed by a clean water rinse.
(4) Pens, runs, and outdoor housing areas using material that cannot
be sanitized using the methods provided in paragraph (b)(3) of this
section, such as gravel, sand, grass, earth, or absorbent bedding, must
be sanitized by removing the contaminated material as necessary to
prevent odors, diseases, pests, insects, and vermin infestation.
(c) Housekeeping for premises. Premises where housing facilities are
located, including buildings and surrounding grounds, must be kept clean
and in good repair to protect the animals from injury, to facilitate the
husbandry practices required in this subpart, and to reduce or eliminate
breeding and living areas for rodents and other pests and vermin.
Premises must be kept free of accumulations of trash, junk, waste
products, and discarded matter. Weeds, grasses, and bushes must be
controlled so as to facilitate cleaning of the premises and pest
control, and to protect the health and well-being of the animals.
(d) Pest control. An effective program for the control of insects,
external parasites affecting dogs and cats, and birds and mammals that
are pests, must be established and maintained so as to promote the
health and well-being of the animals and reduce contamination by pests
in animal areas.
09 CFR 3.12 Employees.
Each person subject to the Animal Welfare regulations (9 CFR parts 1,
2, and 3) maintaining dogs and cats must have enough employees to carry
out the level of husbandry practices and care required in this subpart.
The employees who provide for husbandry and care, or handle animals,
must be supervised by an individual who has the knowledge, background,
and experience in proper husbandry and care of dogs and cats to
supervise others. The employer must be certain that the supervisor and
other employees can perform to these standards.
09 CFR 3.12 Transportation Standards
09 CFR 3.13 Consignments to carriers and intermediate handlers.
(a) Carriers and intermediate handlers must not accept a dog or cat
for transport in commerce more than 4 hours before the scheduled
departure time of the primary conveyance on which the animal is to be
transported. However, a carrier or intermediate handler may agree with
anyone consigning a dog or cat to extend this time by up to 2 hours.
(b) Carriers and intermediate handlers must not accept a dog or cat
for transport in commerce unless they are provided with the name,
address, and telephone number of the consignee.
(c) Carriers and intermediate handlers must not accept a dog or cat
for transport in commerce unless the consignor certifies in writing to
the carrier or intermediate handler that the dog or cat was offered food
and water during the 4 hours before delivery to the carrier or
intermediate handler. The certification must be securely attached to
the outside of the primary enclosure in a manner that makes it easily
noticed and read. Instructions for no food or water are not acceptable
unless directed by the attending veterinarian. Instructions must be in
compliance with 3.16 of this subpart. The certification must include
the following information for each dog and cat:
(1) The consignor's name and address;
(2) The tag number or tattoo assigned to each dog or cat under 2.38
and 2.50 of this chapter;
(3) The time and date the animal was last fed and watered and the
specific instructions for the next feeding(s) and watering(s) for a
24-hour period; and
(4) The consignor's signature and the date and time the certification
was signed.
(d) Carriers and intermediate handlers must not accept a dog or cat
for transport in commerce in a primary enclosure unless the primary
enclosure meets the requirements of 3.14 of this subpart. A carrier or
intermediate handler must not accept a dog or cat for transport if the
primary enclosure is obviously defective or damaged and cannot
reasonably be expected to safely and comfortably contain the dog or cat
without causing suffering or injury.
(e) Carriers and intermediate handlers must not accept a dog or cat
for transport in commerce unless their animal holding area meets the
minimum temperature requirements provided in 3.18 and 3.19 of this
subpart, or unless the consignor provides them with a certificate signed
by a veterinarian and dated no more than 10 days before delivery of the
animal to the carrier or intermediate handler for transport in commerce,
certifying that the animal is acclimated to temperatures lower than
those required in 3.18 and 3.19 of this subpart. Even if the carrier
or intermediate handler receives this certification, the temperatures
the dog or cat is exposed to while in a terminal facility must not be
lower than 45 F (2.2 C) for more than 4 consecutive hours when dogs or
cats are present, as set forth in 3.18, nor lower than 45 F (2.2 C) for
more than 45 minutes, as set forth in 3.19, when moving dogs or cats to
or from terminal facilities or primary conveyances. A copy of the
certification must accompany the dog or cat to its destination and must
include the following information:
(1) The consignor's name and address;
(2) The tag number or tattoo assigned to each dog or cat under 2.38
and 2.50 of this chapter;
(3) A statement by a veterinarian, dated no more than 10 days before
delivery, that to the best of his or her knowledge, each of the dogs or
cats contained in the primary enclosure is acclimated to air
temperatures lower than 50 F (10 C); but not lower than a minimum
temperature, specified on a certificate, that the attending veterinarian
has determined is based on generally accepted temperature standards for
the age, condition, and breed of the dog or cat; and
(4) The signature of the veterinarian and the date the certification
was signed.
(f) When a primary enclosure containing a dog or cat has arrived at
the animal holding area at a terminal facility after transport, the
carrier or intermediate handler must attempt to notify the consignee
upon arrival and at least once in every 6-hour period thereafter. The
time, date, and method of all attempted notifications and the actual
notification of the consignee, and the name of the person who notifies
or attempts to notify the consignee must be written either on the
carrier's or intermediate handler's copy of the shipping document or on
the copy that accompanies the primary enclosure. If the consignee
cannot be notified within 24 hours after the dog or cat has arrived at
the terminal facility, the carrier or intermediate handler must return
the animal to the consignor or to whomever the consignor designates. If
the consignee is notified of the arrival and does not accept delivery of
the dog or cat within 48 hours after arrival of the dog or cat, the
carrier or intermediate handler must return the animal to the consignor
or to whomever the consignor designates. The carrier or intermediate
handler must continue to provide proper care, feeding, and housing to
the dog or cat, and maintain the dog or cat in accordance with generally
accepted professional and husbandry practices until the consignee
accepts delivery of the dog or cat or until it is returned to the
consignor or to whomever the consignor designates. The carrier or
intermediate handler must obligate the consignor to reimburse the
carrier or intermediate handler for the cost of return transportation
and care.
(Approved by the Office of Management and Budget under control number
0579-0093)
09 CFR 3.14 Primary enclosures used to transport live dogs and cats.
Any person subject to the Animal Welfare regulations (9 CFR parts 1,
2, and 3) must not transport or deliver for transport in commerce a dog
or cat unless the following requirements are met:
(a) Construction of primary enclosures. The dog or cat must be
contained in a primary enclosure such as a compartment, transport cage,
carton, or crate. Primary enclosures used to transport dogs and cats
must be constructed so that:
(1) The primary enclosure is strong enough to contain the dogs and
cats securely and comfortably and to withstand the normal rigors of
transportation;
(2) The interior of the primary enclosure has no sharp points or
edges and no protrusions that could injure the animal contained in it;
(3) The dog or cat is at all times securely contained within the
enclosure and cannot put any part of its body outside the enclosure in a
way that could result in injury to itself, to handlers, or to persons or
animals nearby;
(4) The dog or cat can be easily and quickly removed from the
enclosure in an emergency;
(5) Unless the enclosure is permanently affixed to the conveyance,
adequate devices such as handles or handholds are provided on its
exterior, and enable the enclosure to be lifted without tilting it, and
ensure that anyone handling the enclosure will not come into physical
contact with the animal contained inside;
(6) Unless the enclosure is permanently affixed to the conveyance, it
is clearly marked on top and on one or more sides with the words ''Live
Animals,'' in letters at least 1 inch (2.5 cm.) high, and with arrows or
other markings to indicate the correct upright position of the primary
enclosure;
(7) Any material, treatment, paint, preservative, or other chemical
used in or on the enclosure is nontoxic to the animal and not harmful to
the health or well-being of the animal;
(8) Proper ventilation is provided to the animal in accordance with
paragraph (c) of this section; and
(9) The primary enclosure has a solid, leak-proof bottom or a
removable, leak-proof collection tray under a slatted or wire mesh floor
that prevents seepage of waste products, such as excreta and body
fluids, outside of the enclosure. If a slatted or wire mesh floor is
used in the enclosure, it must be designed and constructed so that the
animal cannot put any part of its body between the slats or through the
holes in the mesh. Unless the dogs and cats are on raised slatted
floors or raised floors made of wire mesh, the primary enclosure must
contain enough previously unused litter to absorb and cover excreta.
The litter must be of a suitably absorbent material that is safe and
nontoxic to the dogs and cats.
(b) Cleaning of primary enclosures. A primary enclosure used to hold
or transport dogs or cats in commerce must be cleaned and sanitized
before each use in accordance with the methods provided in 3.11(b)(3)
of this subpart. If the dogs or cats are in transit for more than 24
hours, the enclosures must be cleaned and any litter replaced, or other
methods, such as moving the animals to another enclosure, must be
utilized to prevent the soiling of the dogs or cats by body wastes. If
it becomes necessary to remove the dog or cat from the enclosure in
order to clean, or to move the dog or cat to another enclosure, this
procedure must be completed in a way that safeguards the dog or cat from
injury and prevents escape.
(c) Ventilation. (1) Unless the primary enclosure is permanently
affixed to the conveyance, there must be:
(i) Ventilation openings located on two opposing walls of the primary
enclosure and the openings must be at least 16 percent of the surface
area of each such wall, and the total combined surface area of the
ventilation openings must be at least 14 percent of the total combined
surface area of all the walls of the primary enclosure; or
(ii) Ventilation openings on three walls of the primary enclosure,
and the openings on each of the two opposing walls must be at least 8
percent of the total surface area of the two walls, and the ventilation
openings on the third wall of the primary enclosure must be at least 50
percent of the total surface area of that wall, and the total combined
surface area of the ventilation openings must be at least 14 percent of
the total combined surface area of all the walls of the primary
enclosure; or
(iii) Ventilation openings located on all four walls of the primary
enclosure and the ventilation openings on each of the four walls must be
at least 8 percent of the total surface area of each such wall, and the
total combined surface area of the openings must be at least 14 percent
of total combined surface area of all the walls of the primary
enclosure; and
(iv) At least one-third of the ventilation area must be located on
the upper half of the primary enclosure.
(2) Unless the primary enclosure is permanently affixed to the
conveyance, projecting rims or similar devices must be located on the
exterior of each enclosure wall having a ventilation opening, in order
to prevent obstruction of the openings. The projecting rims or similar
devices must be large enough to provide a minimum air circulation space
of 0.75 in. (1.9 cm) between the primary enclosure and anything the
enclosure is placed against.
(3) If a primary enclosure is permanently affixed to the primary
conveyance so that there is only a front ventilation opening for the
enclosure, the primary enclosure must be affixed to the primary
conveyance in such a way that the front ventilation opening cannot be
blocked, and the front ventilation opening must open directly to an
unobstructed aisle or passageway inside the conveyance. The ventilation
opening must be at least 90 percent of the total area of the front wall
of the enclosure, and must be covered with bars, wire mesh, or smooth
expanded metal having air spaces.
(d) Compatibility. (1) Live dogs or cats transported in the same
primary enclosure must be of the same species and be maintained in
compatible groups, except that dogs and cats that are private pets, are
of comparable size, and are compatible, may be transported in the same
primary enclosure.
(2) Puppies or kittens 4 months of age or less may not be transported
in the same primary enclosure with adult dogs or cats other than their
dams.
(3) Dogs or cats that are overly aggressive or exhibit a vicious
disposition must be transported individually in a primary enclosure.
(4) Any female dog or cat in heat (estrus) may not be transported in
the same primary enclosure with any male dog or cat.
(e) Space and placement. (1) Primary enclosures used to transport
live dogs and cats must be large enough to ensure that each animal
contained in the primary enclosure has enough space to turn about
normally while standing, to stand and sit erect, and to lie in a natural
position.
(2) Primary enclosures used to transport dogs and cats must be
positioned in the primary conveyance so as to provide protection from
the elements.
(f) Transportation by air. (1) No more than one live dog or cat, 6
months of age or older, may be transported in the same primary enclosure
when shipped via air carrier.
(2) No more than one live puppy, 8 weeks to 6 months of age, and
weighing over 20 lbs (9 kg), may be transported in a primary enclosure
when shipped via air carrier.
(3) No more than two live puppies or kittens, 8 weeks to 6 months of
age, that are of comparable size, and weighing 20 lbs (9 kg) or less
each, may be transported in the same primary enclosure when shipped via
air carrier.
(4) Weaned live puppies or kittens less than 8 weeks of age and of
comparable size, or puppies or kittens that are less than 8 weeks of age
that are littermates and are accompanied by their dam, may be
transported in the same primary enclosure when shipped to research
facilities, including Federal research facilities.
(g) Transportation by surface vehicle or privately owned aircraft.
(1) No more than four live dogs or cats, 8 weeks of age or older, that
are of comparable size, may be transported in the same primary enclosure
when shipped by surface vehicle (including ground and water
transportation) or privately owned aircraft, and only if all other
requirements of this section are met.
(2) Weaned live puppies or kittens less than 8 weeks of age and of
comparable size, or puppies or kittens that are less than 8 weeks of age
that are littermates and are accompanied by their dam, may be
transported in the same primary enclosure when shipped to research
facilities, including Federal research facilities, and only if all other
requirements in this section are met.
(h) Accompanying documents and records. Shipping documents that must
accompany shipments of dogs and cats may be held by the operator of the
primary conveyance, for surface transportation only, or must be securely
attached in a readily accessible manner to the outside of any primary
enclosure that is part of the shipment, in a manner that allows them to
be detached for examination and securely reattached, such as in a pocket
or sleeve. Instructions for administration of drugs, medication, and
other special care must be attached to each primary enclosure in a
manner that makes them easy to notice, to detach for examination, and to
reattach securely. Food and water instructions must be attached in
accordance with 3.13(c).
(Approved by the Office of Management and Budget under control number
0579-0093)
09 CFR 3.15 Primary conveyances (motor vehicle, rail, air, and marine).
(a) The animal cargo space of primary conveyances used to transport
dogs and cats must be designed, constructed, and maintained in a manner
that at all times protects the health and well-being of the animals
transported in them, ensures their safety and comfort, and prevents the
entry of engine exhaust from the primary conveyance during
transportation.
(b) The animal cargo space must have a supply of air that is
sufficient for the normal breathing of all the animals being transported
in it.
(c) Each primary enclosure containing dogs or cats must be positioned
in the animal cargo space in a manner that provides protection from the
elements and that allows each dog or cat enough air for normal
breathing.
(d) During air transportation, dogs and cats must be held in cargo
areas that are heated or cooled as necessary to maintain an ambient
temperature that ensures the health and well-being of the dogs or cats.
The cargo areas must be pressurized when the primary conveyance used for
air transportation is not on the ground, unless flying under 8,000 ft.
Dogs and cats must have adequate air for breathing at all times when
being transported.
(e) During surface transportation, auxiliary ventilation, such as
fans, blowers or air conditioning, must be used in any animal cargo
space containing live dogs or cats when the ambient temperature within
the animal cargo space reaches 85 F (29.5 C). Moreover, the ambient
temperature may not exceed 85 F (29.5 C) for a period of more than 4
hours; nor fall below 45 F (7.2 C) for a period of more than 4 hours.
(f) Primary enclosures must be positioned in the primary conveyance
in a manner that allows the dogs and cats to be quickly and easily
removed from the primary conveyance in an emergency.
(g) The interior of the animal cargo space must be kept clean.
(h) Live dogs and cats may not be transported with any material,
substance (e.g., dry ice) or device in a manner that may reasonably be
expected to harm the dogs and cats or cause inhumane conditions.
09 CFR 3.16 Food and water requirements.
(a) Each dog and cat that is 16 weeks of age or more must be offered
food at least once every 24 hours. Puppies and kittens less than 16
weeks of age must be offered food at least once every 12 hours. Each
dog and cat must be offered potable water at least once every 12 hours.
These time periods apply to dealers, exhibitors, research facilities.
including Federal research facilities, who transport dogs and cats in
their own primary conveyance, starting from the time the dog or cat was
last offered food and potable water before transportation was begun.
These time periods apply to carriers and intermediate handlers starting
from the date and time stated on the certificate provided under 3.13(c)
of this subpart. Each dog and cat must be offered food and potable
water within 4 hours before being transported in commerce. Consignors
who are subject to the Animal Welfare regulations (9 CFR parts 1, 2, and
3) must certify that each dog and cat was offered food and potable water
within the 4 hours preceding delivery of the dog or cat to a carrier or
intermediate handler for transportation in commerce, and must certify
the date and time the food and potable water was offered, in accordance
with 3.13(c) of this subpart.
(b) Any dealer, research facility, including a Federal research
facility, or exhibitor offering any dog or cat to a carrier or
intermediate handler for transportation in commerce must securely attach
to the outside of the primary enclosure used for transporting the dog or
cat, written instructions for the in-transit food and water requirements
for a 24-hour period for the dogs and cats contained in the enclosure.
The instructions must be attached in a manner that makes them easily
noticed and read.
(c) Food and water receptacles must be securely attached inside the
primary enclosure and placed so that the receptacles can be filled from
outside the enclosure without opening the door. Food and water
containers must be designed, constructed, and installed so that a dog or
cat cannot leave the primary enclosure through the food or water
opening.
(Approved by the Office of Management and Budget under control number
0579-0093)
09 CFR 3.17 Care in transit.
(a) Surface transportation (ground and water). Any person subject to
the Animal Welfare regulations transporting dogs or cats in commerce
must ensure that the operator of the conveyance, or a person
accompanying the operator, observes the dogs or cats as often as
circumstances allow, but not less than once every 4 hours, to make sure
they have sufficient air for normal breathing, that the ambient
temperature is within the limits provided in 3.15(e), and that all
applicable standards of this subpart are being complied with. The
regulated person must ensure that the operator or person accompanying
the operator determines whether any of the dogs or cats are in obvious
physical distress and obtains any veterinary care needed for the dogs or
cats at the closest available veterinary facility.
(b) Air transportation. During air transportation of dogs or cats,
it is the responsibility of the carrier to observe the dogs or cats as
frequently as circumstances allow, but not less than once every 4 hours
if the animal cargo area is accessible during flight. If the animal
cargo area is not accessible during flight, the carrier must observe the
dogs or cats whenever they are loaded and unloaded and whenever the
animal cargo space is otherwise accessible to make sure they have
sufficient air for normal breathing, that the animal cargo area meets
the heating and cooling requirements of 3.15(d), and that all other
applicable standards of this subpart are being complied with. The
carrier must determine whether any of the dogs or cats are in obvious
physical distress, and arrange for any needed veterinary care as soon as
possible.
(c) If a dog or cat is obviously ill, injured, or in physical
distress, it must not be transported in commerce, except to receive
veterinary care for the condition.
(d) Except during the cleaning of primary enclosures, as required in
3.14(b) of this subpart, during transportation in commerce a dog or cat
must not be removed from its primary enclosure, unless it is placed in
another primary enclosure or facility that meets the requirements of
3.6 or 3.14 of this subpart.
(e) The transportation regulations contained in this subpart must be
complied with until a consignee takes physical delivery of the dog or
cat if the animal is consigned for transportation, or until the animal
is returned to the consignor.
09 CFR 3.18 Terminal facilities.
(a) Placement. Any person subject to the Animal Welfare regulations
(9 CFR parts 1, 2, and 3) must not commingle shipments of dogs or cats
with inanimate cargo in animal holding areas of terminal facilities.
(b) Cleaning, sanitization, and pest control. All animal holding
areas of terminal facilities must be cleaned and sanitized in a manner
prescribed in 3.11(b)(3) of this subpart, as often as necessary to
prevent an accumulation of debris or excreta and to minimize vermin
infestation and disease hazards. Terminal facilities must follow an
effective program in all animal holding areas for the control of
insects, ectoparasites, and birds and mammals that are pests to dogs and
cats.
(c) Ventilation. Ventilation must be provided in any animal holding
area in a terminal facility containing dogs or cats, by means of
windows, doors, vents, or air conditioning. The air must be circulated
by fans, blowers, or air conditioning so as to minimize drafts, odors,
and moisture condensation. Auxiliary ventilation, such as exhaust fans,
vents, fans, blowers, or air conditioning must be used in any animal
holding area containing dogs and cats, when the ambient temperature is
85 F (29.5 C) or higher
(d) Temperature. The ambient temperature in an animal holding area
containing dogs or cats must not fall below 45 F (7.2 C) or rise above
85 F (29.5 C) for more than four consecutive hours at any time dogs or
cats are present. The ambient temperature must be measured in the
animal holding area by the carrier, intermediate handler, or a person
transporting dogs or cats who is subject to the Animal Welfare
regulations (9 CFR parts 1, 2, and 3), outside any primary enclosure
containing a dog or cat at a point not more than 3 feet (0.91 m) away
from an outside wall of the primary enclosure, and approximately midway
up the side of the enclosure.
(e) Shelter. Any person subject to the Animal Welfare regulations (9
CFR parts 1, 2, and 3) holding a live dog or cat in an animal holding
area of a terminal facility must provide the following:
(1) Shelter from sunlight and extreme heat. Shade must be provided
that is sufficient to protect the dog or cat from the direct rays of the
sun.
(2) Shelter from rain or snow. Sufficient protection must be
provided to allow the dogs and cats to remain dry during rain, snow, and
other precipitation.
(f) Duration. The length of time any person subject to the Animal
Welfare regulations (9 CFR parts 1, 2, and 3) can hold dogs and cats in
animal holding areas of terminal facilities upon arrival is the same as
that provided in 3.13(f) of this subpart.
09 CFR 3.19 Handling.
(a) Any person subject to the Animal Welfare regulations (9 CFR parts
1, 2, and 3) who moves (including loading and unloading) dogs or cats
within, to, or from the animal holding area of a terminal facility or a
primary conveyance must do so as quickly and efficiently as possible and
must provide the following during movement of the dog or cat:
(1) Shelter from sunlight and extreme heat. Sufficient shade must be
provided to protect the dog or cat from the direct rays of the sun The
dog or cat must not be exposed to an ambient air temperature above 85 F
(29.5 C) for a period of more than 45 minutes while being moved to or
from a primary conveyance or a terminal facility. The temperature must
be measured in the manner provided in 3.18(d) of this subpart.
(2) Shelter from rain and snow. Sufficient protection must be
provided to allow the dogs and cats to remain dry during rain, snow, and
other precipitation.
(3) Shelter from cold temperatures. Transporting devices on which
live dogs or cats are placed to move them must be covered to protect the
animals when the outdoor temperature falls below 50 F (10 C). The
dogs or cats must not be exposed to an ambient temperature below 45 F
(7.2 C) for a period of more than 45 minutes, unless they are
accompanied by a certificate of acclimation to lower temperatures as
provided in 3.13(e). The temperature must be measured in the manner
provided in 3.18(d) of this subpart.
(b) Any person handling a primary enclosure containing a dog or cat
must use care and must avoid causing physical harm or distress to the
dog or cat.
(1) A primary enclosure containing a live dog or cat must not be
placed on unattended conveyor belts, or on elevated conveyor belts, such
as baggage claim conveyor belts and inclined conveyor ramps that lead to
baggage claim areas, at any time; except that a primary enclosure may
be placed on inclined conveyor ramps used to load and unload aircraft if
an attendant is present at each end of the conveyor belt.
(2) A primary enclosure containing a dog or cat must not be tossed,
dropped, or needlessly tilted, and must not be stacked in a manner that
may reasonably be expected to result in its falling. It must be handled
and positioned in the manner that written instructions and arrows on the
outside of the primary enclosure indicate.
(c) This section applies to movement of a dog or cat from primary
conveyance to primary conveyance, within a primary conveyance or
terminal facility, and to or from a terminal facility or a primary
conveyance.
(Approved by the Office of Management and Budget under control number
0579-0093)
09 CFR 3.19 Subpart B -- Specifications for the Humane Handling, Care, Treatment, and Transportation of Guinea Pigs and Hamsters
09 CFR 3.19 Facilities and Operating Standards
09 CFR 3.25 Facilities, general.
(a) Structural strength. Indoor and outdoor housing facilities for
guinea pigs or hamsters shall be structurally sound and shall be
maintained in good repair, to protect the animals from injury, to
contain the animals, and to restrict the entrance of other animals.
(b) Water and electric power. Reliable and adequate electric power,
if required to comply with other provisions of this subpart, and
adequate potable water shall be available.
(c) Storage. Supplies of food and bedding shall be stored in
facilities which adequately protect such supplies against spoilage or
deterioration and infestation or contamination by vermin. Food supplies
shall be stored in containers with tightly fitting lids or covers or in
the original containers as received from the commercial sources of
supply. Refrigeration shall be provided for supplies of perishable
food.
(d) Waste disposal. Provisions shall be made for the removal and
disposal of animal and food wastes, bedding, dead animals, and debris.
Disposal facilities shall be so provided and operated as to minimize
vermin infestation, odors, and disease hazards.
(e) Washroom and sinks. Facilities, such as washrooms, basins, or
sinks, shall be provided to maintain cleanliness among animal
caretakers.
(32 FR 3273, Feb. 24, 1967, as amended at 44 FR 63492, Nov. 2, 1979)
09 CFR 3.26 Facilities, indoor.
(a) Heating. Indoor housing facilities for guinea pigs or hamsters
shall be sufficiently heated when necessary to protect the animals from
the cold, and to provide for their health and comfort. The ambient
temperature shall not be allowed to fall below 60 F. nor to exceed 85
F.
(b) Ventilation. Indoor housing facilities for guinea pigs or
hamsters shall be adequately ventilated to provide for the health and
comfort of the animals at all times. Such facilities shall be provided
with fresh air either by means of windows, doors, vents, or air
conditioning, and shall be ventilated so as to minimize drafts, odors,
and moisture condensation. The ambient temperature shall not be allowed
to rise above 85 F.
(c) Lighting. Indoor housing facilities for guinea pigs or hamsters
shall have ample light, by natural or artificial means, or both, of good
quality and well distributed. Such lighting shall provide uniformly
distributed illumination of sufficient light intensity to permit routine
inspection and cleaning during the entire working period. Primary
enclosures shall be so placed as to protect the guinea pigs or hamsters
from excessive illumination.
(d) Interior surfaces. The interior building surfaces of indoor
housing facilities shall be constructed and maintained so that they are
substantially impervious to moisture and may be readily sanitized.
09 CFR 3.27 Facilities, outdoor.
(a) Hamsters shall not be housed in outdoor facilities.
(b) Guinea pigs shall not be housed in outdoor facilities unless such
facilities are located in an appropriate climate and prior approval for
such outdoor housing is obtained from the Deputy Administrator.
09 CFR 3.28 Primary enclosures.
All primary enclosures for guinea pigs and hamsters shall conform to
the following requirements:
(a) General. (1) Primary enclosures shall be structurally sound and
maintained in good repair to protect the guinea pigs and hamsters from
injury. Such enclosures, including their racks, shelving and other
accessories, shall be constructed of smooth material substantially
impervious to liquids and moisture.
(2) Primary enclosures shall be constructed and maintained so that
the guinea pigs or hamsters contained therein have convenient access to
clean food and water as required in this subpart.
(3) Primary enclosures having a solid floor shall be provided with
clean bedding material.
(4) Primary enclosures equipped with mesh or wire floors shall be so
constructed as to allow feces to pass through the spaces of the mesh or
wire: Provided, however, That such floors shall be constructed so as to
protect the animals' feet and legs from injury.
(b) Space requirements for primary enclosures acquired before August
15, 1990. -- (1) Guinea pigs and hamsters. Primary enclosures shall be
constructed and maintained so as to provide sufficient space for each
animal contained therein to make normal postural adjustments with
adequate freedom of movement.
(2) Guinea pigs. In addition to the provisions of paragraph (b)(1)
of this section, the following space requirements are applicable to
primary enclosures for guinea pigs:
(i) The interior height of any primary enclosure used to confine
guinea pigs shall be at least 6 1/2 inches.
(ii) Each guinea pig housed in a primary enclosure shall be provided
a minimum amount of floor space in accordance with the following table:
(3) Hamsters. In addition to the provisions of paragraph (b)(1) of
this section, the following space requirements are applicable to primary
enclosures for hamsters:
(i) The interior height of any primary enclosure used to confine
hamsters shall be at least 5 1/2 inches, except that in the case of
dwarf hamsters, such interior height shall be at least 5 inches.
(ii) A nursing female hamster, together with her litter, shall be
housed in a primary enclosure which contains no other hamsters and which
provides at least 121 square inches of floor space: Provided, however,
That in the case of dwarf hamsters such floor space shall be at least 25
square inches.
(iii) The minimum amount of floor space per individual hamster and
the maximum number of hamsters allowed in a single primary enclosure,
except as provided for nursing females in paragraph (b)(3)(ii) of this
section, shall be in accordance with the following table:
(c) Space requirements for primary enclosures acquired on or after
August 15, 1990 -- (1) Guinea pigs. (i) Primary enclosures shall be
constructed and maintained so as to provide sufficient space for each
guinea pig contained therein to make normal postural adjustments with
adequte freedom of movement.
(ii) The interior height of any primary enclosure used to confine
guinea pigs shall be at least 7 inches (17.78 cm).
(iii) Each guinea pig shall be provided a minimum amount of floor
space in any primary enclosure as follows:
(2) Hamsters. (i) Primary enclosures shall be constructed and
maintained so as to provide sufficient space for each hamster contained
therein to make normal postural adjustments with adequate freedom of
movement.
(ii) The interior height of any primary enclosure used to confine
hamsters shall be at least 6 inches (15.24 cm).
(iii) Except as provided in paragraph (c)(2)(iv) of this section,
each hamster shall be provided a minimum amount of floor space in any
primary enclosure as follows:
(iv) A nursing female hamster, together with her litter, shall be
housed in a primary enclosure that contains no other hamsters and that
provides at least 121 square inches of floor space: Provided, however,
That in the case of nursing female dwarf hamsters such floor space shall
be at least 25 square inches.
(3) Innovative primary enclosures that do not precisely meet the
space requirements of paragraph (c)(1) or (c)(2) of this section, but
that do provide guinea pigs or hamsters with a sufficient volume of
space and the opportunity to express species-typical behavior, may be
used at research facilities when approved by the Institutional Animal
Care and Use Committee, and by dealers and exhibitors when approved by
the Administrator.
(32 FR 3273, Feb. 24, 1967, as amended at 55 FR 28882, July 16, 1990)
09 CFR 3.28 Animal Health and Husbandry Standards
09 CFR 3.29 Feeding.
(a) Guinea pigs and hamsters shall be fed each day except as
otherwise might be required to provide adequate veterinary care. The
food shall be free from contamination, wholesome, palatable and of
sufficient quantity and nutritive value to meet the normal daily
requirements for the condition and size of the guinea pig or hamster.
(b) Food comprising the basic diet shall be at least equivalent in
quality and content to pelleted rations produced commercially and
commonly available from feed suppliers.
(c) The basic diet of guinea pigs and hamsters may be supplemented
with good quality fruits or vegetables consistent with their individual
dietary requirements.
(d) Food receptacles, if used, shall be accessible to all guinea pigs
or hamsters in a primary enclosure and shall be located so as to
minimize contamination by excreta. All food receptacles shall be kept
clean and shall be sanitized at least once every 2 weeks. If
self-feeders are used for the feeding of pelleted feed, measures must be
taken to prevent molding, deterioration or caking of the feed. Hamsters
may be fed pelleted feed on the floor of a primary enclosure.
(e) Fruit or vegetable food supplements may be placed upon the
bedding within the primary enclosure: Provided, however, That the
uneaten portion of such supplements and any bedding soiled as a result
of such feeding practices shall be removed from the primary enclosure
when such uneaten supplements accumulate or such bedding becomes soiled
to a degree that might be harmful or uncomfortable to animals therein.
09 CFR 3.30 Watering.
Unless food supplements consumed by guinea pigs or hamsters supply
them with their normal water requirements, potable water shall be
provided daily except as might otherwise be required to provide adequate
veterinary care. Open containers used for dispensing water to guinea
pigs or hamsters shall be so placed in or attached to the primary
enclosure as to minimize contamination from excreta. All watering
receptacles shall be sanitized when dirty: Provided, however, That such
receptacles shall be sanitized at least once every 2 weeks.
09 CFR 3.31 Sanitation.
(a) Cleaning and sanitation of primary enclosures. (1) Primary
enclosures shall be cleaned and sanitized often enough to prevent an
accumulation of excreta or debris: Provided, however, That such
enclosures shall be sanitized at least once every 2 weeks in the manner
provided in paragraph (a)(4) of this section.
(2) In the event a primary enclosure becomes soiled or wet to a
degree that might be harmful or uncomfortable to the animals therein due
to leakage of the watering system, discharges from dead or dying
animals, spoiled perishable foods, or moisture condensation, the guinea
pigs or hamsters shall be transferred to clean primary enclosures.
(3) Prior to the introduction of guinea pigs or hamsters into empty
primary enclosures previously occupied, such enclosures shall be
sanitized in the manner provided in paragraph (a)(4) of this section.
(4) Primary enclosures for guinea pigs or hamsters shall be sanitized
by washing them with hot water (180 F.) and soap or detergent as in a
mechanical cage washer, or by washing all soiled surfaces with a
detergent solution followed by a safe and effective disinfectant, or by
cleaning all soiled surfaces with live steam.
(b) Housekeeping. Premises (buildings and grounds) shall be kept
clean and in good repair in order to protect the animals from injury and
to facilitate the prescribed husbandry practices set forth in this
subpart. Premises shall remain free of accumulations of trash.
(c) Pest control. An effective program for the control of insects,
ectoparasites, and avian and mammalian pests shall be established and
maintained.
09 CFR 3.32 Employees.
A sufficient number of employees shall be utilized to maintain the
prescribed level of husbandry practices set forth in this subpart. Such
practices shall be under the supervision of an animal caretaker who has
a background in animal husbandry or care.
09 CFR 3.33 Classification and separation.
Animals housed in the same primary enclosure shall be maintained in
compatible groups, with the following additional restrictions:
(a) Except where harem breeding is practiced, preweanling guinea pigs
shall not be housed in the same primary enclosure with adults other than
their parents.
(b) Guinea pigs shall not be housed in the same primary enclosure
with hamsters, nor shall guinea pigs or hamsters be housed in the same
primary enclosure with any other species of animals.
(c) Guinea pigs or hamsters under quarantine or treatment for a
communicable disease shall be separated from other guinea pigs or
hamsters and other susceptible species of animals in such a manner as to
minimize dissemination of such disease.
3.34 (Reserved)
09 CFR 3.33 Transportation Standards
Authority: Sections 3.35 through 3.41 issued under secs. 3, 5, 6,
10, 11, 14, 16, 17, 21; 80 Stat. 353; 84 Stat. 1561, 1562, 1563,
1564; 90 Stat. 418, 419, 420, 423; (7 U.S.C. 2133, 2135, 2136, 2140,
2141, 2144, 2146, 2147, 2151); 37 FR 28464, 28477, 38 FR 19141.
09 CFR 3.35 Consignments to carriers and intermediate handlers.
(a) Carriers and intermediate handlers shall not accept any live
guinea pig or hamster presented by any dealer, research facility,
exhibitor, operator of an auction sale, or other person, or any
department, agency, or instrumentality of the United States or any State
or local govenment for shipment, in commerce, more than 4 hours prior to
the scheduled departure of the primary conveyance on which it is to be
transported: Provided, however, That the carrier or intermediate
handler and any dealer, research facility, exhibitor, operator of an
auction sale, or other person, or any department, agency, or
instrumentality of the United States or any State or local government
may mutually agree to extend the time of acceptance to not more than 6
hours if specific prior scheduling of the animal shipment to destination
has been made.
(b) Any carrier or intermediate handler shall only accept for
transportation or transport, in commerce any live guinea pig or hamster
in a primary enclosure which conforms to the requirements set forth in
3.36 of the standards: Provided, however, That any carrier or
intermediate handler may accept for transportation or transport, in
commerce, any live guinea pig or hamster consigned by any department,
agency, or instrumentality of the United States having laboratory animal
facilities or exhibiting animals, or any licensed or registered dealer,
research facility, exhibitor, or operator of an auction sale, if such
consignor furnishes to the carrier or intermediate handler a
certificate, signed by the consignor, stating that the primary enclosure
complies with 3.36 of the standards, unless such primary enclosure is
obviously defective or damaged and it is apparent that it cannot
reasonably be expected to contain the live guinea pig or hamster without
causing suffering or injury to such live guinea pig or hamster. A copy
of such certificate shall accompany the shipment to destination. The
certificate of compliance shall include at least the following
information:
(1) Name and address of the consignor;
(2) The number of guinea pigs or hamsters in the primary
enclosure(s);
(3) A certifying statement (e.g., ''I hereby certify that the ----
(number) primary enclosure(s) which are used to transport the animal(s)
in this shipment complies (comply) with USDA standards for primary
enclosures (9 CFR part 3).''); and
(4) The signature of the consignor, and date.
(c) Carriers or intermediate handlers whose facilities fail to meet
the minimum temperature allowed by the standards may accept for
transportation or transport, in commerce, any live hamster consigned by
any department, agency, or instrumentality of the United States or of
any State or local government, or by any person (including any licensee
or registrant under the Act, as well as any private individual) if the
consignor furnishes to the carrier or intermediate handler a certificate
executed by a veterinarian accredited by this Department pursuant to
part 160 of this title on a specified date which shall not be more than
10 days prior to delivery of such hamster for transportation in
commerce, stating that such live hamster is acclimated to air
temperatures lower than those prescribed in 3.40 and 3.41. A copy of
such certificate shall accompany the shipment to destination. The
certificate shall include the following information:
(1) Name and address of the consignor;
(2) The number of hamsters in the shipment;
(3) A certifying statement (e.g., ''I hereby certify that the
animal(s) in this shipment is (are), to the best of my knowledge,
acclimated to air temperatures lower than 7.2 C. (45 F.).''); and
(4) The signature of the USDA accredited veterinarian, assigned
accreditation number, and date.
(d) Carriers and intermediate handlers shall attempt to notify the
consignee at least once in every 6 hour period following the arrival of
any live guinea pig or hamster at the animal holding area of the
terminal cargo facility. The time, date, and method of each attempted
notification and the final notification to the consignee and the name of
the person notifying the consignee shall be recorded on the copy of the
shipping document retained by the carrier or intermediate handler and on
a copy of the shipping document accompanying the animal shipment.
(42 FR 31563, June 21, 1977, as amended at 43 FR 22163, May 16, 1978;
44 FR 63492, Nov. 2, 1979)
09 CFR 3.36 Primary enclosures used to transport live guinea pigs and
hamsters.
No person subject to the Animal Welfare regulations shall offer for
transportation, or transport, in commerce any live guinea pig or hamster
in a primary enclosure that does not conform to the following
requirements:
(a) Primary enclosures, such as compartments, transport cages,
cartons, or crates, used to transport live guinea pigs or hamsters shall
be constructed in such a manner that (1) the structural strength of the
enclosure shall be sufficient to contain the live guinea pigs or
hamsters and to withstand the normal rigors of transportation; (2) the
interior of the enclosure shall be free from any protrusions that could
be injurious to the live guinea pigs or hamsters contained therein; (3)
the inner surfaces of corrugated fiberboard, cardboard, or plastic
containers shall be covered or laminated with wire mesh or screen where
necessary to prevent escape of the animals; (4) the openings of such
enclosures are easily accessible at all times for emergency removal of
the live guinea pigs or hamsters; (5) except as provided in paragraph
(i) of this section, there are ventilation openings located on two
opposite walls of the primary enclosure and the ventilation openings on
each such wall shall be at least 16 percent of the total surface area of
each such wall, or there are ventilation openings located on all four
walls of the primary enclosure and the ventilation openings on each such
wall shall be at least 8 percent of the total surface area of each such
wall: Provided, however, That at least one-third of the total minimum
area required for ventilation of the primary enclosure shall be located
on the lower one-half of the primary enclosure and at least one-third of
the total minimum area required for ventilation of the primary enclosure
shall be located on the upper one-half of the primary enclosure; (6)
except as provided in paragraph (i) of this section, projecting rims or
other devices shall be on the exterior of the outside walls with any
ventilation openings to prevent obstruction of the ventilation openings
and to provide a minimum air circulation space of 1.9 centimeters (.75
inches) between the primary enclosure and any adjacent cargo or
conveyance wall; and (7) except as provided in paragraph (i) of this
section, adequate handholds or other devices for lifting shall be
provided on the exterior of the primary enclosure to enable the primary
enclosure to be lifted without tilting and to ensure that the person
handling the primary enclosure will not be in contact with the guinea
pigs or hamsters.
(b) Live guinea pigs or hamsters tranported in the same primary
enclosure shall be of the same species and maintained in compatible
groups.
(c) Primary enclosures used to transport live guinea pigs or hamsters
shall be large enough to ensure that each animal contained therein has
sufficient space to turn about freely and to make normal postural
adjustments.
(d) Not more than 15 live guinea pigs shall be transported in the
same primary enclosure. No more than 50 live hamsters shall be
transported in the same primary enclosure.
(e) In addition to the other provisions of this section, the
following requirements shall also apply to primary enclosures used to
transport live guinea pigs or hamsters:
(1) Guinea pigs. (i) The interior height of primary enclosures used
to tranport live guinea pigs weighing up to 500 grams shall be at least
15.2 centimeters (6 inches) and the interior height of primary
enclosures used to transport live guinea pigs weighing over 500 grams
shall be at least 17.8 centimeters (7 inches).
(ii) Each live guinea pig transported in a primary enclosure shall be
provided a minimum amount of floor space in accordance with the
following table:
(2) Hamsters. (i) The interior height of primary enclosures used to
transport live hamsters shall be at least 15.2 centimeters (6 inches)
except that in the case of dwarf hamsters such interior height shall be
at least 12.7 centimeters (5 inches).
(ii) Each live hamster transported in a primary enclosure shall be
provided a minimum amount of floor space in accordance with the
following table:
(f) Primary enclosures used to transport live guinea pigs or hamsters
as provided in this section shall have solid bottoms to prevent leakage
in shipment and shall be cleaned and sanitized in a manner prescribed in
3.31 of the standards, if previously used. Such primary enclosures
shall contain clean litter of a suitable absorbent material, which is
safe and nontoxic to the guinea pigs or hamsters, in sufficient quantity
to absorb and cover excreta, unless the guinea pigs or hamsters are on
wire or other nonsolid floors.
(g) Primary enclosures used to transport live guinea pigs or
hamsters, except where such primary enclosures are permanently affixed
in the animal cargo space of the primary conveyance, shall be clearly
marked on top and on one or more sides with the words ''Live Animals''
in letters not less than 2.5 centimeters (1 inch) in height, and with
arrows or other markings, to indicate the correct upright position of
the container.
(h) Documents accompanying the shipment shall be attached in an
easily accessible manner to the outside of a primary enclosure which is
part of such shipment.
(i) When a primary enclosure is permanently affixed within the animal
cargo space of the primary conveyance so that the front opening is the
only source of ventilation for such primary enclosure, the front opening
shall open directly to the outside or to an unobstructed aisle or
passageway within the primary conveyance. Such front ventilation
opening shall be at least 90 percent of the total surface area of the
front wall of the primary enclosure and covered with bars, wire mesh or
smooth expanded metal.
(42 FR 31563, June 21, 1977, as amended at 43 FR 21163, May 16, 1978;
55 FR 28882, July 16, 1990)
09 CFR 3.37 Primary conveyances (motor vehicle, rail, air, and marine).
(a) The animal cargo space of primary conveyances used in
transporting live guinea pigs and hamsters shall be designed and
constructed to protect the health, and ensure the safety and comfort of
the live guinea pigs and hamsters at all times.
(b) The animal cargo space shall be constructed and maintained in a
manner to prevent the ingress of engine exhaust fumes and gases from the
primary conveyance during transportation in commerce.
(c) No live guinea pig or hamster shall be placed in an animal cargo
space that does not have a supply of air sufficient for normal breathing
for each live animal contained therein, and the primary enclosures shall
be positioned in the animal cargo space in such a manner that each live
guinea pig or hamster has access to sufficient air for normal breathing.
(d) Primary enclosures shall be positioned in the primary conveyance
in such a manner that in an emergency the live guinea pigs or hamsters
can be removed from the primary conveyance as soon as possible.
(e) The interior of the animal cargo space shall be kept clean.
(f) Live guinea pigs and hamsters shall not be transported with any
material, substance (e.g., dry ice) or device which may reasonably be
expected to be injurious to the health and well-being of the guinea pigs
and hamsters unless proper precaution is taken to prevent such injury.
(g) The animal cargo space of primary conveyances used to transport
guinea pigs or hamsters shall be mechanically sound and provide fresh
air by means of windows, doors, vents, or air conditioning so as to
minimize drafts, odors, and moisture condensation. Auxiliary
ventilation, such as fans, blowers, or air conditioners, shall be used
in any cargo space containing live guinea pigs or hamsters when the
ambient temperature in the animal cargo space is 75 F (23.9 C) or
higher. The ambient temperature within the animal cargo space shall not
exceed 85 F (29.5 C) or fall below 45 F (7.2 C), except that the
ambient temperature in the cargo space may be below 45 F (7.2 C) for
hamsters if the hamsters are accompanied by a certificate of acclimation
to lower temperatures, as provided in 3.35(c) of this part.
(42 FR 31563, June 21, 1977, as amended at 55 FR 28882, July 16,
1990)
09 CFR 3.38 Food and water requirements.
(a) If live guinea pigs or hamsters are to be transported for a
period of more than 6 hours, the animals shall have access to food and
water or a type of food, which provides the requirements for food and
water in quantity and quality sufficient to satisfy their food and water
needs, during transit.
(b) Any dealer, research facility, exhibitor or operator of an
auction sale offering any live guinea pig or hamster to any carrier or
intermediate handler for transportation, in commerce, shall provide an
adequate supply of food or type of food, which provides the requirements
for food and water, within the primary enclosure to meet the
requirements of this section.
(c) No carrier or intermediate handler shall accept for
transportation, in commerce, any live guinea pig or hamster without an
adequate supply of food or type of food, which provides the requirements
for food and water, within the primary enclosure to meet the
requirements of this section.
(42 FR 31563, June 21, 1977)
09 CFR 3.39 Care in transit.
(a) During surface transportation, it shall be the responsibility of
the driver or other employee to visually observe the live guinea pigs or
hamsters as frequently as circumstances may dictate, but not less than
once every 4 hours, to assure that they are receiving sufficient air for
normal breathing, their ambient temperatures are within the prescribed
limits, all other applicable standards are being complied with and to
determine whether any of the live guinea pigs or hamsters are in obvious
physical distress and to provide any needed veterinary care as soon as
possible. When transported by air, live guinea pigs and hamsters shall
be visually observed by the carrier as frequently as circumstances may
dictate, but not less than once every 4 hours, if the animal cargo space
is accessible during flight. If the animal cargo space is not
accessible during flight, the carrier shall visually observe the live
guinea pigs or hamsters whenever loaded and unloaded and whenever the
animal cargo space is otherwise accessible to assure that they are
receiving sufficient air for normal breathing, their ambient
temperatures are within the prescribed limits, all other applicable
standards are being complied with and to determine whether any such live
guinea pigs or hamsters are in obvious physical distress. The carrier
shall provide any needed veterinary care as soon as possible. No guinea
pig or hamster in obvious physical distress shall be transported in
commerce.
(b) During the course of transportation, in commerce, live guinea
pigs or hamsters shall not be removed from their primary enclosures
unless placed in other primary enclosures or facilities conforming to
the requirements provided in this subpart.
(42 FR 31563, June 21, 1977)
09 CFR 3.40 Terminal facilities.
No person subject to the Animal Welfare regulations shall commingle
shipments of live guinea pigs or hamsters with inanimate cargo. All
animal holding areas of a terminal facility where shipments of live
guinea pigs or hamsters are maintained shall be cleaned and sanitized as
prescribed in 3.31 of the standards often enough to prevent an
accumulation of debris or excreta, to minimize vermin infestation, and
to prevent a disease hazard. An effective program for the control of
insects, ectoparasites, and avian and mammalian pests shall be
established and maintained for all animal holding areas. Any animal
holding area containing live guinea pigs or hamsters shall be provided
with fresh air by means of windows, doors, vents, or air conditioning
and may be ventilated or air circulated by means of fans, blowers, or an
air conditioning system so as to minimize drafts, odors, and moisture
condensation. Auxiliary ventilation, such as exhaust fans and vents or
fans or blowers or air conditioning shall be used for any animal holding
area containing live guinea pigs and hamsters when the air temperature
within such animal holding area is 23.9 C. (75. F.) or higher. The
air temperature around any live guinea pig or hamster in any animal
holding area shall not be allowed to fall below 7.2 C. (45 F.) nor be
allowed to exceed 29.5 C. (85 F.) at any time. To ascertain
compliance with the provisions of this paragraph, the air temperature
around any live guinea pig or hamster shall be measured and read outside
the primary enclosure which contains such guinea pig or hamster at a
distance not to exceed .91 meters (3 feet) from any one of the external
walls of the primary enclosure and measured on a level parallel to the
bottom of such primary enclosure at a point which approximates half the
distance between the top and bottom of such primary enclosure.
(43 FR 56215, Dec. 1, 1978, as amended at 55 FR 28883, July 16, 1990)
09 CFR 3.41 Handling.
(a) Any person who is subject to the Animal Welfare regulations and
who moves live guinea pigs or hamsters from an animal holding area of a
terminal facility to a primary conveyance or vice versa shall do so as
quickly and efficiently as possible. Any person subject to the Animal
Welfare Act and holding any live guinea pig or hamster in an animal
holding area of a terminal facility or transporting any live guinea pig
or hamster to or from a terminal facility shall provide the following:
(1) Shelter from sunlight. When sunlight is likely to cause
overheating or discomfort, sufficient shade shall be provided to protect
the live guinea pigs and hamsters from the direct rays of the sun and
such live guinea pigs or hamsters shall not be subjected to surrounding
air temperatures which exceed 29.5 C. (85 F.), and which shall be
measured and read in the manner prescribed 3.40 of this part, for a
period of more than 45 minutes.
(2) Shelter from rain or snow. Live guinea pigs and hamsters shall
be provided protection to allow them to remain dry during rain or snow.
(3) Shelter from cold weather. Transporting devices shall be covered
to provide protection for live guinea pigs and hamsters when the outdoor
air temperature falls below 10 C. (50 F.), and such live guinea pigs
and hamsters shall not be subjected to surrounding air temperatures
which fall below 7.2 C. (45 F.), and which shall be measured and read
in the manner prescribed in 3.40 of this part, for a period of more
than 45 minutes.
(b) Care shall be exercised to avoid handling of the primary
enclosure in such a manner that may cause physical or emotional trauma
to the live guinea pig or hamster contained therein.
(c) Primary enclosures used to transport any live guinea pig or
hamster shall not be tossed, dropped, or needlessly tilted and shall not
be stacked in a manner which may reasonably be expected to result in
their falling.
(43 FR 21163, May 16, 1978, as amended at 43 FR 56216, Dec. 1, 1978;
55 FR 28883, July 16, 1990)
09 CFR 3.41 Subpart C -- Specifications for the Humane Handling, Care, Treatment and Transportation of Rabbits
09 CFR 3.41 Facilities and Operating Standards
09 CFR 3.50 Facilities, general.
(a) Structural strength. Indoor and outdoor housing facilities for
rabbits shall be structurally sound and shall be maintained in good
repair, to protect the animals from injury, to contain the animals, and
to restrict the entrance of other animals.
(b) Water and electric power. Reliable and adequate electric power,
if required to comply with other provisions of this subpart, and
adequate potable water shall be available.
(c) Storage. Supplies of food and bedding shall be stored in
facilities which adequately protect such supplies against infestation or
contamination by vermin. Refrigeration shall be provided for supplies
of perishable food.
(d) Waste disposal. Provision shall be made for the removal and
disposal of animal and food wastes, bedding, dead animals, and debris.
Disposal facilities shall be so provided and operated as to minimize
vermin infestation, odors, and disease hazards.
(e) Washroom and sinks. Facilities, such as washrooms, basins, or
sinks, shall be provided to maintain cleanliness among animal
caretakers.
(32 FR 3273, Feb. 24, 1967, as amended at 44 FR 63492, Nov. 2, 1979)
09 CFR 3.51 Facilities, indoor.
(a) Heating. Indoor housing facilities for rabbits need not be
heated.
(b) Ventilation. Indoor housing facilities for rabbits shall be
adequately ventilated to provide for the health and comfort of the
animals at all times. Such facilities shall be provided with fresh air
either by means of windows, doors, vents, or air conditioning and shall
be ventilated so as to minimize drafts, odors, and moisture
condensation. Auxiliary ventilation, such as exhaust fans and vents or
air conditioning, shall be provided when the ambient temperature is 85
F. or higher.
(c) Lighting. Indoor housing facilities for rabbits shall have ample
light, by natural or artificial means, or both, of good quality and well
distributed. Such lighting shall provide uniformly distributed
illumination of sufficient light intensity to permit routine inspection
and cleaning during the entire working period. Primary enclosures shall
be so placed as to protect the rabbits from excessive illumination.
(d) Interior surfaces. The interior building surfaces of indoor
housing facilities shall be constructed and maintained so that they are
substantially impervious to moisture and may be readily sanitized.
09 CFR 3.52 Facilities, outdoor.
(a) Shelter from sunlight. When sunlight is likely to cause
overheating or discomfort, sufficient shade shall be provided to allow
all rabbits kept outdoors to protect themselves from the direct rays of
the sun. When the atmospheric temperature exceeds 90 F. artificial
cooling shall be provided by a sprinkler system or other means.
(b) Shelter from rain or snow. Rabbits kept outdoors shall be
provided with access to shelter to allow them to remain dry during rain
or snow.
(c) Shelter from cold weather. Shelter shall be provided for all
rabbits kept outdoors when the atmospheric temperature falls below 40
F.
(d) Protection from predators. Outdoor housing facilities for
rabbits shall be fenced or otherwise enclosed to minimize the entrance
of predators.
(e) Drainage. A suitable method shall be provided to rapidly
eliminate excess water.
09 CFR 3.53 Primary enclosures.
All primary enclosures for rabbits shall conform to the following
requirements:
(a) General. (1) Primary enclosures shall be structurally sound and
maintained in good repair to protect the rabbits from injury, to contain
them, and to keep predators out.
(2) Primary enclosures shall be constructed and maintained so as to
enable the rabbits to remain dry and clean.
(3) Primary enclosures shall be constructed and maintained so that
the rabbits contained therein have convenient access to clean food and
water as required in this subpart.
(4) The floors of the primary enclosures shall be constructed so as
to protect the rabbits' feet and legs from injury. Litter shall be
provided in all primary enclosures having solid floors.
(5) A suitable nest box containing clean nesting material shall be
provided in each primary enclosure housing a female with a litter less
than one month of age.
(b) Space requirements for primary enclosures acquired before August
15, 1990. Primary enclosures shall be constructed and maintained so as
to provide sufficient space for the animal to make normal postural
adjustments with adequate freedom of movement. Each rabbit housed in a
primary enclosure shall be provided a minimum amount of floor space,
exclusive of the space taken up by food and water receptacles, in
accordance with the following table:
(c) Space requirements for primary enclosures acquired on or after
August 15, 1990.
(1) Primary enclosures shall be constructed and maintained so as to
provide sufficient space for the animal to make normal postural
adjustments with adequate freedom of movement.
(2) Each rabbit housed in a primary enclosure shall be provided a
minimum amount of floor space, exclusive of the space taken up by food
and water receptacles, in accordance with the following table:
(3) Innovative primary enclosures that do not precisely meet the
space requirements of paragraph (c)(2) of this section, but that do
provide rabbits with a sufficient volume of space and the opportunity to
express species-typical behavior, may be used at research facilities
when approved by the Institutional Animal Care and Use Committee, and by
dealers and exhibitors when approved by the Administrator.
(32 FR 3273, Feb. 24, 1967, as amended at 55 FR 28883, July 16, 1990)
09 CFR 3.53 Animal Health and Husbandry Standards
09 CFR 3.54 Feeding.
(a) Rabbits shall be fed at least once each day except as otherwise
might be required to provide adequate veterinary care. The food shall
be free from contamination, wholesome, palatable and of sufficient
quantity and nutritive value to meet the normal daily requirements for
the condition and size of the rabbit.
(b) Food receptacles shall be accessible to all rabbits in a primary
enclosure and shall be located so as to minimize contamination by
excreta. All food receptacles shall be kept clean and sanitized at
least once every 2 weeks. If self feeders are used for the feeding of
dry feed, measures must be taken to prevent molding, deterioration or
caking of the feed.
09 CFR 3.55 Watering.
Sufficient potable water shall be provided daily except as might
otherwise be required to provide adequate veterinary care. All watering
receptacles shall be sanitized when dirty: Provided, however, That such
receptacles shall be sanitized at least once every 2 weeks.
09 CFR 3.56 Sanitation.
(a) Cleaning of primary enclosures. (1) Primary enclosures shall be
kept reasonably free of excreta, hair, cobwebs and other debris by
periodic cleaning. Measures shall be taken to prevent the wetting of
rabbits in such enclosures if a washing process is used.
(2) In primary enclosures equipped with solid floors, soiled litter
shall be removed and replaced with clean litter at least once each week.
(3) If primary enclosures are equipped with wire or mesh floors, the
troughs or pans under such enclosures shall be cleaned at least once
each week. If worm bins are used under such enclosures they shall be
maintained in a sanitary condition.
(b) Sanitization of primary enclosures. (1) Primary enclosures for
rabbits shall be sanitized at least once every 30 days in the manner
provided in paragraph (b)(3) of this section.
(2) Prior to the introduction of rabbits into empty primary
enclosures previously occupied, such enclosures shall be sanitized in
the manner provided in paragraph (b)(3) of this section.
(3) Primary enclosures for rabbits shall be sanitized by washing them
with hot water (180 F.) and soap or detergent as in a mechanical cage
washer, or by washing all soiled surfaces with a detergent solution
followed by a safe and effective disinfectant, or by cleaning all soiled
surfaces with live steam or flame.
(c) Housekeeping. Premises (buildings and grounds) shall be kept
clean and in good repair in order to protect the animals from injury and
to facilitate the prescribed husbandry practices set forth in this
subpart. Premises shall remain free of accumulations of trash.
(d) Pest control. An effective program for the control of insects,
ectoparasites, and avian and mammalian pests shall be established and
maintained.
09 CFR 3.57 Employees.
A sufficient number of employees shall be utilized to maintain the
prescribed level of husbandry practices set forth in this subpart. Such
practices shall be under the supervision of an animal caretaker who has
a background in animal husbandry or care.
09 CFR 3.58 Classification and separation.
Animals housed in the same primary enclosure shall be maintained in
compatible groups, with the following additional restrictions:
(a) Rabbits shall not be housed in the same primary enclosure with
any other species of animals unless required for scientific reasons.
(b) Rabbits under quarantine or treatment for a communicable disease
shall be separated from other rabbits and other susceptible species of
animals in such a manner as to minimize dissemination of such disease.
3.59 (Reserved)
09 CFR 3.58 Transportation Standards
Authority: Sections 3.60 through 3.66 issued under secs. 3, 5, 6,
10, 11, 14, 16, 17, 21; 80 Stat. 353; 84 Stat. 1561, 1562, 1563,
1564; 90 Stat. 418, 420, 423 (7 U.S.C. 2133, 2135, 2136, 2140, 2141,
2144, 2146, 2147, 2151); 37 FR 28464, 28477, 38 FR 19141.
Source: Sections 3.60 through 3.66 appear at 42 FR 31565, June 21,
1977, unless otherwise noted.
09 CFR 3.60 Consignments to carriers and intermediate handlers.
(a) Carriers and intermediate handlers shall not accept any live
rabbit presented by any dealer, research facility, exhibitor, operator
of an auction sale, or other person, or any department, agency, or
instrumentality of the United States or any State or local government
for shipment, in commerce, more than 4 hours prior to the scheduled
departure of the primary conveyance on which it is to be transported:
Provided, however, That the carrier or intermediate handler and any
dealer, research facility, exhibitor, operator of an auction sale, or
other person, or any department, agency, or instrumentality of the
United States or any State or local government may mutually agree to
extend the time of acceptance to not more than 6 hours if specific prior
scheduling of the animal shipment to destination has been made.
(b) Any carrier or intermediate handler shall only accept for
transportation or transport, in commerce, any live rabbit in a primary
enclosure which conforms to the requirements set forth in 3.61 of the
standards: Provided, however, That any carrier or intermediate handler
may accept for transportation or transport, in commerce, any live rabbit
consigned by any department, agency, or instrumentality of the United
States having laboratory animal facilities or exhibiting animals or any
licensed or registered dealer, research facility, exhibitor, or operator
of any auction sale, if such consignor furnishes to the carrier or
intermediate handler a certificate, signed by the consignor, stating
that the primary enclosure complies with 3.61 of the standards, unless
such primary enclosure is obviously defective or damaged and it is
apparent that it cannot reasonably be expected to contain the live
rabbit without causing suffering or injury to such live rabbit. A copy
of such certificate shall accompany the shipment to destination. The
certificate shall include at least the following information:
(1) Name and address of the consignor;
(2) The number of rabbits in the primary enclosure(s);
(3) A certifying statement (e.g., ''I hereby certify that the ----
(number) primary enclosure(s) which are used to transport the animal(s)
in this shipment complies (comply) with USDA standards for primary
enclosures (9 CFR part 3).''); and
(4) The signature of the consignor, and date.
(c) Carriers or intermediate handlers whose facilities fail to meet
the minimum temperature allowed by the standards may accept for
transportation or transport, in commerce, any live rabbit consigned by
any department, agency, or instrumentality of the United States or of
any State or local government, or by any person (including any licensee
or registrant under the Act, as well as any private individual) if the
consignor furnishes to the carrier or intermediate handler a certificate
executed by a veterinarian accredited by this Department pursuant to
part 160 of this title on a specified date which shall not be more than
10 days prior to delivery of such rabbit for transportation in commerce,
stating that such live rabbit is acclimated to air temperatures lower
than those prescribed in 3.65 and 3.66. A copy of such certificate
shall accompany the shipment to destination. The certificate shall
include at least the following information:
(1) Name and address of the consignor;
(2) The number of rabbits in the shipment;
(3) A certifying statement (e.g., ''I hereby certify that the
animal(s) in this shipment is (are), to the best of my knowledge,
acclimated to air temperatures lower than 7.2 C. (45 F.).)''; and
(4) The signature of the USDA accredited veterinarian, assigned
accreditation number, and date.
(d) Carriers and intermediate handlers shall attempt to notify the
consignee at least once in every 6 hour period following the arrival of
any live rabbit at the animal holding area of the terminal cargo
facility. The time, date, and method of each attempted notification and
the final notification to the consignee and the name of the person
notifying the consignee shall be recorded on the copy of the shipping
document retained by the carrier or intermediate handler and on a copy
of the shipping document accompanying the animal shipment.
(42 FR 31565, June 21, 1977, as amended at 43 FR 21164, May 16, 1978;
44 FR 63493, Nov. 2, 1979)
09 CFR 3.61 Primary enclosures used to transport live rabbits.
No person subject to the Animal Welfare regulations shall offer for
transportation or transport in commerce any live rabbit in a primary
enclosure that does not conform to the following requirements:
(a) Primary enclosures, such as compartments, transport cages,
cartons, or crates, used to transport live rabbits shall be constructed
in such a manner that:
(1) The stuctural strength of the enclosure shall be sufficient to
contain the live rabbits and to withstand the normal rigors of
transportation;
(2) The interior of the enclosure shall be free from any protrusions
that could be injurious to the live rabbits contained therein;
(3) The openings of such enclosures are easily accessible at all
times for emergency removal of the live rabbits;
(4) Except as provided in paragraph (h) of this section, there are
ventilation openings located on two opposite walls of the primary
enclosure and the ventilation openings on each such wall shall be at
least 16 percent of the total surface area of each such wall, or there
are ventilation openings located on all four walls of the primary
enclosure and the ventilation openings on each such wall shall be at
least 8 percent of the total surface area of each such wall: Provided,
however, That at least one-third of the total minimum area required for
ventilation of the primary enclosure shall be located on the lower
one-half of the primary enclosure and at least one-third of the total
minimum area required for ventilation of the primary enclosure shall be
located on the upper one-half of the primary enclosure;
(5) Except as provided in paragraph (h) of this section, projecting
rims or other devices shall be on the exterior of the outside walls with
any ventilation openings to prevent obstruction of the ventilation
openings and to provide a minimum air circulation space 1.9 centimeters
(.75 inch) between the primary enclosure and any adjacent cargo or
conveyance wall; and
(6) Except as provided in paragraph (h) of this section, adequate
handholds or other devices for lifting shall be provided on the exterior
of the primary enclosure to enable the primary enclosure to be lifted
without tilting and to ensure that the person handling the primary
enclosure will not be in contact with the rabbit.
(b) Live rabbits transported in the same primary enclosure shall be
maintained in compatible groups and shall not be transported in the same
primary enclosure with other specie of animals.
(c) Primary enclosures used to transport live rabbits shall be large
enough to ensure that each rabbit contained therein has sufficient space
to turn about freely and to make normal postural adjustments.
(d) Not more than 15 live rabbits shall be transported in the same
primary enclosure.
(e) Primary enclosures used to transport live rabbits as provided in
this section shall have solid bottoms to prevent leakage in shipment and
shall be cleaned and sanitized in a manner prescribed in 3.56 of the
standards, if previously used. Such primary enclosures shall contain
clean litter of a suitable absorbent material which is safe and nontoxic
to the rabbits, in sufficient quantity to absorb and cover excreta,
unless the rabbits are on wire or other nonsolid floors.
(f) Primary enclosures used to transport live rabbits, except where
such primary enclosures are permanently affixed in the animal cargo
space of the primary conveyance, shall be clearly marked on top and on
one or more sides with the works ''Live Animal'' in letters not less
than 2.5 centimeters (1 inch) in height, and with arrows or other
markings, to indicate the correct upright position of the container.
(g) Documents accompanying the shipment shall be attached in an
easily accessible manner to the outside of a primary enclosure which is
part of such shipment.
(h) When a primary enclosure is permanently affixed within the animal
cargo space of the primary conveyance so that the front opening is the
only source of ventilation for such primary enclosure, the front opening
shall open directly to the outside or to an unobstructed aisle or
passageway within the primary conveyance. Such front ventilation
opening shall be at least 90 percent of the total surface area of the
front wall of the primary enclosure and covered with bars, wire mesh or
smooth expanded metal.
(42 FR 31565, June 21, 1977, as amended at 43 FR 21164, May 16, 1978;
55 FR 28883, July 16, 1990)
09 CFR 3.62 Primary conveyances (motor vehicle, rail, air, and marine).
(a) The animal cargo space of primary conveyances used in
transporting live rabbits shall be designed and constructed to protect
the health, and ensure the safety and comfort of the rabbits contained
therein at all times.
(b) The animal cargo space shall be constructed and maintained in a
manner to prevent the ingress of engine exhaust fumes and gases from the
primary conveyance during transportation in commerce.
(c) No live rabbit shall be placed in an animal cargo space that does
not have a supply of air sufficient for normal breathing for each live
animal contained therein, and the primary enclosures shall be positioned
in the animal cargo space in such a manner that each rabbit has access
to sufficient air for normal breathing.
(d) Primary enclosures shall be positioned in the primary conveyance
in such a manner that in an emergency the live rabbits can be removed
from the primary conveyance as soon as possible.
(e) The interior of the animal cargo space shall be kept clean.
(f) Live rabbits shall not be transported with any material,
substance (e.g., dry ice) or device which may reasonably be expected to
be injurious to the health and well-being of the rabbits unless proper
precaution is taken to prevent such injury.
(g) The animal cargo space of primary conveyances used to transport
rabbits shall be mechanically sound and provide fresh air by means of
windows, doors, vents, or air conditioning so as to minimize drafts,
odors, and moisture condensation. Auxiliary ventilation, such as fans,
blowers, or air conditioners, shall be used in any cargo space
containing live rabbits when the ambient temperature in the animal cargo
space is 75 F (23.9 C) or higher. The ambient temperature within the
animal cargo space shall not exceed 85 F (29.5 C) or fall below 45 F
(7.2 C), except that the ambient temperature in the cargo space may be
below 45 F (7.2 C) if the rabbits are accompanied by a certificate of
acclimation to lower temperatures, as provided in 3.60(c) of this part.
(42 FR 31565, June 21, 1977, as amended at 55 FR 28883, July 16,
1990)
09 CFR 3.63 Food and water requirements.
(a) If live rabbits are to be transported for a period of more than 6
hours, they shall have access to food and water or a type of food, which
provides the requirements for food and water in quantity and quality
sufficient to satisfy their food and water needs, during transit.
(b) Any dealer, research facility, exhibitor or operator of an
auction sale offering any live rabbit to any carrier or intermediate
handler for transportation, in commerce, shall provide an adequate
supply of food or type of food, which provides the requirements for food
and water, within the primary enclosure to meet the requirements of this
section.
(c) No carrier or intermediate handler shall accept for
transportation, in commerce, any live rabbit without an adequate supply
of food or type of food, which provides the requirements for food and
water, within the primary enclosure to meet the requirements of this
section.
09 CFR 3.64 Care in transit.
(a) During surface transportation, it shall be th responsibility of
the driver or other employee to visually observe the live rabbits as
frequently as circumstances may dictate, but not less than once every 4
hours, to assure that they are receiving sufficient air for normal
breathing, their ambient temperatures are within the prescribed limits,
all other applicable standards are being complied with and to determine
whether any of the live rabbits are in obvious physical disress and to
provide any needed veterinary care as soon as possible. When
transported by air, live rabbits shall be visually observed by the
carrier as frequently as circumstances may dictate, but not less than
once every 4 hours, if the cargo space is accessible during flight. If
the animal cargo space is not accessible during flight, the carrier
shall visually observe the live rabbits whenever loaded and unloaded and
whenever the animal cargo space is otherwise accessible to assure that
they are receiving sufficient air for normal breathing, their ambient
temperatures are within the prescribed limits, all other applicable
standards are being complied with and to determine whether any such live
rabbits are in obvious physical distress. The carrier shall provide any
needed veterinary care as soon as possible. No rabbit in obvious
physical distress shall be transported in commerce.
(b) During the course of transportation, in commerce, live rabbits
shall not be removed from their primary enclosures unless placed in
other primary enclosures or facilities conforming to the requirements
provided in this subpart.
09 CFR 3.65 Terminal facilities.
No person subject to the Animal Welfare regulations shall commingle
shipments of live rabbits with inanimate cargo. All animal holding
areas of a terminal facility where shipments of rabbits are maintained
shall be cleaned and sanitized as prescribed in 3.56 of the standards
often enough to prevent an accumulation of debris or excreta, to
minimize vermin infestation, and to prevent a disease hazard. An
effective program for the control of insects, ectoparasites, and avian
and mammalian pests shall be established and maintained for all animal
holding areas. Any animal holding area containing live rabbits shall be
provided with fresh air by means of windows, doors, vents, or air
conditioning and may be ventilated or air circulated by means of fans,
blowers, or an air conditioning system so as to minimize drafts, odors,
and moisture condensation. Auxiliary ventilation, such as exhaust fans
and vents or fans or blowers or air conditioning shall be used for any
animal holding area containing live rabbits when the air temperature
within such animal holding area is 23.9 C. (75 F.) or higher. The air
temperature around any live rabbit in any animal holding area shall not
be allowed to fall below 7.2 C. (45 F.) nor be allowed to exceed 29.5
C. (85 F.) at any time. To ascertain compliance with the provisions of
this paragraph, the air temperature around any live rabbit shall be
measured and read outside the primary enclosure which contains such
rabbit at a distance not to exceed .91 meters (3 feet) from any one of
the external walls of the primary enclosure and on a level parallel to
the bottom of such primary enclosure at a point which approximates half
the distance between the top and bottom of such primary enclosure.
(43 FR 56216, Dec. 1, 1978, as amended at 55 FR 28883, July 16,
1990))
09 CFR 3.66 Handling.
(a) Any person who is subject to the Animal Welfare regulations and
who moves live rabbits from an animal holding area of a terminal
facility to a primary conveyance or vice versa shall do so as quickly
and efficiently as possible. Any person subject to the Animal Welfare
regulations and holding any live rabbit in an animal holding area of a
terminal facility or transporting any live rabbit to or from a terminal
facility shall provide the following:
(1) Shelter from sunlight. When sunlight is likely to cause
overheating or discomfort, sufficient shade shall be provided to protect
the live rabbits from the direct rays of the sun and such live rabbits
shall not be subjected to surrounding air temperatures which exceed 29.5
C. (85 F.), and which shall be measured and read in the manner
prescribed in 3.65 of this part, for a period of more than 45 minutes.
(2) Shelter from rain or snow. Live rabbits shall be provided
protection to allow them to remain dry during rain or snow.
(3) Shelter from cold weather. Transporting devices shall be covered
to provide protection for live rabbits when the outdoor air temperature
falls below 10 C. (50 F.), and such live rabbits shall not be
subjected to surrounding air temperatures which fall below 7.2 C. (45
F.), and which shall be measured and read in the manner prescribed in
3.65 of this part, for a period of more than 45 minutes unless such
rabbits are accompanied by a certificate of acclimation to lower
temperatures as prescribed in 3.60(c).
(b) Care shall be exercised to avoid handling of the primary
enclosure in such a manner that may cause physical or emotional trauma
to the live rabbit contained therein.
(c) Primary enclosures used to transport any live rabbit shall not be
tossed, dropped, or needlessly tilted and shall not be stacked in a
manner which may reasonably be expected to result in their falling.
(43 FR 21164, May 16, 1978, as amended at 43 FR 56216, Dec. 1, 1978;
55 FR 28883, July 16, 1990)
09 CFR 3.66 Subpart D -- Specifications for the Humane Handling, Care,
Treatment, and Transportation of Nonhuman Primates /2/
Source: 56 FR 6495, Feb. 15, 1991, unless otherwise noted.
09 CFR 3.66 Facilities and Operating Standards
09 CFR 3.75 Housing facilities, general.
(a) Structure: construction. Housing facilities for nonhuman
primates must be designed and constructed so that they are structurally
sound for the species of nonhuman primates housed in them. They must be
kept in good repair, and they must protect the animals from injury,
contain the animals securely, and restrict other animals from entering.
(b) Condition and site. Housing facilities and areas used for
storing animal food or bedding must be free of any accumulation of
trash, waste material, junk, weeds, and other discarded materials.
Animal areas inside of housing facilities must be kept neat and free of
clutter, including equipment, furniture, or stored material, but may
contain materials actually used and necessary for cleaning the area, and
fixtures and equipment necessary for proper husbandry practices and
research needs. Housing facilities other than those maintained by
research facilities and Federal research facilities must be physically
separated from any other businesses. If a housing facility is located
on the same premises as any other businesses, it must be physically
separated from the other businesses so that animals the size of dogs,
skunks, and raccoons, are prevented from entering it.
(c) Surfaces -- (1) General requirements. The surfaces of housing
facilities -- including perches, shelves, swings, boxes, houses, dens,
and other furniture-type fixtures or objects within the facility -- must
be constructed in a manner and made of materials that allow them to be
readily cleaned and sanitized, or removed or replaced when worn or
soiled. Furniture-type fixtures or objects must be sturdily constructed
and must be strong enough to provide for the safe activity and welfare
of nonhuman primates. Floors may be made of dirt, absorbent bedding,
sand, gravel, grass, or other similar material that can be readily
cleaned, or can be removed or replaced whenever cleaning does not
eliminate odors, diseases, pests, insects, or vermin. Any surfaces that
come in contact with nonhuman primates must:
(i) Be free of excessive rust that prevents the required cleaning and
sanitization, or that affects the structural strength of the surface;
and
(ii) Be free of jagged edges or sharp points that might injure the
animals.
(2) Maintenance and replacement of surfaces. All surfaces must be
maintained on a regular basis. Surfaces of housing facilities --
including houses, dens, and other furniture-type fixtures and objects
within the facility -- that cannot be readily cleaned and sanitized,
must be replaced when worn or soiled.
(3) Cleaning. Hard surfaces with which nonhuman primates come in
contact must be spot-cleaned daily and sanitized in accordance with
3.84 of this subpart to prevent accumulation of excreta or disease
hazards. If the species scent mark, the surfaces must be sanitized or
replaced at regular intervals as determined by the attending
veterinarian in accordance with generally accepted professional and
husbandry practices. Floors made of dirt, absorbent bedding, sand,
gravel, grass, or other similar material, and planted enclosures must be
raked or spot-cleaned with sufficient frequency to ensure all animals
the freedom to avoid contact with excreta. Contaminated material must
be removed or replaced whenever raking and spot cleaning does not
eliminate odors, diseases, insects, pests, or vermin infestation. All
other surfaces of housing facilities must be cleaned and sanitized when
necessary to satisfy generally accepted husbandry standards and
practices. Sanitization may be done by any of the methods provided in
3.84(b)(3) of this subpart for primary enclosures.
(d) Water and electric power. The housing facility must have
reliable electric power adequate for heating, cooling, ventilation, and
lighting, and for carrying out other husbandry requirements in
accordance with the regulations in this subpart. The housing facility
must provide running potable water for the nonhuman primates' drinking
needs. It must be adequate for cleaning and for carrying out other
husbandry requirements.
(e) Storage. Supplies of food and bedding must be stored in a manner
that protects the supplies from spoilage, contamination, and vermin
infestation. The supplies must be stored off the floor and away from
the walls, to allow cleaning underneath and around the supplies. Food
requiring refrigeration must be stored accordingly, and all food must be
stored in a manner that prevents contamination and deterioration of its
nutritive value. Only the food and bedding currently being used may be
kept in animal areas, and when not in actual use, open food and bedding
supplies must be kept in leakproof containers with tightly fitting lids
to prevent spoilage and contamination. Substances that are toxic to the
nonhuman primates but that are required for normal husbandry practices
must not be stored in food storage and preparation areas, but may be
stored in cabinets in the animal areas.
(f) Drainage and waste disposal. Housing facility operators must
provide for regular and frequent collection, removal, and disposal of
animal and food wastes, bedding, dead animals, debris, garbage, water,
and any other fluids and wastes, in a manner that minimizes
contamination and disease risk. Housing facilities must be equipped
with disposal facilities and drainage systems that are constructed and
operated so that animal wastes and water are rapidly eliminated and the
animals stay dry. Disposal and drainage systems must minimize vermin
and pest infestation, insects, odors, and disease hazards. All drains
must be properly constructed, installed, and maintained. If closed
drainage systems are used, they must be equipped with traps and prevent
the backflow of gases and the backup of sewage onto the floor. If the
facility uses sump ponds, settlement ponds, or other similar systems for
drainage and animal waste disposal, the system must be located far
enough away from the animal area of the housing facility to prevent
odors, diseases, insects, pests, and vermin infestation. If drip or
constant flow watering devices are used to provide water to the animals,
excess water must be rapidly drained out of the animal areas by gutters
or pipes so that the animals stay dry. Standing puddles of water in
animal areas must be mopped up or drained so that the animals remain
dry. Trash containers in housing facilities and in food storage and
food preparation areas must be leakproof and must have tightly fitted
lids on them at all times. Dead animals, animal parts, and animal waste
must not be kept in food storage or food preparation areas, food
freezers, food refrigerators, and animal areas.
(g) Washrooms and sinks. Washing facilities, such as washrooms,
basins, sinks, or showers must be provided for animal caretakers and
must be readily accessible.
/2/ Nonhuman primates include a great diversity of forms, ranging
from the marmoset weighing only a few ounces, to the adult gorilla
weighing hundreds of pounds, and include more than 240 species. They
come from Asia, Africa, and Central and South America, and they live in
different habitats in nature. Some have been transported to the United
States from their natural habitats and some have been raised in
captivity in the United States. Their nutritional and activity
requirements differ, as do their social and environmental requirements.
As a result, the conditions appropriate for one species do not
necessarily apply to another. Accordingly, these minimum specifications
must be applied in accordance with the customary and generally accepted
professional and husbandry practices considered appropriate for each
species, and necessary to promote their psychological well-being.
These minimum standards apply only to live nonhuman primates, unless
stated otherwise.
09 CFR 3.76 Indoor housing facilities.
(a) Heating, cooling, and temperature. Indoor housing facilities
must be sufficiently heated and cooled when necessary to protect
nonhuman primates from temperature extremes and to provide for their
health and well-being. The ambient temperature in the facility must not
fall below 45 F (7.2 C) for more than 4 consecutive hours when
nonhuman primates are present, and must not rise above 85 F (29.5 C)
for more than 4 consecutive hours when nonhuman primates are present.
The ambient temperature must be maintained at a level that ensures the
health and well-being of the species housed, as directed by the
attending veterinarian, in accordance with generally accepted
professional and husbandry practices.
(b) Ventilation. Indoor housing facilities must be sufficiently
ventilated at all times when nonhuman primates are present to provide
for their health and well-being and to minimize odors, drafts, ammonia
levels, and moisture condensation. Ventilation must be provided by
windows, doors, vents, fans, or air conditioning. Auxiliary
ventilation, such as fans, blowers, or air conditioning, must be
provided when the ambient temperature is 85 F (29.5 C) or higher. The
relative humidity maintained must be at a level that ensures the health
and well-being of the animals housed, as directed by the attending
veterinarian, in accordance with generally accepted professional and
husbandry practices.
(c) Lighting. Indoor housing facilities must be lighted well enough
to permit routine inspection and cleaning of the facility, and
observation of the nonhuman primates. Animal areas must be provided a
regular diurnal lighting cycle of either natural or artificial light.
Lighting must be uniformly diffused throughout animal facilities and
provide sufficient illumination to aid in maintaining good housekeeping
practices, adequate cleaning, adequate inspection of animals, and for
the well-being of the animals. Primary enclosures must be placed in the
housing facility so as to protect the nonhuman primates from excessive
light.
09 CFR 3.77 Sheltered housing faciIities
(a) Heating, cooling, and temperature. The sheltered part of
sheltered housing facilities must be sufficiently heated and cooled when
necessary to protect the nonhuman primates from temperature extremes,
and to provide for their health and well-being. The ambient temperature
in the sheltered part of the facility must not fall below 45 F (7.2 C)
for more than 4 consecutive hours when nonhuman primates are present,
and must not rise above 85 F (29.5 C) for more than 4 consecutive
hours when nonhuman primates are present, unless temperatures above 85
F (29.5 C) are approved by the attending veterinarian, in accordance
with generally accepted husbandry practices. The ambient temperature
must be maintained at a level that ensures the health and well-being of
the species housed, as directed by the attending veterinarian, in
accordance with generally accepted professional and husbandry practices.
(b) Ventilation. The sheltered part of sheltered animal facilities
must be sufficiently ventilated at all times to provide for the health
and well-being of nonhuman primates and to minimize odors, drafts,
ammonia levels, and moisture condensation. Ventilation must be provided
by windows, doors, vents, fans, or air conditioning. Auxiliary
ventilation, such as fans, blowers, or air conditioning, must be
provided when the ambient temperature is 85 F (29.5 C) or higher. The
relative humidity maintained must be at a level that ensures the health
and well-being of the species housed, as directed by the attending
veterinarian, in accordance with generally accepted professional and
husbandry practices.
(c) Lighting. The sheltered part of sheltered housing facilities
must be lighted well enough to permit routine inspection and cleaning of
the facility, and observation of the nonhuman primates. Animal areas
must be provided a regular diurnal lighting cycle of either natural or
artificial light. Lighting must be uniformly diffused throughout animal
facilities and provide sufficient illumination to aid in maintaining
good housekeeping practices, adequate cleaning, adequate inspection of
animals, and for the well-being of the animals. Primary enclosures must
be placed in the housing facility so as to protect the nonhuman primates
from excessive light.
(d) Shelter from the elements. Sheltered housing facilities for
nonhuman primates must provide adequate shelter from the elements at all
times. They must provide protection from the sun, rain, snow, wind, and
cold, and from any weather conditions that may occur.
(e) Capacity: multiple shelters. Both the sheltered part of
sheltered housing facilities and any other necessary shelter from the
elements must be sufficiently large to provide protection comfortably to
each nonhuman primate housed in the facility. If aggressive or dominant
animals are housed in the facility with other animals, there must be
multiple shelters or other means to ensure that each nonhuman primate
has access to shelter.
(f) Perimeter fence. On and after February 15, 1994, the outdoor
area of a sheltered housing facility must be enclosed by a fence that is
of sufficient height to keep unwanted species out. Fences less than 6
feet high must be approved by the Administrator. The fence must be
constructed so that it protects nonhuman primates by restricting
unauthorized humans, and animals the size of dogs, skunks, and raccoons
from going through it or under it and having contact with the nonhuman
primates. It must be of sufficient distance from the outside wall or
fence of the primary enclosure to prevent physical contact between
animals inside the enclosure and outside the perimeter fence. Such
fences less than 3 feet in distance from the primary enclosure must be
approved by the Administrator. A perimeter fence is not required if:
(1) The outside walls of the primary enclosure are made of a sturdy,
durable material such as concrete, wood, plastic, metal, or glass, and
are high enough and constructed in a manner that restricts contact with
or entry by humans and animals that are outside the sheltered housing
facility; or
(2) The housing facility is surrounded by a natural barrier that
restricts the nonhuman primates to the housing facility and protects
them from contact with unauthorized humans and animals that are outside
the sheltered housing facility, and the Administrator gives written
permission
(g) Public barriers. Fixed public exhibits housing nonhuman
primates, such as zoos, must have a barrier between the primary
enclosure and the public at any time the public is present, that
restricts physical contact between the public and the nonhuman primates.
Nonhuman primates used in trained animal acts or in uncaged public
exhibits must be under the direct control and supervision of an
experienced handler or trainer at all times when the public is present.
Trained nonhuman primates may be permitted physical contact with the
public, as allowed under 2.131, but only if they are under the direct
control and supervision of an experienced handler or trainer at all
times during the contact.
(Approved by the Office of Management and Budget under control number
0579-0093)
09 CFR 3.78 0utdoor housing facilities
(a) Acclimation. Only nonhuman primates that are acclimated, as
determined by the attending veterinarian, to the prevailing temperature
and humidity at the outdoor housing facility during the time of year
they are at the facility, and that can tolerate the range of
temperatures and climatic conditions known to occur at the facility at
that time of year without stress or discomfort, may be kept in outdoor
facilities.
(b) Shelter from the elements. Outdoor housing facilities for
nonhuman primates must provide adequate shelter from the elements at all
times. It must provide protection from the sun, rain, snow, wind, and
cold, and from any weather conditions that may occur. The shelter must
safely provide heat to the nonhuman primates to prevent the ambient
temperature from falling below 45 F (7.2 C), except as directed by the
attending veterinarian and in accordance with generally accepted
professional and husbandry practices.
(c) Capacity: multiple shelters. The shelter must be sufficiently
large to comfortably provide protection for each nonhuman primate housed
in the facility. If aggressive or dominant animals are housed in the
facility with other animals there must be multiple shelters, or other
means to ensure protection for each nonhuman primate housed in the
facility.
(d) Perimeter fence. On and after February 15, 1994, an outdoor
housing facility must be enclosed by a fence that is of sufficient
height to keep unwanted species out. Fences less than 6 feet high must
be approved by the Administrator. The fence must be constructed so that
it protects nonhuman primates by restricting unauthorized humans, and
animals the size of dogs, skunks, and raccoons from going through it or
under it and having contact with the nonhuman primates. It must be of
sufficient distance from the outside wall or fence of the primary
enclosure to prevent physical contact between animals inside the
enclosure and outside the perimeter fence. Such fences less than 3 feet
in distance from the primary enclosure must be approved by the
Administrator. A perimeter fence is not required if:
(1) The outside walls of the primary enclosure are made of a sturdy,
durable material such as concrete, wood, plastic, metal, or glass, and
are high enough and constructed in a manner that restricts contact with
or entry by humans and animals that are outside the housing facility;
or
(2) The housing facility is surrounded by a natural barrier that
restricts the nonhuman primates to the housing facility and protects
them from contact with unauthorized humans and animals that are outside
the housing facility, and the Administrator gives written permission.
(e) Public barriers. Fixed public exhibits housing nonhuman
primates, such as zoos, must have a barrier between the primary
enclosure and the public at any time the public is present, in order to
restrict physical contact between the public and the nonhuman primates.
Nonhuman primates used in trained animal acts or in uncaged public
exhibits must be under the direct control and supervision of an
experienced handler or trainer at all times when the public is present.
Trained nonhuman primates may be allowed physical contact with the
public, but only if they are under the direct control and supervision of
an experienced handler or trainer at all times during the contact.
(Approved by the Office of Management and Budget under control number
0579-0093)
09 CFR 3.79 Mobile or traveling house facilities
(a) Heating, cooling, and temperature. Mobile or traveling housing
facilities must be sufficiently heated and cooled when necessary to
protect nonhuman primates from temperature extremes and to provide for
their health and well-being. The ambient temperature in the traveling
housing facility must not fall below 45 F (7.2 C) for more than 4
consecutive hours when nonhuman primates are present, and must not rise
above 85 F (29.5 C) for more than 4 consecutive hours when nonhuman
primates are present. The ambient temperature must be maintained at a
level that ensures the health and well-being of the species housed, as
directed by the attending veterinarian, and in accordance with generally
accepted professional and husbandry practices.
(b) Ventilation. Traveling housing facilities must be sufficiently
ventilated at all times when nonhuman primates are present to provide
for the health and well-being of nonhuman primates and to minimize
odors, drafts, ammonia levels, moisture condensation, and exhaust fumes.
Ventilation must be provided by means of windows, doors, vents, fans,
or air conditioning. Auxiliary ventilation, such as fans, blowers, or
air conditioning, must be provided when the ambient temperature in the
traveling housing facility is 85 F (29.5 C) or higher.
(c) Lighting. Mobile or traveling housing facilities must be lighted
well enough to permit routine inspection and cleaning of the facility,
and observation of the nonhuman primates. Animal areas must be provided
a regular diurnal lighting cycle of either natural or artificial light.
Lighting must be uniformly diffused throughout animal facilities and
provide sufficient illumination to aid in maintaining good housekeeping
practices, adequate cleaning, adequate inspection of animals, and for
the well-being of the animals. Primary enclosures must be placed in the
housing facility so as to protect the nonhuman primates from excessive
light.
(d) Public barriers. There must be a barrier between a mobile or
traveling housing facility and the public at any time the public is
present, in order to restrict physical contact between the nonhuman
primates and the public. Nonhuman primates used in traveling exhibits,
trained animal acts, or in uncaged public exhibits must be under the
direct control and supervision of an experienced handler or trainer at
all times when the public is present. Trained nonhuman primates may be
allowed physical contact with the public, but only if they are under the
direct control and supervision of an experienced handler or trainer at
all times during the contact.
09 CFR 3.80 Primary enclosures.
Primary enclosures for nonhuman primates must meet the following
minimum requirements:
(a) General requirements. (1) Primary enclosures must be designed
and constructed of suitable materials so that they are structurally
sound for the species of nonhuman primates contained in them. They must
be kept in good repair.
(2) Primary enclosures must be constructed and maintained so that
they:
(i) Have no sharp points or edges that could injure the nonhuman
primates;
(ii) Protect the nonhuman primates from injury;
(iii) Contain the nonhuman primates securely and prevent accidental
opening of the enclosure, including opening by the animal;
(iv) Keep other unwanted animals from entering the enclosure or
having physical contact with the nonhuman primates;
(v) Enable the nonhuman primates to remain dry and clean;
(vi) Provide shelter and protection from extreme temperatures and
weather conditions that may be uncomfortable or hazardous to the species
of nonhuman primate contained;
(vii) Provide sufficient shade to shelter all the nonhuman primates
housed in the primary enclosure at one time;
(viii) Provide the nonhuman primates with easy and convenient access
to clean food and water;
(ix) Enable all surfaces in contact with nonhuman primates to be
readily cleaned and sanitized in accordance with 3.84(b)(3) of this
subpart, or replaced when worn or soiled;
(x) Have floors that are constructed in a manner that protects the
nonhuman primates from injuring themselves; and
(xi) Provide sufficient space for the nonhuman primates to make
normal postural adjustments with freedom of movement.
(b) Minimum space requirements. Primary enclosures must meet the
minimum space requirements provided in this subpart. These minimum
space requirements must be met even if perches, ledges, swings, or other
suspended fixtures are placed in the enclosure. Low perches and ledges
that do not allow the space underneath them to be comfortably occupied
by the animal will be counted as part of the floor space.
(1) Prior to February 15, 1994:
(i) Primary enclosures must be constructed and maintained so as to
provide sufficient space to allow each nonhuman primate to make normal
postural adjustments with adequate freedom of movement; and
(ii) Each nonhuman primate housed in a primary enclosure must be
provided with a minimum floor space equal to an area at least three
times the area occupied by the primate when standing on four feet.
(2) On and after February 15, 1994:
(i) The minimum space that must be provided to each nonhuman primate,
whether housed individually or with other nonhuman primates, will be
determined by the typical weight of animals of its species, except for
brachiating species and great apes. /3/ and will be calculated by using
the following table: /4/
(ii) Dealers. exhibitors, and research facilities, including Federal
research facilities, must provide great apes weighing over 110 lbs. (50
kg) an additional volume of space in excess of that required for Group 6
animals as set forth in paragraph (b)(2)(i) of this section, to allow
for normal postural adjustments.
(iii) In the case of research facilities, any exemption from these
standards must be required by a research proposal or in the judgment of
the attending veterinarian and must be approved by the Committee. In
the case of dealers and exhibitors, any exemption from these standards
must be required in the judgment of the attending veterinarian and
approved by the Administrator.
(iv) When more than one nonhuman primate is housed in a primary
enclosure, the minimum space requirement for the enclosure is the sum of
the minimum floor area space required for each individual nonhuman
primate in the table in paragraph (b)(2)(i) of this section, and the
minimum height requirement for the largest nonhuman primate housed in
the enclosure. Provided however, that mothers with infants less than 6
months of age may be maintained together in primary enclosures that meet
the floor area space and height requirements of the mother.
(c) Innovative primary enclosures not precisely meeting the floor
area and height requirements provided in paragraphs (b)(1) and (b)(2) of
this section, but that do provide nonhuman primates with a sufficient
volume of space and the opportunity to express species-typical behavior,
may be used at research facilities when approved by the Committee, and
by dealers and exhibitors when approved by the Administrator.
(Approved by the Office of Management and Budget under control number
0579-0093)
/3/ The different species of nonhuman primates are divided into six
weight groups for determining minimum space requirements, except that
all brachiating species of any weight are grouped together since they
require additional space to engage in species-typical behavior. The
grouping provided is based upon the typical weight for various species
and not on changes associated with obesity, aging, or pregnancy. These
conditions will not be considered in determining a nonhuman primate's
weight group unless the animal is obviously unable to make normal
postural adjustments and movements within the primary enclosure.
Different species of prosimians vary in weight and should be grouped
with their appropriate weight group. They have not been included in the
weight table since different species typically fall into different
weight groups. Infants and juveniles of certain species are
substantially lower in weight than adults of those species and require
the minimum space requirements of lighter weight species, unless the
animal is obviously unable to make normal postural adjustments and
movements within the primary enclosure.
/4/ Examples of the kinds of nonhuman primates typically included in
each age group are:
Group 1 -- marmosets, tamarins, and infants (less than 6 months of
age) of various species.
Group 2 -- capuchins, squirrel monkeys and similar size species, and
juveniles (6 months to 3 years of age) of various species.
Group 3 -- macaques and African species.
Group 4 -- male macaques and large African species.
Group 5 -- baboons and nonbrachiating species larger than 33.0 lbs.
(15 kg.).
Group 6 -- great apes over 55.0 lbs. (25 kg.), except as provided in
paragraph (b)(2)(ii) of this section, and brachiating species.
09 CFR 3.81 Environment enhancement to promote psychological
well-being.
Dealers, exhibitors, and research facilities must develop, document,
and follow an appropriate plan for environment enhancement adequate to
promote the psychological well-being of nonhuman primates. The plan
must be in accordance with the currently accepted professional standards
as cited in appropriate professional journals or reference guides, and
as directed by the attending veterinarian. This plan must be made
available to APHIS upon request, and, in the case of research
facilities, to officials of any pertinent funding agency. The plan, at
a minimum, must address each of the following:
(a) Social grouping. The environment enhancement plan must include
specific provisions to address the social needs of nonhuman primates of
species known to exist in social groups in nature. Such specific
provisions must be in accordance with currently accepted professional
standards, as cited in appropriate professional journals or reference
guides, and as directed by the attending veterinarian. The plan may
provide for the following exceptions:
(1) If a nonhuman primate exhibits vicious or overly aggressive
behavior, or is debilitated as a result of age or other conditions
(e.g., arthritis), it should be housed separately;
(2) Nonhuman primates that have or are suspected of having a
contagious disease must be isolated from healthy animals in the colony
as directed by the attending veterinarian. When an entire group or room
of nonhuman primates is known to have or believed to be exposed to an
infectious agent, the group may be kept intact during the process of
diagnosis, treatment, and control.
(3) Nonhuman primates may not be housed with other species of
primates or animals unless they are compatible, do not prevent access to
food, water, or shelter by individual animals. and are not known to be
hazardous to the health and well-being of each other. Compatibility of
nonhuman primates must be determined in accordance with generally
accepted professional practices and actual observations, as directed by
the attending veterinarian, to ensure that the nonhuman primates are in
fact compatible. Individually housed nonhuman primates must be able to
see and hear nonhuman primates of their own or compatible species unless
the attending veterinarian determines that it would endanger their
health, safety, or well-being.
(b) Environmental enrichment. The physical environment in the
primary enclosures must be enriched by providing means of expressing
noninjurious species-typical activities. Species differences should be
considered when determining the type or methods of enrichment. Examples
of environmental enrichments include providing perches, swings, mirrors,
and other increased cage complexities; providing objects to manipulate;
varied food items; using foraging or task-oriented feeding methods;
and providing interaction with the care giver or other familiar and
knowledgeable person consistent with personnel safety precautions.
(c) Special considerations. Certain nonhuman primates must be
provided special attention regarding enhancement of their environment,
based on the needs of the individual species and in accordance with the
instructions of the attending veterinarian. Nonhuman primates requiring
special attention are the following:
(1) Infants and young juveniles;
(2) Those that show signs of being in psychological distress through
behavior or appearance;
(3) Those used in research for which the Committee-approved protocol
requires restricted activity;
(4) Individually housed nonhuman primates that are unable to see and
hear nonhuman primates of their own or compatible species; and
(5) Great apes weighing over 110 lbs. (50 kg). Dealers, exhibitors,
and research facilities must include in the environment enhancement plan
special provisions for great apes weighing over 110 lbs. (50 kg),
including additional opportunities to express species-typical behavior.
(d) Restraint devices. Nonhuman primates must not be maintained in
restraint devices unless required for health reasons as determined by
the attending veterinarian or by a research proposal approved by the
Committee at research facilities. Maintenance under such restraint must
be for the shortest period possible. In instances where long-term (more
than 12 hours) restraint is required, the nonhuman primate must be
provided the opportunity daily for unrestrained activity for at least
one continuous hour during the period of restraint, unless continuous
restraint is required by the research proposal approved by the Committee
at research facilities.
(e) Exemptions. (1) The attending veterinarian may exempt an
individual nonhuman primate from participation in the environment
enhancement plan because of its health or condition, or in consideration
of its well-being. The basis of the exemption must be recorded by the
attending veterinarian for each exempted nonhuman primate. Unless the
basis for the exemption is a permanent condition, the exemption must be
reviewed at least every 30 days by the attending veterinarian.
(2) For a research facility, the Committee may exempt an individual
nonhuman primate from participation in some or all of the otherwise
required environment enhancement plans for scientific reasons set forth
in the research proposal. The basis of the exemption shall be
documented in the approved proposal and must be reviewed at appropriate
intervals as determined by the Committee, but not less than annually.
(3) Records of any exemptions must be maintained by the dealer,
exhibitor, or research facility and must be made available to USDA
officials or officials of any pertinent funding Federal agency upon
request.
(Approved by the Office of Management and Budget under control number
0579-0093)
09 CFR 3.81 Animal Health and Husbandry Standards
09 CFR 3.82 Feeding.
(a) The diet for nonhuman primates must be appropriate for the
species, size, age, and condition of the animal, and for the conditions
in which the nonhuman primate is maintained, according to generally
accepted professional and husbandry practices and nutritional standards.
The food must be clean, wholesome, and palatable to the animals. It
must be of sufficient quantity and have sufficient nutritive value to
maintain a healthful condition and weight range of the animal and to
meet its normal daily nutritional requirements.
(b) Nonhuman primates must be fed at least once each day except as
otherwise might be required to provide adequate veterinary care. Infant
and juvenile nonhuman primates must be fed as often as necessary in
accordance with generally accepted professional and husbandry practices
and nutritional standards, based upon the animals' age and condition.
(c) Food and food receptacles, if used, must be readily accessible to
all the nonhuman primates being fed. If members of dominant nonhuman
primate or other species are fed together with other nonhuman primates,
multiple feeding sites must be provided. The animals must be observed
to determine that all receive a sufficient quantity of food.
(d) Food and food receptacles, if used, must be located so as to
minimize any risk of contamination by excreta and pests. Food
receptacles must be kept clean and must be sanitized in accordance with
the procedures listed in 3.84(b)(3) of this subpart at least once every
2 weeks. Used food receptacles must be sanitized before they can be
used to provide food to a different nonhuman primate or social grouping
of nonhuman primates. Measures must be taken to ensure there is no
molding, deterioration, contamination, or caking or wetting of food
placed in self-feeders.
09 CFR 3.83 Watering.
Potable water must be provided in sufficient quantity to every
nonhuman primate housed at the facility. If potable water is not
continually available to the nonhuman primates, it must be offered to
them as often as necessary to ensure their health and well-being, but no
less than twice daily for at least l hour each time, unless otherwise
required by the attending veterinarian, or as required by the research
proposal approved by the Committee at research facilities. Water
receptacles must be kept clean and sanitized in accordance with methods
provided in 3.84(b)(3) of this subpart at least once every 2 weeks or
as often as necessary to keep them clean and free from contamination.
Used water receptacles must be sanitized before they can be used to
provide water to a different nonhuman primate or social grouping of
nonhuman primates.
(Approved by the Office of Management and Budget under control number
0579-0093)
09 CFR 3.84 Cleaning, sanitization, housekeeping, and pest control.
(a) Cleaning of primary enclosures. Excreta and food waste must be
removed from inside each indoor primary enclosure daily and from
underneath them as often as necessary to prevent an excessive
accumulation of feces and food waste, to prevent the nonhuman primates
from becoming soiled, and to reduce disease hazards, insects, pests, and
odors. Dirt floors, floors with absorbent bedding, and planted areas in
primary enclosures must be spot-cleaned with sufficient frequency to
ensure all animals the freedom to avoid contact with excreta, or as
often as necessary to reduce disease hazards, insects, pests, and odors.
When steam or water is used to clean the primary enclosure, whether by
hosing, flushing, or other methods, nonhuman primates must be removed,
unless the enclosure is large enough to ensure the animals will not be
harmed, wetted, or distressed in the process. Perches, bars, and
shelves must be kept clean and replaced when worn. If the species of
the nonhuman primates housed in the primary enclosure engages in scent
marking, hard surfaces in the primary enclosure must be spot-cleaned
daily.
(b) Sanitization of primary enclosures and food and water
receptacles.
(1) A used primary enclosure must be sanitized in accordance with
this section before it can be used to house another nonhuman primate or
group of nonhuman primates.
(2) Indoor primary enclosures must be sanitized at least once every 2
weeks and as often as necessary to prevent an excessive accumulation of
dirt, debris, waste, food waste, excreta, or disease hazard, using one
of the methods prescribed in paragraph (b)(3) of this section. However,
if the species of nonhuman primates housed in the primary enclosure
engages in scent marking, the primary enclosure must be sanitized at
regular intervals determined in accordance with generally accepted
professional and husbandry practices.
(3) Hard surfaces of primary enclosures and food and water
receptacles must be sanitized using one of the following methods:
(i) Live steam under pressure;
(ii) Washing with hot water (at least 180 F (82.2 C)) and soap or
detergent, such as in a mechanical cage washer;
(iii) Washing all soiled surfaces with appropriate detergent
solutions or disinfectants, or by using a combination
detergent/disinfectant product that accomplishes the same purpose, with
a thorough cleaning of the surfaces to remove organic material, so as to
remove all organic material and mineral buildup, and to provide
sanitization followed by a clean water rinse.
(4) Primary enclosures containing material that cannot be sanitized
using the methods provided in paragraph (b)(3) of this section, such as
sand, gravel, dirt, absorbent bedding, grass, or planted areas, must be
sanitized by removing the contaminated material as necessary to prevent
odors, diseases, pests, insects, and vermin infestation.
(c) Housekeeping for premises. Premises where housing facilities are
located, including buildings and surrounding grounds, must be kept clean
and in good repair in order to protect the nonhuman primates from
injury, to facilitate the husbandry practices required in this subpart,
and to reduce or eliminate breeding and living areas for rodents, pests,
and vermin. Premises must be kept free of accumulations of trash, junk,
waste, and discarded matter. Weeds, grass, and bushes must be
controlled so as to facilitate cleaning of the premises and pest
control.
(d) Pest control. An effective program for control of insects,
external parasites affecting nonhuman primates, and birds and mammals
that are pests, must be established and maintained so as to promote the
health and well-being of the animals and reduce contamination by pests
in animal areas.
09 CFR 3.85 Employees.
Every person subject to the Animal Welfare regulations (9 CFR parts
1, 2, and 3) maintaining nonhuman primates must have enough employees to
carry out the level of husbandry practices and care required in this
subpart. The employees who provide husbandry practices and care, or
handle nonhuman primates, must be trained and supervised by an
individual who has the knowledge, background, and experience in proper
husbandry and care of nonhuman primates to supervise others. The
employer must be certain that the supervisor can perform to these
standards.
09 CFR 3.85 Transportation Standards
09 CFR 3.86 Consignments to carriers and intermediate handlers.
(a) Carriers and intermediate handlers must not accept a nonhuman
primate for transport in commerce more than 4 hours before the scheduled
departure time of the primary conveyance on which the animal is to be
transported. However, a carrier or intermediate handler may agree with
anyone consigning a nonhuman primate to extend this time by up to 2
hours.
(b) Carriers and intermediate handlers must not accept a nonhuman
primate for transport in commerce unless they are provided with the
name, address, telephone number, and telex number, if applicable, of the
consignee.
(c) Carriers and intermediate handlers must not accept a nonhuman
primate for transport in commerce unless the consignor certifies in
writing to the carrier or intermediate handler that the nonhuman primate
was offered food and water during the 4 hours before delivery to the
carrier or intermediate handler. The certification must be securely
attached to the outside of the primary enclosure in a manner that makes
it easily noticed and read. Instructions for no food or water are not
acceptable unless directed by the attending veterinarian. Instructions
must be in compliance with 3.89 of this subpart. The certification
must include the following information for each nonhuman primate:
(1) The consignor's name and address;
(2) The species of nonhuman primate;
(3) The time and date the animal was last fed and watered and the
specific instructions for the next feeding(s) and watering(s) for a
24-hour period; and
(4) The consignor's signature and the date and time the certification
was signed.
(d) Carriers and intermediate handlers must not accept a nonhuman
primate for transport in commerce unless the primary enclosure meets the
requirements of 3.87 of this subpart. A carrier or intermediate
handler must not accept a nonhuman primate for transport if the primary
enclosure is obviously defective or damaged and cannot reasonably be
expected to safely and comfortably contain the nonhuman primate without
suffering or injury.
(e) Carriers and intermediate handlers must not accept a nonhuman
primate for transport in commerce unless their animal holding area
facilities meet the minimum temperature requirements provided in 3.91
and 3.92 of this subpart, or unless the consignor provides them with a
certificate signed by a veterinarian and dated no more than 10 days
before delivery of the animal to the carrier or intermediate handler for
transport in commerce, certifying that the animal is acclimated to
temperatures lower than those that are required in 3.91 and 3.92 of
this subpart. Even if the carrier or intermediate handler receives this
certification, the temperatures the nonhuman primate is exposed to while
in the carrier's or intermediate handler's custody must not be lower
than the minimum temperature specified by the veterinarian in accordance
with paragraph (e)(4) of this section, and must be reasonably within the
generally and professionally accepted temperature range for the nonhuman
primate, as determined by the veterinarian, considering its age,
condition, and species. A copy of the certification must accompany the
nonhuman primate to its destination and must include the following
information for each primary enclosure:
(1) The consignor's name and address;
(2) The number of nonhuman primates contained in the primary
enclosure;
(3) The species of nonhuman primate contained in the primary
enclosure;
(4) A statement by a veterinarian that to the best of his or her
knowledge, each of the nonhuman primates contained in the primary
enclosure is acclimated to air temperatures lower than 50 F (10 C),
but not lower than a minimum temperature specified on the certificate
based on the generally and professionally accepted temperature range for
the nonhuman primate, considering its age, condition, and species; and
(5) The veterinarian's signature and the date the certification was
signed.
(f) When a primary enclosure containing a nonhuman primate has
arrived at the animal holding area of a terminal facility after
transport, the carrier or intermediate handler must attempt to notify
the consignee upon arrival and at least once in every 6-hour period
after arrival. The time, date, and method of all attempted
notifications and the actual notification of the consignee, and the name
of the person who notifies or attempts to notify the consignee must be
written either on the carrier's or intermediate handler's copy of the
shipping document or on the copy that accompanies the primary enclosure.
If the consignee cannot be notified within 24 hours after the nonhuman
primate has arrived at the terminal facility, the carrier or
intermediate handler must return the animal to the consignor or to
whomever the consignor designates. If the consignee is notified of the
arrival and does not take physical delivery of the nonhuman primate
within 48 hours after arrival of the nonhuman primate, the carrier or
intermediate handler must return the animal to the consignor or to
whomever the consignor designates. The carrier or intermediate handler
must continue to provide proper care, feeding, and housing to the
nonhuman primate, and maintain the nonhuman primate in accordance with
generally accepted professional and husbandry practices until the
consignee accepts delivery of the nonhuman primate or until it is
returned to the consignor or to whomever the consignor designates. The
carrier or intermediate handler must obligate the consignor to reimburse
the carrier or intermediate handler for the cost of return
transportation and care.
(Approved by the Office of Management and Budget under control number
0579-0093)
09 CFR 3.87 Primary enclosures used to transport nonhuman primates.
Any person subject to the Animal Welfare regulations (9 CFR parts 1,
2, and 3) must not transport or deliver for transport in commerce a
nonhuman primate unless it is contained in a primary enclosure, such as
a compartment, transport cage, carton, or crate, and the following
requirements are met:
(a) Construction of primary enclosures. Primary enclosures used to
transport nonhuman primates may be connected or attached to each other
and must be constructed so that:
(1) The primary enclosure is strong enough to contain the nonhuman
primate securely and comfortably and to withstand the normal rigors of
transportation;
(2) The interior of the enclosure has no sharp points or edges and no
protrusions that could injure the animal contained in it;
(3) The nonhuman primate is at all times securely contained within
the enclosure and cannot put any part of its body outside the enclosure
in a way that could result in injury to the animal, or to persons or
animals nearby;
(4) The nonhuman primate can be easily and quickly removed from the
enclosure in an emergency;
(5) The doors or other closures that provide access into the
enclosure are secured with animal-proof devices that prevent accidental
opening of the enclosure, including opening by the nonhuman primate;
(6) Unless the enclosure is permanently affixed to the conveyance,
adequate devices such as handles or handholds are provided on its
exterior, and enable the enclosure to be lifted without tilting it, and
ensure that anyone handling the enclosure will not come into physical
contact with the animal contained inside;
(7) Any material, treatment, paint, preservative, or other chemical
used in or on the enclosure is nontoxic to the animal and not harmful to
the health or well-being of the animal;
(8) Proper ventilation is provided to the nonhuman primate in
accordance with paragraph (c) of this section;
(9) Ventilation openings are covered with bars, wire mesh, or smooth
expanded metal having air spaces; and
(10) The primary enclosure has a solid, leak-proof bottom, or a
removable, leak-proof collection tray under a slatted or wire mesh floor
that prevents seepage of waste products, such as excreta and body
fluids, outside of the enclosure. If a slatted or wire mesh floor is
used in the enclosure, it must be designed and constructed so that the
animal cannot put any part of its body between the slats or through the
holes in the mesh. It must contain enough previously unused litter to
absorb and cover excreta. The litter must be of a suitably absorbent
material that is safe and nontoxic to the nonhuman primate and is
appropriate for the species transported in the primary enclosure.
(b) Cleaning of primary enclosures. A primary enclosure used to hold
or transport nonhuman primates in commerce must be cleaned and sanitized
before each use in accordance with the methods provided in 3.84(b)(3)
of this subpart.
(c) Ventilation. (1) If the primary enclosure is movable,
ventilation openings must be constructed in one of the following ways:
(i) If ventilation openings are located on two opposite walls of the
primary enclosure, the openings on each wall must be at least 16 percent
of the total surface area of each such wall and be located above the
midline of the enclosure; or
(ii) If ventilation openings are located on all four walls of the
primary enclosure, the openings on every wall must be at least 8 percent
of the total surface area of each such wall and be located above the
midline of the enclosure.
(2) Unless the primary enclosure is permanently affixed to the
conveyance, projecting rims or similar devices must be located on the
exterior of each enclosure wall having a ventilation opening, in order
to prevent obstruction of the openings. The projecting rims or similar
devices must be large enough to provide a minimum air circulation space
of 0.75 inches (1.9 centimeters) between the primary enclosure and
anything the enclosure is placed against.
(3) If a primary enclosure is permanently affixed to the primary
conveyance so that there is only a front ventilation opening for the
enclosure, the primary enclosure must be affixed to the primary
conveyance in such a way that the front ventilation opening cannot be
blocked, and the front ventilation opening must open directly to an
unobstructed aisle or passageway inside of the conveyance. The
ventilation opening must be at least 90 percent of the total area of the
front wall of the enclosure, and must be covered with bars, wire mesh,
or smooth expanded metal having air spaces.
(d) Compatibility. (1) Only one live nonhuman primate may be
transported in a primary enclosure, except as follows:
(i) A mother and her nursing infant may be transported together;
(ii) An established male-female pair or family group may be
transported together, except that a female in estrus must not be
transported with a male nonhuman primate;
(iii) A compatible pair of juveniles of the same species that have
not reached puberty may be transported together.
(2) Nonhuman primates of different species must not be transported in
adjacent or connecting primary enclosures.
(e) Space requirements. Primary enclosures used to transport
nonhuman primates must be large enough so that each animal contained in
the primary enclosure has enough space to turn around freely in a normal
manner and to sit in an upright, hands down position without its head
touching the top of the enclosure. However, certain larger species may
be restricted in their movements, in accordance with professionally
accepted standards of care, when greater freedom of movement would be
dangerous to the animal, its handler, or to other persons.
(f) Marking and labeling. Primary enclosures, other than those that
are permanently affixed to a conveyance, must be clearly marked in
English on the top and on one or more sides with the words ''Wild
Animals,'' or ''Live Animals,'' in letters at least 1 inch (2.5 cm.)
high, and with arrows or other markings to indicate the correct upright
position of the primary enclosure. Permanently affixed primary
enclosures must be clearly marked in English with the words ''Wild
Animals'' or ''Live Animals,'' in the same manner.
(g) Accompanying documents and records. Shipping documents that must
accompany shipments of nonhuman primates may be held by the operator of
the primary conveyance, for surface transportation only, or must be
securely attached in a readily accessible manner to the outside of any
primary enclosure that is part of the shipment, in a manner that allows
them to be detached for examination and securely reattached, such as in
a pocket or sleeve. Instructions for administration of drugs,
medication, and other special care must be attached to each primary
enclosure in a manner that makes them easy to notice, to detach for
examination, and to reattach securely. Food and water instructions must
be attached in accordance with 3.86(c) of this subpart.
(Approved by the Office of Management and Budget under control number
0579-0093)
09 CFR 3.88 Primary conveyances (motor vehicle, rail, air, and marine).
(a) The animal cargo space of primary conveyances used to transport
nonhuman primates must be designed, constructed, and maintained in a
manner that at all times protects the health and well-being of the
animals transported in it, ensures their safety and comfort, and
prevents the entry of engine exhaust from the primary conveyance during
transportation.
(b) The animal cargo space must have a supply of air that is
sufficient for the normal breathing of all the animals being transported
in it.
(c) Each primary enclosure containing nonhuman primates must be
positioned in the animal cargo space in a manner that provides
protection from the elements and that allows each nonhuman primate
enough air for normal breathing.
(d) During air transportation, the ambient temperature inside a
primary conveyance used to transport nonhuman primates must be
maintained at a level that ensures the health and well-being of the
species housed, in accordance with generally accepted professional and
husbandry practices, at all times a nonhuman primate is present.
(e) During surface transportation, the ambient temperature inside a
primary conveyance used to transport nonhuman primates must be
maintained between 45 F (7.2 C) and 85 F (30 C) at all times a
nonhuman primate is present.
(f) A primary enclosure containing a nonhuman primate must be placed
far enough away from animals that are predators or natural enemies of
nonhuman primates, whether the other animals are in primary enclosures
or not, so that the nonhuman primate cannot touch or see the other
animals.
(g) Primary enclosures must be positioned in the primary conveyance
in a manner that allows the nonhuman primates to be quickly and easily
removed from the primary conveyance in an emergency.
(h) The interior of the animal cargo space must be kept clean
(i) Nonhuman primates must not be transported with any material,
substance (e.g., dry ice), or device in a manner that may reasonably be
expected to harm the nonhuman primates or cause inhumane conditions.
09 CFR 3.89 Food and water requirements.
(a) Each nonhuman primate that is 1 year of age or more must be
offered food /5/ at least once every 24 hours. Each nonhuman primate
that is less than 1 year of age must be offered food at least once every
12 hours. Each nonhuman primate must be offered potable water at least
once every 12 hours. These time periods apply to dealers, exhibitors,
and research facilities, including Federal research facilities, who
transport nonhuman primates in their own primary conveyances, starting
from the time the nonhuman primate was last offered food and potable
water before transportation was begun. These time periods apply to
carriers and intermediate handlers starting from the date and time
stated on the certification provided under 3.86(c) of this subpart Each
nonhuman primate must be offered food and potable water within 4 hours
before being transported in commerce. Consignors who are subject to the
Animal Welfare regulations (9 CFR parts 1, 2, and 3) must certify that
each nonhuman primate was offered food and potable water within the 4
hours preceding delivery of the nonhuman primate to a carrier or
intermediate handler for transportation in commerce, and must certify
the date and time the food and potable water was offered, in accordance
with 3.86(c) of this subpart.
(b) Any dealer, exhibitor, or research facility, including a Federal
research facility, offering a nonhuman primate to a carrier or
intermediate handler for transportation in commerce must securely attach
to the outside of the primary enclosure used for transporting the
nonhuman primate, written instructions for a 24-hour period for the
in-transit food and water requirements of the nonhuman primate(s)
contained in the enclosure. The instructions must be attached in a
manner that makes them easily noticed and read.
(c) Food and water receptacles must be securely attached inside the
primary enclosure and placed so that the receptacles can be filled from
outside of the enclosure without opening the door. Food and water
receptacles must be designed, constructed, and installed so that a
nonhuman primate cannot leave the primary enclosure through the food or
water opening.
(Approved by the Office of Management and Budget under control number
0579-0093)
/5/ Proper food for purposes of this section is described in 3.82 of
this subpart, with the necessities and circumstances of the mode of
travel taken into account.
09 CFR 3.90 Care in transit.
(a) Surface transportation (ground and water). Any person subject to
the Animal Welfare regulations (9 CFR parts 1, 2, and 3) transporting
nonhuman primates in commerce must ensure that the operator of the
conveyance or a person accompanying the operator of the conveyance
observes the nonhuman primates as often as circumstances allow, but not
less than once every 4 hours, to make sure that they have sufficient air
for normal breathing, that the ambient temperature is within the limits
provided in 3.88(d) of this subpart, and that all other applicable
standards of this subpart are being complied with. The regulated person
transporting the nonhuman primates must ensure that the operator or the
person accompanying the operator determines whether any of the nonhuman
primates are in obvious physical distress, and obtains any veterinary
care needed for the nonhuman primates at the closest available
veterinary facility.
(b) Air transportation. During air transportation of nonhuman
primates, it is the responsibility of the carrier to observe the
nonhuman primates as frequently as circumstances allow, but not less
than once every 4 hours if the animal cargo area is accessible during
flight. If the animal cargo area is not accessible during flight, the
carrier must observe the nonhuman primates whenever they are loaded and
unloaded and whenever the animal cargo space is otherwise accessible to
make sure that the nonhuman primates have sufficient air for normal
breathing, that the ambient temperature is within the limits provided in
3.88(d) of this subpart, and that all other applicable standards of
this subpart are being complied with. The carrier must determine
whether any of the nonhuman primates is in obvious physical distress,
and arrange for any needed veterinary care for the nonhuman primates as
soon as possible.
(c) If a nonhuman primate is obviously ill, injured, or in physical
distress, it must not be transported in commerce, except to receive
veterinary care for the condition.
(d) During transportation in commerce, a nonhuman primate must not be
removed from its primary enclosure unless it is placed in another
primary enclosure or a facility that meets the requirements of 3.80 or
3.87 of this subpart. Only persons who are experienced and authorized
by the shipper, or authorized by the consignor or the consignee upon
delivery, if the animal is consigned for transportation, may remove
nonhuman primates from their primary enclosure during transportation in
commerce, unless required for the health or well-being of the animal.
(e) The transportation regulations contained in this subpart must be
complied with until a consignee takes physical delivery of the animal if
the animal is consigned for transportation, or until the animal is
returned to the consignor.
09 CFR 3.91 Terminal facilities.
(a) Placement. Any persons subject to the Animal Welfare regulations
(9 CFR parts l, 2, and 3) must not commingle shipments of nonhuman
primates with inanimate cargo or with other animals in animal holding
areas of terminal facilities. Nonhuman primates must not be placed near
any other animals, including other species of nonhuman primates, and
must not be able to touch or see any other animals, including other
species of nonhuman primates.
(b) Cleaning, sanitization, and pest control. All animal holding
areas of terminal facilities must be cleaned and sanitized in a manner
prescribed in 3.84(b)(3) of this subpart, as often as necessary to
prevent an accumulation of debris or excreta and to minimize vermin
infestation and disease hazards. Terminal facilities must follow an
effective program in all animal holding areas for the control of
insects, ectoparasites, and birds and mammals that are pests of nonhuman
primates.
(c) Ventilation. Ventilation must be provided in any animal holding
area in a terminal facility containing nonhuman primates by means of
windows, doors, vents, or air conditioning. The air must be circulated
by fans, blowers, or air conditioning so as to minimize drafts, odors,
and moisture condensation. Auxiliary ventilation, such as exhaust fans,
vents, fans, blowers, or air conditioning, must be used in any animal
holding area containing nonhuman primates when the ambient temperature
is 85 F (29.5 C) or higher.
(d) Temperature. The ambient temperature in an animal holding area
containing nonhuman primates must not fall below 45 F (7.2 C) or rise
above 85 F (29.5 C) for more than four consecutive hours at any time
nonhuman primates are present. The ambient temperature must be measured
in the animal holding area by the carrier, intermediate handler, or a
person transporting nonhuman primates who is subject to the Animal
Welfare regulations (9 CFR parts 1, 2, and 3), outside any primary
enclosure containing a nonhuman primate at a point not more than 3 feet
(0.91 m.) away from an outside wall of the primary enclosure, on a level
that is even with the enclosure and approximately midway up the side of
the enclosure.
(e) Shelter. Any person subject to the Animal Welfare regulations (9
CFR parts l, 2, and 3) holding a nonhuman primate in an animal holding
area of a terminal facility must provide the following:
(1) Shelter from sunlight and extreme heat. Shade must be provided
that is sufficient to protect the nonhuman primate from the direct rays
of the sun.
(2) Shelter from rain or snow. Sufficient protection must be
provided to allow nonhuman primates to remain dry during rain, snow, and
other precipitation.
(f) Duration. The length of time any person subject to the Animal
Welfare regulations (9 CFR parts 1, 2, and 3) can hold a nonhuman
primate in an animal holding area of a terminal facility upon arrival is
the same as that provided in 3.86(f) of this subpart.
09 CFR 3.92 Handling.
(a) Any person subject to the Animal Welfare regulations (9 CFR parts
1, 2, and 3) who moves (including loading and unloading) nonhuman
primates within, to, or from the animal holding area of a terminal
facility or a primary conveyance must do so as quickly and efficiently
as possible, and must provide the following during movement of the
nonhuman primate:
(1) Shelter from sunlight and extreme heat. Sufficient shade must be
provided to protect the nonhuman primate from the direct rays of the
sun. A nonhuman primate must not be exposed to an ambient temperature
above 85 F (29.5 C) for a period of more than 45 minutes while being
moved to or from a primary conveyance or a terminal facility, The
ambient temperature must be measured in the manner provided in 3.91(d)
of this subpart.
(2) Shelter from rain or snow. Sufficient protection must be
provided to allow nonhuman primates to remain dry during rain, snow, and
other precipitation.
(3) Shelter from cold temperatures. Transporting devices on which
nonhuman primates are placed to move them must be covered to protect the
animals when the outdoor temperature falls below 45 F (7.2 C). A
nonhuman primate must not be exposed to an ambient air temperature below
45 F (7.2 C) for a period of more than 45 minutes, unless it is
accompanied by a certificate of acclimation to lower temperatures as
provided in 3.86(e) of this subpart. The ambient temperature must be
measured in the manner provided in 3.91(d) of this subpart.
(b) Any person handling a primary enclosure containing a nonhuman
primate must use care and must avoid causing physical harm or distress
to the nonhuman primate.
(1) A primary enclosure containing a nonhuman primate must not be
placed on unattended conveyor belts or on elevated conveyor belts, such
as baggage claim conveyor belts and inclined conveyor ramps that lead to
baggage claim areas, at any time; except that a primary enclosure may
be placed on inclined conveyor ramps used to load and unload aircraft if
an attendant is present at each end of the conveyor belt.
(2) A primary enclosure containing a nonhuman primate must not be
tossed, dropped, or needlessly tilted, and must not be stacked in a
manner that may reasonably be expected to result in its falling. It
must be handled and positioned in the manner that written instructions
and arrows on the outside of the primary enclosure indicate.
(c) This section applies to movement of a nonhuman primate from
primary conveyance to primary conveyance, within a primary conveyance or
terminal facility, and to or from a terminal facility or a primary
conveyance.
(Approved by the Office of Management and Budget under control number
0579-0093)
09 CFR 3.92 Subpart E -- Specifications for the Humane Handling, Care,
Treatment, and Transportation of Marine Mammals
Authority: Secs. 3, 5, 6, 10, 11, 12, 16, 17, 21, 80 Stat. 351,
352, 353, 84 Stat. 1561, 1562, 1563, 1564, 90 Stat. 418, 419, 420,
423, (7 U.S.C. 2133, 2135, 2136, 2140, 2141, 2142, 2143, 2144, 2146,
2147, 2151); 37 FR 28464, 28477, 38 FR 19141.
Source: 44 FR 36874, June 22, 1979, unless otherwise noted.
09 CFR 3.92 Facilities and Operating Standards
09 CFR 3.100 Special considerations regarding compliance and/or
variance.
(a) All persons subject to the Animal Welfare Act who maintain or
otherwise handle marine mammals in captivity must comply with the
provisions of this subpart, except that they may apply for and be
granted a variance,1 by the Deputy Administrator, from one or more
specified provisions of 3.104. The provisions of this subpart shall not
apply, however, in emergency circumstances where compliance with one or
more requirements would not serve the best interest of the marine
mammals concerned.
(b) An application for a variance must be made to the Deputy
Administrator in writing. The request must include:
(1) The species and number of animals involved,
(2) A statement from the attending veterinarian concerning the age
and health status of the animals involved, and concerning whether the
granting of a variance would be detrimental to the marine mammals
involved,
(3) Each provision of the regulations that is not met,
(4) The time period requested for a variance,
(5) The specific reasons why a variance is requested, and
(6) The estimated cost of coming into compliance, if construction is
involved.
(c) After receipt of an application for a variance, the Deputy
Administrator may require the submission in writing of a report by two
experts recommended by the American Association of Zoological Parks and
Aquariums and approved by the Deputy Administrator concerning potential
adverse impacts on the animals involved or on other matters relating to
the effects of the requested variance on the health and well-being of
such marine mammals. Such a report will be required only in those cases
when the Deputy Administrator determines that such expertise is
necessary to determine whether the granting of a variance would cause a
situation detrimental to the health and well-being of the marine mammals
involved. The cost of such report is to be paid by the applicant.
(d) Variances granted for facilities because of ill or infirm marine
mammals that cannot be moved without placing their well-being in
jeopardy, or for facilities within 0.3048 meters (1 foot) of compliance
with any space requirement may be granted for up to the life of the
marine mammals involved. Otherwise, variances shall be granted for a
period not exceeding July 30, 1986, Provided, however, That under
circumstances deemed justified by the Deputy Administrator, a maximum
extension of 1 year may be granted to attain full compliance. A written
request for the extension must be received by the Deputy Administrator
by May 30, 1986. Consideration for extension by the Deputy
Administrator will be limited to unforeseen or unusual situations such
as when necessary public funds cannot be allocated in an appropriate
time frame for a facility to attain full compliance by July 30, 1986.
(e) The Deputy Administrator shall deny any application for a
variance if he determines that it is not justified under the
circumstances or that allowing it will be detrimental to the health and
well-being of the marine mammals involved.
(f) Any facility housing marine mammals that does not meet all of the
space requirements as of July 30, 1984, must meet all of the
requirements by September 28, 1984, or may operate without meeting such
requirements until action is taken on an application for a variance if
the application is submitted to the Deputy Administrator on or before
September 28, 1984.
(g) A research facility may be granted a variance from specified
requirements of this subpart when such variance is necessary for
research purposes and is fully explained in the experimental design.
Any time limitation stated in this section shall not be applicable in
such case.
(49 FR 26681, June 28, 1984)
1Written permission from the Deputy Administrator to operate as a
licensee or registrant under the Act without being in full compliance
with one or more specified provisions of 3.104.
09 CFR 3.101 Facilities, general.
(a) Construction requirements. (1) Indoor and outdoor housing
facilities for marine mammals shall be structurally sound and shall be
maintained in good repair, to protect the animals from injury, to
contain the animals, and to restrict the entrance of unwanted animals.
(2) All marine mammals shall be provided with protection from abuse
and harassment by the viewing public by the use of a sufficient number
of employees or attendants to supervise the viewing public, or by
physical barriers, such as fences, walls, glass partitions, or distance,
or both.
(3) Any primary enclosure pool, except for natural seawater pools
subject to tidal action, shall be constructed of materials having a
nonporous, waterproof finish, which facilitate proper cleaning and
disinfection, and shall be maintained in good repair as part of a
regular ongoing maintenance program. Any ramps or haul-out areas for
primary enclosure pools, and any natural seawater pools subject to tidal
action, shall be constructed of materials which facilitate proper
cleaning and disinfection and shall be maintained in good repair as part
of a regular ongoing maintenance program.
(4) Facilities which utilize natural water areas, such as tidal
basins, bays, or estuaries (subject to natural tidewater action) used
for housing marine mammals shall be exempt from the drainage
requirements of paragraph (c)(1) of this section, but they must meet the
minimum standards with regard to space, depth, and sanitation. The
water must be monitored for coliforms and for ph and chemical content,
if chemicals are added.
(b) Water and power supply. Reliable and adequate sources of water
and electric power shall be provided by the facility housing marine
mammals. Written contingency plans must be submitted to and approved by
Veterinary Services regarding emergency sources of water and electric
power in the event of failure of the primary sources, when such failure
could reasonably be expected to be detrimental to the good health and
well-being of the marine mammals housed therein.
(c) Drainage. (1) Adequate drainage shall be provided for all
primary enclosure pools and shall be located so that all of the water
contained in such pools may be rapidly eliminated when necessary for
cleaning the pools or for other purposes. Drainage effluent from
primary enclosure pools shall be disposed of in a manner that complies
with all applicable Federal, State, and local pollution control laws.
(2) Drainage shall be provided for primary enclosures and areas
immediately surrounding pools. Drains shall be located so as to rapidly
eliminate excess water (except in pools). Such drainage effluent shall
be disposed of in a manner that complies with all applicable Federal,
State, and local pollution control laws.
(d) Storage. Supplies of food shall be stored in facilities which
adequately protect such supplies from deterioration, molding, or
contamination by vermin. Refrigerators and freezers shall be used for
perishable food. No substances which are known to be or may be toxic or
harmful to marine mammals shall be stored or maintained in the marine
mammal food storage areas.
(e) Waste disposal. Provision shall be made for the removal and
disposal of animal and food wastes, dead animals, trash, and debris.
Disposal facilities shall be provided and operated in a manner which
will minimize vermin infestation, odors, and disease hazards. All waste
disposal procedures must comply with all applicable Federal, State, and
local laws pertaining to pollution control, protection of the
environment, and public health.
(f) Washroom facilities. Facilities such as washrooms, basins,
showers, or sinks, shall be provided to maintain cleanliness among
employees and attendants.
(44 FR 36874, June 22, 1979, as amended at 44 FR 63492, Nov. 2, 1979;
49 FR 26682, June 28, 1984)
09 CFR 3.102 Facilities, indoor.
(a) Ambient temperature. The air and water temperatures in indoor
facilities shall be sufficiently regulated by heating or cooling to
protect the marine mammals from extremes of temperature, to provide for
their good health and well-being and to prevent discomfort, in
accordance with the currently accepted practices as cited in appropriate
professional journals or reference guides, depending upon the species
housed therein. Rapid changes in air and water temperatures shall be
avoided.
(b) Ventilation. Indoor housing facilities shall be ventilated by
natural or artificial means to provide a flow of fresh air for the
marine mammals and to minimize the accumulation of chlorine fumes, other
gases, and objectionable odors. A vertical air space averaging at least
1.83 meters (6 feet) shall be maintained in all primary enclosures
housing marine mammals, including pools of water.
(c) Lighting. Indoor housing facilities for marine mammals shall
have ample lighting, by natural or artificial means, or both, of a
quality, distribution, and duration which is appropriate for the species
involved. Sufficient lighting must be available to provide uniformly
distributed illumination which is adequate to permit routine
inspections, observations, and cleaning of all parts of the primary
enclosure including any den areas. The lighting shall be designed so as
to prevent overexposure of the marine mammals contained therein to
excessive illumination. 5
5Lighting intensity and duration must be consistent with the general
well-being and comfort of the animal involved. When possible, it should
approximate the lighting conditions encountered by the animal in its
natural environment. At no time shall the lighting be such that it will
cause the animal discomfort or trauma.
09 CFR 3.103 Facilities, outdoor.
(a) Environmental temperatures. Marine mammals shall not be housed
in outdoor facilities unless the air and water temperature ranges which
they may encounter during the period they are so housed do not adversely
affect their health and comfort. A marine mammal shall not be
introduced to an outdoor housing facility until it is acclimated to the
air and water temperature ranges which it will encounter therein. The
following requirements shall be applicable to all outdoor pools.
(1) The water surface of pools in outdoor primary enclosures housing
polar bears and ice or cold water dwelling species of pinnipeds shall be
kept sufficiently free of solid ice to allow for entry and exit of the
animals.
(2) The water surface of pools in outdoor primary enclosures housing
cetaceans and sea otters shall be kept free of ice.
(3) No sirenian or warm water dwelling species of pinnipeds or
cetaceans shall be housed in outdoor pools where water temperature
cannot be maintained within the temperature range to meet their needs.
(b) Shelter. Natural or artificial shelter which is appropriate for
the species concerned, when the local climatic conditions are taken into
consideration, shall be provided for all marine mammals kept outdoors to
afford them protection from the weather or from direct sunlight.
09 CFR 3.104 Space requirements.
(a) General. Primary enclosures, including pools of water housing
marine mammals, shall comply with the minimum space requirements
prescribed by this part. They shall be constructed and maintained so
that the animals contained therein are provided with sufficient space,
both horizontally and vertically so that they are able to make normal
postural and social adjustments with adequate freedom of movement, in or
out of the water. An exception to these requirements is provided for in
3.110, ''Veterinary care.'' Primary enclosures smaller than required by
the standards are also allowed to be used for temporary holding purposes
such as training and transfer. Such enclosures shall not be used for
permanent housing purposes or for periods longer than specified by an
attending veterinarian.
(b) Cetaceans. Primary enclosures housing cetaceans shall contain a
pool of water and may consist entirely of a pool of water. In
determining the minimum space required in a pool holding cetaceans, four
factors must be satisfied. These are MHD, depth, volume, and surface
area. For the purposes of this subpart, cetaceans are divided into
Group I cetaceans and Group II cetaceans as shown in Table III in this
section.
(1)(i) The required minimum horizontal dimension (MHD) of a pool for
Group I cetaceans shall be 7.32 meters (24.0 feet) or two times the
average adult length of the longest species of Group I cetacean housed
therein (as measured in a parallel or horizontal line, from the tip of
its upper jaw, or from the most anterior portion of the head in bulbous
headed animals, to the notch in the tail fluke2), whichever is greater;
except that such MHD measurement may be reduced from the greater number
by up to 20 percent if the amount of the reduction is added to the MHD
at the 90-degree angle and if the minimum volume and surface area
requirements are met based on an MHD of 7.32 meters (24.0 feet) or two
times the average adult length of the longest species of Group I
cetacean housed therein, whichever is greater.
(ii) The MHD of a pool for Group II cetaceans shall be 7.32 meters
(24.0 feet) or four times the average adult length of the longest
species of cetacean to be housed therein (as measured in a parallel or
horizontal line from the tip of its upper jaw, or from the most anterior
portion of the head in bulbous headed animals, to the notch in the tail
fluke), whichever is greater; except that such MHD measurement may be
reduced from the greater number by up to 20 percent if the amount of the
reduction is added to the MHD at the 90-degree angle and if the minimum
volume and surface area requirements are met based on an MHD of 7.32
meters (24.0 feet) or four times the average adult length of the longest
species of Group II cetacean housed therein, whichever is greater.
(iii) In a pool housing a mixture of Group I and Group II cetaceans,
the MHD shall be the largest required for any cetacean housed therein.
(iv) Once the required MHD has been satisfied, the pool size may be
required to be adjusted to increase the surface area and volume when
cetaceans are added. Examples of MHD and volume requirements for Group
I cetaceans are shown in Table I, and for Group II cetaceans in Table
II.
(2) The minimum depth requirement for primary enclosure pools for all
cetaceans shall be one-half the average adult length of the longest
species to be housed therein, regardless of Group I or Group II
classification, or 1.83 meters (6.0 feet), whichever is greater, and can
be expressed as d=L/2 or 6 feet, whichever is greater. Those parts of
the primary enclosure pool which do not meet the minimum depth
requirement cannot be included when calculating space requirements for
cetaceans.
(3) Pool volume. A pool of water housing cetaceans which satisfies
the MHD and which meets the minimum depth requirement, will have
sufficient volume and surface area to hold up to two Group I cetaceans
or up to four Group II cetaceans. If additional cetaceans are to be
added to the pool, the volume as well as the surface area may have to be
adjusted to allow for additional space necessary for such cetaceans.
See Tables I, II, and IV for volumes and surface area requirements. The
additional volume needed shall be based on the number and kind of
cetaceans housed therein and shall be determined in the following
manner.
(i) The minimum volume of water required for up to two Group I
cetaceans is based upon the following formula:
When there are more than two Group I cetaceans housed in a primary
enclosure pool, the additional volume of water required for each
additional Group I cetacean in excess of two is based on the following
formula:
See Table I for required volumes.
(ii) The minimum volume of water required for up to four Group II
cetaceans is based upon the following formula:
When there are more than four Group II cetaceans housed in a primary
enclosure pool, the additional volume of water required for each
additional Group II cetacean in excess of four is based on the following
formula:
See Table II for required volumes.
(iii) When a mixture of both Group I and Group II cetaceans are
housed together, the MHD must be satisfied as stated in 3.104(b)(1),
and the minimum depth must be satisfied as stated in 3.104(b)(2).
Based on these figures, the resulting volume must then be calculated
Then the volume necessary for the cetaceans to be housed in the pool
must be calculated (by obtaining the sum of the volumes required for
each animal). If this volume is greater than that obtained by using the
MHD and depth figures, then the additional volume required may be added
by enlarging the pool in its lateral dimensions or by increasing its
depth, or both. The minimum surface area requirements discussed next
must also be satisfied.
(4)(i) The minimum surface area requirements for each cetacean housed
in a pool, regardless of Group I or Group II classification, are
calculated as follows:
In a pool containing more than two Group I cetaceans or more than
four Group II cetaceans,8 the additional surface area which may be
required when animals are added must be calculated for each such animal.
(ii) When a mixture of Group I and Group II cetaceans are to be
housed in a pool, the required MHD, depth, and volume must be met. Then
the required surface area must be determined for each animal in the
pool. The sum of these surface areas must then be compared to the
surface area which is obtained by a computation based on the required
MHD of the pool. 9 The larger of the two figures represents the surface
area which is required for a pool housing a mixture of Group I and Group
II cetaceans. Pool surfaces where the depth does not meet the minimum
requirements cannot be used in determining the required surface area.
(iii) Surface area requirements are given in Table IV.
(c) Sirenians. Primary enclosures housing sirenians shall contain a
pool of water and may consist entirely of a pool of water.
(1) The required MHD of a primary enclosure pool for sirenians shall
be two times the average adult length of the longest species of sirenian
to be housed therein. Calculations shall be based on the average adult
length of such sirenians as measured in a horizontal line from the tip
of the muzzle to the notch in the tail fluke of dugongs and from the tip
of the muzzle to the most distal point in the rounded tail of the
manatee.
(2) The minimum depth requirements for primary enclosure pools for
all sirenians shall be one-half the average adult length of the longest
species to be housed therein, or 1.52 meters (5.0 feet), whichever is
greater. Those parts of the primary enclosure pool which do not meet
the minimum depth requirements cannot be included when calculating space
requirements for sirenians.
(3) A pool which satisfies the required MHD and depth shall be
adequate for one or two sirenians. Volume and surface area requirements
for additional animals shall be calculated using the same formula as for
Group I cetaceans, except that the figure for depth requirement for
sirenians shall be one-half the average adult length or 1.52 meters (5.0
feet), whichever is greater.
(d) Pinnipeds. (1) Primary enclosures housing pinnipeds shall
contain a pool of water and a dry resting or social activity area that
must be close enough to the surface of the water to allow easy access
for entering or leaving the pool. For the purposes of this subpart,
pinnipeds have been divided into Group I pinnipeds and Group II
pinnipeds as shown in Table III in this section. In certain instances
some Group I pinnipeds shall be considered as Group II pinnipeds. (See
Table III).
(2) The minimum size of the dry resting or social activity area of
the primary enclosure for pinnipeds (exclusive of the pool of water)
shall be based on the average adult length of each pinniped contained
therein, as measured in a horizontal or extended position in a straight
line from the tip of its nose to the tip of its tail. The minimum size
of the dry resting or social activity area shall be computed using the
following methods:
(i) Group I pinnipeds. Square the average adult length of each
pinniped to be contained in the primary enclosure. Add the figures
obtained for each of the pinnipeds in the primary enclosure to determine
the dry resting or social activity area required for such pinnipeds. If
only a single Group I pinniped is maintained in the primary enclosure,
the minimum dry resting or social activity area shall be twice the
square of the average adult length of that single Group I pinniped.
Examples:
(average adult length)2 of 1st Group I pinniped+(average adult
length)2 of 2nd Group I pinniped=Total DRA for two pinnipeds
DRA for one pinniped=2 (average adult length of Group I pinniped)2
(ii) Group II pinnipeds. List all pinnipeds contained in a primary
enclosure by average adult length in descending order from the longest
species of pinniped to the shortest species of pinniped. Square the
average adult length of each pinniped. Multiply the average adult
length squared of the longest pinniped by 1.5, the second longest by
1.4, the third longest by 1.3, the fourth longest by 1.2, and the fifth
longest by 1.1, as indicated in the following example. Square the
average adult length of the sixth pinniped and each additional pinniped.
Add the figures obtained for all the pinnipeds in the primary enclosure
to determine the required minimum dry resting or social activity area
required for such pinnipeds. If only a single Group II pinniped is
maintained in the primary enclosure, the minimum dry resting or social
activity area must be computed for a minimum of two pinnipeds.
Examples: DRA for 1 Group II Pinniped=((Average adult length)2
1.5)+((Average adult length)2 1.4)
If all the pinnipeds in the primary enclosure are of the same
species, the same descending order of calculation shall apply. Example:
Hooded seal -- average adult length of male=8.5 feet and female=6.6
feet. In a primary enclosure containing 2 males and 2 females, the
social or DRA required would be the sum of ((8.5)2 1.5)+((8.5)2
1.4)+((6.6)2 1.3)+((6.6)2 1.2).
If two or more sexually mature males are maintained together in a
primary enclosure, the dry resting or social activity area shall be
divided into two or more separate areas with sufficient visual barriers
(such as fences, rocks, or foliage) to provide relief from aggressive
animals.
(iii) Mixture of Group I and Group II pinnipeds. In a primary
enclosure where a mixture of Group I and Group II pinnipeds is to be
housed, the dry resting or social activity area shall be calculated as
for Group II pinnipeds. The dry resting or social activity area shall
be divided into two or more separate areas with sufficient visual
barriers (such as fences, rocks, or foliage) to provide relief from
aggressive animals.
(3)(i) The minimum surface area of a pool of water for pinnipeds
shall be at least equal to the dry resting or social activity area
required.
(ii) The MHD of the pool shall be at least one and one-half (1.5)
times the average adult length of the largest species of pinniped to be
housed in the enclosure; except that such MHD measurement may be
reduced by up to 20 percent if the amount of the reduction is added to
the MHD at the 90-degree angle.
(iii) The pool of water shall be at least 0.91 meters (3.0 feet) deep
or one-half the average adult length of the longest species of pinniped
contained therein, whichever is greater. Parts of the pool that do not
meet the minimum depth requirement cannot be used in the calculation of
the dry resting and social activity area, or as part of the MHD or
required surface area of the pool.
(e) Polar bears. Primary enclosures housing polar bears shall
consist of a pool of water, a dry resting and social activity area, and
a den. A minimum of 37.16 square meters (400 square feet) of dry
resting and social activity area shall be provided for up to two polar
bears, with an additional 3.72 square meters (40 square feet) of dry
resting and social activity area for each additional polar bear. The
dry resting and social activity area shall be provided with enough shade
to accommodate all of the polar bears housed in such primary enclosure
at the same time. The pool of water shall have an MHD of not less than
2.44 meters (8.0 feet) and a surface area of at least 8.93 square meters
(96.0 square feet) with a minimum depth of 1.52 meters (5.0 feet) with
the exception of any entry and exit area. This size pool shall be
adequate for two polar bears. For each additional bear, the surface
area of the pool must be increased by 3.72 square meters (40 square
feet). In measuring this additional surface area, parts of the pool
which do not meet minimum depth cannot be considered. The den shall be
at least 1.83 meters (6 feet) in width and depth and not less than 1.52
meters (5 feet) in height. It will be so positioned that the viewing
public shall not be visible from the interior of the den. A separate
den shall be provided for each adult female of breeding age which is
permanently housed in the same primary enclosure with an adult male of
breeding age. Female polar bears in traveling acts or shows must be
provided a den when pregnancy has been determined.
(f) Sea otters. (1) Primary enclosures for sea otters shall consist
of a pool of water and a dry resting area. The MHD of the pool of water
for sea otters shall be at least three times the average adult length of
the sea otter contained therein (measured in a horizontal line from the
tip of its nose to the tip of its tail) and the pool shall be not less
than .91 meters (3.0 feet) deep. When more than two sea otters are
housed in the same primary enclosure, additional dry resting area as
well as pool volume is required to accommodate the additional sea
otters. (See Table V).
(2) The minimum volume of water required for a primary enclosure pool
for sea otters shall be based on the sea otter's average adult length.
The minimum volume of water required in the pool shall be computed using
the following method: Multiply the square of the sea otter's average
adult length by 3.14 and then multiply the total by 0.91 meters (3.0
feet). This volume is satisfactory for one or two otters. To calculate
the additional volume of water for each additional sea otter above two
in a primary enclosure, multiply one-half of the square of the sea
otter's average adult length by 3.14, then multiply by 0.91 meters (3.0
feet). (See Table V).
(3) The minimum dry resting area required for one or two sea otters
shall be based on the sea otter's average adult length. The minimum dry
resting area for one or two sea otters shall be computed using the
following method: Square the average adult length of the sea otter and
multiply the total by 3.14. When the enclosure is to contain more than
two sea otters, the dry resting area for each additional animal shall be
computed by multiplying one-half of the sea otter's average adult length
by 3.14. Using 1.25 meters or 4.1 feet (the average adult length of a
sea otter), the calculations for additional space will result in the
following figures:
(44 FR 36874, June 22, 1979, as amended at 45 FR 63261, Sept. 24,
1980; 49 FR 26682, 26685, June 28, 1984; 49 FR 27922, July 9, 1984)
2The body length of a Monodon monoceros (narwhale) is measured from
the tip of the upper incisor tooth to the notch in the tail fluke. If
the upper incisor is absent or does not extend beyond the front of the
head, then it is measured like other cetaceans, from the tip of the
upper jaw to the notch in the tail fluke. Immature males should be
anticipated to develop the ''tusk'' (usually left incisor tooth)
beginning at sexual maturity.
8A pool containing up to two Group I cetaceans or up to four Group II
cetaceans which meets the required MHD and depth will have the necessary
surface area and volume required for the animals contained therein.
9Since the MHD represents the diameter of a circle, the surface area
based on the MHD is calculated by use of the following formula:
Insert illus. 0788C below ftn. 9
09 CFR 3.104 -- Animal Health and Husbandry Standards
09 CFR 3.105 Feeding.
(a) The food for marine mammals shall be wholesome, palatable, and
free from contamination, and shall be of sufficient quantity and
nutritive value to maintain all of the marine mammals in a state of good
health. The diet shall be prepared with consideration for age, species,
condition, size, and type of marine mammal being fed. Marine mammals
shall be offered food at least once a day, except as directed by
veterinary treatment or professionally accepted practices.
(b) Food receptacles, if used, shall be located so as to be
accessible to all marine mammals in the same primary enclosure and shall
be placed so as to minimize contamination of the food contained therein.
Such food receptacles shall be cleaned and sanitized after each use.
(c) Food, when given to each marine mammal individually, shall be
given by an employee or attendant responsible to management who has the
necessary knowledge to assure that each marine mammal receives an
adequate quantity of food to maintain it in good health. Such employee
or attendant is required to have the ability to recognize deviations
from a normal state of good health in each marine mammal so that the
food intake can be adjusted accordingly. Public feeding shall be only
permitted if it is done in the presence and under the supervision of a
uniformed employee or attendant. Such employee or attendant must assure
that the marine mammals are receiving the proper amount and type of
food. Only food supplied by the facility where the marine mammals are
kept shall be fed to such mammals by the public.
(d) Food preparation and handling shall be conducted so as to
minimize bacterial or chemical contamination and to assure the
wholesomeness and nutritive value of the food. Frozen fish or other
frozen food shall be stored in freezers which are maintained at a
maximum temperature of ^18 C. (0 F.). The length of time food is stored
and the method of storage, as well as the thawing of frozen food, shall
be conducted in a manner which will minimize contamination and which
will assure that the food retains nutritive value and wholesome quality.
The thawed product shall be kept iced or refrigerated until a
reasonable time before feeding. All foods shall be fed to the marine
mammals within 24 hours following the removal of such foods from the
freezers for thawing.
09 CFR 3.106 Water quality.
(a) General. The primary enclosure shall not contain water which
would be detrimental to the health of the marine mammal contained
therein.
(b) Bacterial standards. (1) The coliform bacteria count of the
primary enclosure pool shall not exceed 1,000 MPN (most probable number)
per 100 ml. of water. Should a coliform bacterial count exceed 1,000
MPN, two subsequent samples may be taken at 48-hour intervals and
averaged with the first sample. If such average count does not fall
below 1,000 MPN, then the water in the pool shall be deemed
unsatisfactory, and the condition must be corrected immediately.
(2) When the water is chemically treated, the chemicals shall be
added so as not to cause harm or discomfort to the marine mammals.
(3) Water samples shall be taken and tested at least weekly for
coliform count and at least daily for pH and any chemical additives
(e.g. chlorine and copper) that are added to the water to maintain water
quality standards. Facilities using natural seawater shall be exempt
from pH and chemical testing unless chemicals are added to maintain
water quality. However, they are required to test for coliforms.
Records must be kept documenting the time when all such samples were
taken and the results of the sampling. Records of all such test results
shall be maintained by management for a 1-year period and must be made
available for inspection purposes on request.
(c) Salinity. Primary enclosure pools of water shall be salinized
for marine cetaceans as well as for those other marine mammals which
require salinized water for their good health and well-being. The
salinity of the water in such pools shall be maintained within a range
of 15-36 parts per thousand.
(d) Filtration and water flow. Water quality must be maintained by
filtration, chemical treatment, or other means so as to comply with the
water quality standards specified in this section.
09 CFR 3.107 Sanitation.
(a) Primary enclosures. (1) Animal and food waste in areas other
than the pool of water shall be removed from the primary enclosure at
least daily, and more often when necessary to prevent contamination of
the marine mammals contained therein and to minimize disease hazards.
(2) Particulate animal and food waste, trash, or debris that enter
the primary enclosure pool of water shall be removed as often as
necessary to maintain the required water quality and to prevent health
hazards to the marine mammals contained therein.
(3) The wall and bottom surfaces of the primary enclosure pool of
water shall be cleaned as often as necessary to maintain proper water
quality.
(b) Food preparation areas and food receptacles. Containers, such as
buckets, tubs, and tanks, as well as utensils, such as knives and
cutting boards, or any other equipment which has been used for holding,
thawing or preparing food for marine mammals shall be cleaned and
sanitized after each feeding, if the marine mammals are fed once a day,
and at least daily if the marine mammals are fed more than once a day.
Kitchens and other food handling areas where animal food is prepared
shall be cleaned at least once daily and sanitized at least once every
week. Sanitizing shall be accomplished by washing with hot water (82
C., 180 F., or higher) and soap or detergent in a mechanical
dishwasher, or by washing all soiled surfaces with a detergent solution
followed by a safe and effective disinfectant, or by cleaning all soiled
surfaces with live steam. Substances such as cleansing and sanitizing
agents, pesticides, and other potentially toxic agents must be stored in
properly labeled containers away from food preparation surface areas.
(c) Housekeeping. Buildings and grounds, as well as exhibit areas,
shall be kept clean and in good repair. Fences shall be maintained in
good repair. Primary enclosures housing marine mammals shall not have
any loose objects, sharp projections, and/or edges which may cause
injury or trauma to the marine mammals contained therein.
(d) Pest control. A safe and effective program for the control of
insects, ectoparasites, and avian and mammalian pests shall be
established and maintained. Insecticides or other such chemical agents
shall not be applied in a primary enclosure housing marine mammals
except when deemed essential by an attending veterinarian.
09 CFR 3.108 Employees or attendants.
A sufficient number of adequately trained employees or attendants
responsible to management shall be utilized to maintain the prescribed
level of husbandry practices set forth in this subpart. Such practices
shall be conducted under the supervision of a marine mammal caretaker
who has a background in marine mammal husbandry and care. Training of
marine mammals shall be done by or under the direct supervision of
experienced trainers without physical punishment or abuse being used or
inflicted upon the marine mammals.
09 CFR 3.109 Separation.
Marine mammals which are not compatible shall not be housed in the
same enclosure. Marine mammals shall not be housed near animals that
would cause them stress or discomfort, or interfere with their good
health. Captive marine mammals must be given access to other animals
except when they are temporarily maintained in isolation for such
purposes as medical treatment or training and given special attention.
09 CFR 3.110 Veterinary care.
(a) Newly acquired marine mammals shall be isolated from resident
marine mammals until such newly acquired marine mammals can be
reasonably determined to be in good health. Any communicable disease
condition in a newly acquired marine mammal must be remedied before it
is placed with other resident marine mammals.
(b) Any primary enclosure containing a marine mammal with an
infectious or contagious disease shall be cleaned and sanitized in the
manner prescribed by the attending veterinarian. No additional animals
shall be introduced into the primary enclosure prior to such cleaning
and sanitizing procedures. Any marine mammal exposed to a diseased
animal shall be isolated for observation for an appropriate period of
time as determined by the attending veterinarian.
(c) Temporary holding facilities with adequately and properly
designed pools, tanks, restraining devices or primary enclosures shall
be provided for isolation, medication, treatment, and other purposes
such as transfer and training of marine mammals. The pools, tanks and
primary enclosures may be less than minimum size in both lateral
dimensions and depth when used in special situations when prescribed by
the professional staff for temporary usage.
(d) A complete necropsy must be conducted by or under the direct
supervision of a veterinarian on all marine mammals that die in
captivity. A necropsy report must be prepared by the veterinarian
listing all pathologic lesions observed and giving the apparent cause of
death. All diagnostic tests conducted on post mortem specimens shall be
listed in the report, and the results of each test recorded. The
management of the facility, at which the marine mammal died, must
maintain these necropsy records for a period of 3 years and present them
to Department inspectors when requested.
(44 FR 36874, June 22, 1979, as amended at 54 FR 36163, Aug. 31,
1989)
3.111 (Reserved)
09 CFR 3.110 Transportation Standards
09 CFR 3.112 Consignments to carriers and intermediate handlers.
(a) Carriers and intermediate handlers shall not accept any marine
mammal presented by any dealer, research facility, exhibitor, operator
of an auction sale, or other person, or any department, agency, or
instrumentality of the United States or any State or local government
for shipment, in commerce, more than 4 hours prior to the scheduled
departure of the primary conveyance on which it is to be transported:
Provided, however, That the carrier or intermediate handler and any
dealer, research facility, exhibitor, operator of an auction sale, or
other person, or any department, agency, or instrumentality of the
United States of any State or local government may mutually agree to
extend the time of acceptance to not more than 6 hours if specific prior
scheduling of the animal shipment to destination has been made.
(b) Any carrier or intermediate handler shall only accept for
transportation or transport, in commerce, any marine mammal in a primary
enclosure which conforms to the requirements set forth in 3.113 of the
standards: Provided, however, That any carrier or intermediate handler
may accept for transportation or transport, in commerce, any marine
mammal consigned by any department, agency, or instrumentality of the
United States having laboratory animal facilities or exhibiting animals
or any licensed or registered dealer, research facility, exhibitor, or
operator of an auction sale if the consignor furnishes to the carrier or
intermediate handler a certificate, signed by the consignor, stating
that the primary enclosure complies with 3.113 of the standards, unless
such primary enclosure is obviously defective or damaged and it is
apparent that it cannot reasonably be expected to contain the marine
mammal without causing suffering or injury to such marine mammal. A
copy of such certificate shall accompany the shipment to destination.
The certificate shall include at least the following information:
(1) Name and address of the consignor;
(2) The number of animals in the primary enclosure(s);
(3) A certifying statement (e.g., ''I hereby certify that the ------
(number) primary enclosure(s) which are used to transport the animal(s)
in this shipment complies (comply) with USDA standards for primary
enclosures (9 CFR part 3).''); and
(4) The signature of the consignor, and date.
(c) Carriers or intermediate handlers whose facilities fail to meet
the minimum temperature allowed by the standards may accept for
transportation or transport, in commerce, any marine mammal consigned by
any department, agency, or instrumentality of the United States or of
any State or local government, or by any person (including any licensee
or registrant under the Act, as well as any private individual) if the
consignor furnishes to the carrier or intermediate handler a certificate
executed by a veterinarian accredited by this Department pursuant to
part 160 of this title on a specified date which shall not be more than
10 days prior to delivery of such animal for transportation in commerce,
stating that such marine mammal is acclimated to air temperatures lower
than those prescribed in 3.117 and 3.118. A copy of such certificate
shall accompany the shipment to destination. The certificate to include
at least the following information:
(1) Name and address of the consignor;
(2) The number of animals in the shipment;
(3) A certifying statement (e.g., ''I hereby certify that the
animal(s) in this shipment is (are), to the best of my knowledge,
acclimated to air temperatures lower than 7.2 C. (45 F.)''); and
(4) The signature of the USDA accredited veterinarian, assigned
accreditation number, and date.
(d) Carriers and intermediate handlers shall attempt to notify the
consigned at least once in every 6-hour period following the arrival of
any marine mammals at the animal holding area of the terminal cargo
facility. The time, date, and method of each attempted notification and
the final notification to the consignee and the name of the person
notifying the consignee shall be recorded on the copy of the shipping
document retained by the carrier or intermediate handler and on a copy
of the shipping document accompanying the animal shipment.
(44 FR 36874, June 22, 1979, as amended at 44 FR 63493, Nov. 2, 1979)
09 CFR 3.113 Primary enclosures used to transport marine mammals.
No dealer, research facility, exhibitor, or operator of an auction
sale shall offer for transportation or transport, in commerce, any
marine mammal in a primary enclosure which does not conform to the
following requirements:
(a) Primary enclosures, which are used to transport marine mammals
other than cetaceans and sirenians, shall (1) be constructed from
materials of sufficient structural strength to contain the marine
mammals; (2) be constructed from material that is durable, nontoxic,
and cannot be chewed and/or swallowed; (3) be able to withstand the
normal rigors of transportation; (4) have interiors which are free from
any protrusions that could be injurious to the marine mammals contained
therein; (5) be constructed so that no parts of the contained marine
mammals shall be exposed to the outside of the enclosures in such a way
which may cause injury to the animals or to persons who are nearby or
who handle the enclosures; (6) have openings which provide access into
the enclosures which shall be secured with locking devices of a type
which cannot be accidentally opened; (7) have such openings located in
a manner which makes them easily accessible at all times for emergency
removal of any live marine mammal contained therein; (8) have air
inlets at heights which will provide cross ventilation at all levels
(particularly when the marine mammals are in a prone position) and
located on all four sides of the enclosures, and such ventilation
openings shall be not less than 16 percent of the total surface area of
each side of the enclosures; (9) have projecting rims or other devices
placed on the ends and sides of any enclosures which have ventilation
openings to provide a minimum air circulation space of 1.9 centimeters
(0.75 inches) between the enclosures and any adjacent cargo or
conveyance wall; and (10) be equipped with adequate handholds or other
devices on the exterior of the enclosures which shall enable them to be
lifted without unnecessary tilting and which will ensure that the
persons handling the enclosures will not come in contact with any marine
mammal contained therein.
(b) Straps, slings, harnesses, or other devices, if used for body
support or restraint, when transporting marine mammals such as cetaceans
and sirenians shall (1) be designed so as not to prevent access to such
mammals by attendants during transportation for the purpose of
administering in transit care; (2) be equipped with special padding to
prevent trauma or injury at critical weight pressure points on the body
of the marine mammals; and (3) be capable of keeping the animals from
thrashing about and causing injury to themselves or their attendants,
and yet be adequately designed so as not to cause injury to the animals.
(c) Primary enclosures used to transport live marine mammals shall be
large enough to assure that (1) in the case of polar bears and sea
otters, there is sufficient space to turn about freely in a stance
whereby all four feet are on the floor and the animal can sit in an
upright position and lie in a natural position; (2) in the case of
pinnipeds, each animal has sufficient space to lie in a natural
position; and (3) in the case of cetaceans and sirenians, each animal
has sufficient space for support of its body in slings, harnesses, or
other supporting devices, if used (as prescribed in paragraph (b) of
this section) without causing injury to such cetaceans or sirenians due
to contact with the primary enclosure: Provided, however, That certain
species may be restricted in their movements according to professionally
acceptable standards when such freedom of movement would constitute a
danger to the animals, their handlers, or other persons.
(d) Marine mammals transported in the same primary enclosure shall be
of the same species and maintained in compatible groups. Marine mammals
which have not reached puberty shall not be transported in the same
primary enclosure with adult marine mammals other than their dams.
Socially dependent animals (e.g., sibling, dam, and other members of a
family group) must be allowed visual and olfactory contact. Female
marine mammals shall not be transported in the same primary enclosure
with any mature male marine mammals.
(e) Primary enclosures used to transport marine mammals as provided
in this section shall have solid bottoms to prevent leakage in shipment
and shall be cleaned and sanitized in a manner prescribed in 3.107 of
the standards, if previously used. Such primary enclosures shall
contain clean litter of a suitable absorbent material, which is safe and
nontoxic to the marine mammals contained therein, in sufficient quantity
to absorb and cover excreta, unless the animals are on wire or other
nonsolid floors.
(f) Primary enclosures used to transport marine mammals, except where
such primary enclosures are permanently affixed in the animal cargo
space of the primary conveyance, shall be clearly marked on top and on
one or more sides with the words ''Live Animal'' or ''Wild Animal'',
whichever is appropriate, in letters not less than 2.5 centimeters (1
inch) in height, and with arrows or other markings, to indicate the
correct upright position of the container.
(g) Documents accompanying the shipment shall be attached in an
easily accessible manner to the outside of a primary enclosure which is
part of such shipment.
(h) When a primary enclosure is permanently affixed within the animal
cargo space of the primary conveyance so that the front opening is the
only source of ventilation for such primary enclosure, the front opening
shall open directly to the outside or to an unobstructed aisle or
passageway within the primary conveyance. Such front ventilation
opening shall be at least 90 percent of the total surface area of the
front wall of the primary enclosure and covered with bars, wire mesh, or
smooth expanded metal.
09 CFR 3.114 Primary conveyances (motor vehicle, rail, air and marine).
(a) The animal cargo space of primary conveyances used in
transporting live marine mammals shall be constructed in a manner which
will protect the health and assure the safety and comfort of the marine
mammals contained therein at all times.
(b) The animal cargo space shall be constructed and maintained in a
manner which will prevent the ingress of engine exhaust fumes and gases
in excess of that ordinarily contained in the passenger compartments.
(c) No marine mammal shall be placed in an animal cargo space that
does not have a supply of air sufficient for normal breathing for each
live animal contained therein, and the primary enclosures shall be
positioned in the animal cargo spaces of primary conveyances in such a
manner that each marine mammal contained therein shall have access to
sufficient air for normal breathing.
(d) Primary enclosures shall be positioned in primary conveyances in
such a manner that in an emergency the live marine mammals can be
removed from the conveyances as soon as possible.
(e) The interiors of animal cargo spaces in primary conveyances shall
be kept clean.
(f) Live marine mammals shall not knowingly be transported with any
material, substance or device which may be injurious to the health and
well-being of such marine mammals unless proper precaution is taken to
prevent such injury.
09 CFR 3.115 Food and water requirements.
(a) Those marine mammals which require drinking water shall be
offered potable water within 4 hours prior to being transported in
commerce or offered for transportation in commerce. Such marine mammals
shall be watered as often as necessary and appropriate to the species
involved to prevent excessive dehydration which would jeopardize the
good health and well-being of the animals.
(b) Marine mammals shall not be transported for more than a period of
36 hours without being offered food. When an employee or attendant is
required to accompany a shipment of marine mammals, as provided in
3.116 of these standards, such marine mammals shall be fed during
transit when necessary to provide for their good health and well-being.
09 CFR 3.116 Care in transit.
(a) An employee or attendant of the shipper or receiver of any marine
mammal being transported, in commerce, knowledgeable in the area of
marine mammal care, shall accompany cetaceans, sirenians, pinnipeds, and
sea otters during periods of transportation to provide for their good
health and well-being, to observe such marine mammals and to determine
whether they need veterinary care and to obtain any needed veterinary
care as soon as possible.
(b) An employee or attendant of the shipper or receiver of cetaceans
or sirenians being transported, in commerce, shall provide for such
cetaceans and sirenians during periods of transport by (1) keeping the
skin moist or preventing the drying of the skin by such methods as
intermittent spraying of water or application of a nontoxic emollient,
such as lanolin; (2) assuring that the pectoral flippers shall be
allowed freedom of movement at all times; (3) making adjustments in the
position of such marine mammals when necessary to prevent necrosis of
the skin at weight pressure points; and (4) calming such marine mammals
to avoid struggling, thrashing, and other unnecessary activity which may
cause overheating or physical trauma. No cetacean or sirenian in need
of veterinary care shall be transported in commerce, unless such
transportation is for the purpose of obtaining such care.
(c) Not less than one-half of the floor area in a primary enclosure
used to transport sea otters shall be leakproof and shall contain
sufficient crushed ice or ice water to provide each sea otter contained
therein with moisture necessary to allow each sea otter to maintain its
hair coat by preventing it from drying and to minimize soiling of the
hair coat with urine and fecal material. No sea otter in need of
veterinary care shall be transported in commerce, unless such
transportation is for the purpose of obtaining such care.
(d) Polar bears need not be accompanied by an employee or attendant
of the shipper or receiver, unless the period of transportation will
exceed 24 hours in duration. During surface transportation, it shall be
the responsibility of the carrier to inspect polar bears unaccompanied
by an employee or attendant at least every 4 hours to determine whether
they need veterinary care and to provide any needed veterinary care as
soon as possible. When transported by air, live polar bears
unaccompanied by an employee or attendant, shall be inspected by the
carrier at least every 4 hours if the animal cargo space is accessible
during flight. If the animal cargo space is not accessible during
flight, the air carrier shall inspect such live unattended polar bears
whenever loaded and unloaded and whenever the animal cargo space is
otherwise accessible to determine whether such unattended live animals
need veterinary care, and the carrier shall provide any needed
veterinary care as soon as possible. No polar bear in need of
veterinary care shall be transported in commerce, unless such
transportation is for the purpose of obtaining such care.
(e) Wild or otherwise dangerous marine mammals shall not be taken
from their primary enclosure except under extreme emergency conditions
and then only by their trainer or other person who is capable of
handling such mammals safely.
(44 FR 36874, June 22, 1979, as amended at 49 FR 26686, June 28,
1984)
09 CFR 3.117 Terminal facilities.
Carriers and intermediate handlers shall not commingle marine mammal
shipments with inanimate cargo. All animal holding areas of a terminal
facility of any carrier or intermediate handler wherein marine mammal
shipments are maintained shall be cleaned and sanitized in a manner
prescribed in 3.107 of the standards often enough to prevent an
accumulation of debris or excreta, to minimize vermin infestation, and
to prevent a disease hazard. An effective program for the control of
insects, ectoparasites, and avian and mammalian pests shall be
established and maintained for all animal holding areas. Any animal
holding area containing marine mammals shall be provided with fresh air
by means of windows, door, vents, or air conditioning and may be
ventilated or air circulated by means of fans, blowers, or an air
conditioning system so as to minimize drafts, odors, and moisture
condensation. Auxiliary ventilation, such as exhaust fans and vents or
fans or blowers or air conditioning shall be used for any animal holding
area containing marine mammals when the air temperature within such
animal holding area is 23.9 C. (75 F.) or higher. The air temperature
around any marine mammal in any animal holding area shall not be allowed
to fall below 7.2 C. (45 F.). The air temperature around any polar
bear shall not be allowed to exceed 29.5 C. (85 F.) at any time and no
polar bear shall be subjected to surrounding air temperatures which
exceed 23.9 C. (75 F.) for more than 4 hours at any time. To
ascertain compliance with the provisions of this paragraph, the air
temperature around any marine mammal shall be measured and read outside
the primary enclosure which contains such animal at a distance not to
exceed .91 meters (3 feet) from any one of the external walls of the
primary enclosure and on a level parallel to the bottom of such primary
enclosure at a point which approximates half the distance between the
top and bottom of such primary enclosure.
(44 FR 36874, June 22, 1979, as amended at 49 FR 26686, June 28,
1984)
09 CFR 3.118 Handling.
(a) Carriers and intermediate handlers shall move marine mammals from
the animal holding area of the terminal facility to the primary
conveyance and from the primary conveyance to the animal holding area of
the terminal facility as expeditiously as possible. Carriers and
intermediate handlers holding any marine mammal in an animal holding
area of a terminal facility or in transporting any marine mammal from
the animal holding area of the terminal facility to the primary
conveyance and from the primary conveyance to the animal holding area of
the terminal facility, including loading and unloading procedures, shall
provide the following:
(1) Shelter from sunlight. When sunlight is likely to cause
overheating or discomfort, sufficient shade shall be provided to protect
the marine mammals from the direct rays of the sun and such marine
mammals shall not be subjected to surrounding air temperatures which
exceed 29.5 C. (85 F.), and which shall be measured and read in the
manner prescribed in 3.117 of this part, for a period of more than 45
minutes.
(2) Shelter from cold weather. Transporting devices shall be covered
to provide protection for marine mammals when the outdoor air
temperature falls below 10 C. (50 F.) and such marine mammals shall
not be subjected to surrounding air temperatures which fall below 7.2
C. (45 F.), and which shall be measured and read in the manner
prescribed in 3.117 of this part, for a period of more than 45 minutes
unless such animals are accompanied by a certificate of acclimation to
lower temperatures as prescribed in 3.112(c).
(b) Care shall be exercised to avoid handling of the primary
enclosure in such a manner that may cause physical or emotional trauma
to the marine mammal contained therein.
(c) Primary enclosures used to transport any marine mammal shall not
be tossed, dropped, or needlessly tilted and shall not be stacked in a
manner which may reasonably be expected to result in their falling.
(44 FR 36874, June 22, 1979, as amended at 49 FR 26686, June 28,
1984)
09 CFR 3.118 Subpart F -- Specifications for the Humane Handling, Care,
Treatment, and Transportation of Warmblooded Animals Other Than Dogs,
Cats, Rabbits, Hamsters, Guinea Pigs, Nonhuman Primates, and Marine
Mammals
Authority: Secs. 3, 5, 6, 10, 11, 12, 16, 17, 21, 80 Stat. 351,
352, 353, as amended; 7 U.S.C. 2133, 2135, 2136, 2140, 2141, 2142,
2146, 2147, 2151.
Source: 36 FR 24925, Dec. 24, 1971, unless otherwise noted.
Redesignated at 44 FR 36874, July 22, 1979.
09 CFR 3.118 Facilities and Operating Standards
09 CFR 3.125 Facilities, general.
(a) Structural strength. The facility must be constructed of such
material and of such strength as appropriate for the animals involved.
The indoor and outdoor housing facilities shall be structurally sound
and shall be maintained in good repair to protect the animals from
injury and to contain the animals.
(b) Water and power. Reliable and adequate electric power, if
required to comply with other provisions of this subpart, and adequate
potable water shall be available on the premises.
(c) Storage. Supplies of food and bedding shall be stored in
facilities which adequately protect such supplies against deterioration,
molding, or contamination by vermin. Refrigeration shall be provided
for supplies of perishable food.
(d) Waste disposal. Provision shall be made for the removal and
disposal of animal and food wastes, bedding, dead animals, trash and
debris. Disposal facilities shall be so provided and operated as to
minimize vermin infestation, odors, and disease hazards. The disposal
facilities and any disposal of animal and food wastes, bedding, dead
animals, trash, and debris shall comply with applicable Federal, State,
and local laws and regulations relating to pollution control or the
protection of the environment.
(e) Washroom and sinks. Facilities, such as washrooms, basins,
showers, or sinks, shall be provided to maintain cleanliness among
animal caretakers.
(36 FR 24925, Dec. 24, 1971. Redesignated at 44 FR 36874, June 22,
1979, and amended at 44 FR 63492, Nov. 2, 1979)
09 CFR 3.126 Facilities, indoor.
(a) Ambient temperatures. Temperature in indoor housing facilities
shall be sufficiently regulated by heating or cooling to protect the
animals from the extremes of temperature, to provide for their health
and to prevent their discomfort. The ambient temperature shall not be
allowed to fall below nor rise above temperatures compatible with the
health and comfort of the animal.
(b) Ventilation. Indoor housing facilities shall be adequately
ventilated by natural or mechanical means to provide for the health and
to prevent discomfort of the animals at all times. Such facilities
shall be provided with fresh air either by means of windows, doors,
vents, fans, or air-conditioning and shall be ventilated so as to
minimize drafts, odors, and moisture condensation.
(c) Lighting. Indoor housing facilities shall have ample lighting,
by natural or artificial means, or both, of good quality, distribution,
and duration as appropriate for the species involved. Such lighting
shall be uniformly distributed and of sufficient intensity to permit
routine inspection and cleaning. Lighting of primary enclosures shall
be designed to protect the animals from excessive illumination.
(d) Drainage. A suitable sanitary method shall be provided to
eliminate rapidly, excess water from indoor housing facilities. If
drains are used, they shall be properly constructed and kept in good
repair to avoid foul odors and installed so as to prevent any backup of
sewage. The method of drainage shall comply with applicable Federal,
State, and local laws and regulations relating to pollution control or
the protection of the environment.
09 CFR 3.127 Facilities, outdoor.
(a) Shelter from sunlight. When sunlight is likely to cause
overheating or discomfort of the animals, sufficient shade by natural or
artificial means shall be provided to allow all animals kept outdoors to
protect themselves from direct sunlight.
(b) Shelter from inclement weather. Natural or artificial shelter
appropriate to the local climatic conditions for the species concerned
shall be provided for all animals kept outdoors to afford them
protection and to prevent discomfort to such animals. Individual
animals shall be acclimated before they are exposed to the extremes of
the individual climate.
(c) Drainage. A suitable method shall be provided to rapidly
eliminate excess water. The method of drainage shall comply with
applicable Federal, State, and local laws and regulations relating to
pollution control or the protection of the environment.
09 CFR 3.128 Space requirements.
Enclosures shall be constructed and maintained so as to provide
sufficient space to allow each animal to make normal postural and social
adjustments with adequate freedom of movement. Inadequate space may be
indicated by evidence of malnutrition, poor condition, debility, stress,
or abnormal behavior patterns.
09 CFR 3.128 Animal Health and Husbandry Standards
09 CFR 3.129 Feeding.
(a) The food shall be wholesome, palatable, and free from
contamination and of sufficient quantity and nutritive value to maintain
all animals in good health. The diet shall be prepared with
consideration for the age, species, condition, size, and type of the
animal. Animals shall be fed at least once a day except as dictated by
hibernation, veterinary treatment, normal fasts, or other professionally
accepted practices.
(b) Food, and food receptacles, if used, shall be sufficient in
quantity and located so as to be accessible to all animals in the
enclosure and shall be placed so as to minimize contamination. Food
receptacles shall be kept clean and sanitary at all times. If
self-feeders are used, adequate measures shall be taken to prevent
molding, contamination, and deterioration or caking of food.
09 CFR 3.130 Watering.
If potable water is not accessible to the animals at all times, it
must be provided as often as necessary for the health and comfort of the
animal. Frequency of watering shall consider age, species, condition,
size, and type of the animal. All water receptacles shall be kept clean
and sanitary.
09 CFR 3.131 Sanitation.
(a) Cleaning of enclosures. Excreta shall be removed from primary
enclosures as often as necessary to prevent contamination of the animals
contained therein and to minimize disease hazards and to reduce odors.
When enclosures are cleaned by hosing or flushing, adequate measures
shall be taken to protect the animals confined in such enclosures from
being directly sprayed with the stream of water or wetted involuntarily.
(b) Sanitation of enclosures. Subsequent to the presence of an
animal with an infectious or transmissible disease, cages, rooms, and
hard-surfaced pens or runs shall be sanitized either by washing them
with hot water (180 F. at source) and soap or detergent, as in a
mechanical washer, or by washing all soiled surfaces with a detergent
solution followed by a safe and effective disinfectant, or by cleaning
all soiled surfaces with saturated live steam under pressure. Pens or
runs using gravel, sand, or dirt, shall be sanitized when necessary as
directed by the attending veterinarian.
(c) Housekeeping. Premises (buildings and grounds) shall be kept
clean and in good repair in order to protect the animals from injury and
to facilitate the prescribed husbandry practices set forth in this
subpart. Accumulations of trash shall be placed in designated areas and
cleared as necessary to protect the health of the animals.
(d) Pest control. A safe and effective program for the control of
insects, ectoparasites, and avian and mammalian pests shall be
established and maintained.
09 CFR 3.132 Employees.
A sufficient number of adequately trained employees shall be utilized
to maintain the professionally acceptable level of husbandry practices
set forth in this subpart. Such practices shall be under a supervisor
who has a background in animal care.
09 CFR 3.133 Separation.
Animals housed in the same primary enclosure must be compatible.
Animals shall not be housed near animals that interfere with their
health or cause them discomfort.
3.134 -- 3.135 (Reserved)
09 CFR 3.133 Transportation Standards
Authority: Secs. 3, 5, 6, 10, 11, 14, 16, 17, 21; 80 Stat. 353;
84 Stat. 1561, 1562, 1563, 1564; 90 Stat. 418, 419, 420, 423; (7
U.S.C. 2133, 2135, 2136, 2140, 2141, 2144, 2146, 2147, 2151); 37 FR
28464, 28477, 38 FR 19141.
Source: Sections 3.136 through 3.142 appear at 42 FR 31569, June 21,
1977, unless otherwise noted. Redesignated at 44 FR 36874, July 22,
1979.
09 CFR 3.136 Consignments to carriers and intermediate handlers.
(a) Carriers and intermediate handlers shall not accept any live
animals presented by any dealer, research facility, exhibitor, operator
of an auction sale, or other person, or any department, agency, or
instrumentality of the United States or any State or local government
for shipment, in commerce, more than 4 hours prior to the scheduled
departure of the primary conveyance on which it is to be transported:
Provided, however, That the carrier or intermediate handler and any
dealer, research facility, exhibitor, operator of an auction sale, or
other person, or any department, agency, or instrumentality of the
United States or any State or local government may mutually agree to
extend the time of acceptance to not more than 6 hours if specific prior
scheduling of the animal shipment to destination has been made.
(b) Any carrier or intermediate handler shall only accept for
transportation or transport, in commerce, any live animal in a primary
enclosure which conforms to the requirements set forth in 3.137 of the
standards: Provided, however, That any carrier or intermediate handler
may accept for transportation or transport, in commerce, any live animal
consigned by any department, agency, or instrumentality of the United
States having laboratory animal facilities or exhibiting animals or any
licensed or registered dealer, research facility, exhibitor, or operator
of an auction sale if the consignor furnishes to the carrier or
intermediate handler a certificate, signed by the consignor, stating
that the primary enclosure complies with 3.137 of the standards, unless
such primary enclosure is obviously defective or damaged and it is
apparent that it cannot reasonably be expected to contain the live
animal without causing suffering or injury to such live animal. A copy
of such certificate shall accompany the shipment to destination. The
certificate shall include at least the following information:
(1) Name and address of the consignor;
(2) The number of animals in the primary enclosure(s);
(3) A certifying statement (e.g., ''I hereby certify that the ------
(number) primary enclosure(s) which are used to transport the animal(s)
in this shipment complies (comply) with USDA standards for primary
enclosures (9 CFR Part 3).''); and
(4) The signature of the consignor, and date.
(c) Carriers or intermediate handlers whose facilities fail to meet
the minimum temperature allowed by the standards may accept for
transportation or transport, in commerce, any live animal consigned by
any department, agency, or instrumentality of the United States or of
any State or local government, or by any person (including any licensee
or registrant under the Act, as well as any private individual) if the
consignor furnishes to the carrier or intermediate handler a certificate
executed by a veterinarian accredited by this Department pursuant to
part 160 of this title on a specified date which shall not be more than
10 days prior to delivery of such animal for transportation in commerce,
stating that such live animal is acclimated to air temperatures lower
than those prescribed in 3.141 and 3.142. A copy of such certificate
shall accompany the shipment to destination. The certificate shall
include at least the following information:
(1) Name and address of the consignor;
(2) The number of animals in the shipment;
(3) A certifying statement (e.g., ''I hereby certify that the
animal(s) in this shipment is (are), to the best of my knowledge,
acclimated to air temperatures lower than 7.2 C. (45 F.)''); and
(4) The signature of the USDA accredited veterinarian, assigned
accrediation number, and date.
(d) Carriers and intermediate handlers shall attempt to notify the
consignee at least once in every 6 hour period following the arrival of
any live animals at the animal holding area of the terminal cargo
facility. The time, date, and method of each attempted notification and
the final notification to the consignee and the name of the person
notifying the consignee shall be recorded on the copy of the shipping
document retained by the carrier or intermediate handler and on a copy
of the shipping document accompanying the animal shipment.
(42 FR 31569, June 21, 1977, as amended at 43 FR 21166, May 16, 1978.
Redesignated at 44 FR 36874, July 22, 1979, and amended at 44 FR 63493,
Nov. 2, 1979)
09 CFR 3.137 Primary enclosures used to transport live animals.
No dealer, research facility, exhibitor, or operator of an auction
sale shall offer for transportation or transport, in commerce, any live
animal in a primary enclosure which does not conform to the following
requirements:
(a) Primary enclosures, such as compartments, transport cages,
cartons, or crates, used to transport live animals shall be constructed
in such a manner that (1) the structural strength of the enclosure shall
be sufficient to contain the live animals and to withstand the normal
rigors of transportation; (2) the interior of the enclosure shall be
free from any protrusions that could be injurious to the live animals
contained therein; (3) the opernings of such enclosures are easily
accessible at all times for emergency removal of the live animals; (4)
except as provided in paragraph (g) of this section, there are
ventilation openings located on two opposite walls of the primary
enclosure and the ventilation openings on each such wall shall be at
least 16 percent of the total surface area of each such wall, or there
are ventilation openings located on all four walls of the primary
enclosure and the ventilation openings on each such wall shall be at
least 8 percent of the total surface area of each such wall: Provided,
however, That at least one-third of the total minimum area required for
ventilation of the primary enclosure shall be located on the lower
one-half of the primary enclosure and at least one-third of the total
minimum area required for ventilation of the primary enclosure shall be
located on the upper one-half of the primary enclosure; (5) except as
provided in paragraph (g) of this section, projecting rims or other
devices shall be on the exterior of the outside walls with any
ventilation openings to prevent obstruction of the ventilation openings
and to provide a minimum air circulation space of 1.9 centimeters (.75
inch) between the primary enclosure and any adjacent cargo or conveyance
wall; and (6) except as provided in paragraph (g) of this section,
adequate handholds or other devices for lifting shall be provided on the
exterior of the primary enclosure to enable the primary enclosure to be
lifted without tilting and to ensure that the person handling the
primary enclosure will not be in contact with the animal.
(b) Live animals transported in the same primary enclosure shall be
of the same species and maintained in compatible groups. Live animals
that have not reached puberty shall not be transported in the same
primary enclosure with adult animals other than their dams. Socially
dependent animals (e.g., sibling, dam, and other members of a family
group) must be allowed visual and olfactory contact. Any female animal
in season (estrus) shall not be transported in the same primary
enclosure with any male animal.
(c) Primary enclosures used to transport live animals shall be large
enough to ensure that each animal contained therein has sufficient space
to turn about freely and to make normal postural adjustments: Provided,
however, That certain species may be restricted in their movements
according to professionally acceptable standards when such freedom of
movement would constitute a danger to the animals, their handlers, or
other persons.
(d) Primary enclosures used to transport live animals as provided in
this section shall have solid bottoms to prevent leakage in shipment and
still be cleaned and sanitized in a manner prescribed in 3.131 of the
standards, if previously used. Such primary enclosures shall contain
clean litter of a suitable absorbant material, which is safe and
nontoxic to the live animals contained therein, in sufficient quantity
to absorb and cover excreta, unless the animals are on wire or other
nonsolid floors.
(e) Primary enclosures used to transport live animals, except where
such primary enclosures are permanently affixed in the animal cargo
space of the primary conveyance, shall be clearly marked on top and on
one or more sides with the words ''Live Animal'' or ''Wild Animal'',
whichever is appropriate, in letters not less than 2.5 centimeters (1
inch) in height, and with arrows or other markings to indicate the
correct upright position of the container.
(f) Documents accompanying the shipment shall be attached in an
easily accessible manner to the outside of a primary enclosure which is
part of such shipment.
(g) When a primary enclosure is permanently affixed within the animal
cargo space of the primary conveyance so that the front opening is the
only source of ventilation for such primary enclosure, the front opening
shall open directly to the outside or to an unobstructed aisle or
passageway within the primary conveyance. Such front ventilation
opening shall be at least 90 percent of the total surface area of the
front wall of the primary enclosure and covered with bars, wire mesh or
smooth expanded metal.
(42 FR 31569, June 21, 1977, as amended at 43 FR 21166, May 16, 1978.
Redesignated at 44 FR 36874, July 22, 1979)
09 CFR 3.138 Primary conveyances (motor vehicle, rail, air, and
marine).
(a) The animal cargo space of primary conveyances used in
transporting live animals shall be designed and constructed to protect
the health, and ensure the safety and comfort of the live animals
contained therein at all times.
(b) The animal cargo space shall be constructed and maintained in a
manner to prevent the ingress of engine exhaust fumes and gases from the
primary conveyance during transportation in commerce.
(c) No live animal shall be placed in an animal cargo space that does
not have a supply of air sufficient for normal breathing for each live
animal contained therein, and the primary enclosures shall be positioned
in the animal cargo space in such a manner that each live animal has
access to sufficient air for normal breathing.
(d) Primary enclosures shall be positioned in the primary conveyance
in such a manner that in an emergency the live animals can be removed
from the primary conveyance as soon as possible.
(e) The interior of the animal cargo space shall be kept clean.
(f) Live animals shall not be transported with any material,
substance (e.g., dry ice) or device which may reasonably be expected to
be injurious to the health and well-being of the animals unless proper
precaution is taken to prevent such injury.
09 CFR 3.139 Food and water requirements.
(a) All live animals shall be offered potable water within 4 hours
prior to being transported in commerce. Dealers, exhibitors, research
facilities and operators of auction sales shall provide potable water to
all live animals transported in their own primary conveyance at least
every 12 hours after such transportation is initiated, and carriers and
intermediate handlers shall provide potable water to all live animals at
least every 12 hours after acceptance for transportation in commerce:
Provided, however, That except as directed by hibernation, veterinary
treatment or other professionally accepted practices, those live animals
which, by common accepted practices, require watering more frequently
shall be so watered.
(b) Each live animal shall be fed at least once in each 24 hour
period, except as directed by hibernation, veterinary treatment, normal
fasts, or other professionally accepted practices. Those live animals
which, by common accepted practice, require feeding more frequently
shall be so fed.
(c) A sufficient quantity of food and water shall accompany the live
animal to provide food and water for such animals for a period of at
least 24 hours, except as directed by hibernation, veterinary treatment,
normal fasts, and other professionally accepted practices.
(d) Any dealer, research facility, exhibitor or operator of an
auction sale offering any live animal to any carrier or intermediate
handler for transportation in commerce shall affix to the outside of the
primary enclosure used for transporting such live animal, written
instructions concerning the food and water requirements of such animal
while being so transported.
(e) No carrier or intermediate handler shall accept any live animals
for transportation in commerce unless written instructions concerning
the food and water requirements of such animal while being so
transported is affixed to the outside of its primary enclosure.
09 CFR 3.140 Care in transit.
(a) During suface transportation, it shall be the responsibility of
the driver or other employee to visually observe the live animals as
frequently as circumstances may dictate, but not less than once every 4
hours, to assure that they are receiving sufficient air for normal
breathing, their ambient temperatures are within the prescribed limits,
all other applicable standards are being complied with and to determine
whether any of the live animals are in obvious physical distress and to
provide any needed veterinary care as soon as possible. When
transported by air, live animals shall be visually observed by the
carrier as frequently as circumstances may dictate, but not less than
once every 4 hours, if the animal cargo space is accessible during
flight. If the animal cargo space is not accessible during flight, the
carrier shall visually observe the live animals whenever loaded and
unloaded and whenever the animal cargo space is otherwise accessible to
assure that they are receiving sufficient air for normal breathing,
their ambient temperatures are within the prescribed limits, all other
applicable standards are being complied with and to determine whether
any such live animals are in obvious physical distress. The carrier
shall provide any needed veterinary care as soon as possible. No animal
in obvious physical distress shall be transported in commerce.
(b) Wild or otherwise dangerous animals shall not be taken from their
primary enclosure except under extreme emergency conditions: Provided,
however, That a temporary primary enclosure may be used, if available,
and such temporary primary enclosure is structurally strong enough to
prevent the escape of the animal. During the course of transportation,
in commerce, live animals shall not be removed from their primary
enclosures unless placed in other primary enclosures or facilities
conforming to the requirements provided in this subpart.
09 CFR 3.141 Terminal facilities.
Carriers and intermediate handlers shall not commingle live animal
shipments with inanimate cargo. All animal holding areas of a terminal
facility of any carrier or intermediate handler wherein live animal
shipments are maintained shall be cleaned and sanitized in a manner
prescribed in 3.141 of the standards often enough to prevent an
accumulation of debris or excreta, to minimize vermin infestation and to
prevent a disease hazard. An effective program for the control of
insects, ectoparasites, and avian and mammalian pests shall be
established and maintained for all animal holding areas. Any animal
holding area containing live animals shall be provided with fresh air by
means of windows, doors vents, or air conditioning and may be ventilated
or air circulated by means of fans, blowers, or an air conditioning
system so as to minimize drafts, odors, and moisture condensation.
Auxiliary ventilation, such as exhaust fans and vents or fans or blowers
or air conditioning shall be used for any animal holding area containing
live animals when the air temperature within such animal holding area is
23.9 C. (75. F.) or higher. The air temperature around any live animal
in any animal holding area shall not be allowed to fall below 7.2 C. (45
F.) nor be allowed to exceed 29.5 C. (85 F.) at any time: Provided,
however, That no live animal shall be subjected to surrounding air
temperatures which exceed 23.9 C. (75 F.) for more than 4 hours at any
time. To ascertain compliance with the provisions of this paragraph,
the air temperature around any live animal shall be measured and read
outside the primary enclosure which contains such animal at a distance
not to exceed .91 meters (3 feet) from any one of the external walls of
the primary enclosure and on a level parallel to the bottom of such
primary enclosure at a point which approximates half the distance
between the top and bottom of such primary enclosure.
(43 FR 56217, Dec. 1, 1978. Redesignated at 44 FR 36874, July 22,
1979)
09 CFR 3.142 Handling.
(a) Carriers and intermediate handlers shall move live animals from
the animal holding area of the terminal facility to the primary
conveyance and from the primary conveyance to the animal holding area of
the terminal facility as expeditiously as possible. Carriers and
intermediate handlers holding any live animal in an animal holding area
of a terminal facility or in transporting any live animal from the
animal holding area of the terminal facility to the primary conveyance
and from the primary conveyance to the animal holding area of the
terminal facility, including loading and unloading procedures, shall
provide the following:
(1) Shelter from sunlight. When sunlight is likely to cause
overheating or discomfort, sufficient shade shall be provided to protect
the live animals from the direct rays of the sun and such live animals
shall not be subjected to surrounding air temperatures which exceed 29.5
C. (85 F.), and which shall be measured and read in the manner
prescribed in 3.141 of this part, for a period of more than 45 minutes.
(2) Shelter from rain or snow. Live animals shall be provided
protection to allow them to remain dry during rain or snow.
(3) Shelter from cold weather. Transporting devices shall be covered
to provide protection for live animals when the outdoor air temperature
falls below 10 C. (50 F.) and such live animals shall not be subjected
to surrounding air temperatures which fall below 7.2 C. (45 F.), and
which shall be measured and read in the manner prescribed in 3.141 of
this part, for a period of more than 45 minutes unless such animals are
accompanied by a certificate of acclimation to lower temperatures as
prescribed in 3.136(c).
(b) Care shall be exercised to avoid handling of the primary
enclosure in such a manner that may cause physical or emotional trauma
to the live animal contained therein.
(c) Primary enclosures used to transport any live animal shall not be
tossed, dropped, or needlessly tilted and shall not be stacked in a
manner which may reasonably be expected to result in their falling.
(43 FR 21167, May 16, 1978, as amended at 43 FR 56217, Dec. 1, 1978.
Redesignated at 44 FR 36874, July 22, 1979)
09 CFR 3.142 Pt. 4
09 CFR 3.142 PART 4 -- RULES OF PRACTICE GOVERNING PROCEEDINGS UNDER THE ANIMAL WELFARE ACT
09 CFR 3.142 Subpart A -- General
Sec.
4.1 Scope and applicability of rules of practice.
09 CFR 3.142 Subpart B -- Supplemental Rules of Practice
4.10 Summary action.
4.11 Stipulations.
Authority: 80 Stat. 353; 7 U.S.C. 2151.
Source: 42 FR 10959, Feb. 25, 1977, unless otherwise noted.
09 CFR 3.142 Subpart A -- General
09 CFR 4.1 Scope and applicability of rules of practice.
The Uniform Rules of Practice for the department of Agriculture
promulgated in subpart H of part 1, subtitle A, title 7, Code of Federal
Regulations, are the Rules of Practice applicable to adjudicatory,
administrative proceedings under section 19 of the Animal Welfare Act (7
U.S.C. 2149). In addition, the Supplemental Rules of Practice set forth
in subpart B of this part shall be applicable to such proceedings.
09 CFR 4.1 Subpart B -- Supplemental Rules of Practice
09 CFR 4.10 Summary action.
(a) In any situation where the Administrator has reason to believe
that any person licensed under the Act has violated or is violating any
provision of the Act, or the regulations or standards issued thereunder,
and he deems it warranted under the circumstances, the Administrator may
suspend such person's license temporarily, for a period not to exceed 21
days, effective, except as provided in 4.10(b), upon written
notification given to such person of the suspension of his license
pursuant to 1.147(b) of the Uniform Rules of Practice (7 CFR 1.147(b)).
(b) In any case of actual or threatened physical harm to animals in
violation of the Act, or the regulations or standards issued thereunder,
by a person licensed under the Act, the Administrator may suspend such
person's license temporarily, for a period not to exceed 21 days,
effective upon oral or written notification, whichever is earlier. In
the event of oral notification, a written confirmation thereof shall be
given to such person pursuant to 1.147(b) of the Uniform Rules of
Practice (7 CFR 1.147(b)) as promptly as circumstances permit.
(c) The temporary suspension of a license shall be in addition to any
sanction which may be imposed against said person by the Secretary
pursuant to the Act after notice and opportunity for hearing.
09 CFR 4.11 Stipulations.
(a) At any time prior to the issuance of a complaint seeking a civil
penalty under the Act, the Administrator, in his discretion, may enter
into a stipulation with any person in which:
(1) The Administrator gives notice of an apparent violation of the
Act, or the regulations or standards issued thereunder, by such person
and affords such person an opportunity for a hearing regarding the
matter as provided by the Act;
(2) Such person expressly waives hearing and agrees to pay a
specified penalty within a designated time; and
(3) The Administrator agrees to accept the specified penalty in
settlement of the particular matter involved if it is paid within the
designated time.
(b) If the specified penalty is not paid within the time designated
in such a stipulation, the amount of the stipulated penalty shall not be
relevant in any respect to the penalty which may be assessed after
issuance of a complaint.
09 CFR 4.11 PART 11 -- HORSE PROTECTION REGULATIONS
Sec.
11.1 Definitions.
11.2 Prohibitions concerning exhibitors.
11.3 Scar rule.
11.4 Inspection and detention of horses.
11.5 Access to premises and records.
11.6 Inspection space and facility requirements.
11.7 Certification and licensing of designated qualified persons
(DQP's).
11.20 Responsibilities and liabilities of managment.
11.21 Inspection procedures for designated qualified persons (DQP's).
11.22 Records required and disposition thereof.
11.23 Inspection of records.
11.24 Reporting by management.
11.40 Prohibitions and requirements concerning persons involved in
transportation of certain horses.
11.41 Reporting required of horse industry organizations or
associations.
Authority: 15 U.S.C. 1823, 1824, 1825, and 1828; 44 U.S.C. 3506.
Source: 44 FR 25179, Apr. 27, 1979, unless otherwise noted.
09 CFR 11.1 Definitions.
For the purpose of this part, unless the context otherwise requires,
the following terms shall have the meanings assigned to them in this
section. The singular form shall also impart the plural and the
masculine form shall also impart the feminine. Words of art undefined
in the following paragraphs shall have the meaning attributed to them by
trade usage or general usage as reflected by definition in a standard
dictionary, such as ''Webster's.''
Act means the Horse Protection Act of 1970 (Pub. L. 91-540) as
amended by the Horse Protection Act Amendments of 1976 (Pub. L.
94-360), 15 U.S.C. 1821 et seq., and any legislation amendatory thereof.
Action Device means any boot, collar, chain, roller, or other device
which encircles or is placed upon the lower extremity of the leg of a
horse in such a manner that it can either rotate around the leg, or
slide up and down the leg so as to cause friction, or which can strike
the hoof, coronet band or fetlock joint.
Administrator means the Administrator, Animal and Plant Health
Inspection Service, or any person authorized to act for the
Administrator.
Animal and Plant Health Inspection Service (APHIS) means the Animal
and Plant Health Inspection Service of the United States Department of
Agriculture.
APHIS representative means any employee of APHIS, or any officer or
employee of any State agency who is authorized by the Administrator to
perform inspections or any other functions authorized by the Act,
including the inspection of the records of any horse show, horse
exhibition, horse sale or horse auction.
APHIS Show Veterinarian means the APHIS Doctor of Veterinary Medicine
responsible for the immediate supervision and conduct of the
Department's activities under the Act at any horse show, horse
exhibition, horse sale or horse auction.
Department means the United States Department of Agriculture.
Designated Qualified Person or DQP means a person meeting the
requirements specified in 11.7 of this part who has been licensed as a
DQP by a horse industry organization or association having a DQP program
certified by the Department and who may be appointed and delegated
authority by the management of any horse show, horse exhibition, horse
sale or horse auction under section 4 of the Act to detect or diagnose
horses which are sore or to otherwise inspect horses and any records
pertaining to such horses for the purposes of enforcing the Act.
Exhibitor means (1) any person who enters any horse, any person who
allows his horse to be entered, or any person who directs or allows any
horse in his custody or under his direction, control or supervision to
be entered in any horse show or horse exhibition; (2) any person who
shows or exhibits any horse, any person who allows his horse to be shown
or exhibited, or any person who directs or allows any horse in his
custody or under his direction, control, or supervision to be shown or
exhibited in any horse show or horse exhibition; (3) any person who
enters or presents any horse for sale or auction, any person who allows
his horse to be entered or presented for sale or auction, or any person
who allows any horse in his custody or under his direction, control, or
supervision to be entered or presented for sale or auction in any horse
sale or horse auction; or (4) any person who sells or auctions any
horse, any person who allows his horse to be sold or auctioned, or any
person who directs or allows any horse in his custody or under his
direction, control, or supervision to be sold or auctioned.
Horse means any member of the species Equus caballus.
Horse Exhibition means a public display of any horses, singly or in
groups, but not in competition, except events where speed is the prime
factor, rodeo events, parades, or trail rides.
Horse Industry Organization or Association means an organized group
of people, having a formal structure, who are engaged in the promotion
of horses through the showing, exhibiting, sale, auction, registry, or
any activity which contributes to the advancement of the horse.
Horse Sale or Horse Auction means any event, public or private, at
which horses are sold or auctioned, regardless of whether or not said
horses are exhibited prior to or during the sale or auction.
Horse Show means a public display of any horses, in competition,
except events where speed is the prime factor, rodeo events, parades, or
trail rides.
Inspection means the examination of any horse and any records
pertaining to any horse by use of whatever means are deemed appropriate
and necessary for the purpose of determining compliance with the Act and
regulations. Such inspection may include, but is not limited to, visual
examination of a horse and records, actual physical examination of a
horse including touching, rubbing, palpating and observation of vital
signs, and the use of any diagnostic device or instrument, and may
require the removal of any shoe, pad, action device, or any other
equipment, substance or paraphernalia from the horse when deemed
necessary by the person conducting such inspection.
Lubricant means mineral oil, glycerine or petrolatum, or mixtures
exclusively thereof, that is applied to the limbs of a horse solely for
protective and lubricating purposes while the horse is being shown or
exhibited at a horse show, horse exhibition, horse sale or horse
auction.
Management means any person or persons who organize, exercise control
over, or administer or are responsible for organizing, directing, or
administering any horse show, horse exhibition, horse sale or horse
auction and specifically includes, but is not limited to, the sponsoring
organization and show manager.
Person means any individual, corporation, company, association, firm,
partnership, society, organization, joint stock company, or other legal
entity.
Secretary means the Secretary of Agriculture or anyone who has
heretofore or may hereafter be delegated authority to act in his stead.
Sector Supervisor means the APHIS veterinarian who is assigned by the
Administrator to supervise and perform official duties of APHIS under
the Act in a specified State or States. /1/
Show Manager means the person who has been delegated pri-mary
authority by a sponsoring organization for managing a horse show, horse
exhibition, horse sale or horse auction.
Sore when used to describe a horse means:
(1) An irritating or blistering agent has been applied, internally or
externally by a person to any limb of a horse,
(2) Any burn, cut, or laceration has been inflicted by a person on
any limb of a horse,
(3) Any tack, nail, screw, or chemical agent has been injected by a
person into or used by a person on any limb of a horse, or
(4) Any other substance or device has been used by a person on any
limb of a horse or a person has engaged in a practice involving a horse,
and, as a result of such application, infliction, injection, use, or
practice, such horse suffers, or can reasonably be expected to suffer,
physical pain or distress, inflammation, or lameness when walking,
trotting, or otherwise moving, except that such term does not include
such an application, infliction, injection, use, or practice in
connection with the therapeutic treatment of a horse by or under the
supervision of a person licensed to practice veterinary medicine in the
State in which such treatment was given.
Sponsoring Organization means any person under whose immediate
auspices and responsibility a horse show, horse exhibition, horse sale,
or horse auction is conducted.
State means any of the several States, the District of Columbia, the
Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa,
or the Trust Territory of the Pacific Islands.
(44 FR 1561, Jan. 5, 1979, as amended at 53 FR 14782, Apr. 26, 1988;
53 FR 28372, July 28, 1988)
/1/ Information as to the name and address of the Sector Supervisor
for the State or States concerned can be obtained by writing to the
Administrator, c/o Regulatory Enforcement and Animal Care, Animal and
Plant Health Inspection Service, U.S. Department of Agriculture, Federal
Building, 6505 Belcrest Road, Hyattsville, MD 20782.
09 CFR 11.2 Prohibitions concerning exhibitors.
(a) General prohibitions. Notwithstanding the provisions of
paragraph (b) of this section, no chain, boot, roller, collar, action
device, nor any other device, method, practice, or substance shall be
used with respect to any horse at any horse show, horse exhibition, or
horse sale or auction if such use causes or can reasonably be expected
to cause such horse to be sore.
(b) Specific prohibitions. The use of any of the following devices,
equipment, or practices on any horse at any horse show, horse
exhibition, or horse sale or auction is prohibited:
(1) All beads, bangles, rollers, and similar devices, with the
exception of rollers made of lignum vitae (hardwood), aluminum, or
stainless steel, with individual rollers of uniform size, weight and
configuration, provided each such device may not weigh more than 6
ounces, including the weight of the fastener.
(2) Chains weighing more than 6 ounces each, including the weight of
the fastener.
(3) Chains with links that are not of uniform size, weight and
configuration; and, chains that have twisted links or double links.
(4) Chains that have drop links on any horse that is being ridden,
worked on a lead, or otherwise worked out or moved about.
(5) More than one action device on any one limb of a horse.
(6) Chains or lignum vitae, stainless steel, or aluminum rollers
which are not smooth and free of protrusions, projections, rust,
corrosion, or rough or sharp edges.
(7)(i) Boots, collars, or any other devices, with protrusions or
swellings, or rigid, rough, or sharp edges, seams or any other abrasive
or abusive surface that may contact a horse's leg; and
(ii) Boots, collars, or any other devices that weigh more than 6
ounces, except for soft rubber or soft leather bell boots and quarter
boots that are used as protective devices.
(8) Pads or other devices on yearling horses (horses up to 2 years
old) that elevate or change the angle of such horses' hooves in excess
of 1 inch at the heel.
(9) Any weight on yearling horses, except a keg or similar
conventional horseshoe, and any horseshoe on yearling horses that weighs
more than 16 ounces.
(10) Artificial extension of the toe length, whether accomplsihed
with pads, acrylics or any other material or combinations thereof, that
exceeds 50 percent of the natural hoof length, as measured from the
coronet band, at the center of the front pastern along the front of the
hoof wall, to the distal portion of the hoof wall at the tip of the toe.
The artificial extension shall be measured from the distal portion of
the hoof wall at the tip of the toe at a 90 degree angle to the proximal
(foot/hoof) surface of the shoe.
(11) Toe length that does not exceed the height of the heel by 1 inch
or more. The length of the toe shall be measured from the coronet band,
at the center of the front pastern along the front of the hoof wall to
the ground. The heel shall be measured from the coronet band, at the
most lateral portion of the rear pastern, at a 90 degree angle to the
ground, not including normal caulks at the rear of a horseshoe that do
not exceed 3/4 inch in length. That portion of caulk at the rear of a
horseshoe in excess of 3/4 of an inch shall be added to the height of
the heel in determining the heel/toe ratio.
(12) Pads that are not made of leather, plastic, or a similar pliant
material.
(13) Any object or material inserted between the pad and the hoof
other than acceptable hoof packing, which includes pine tar, oakum, live
rubber, sponge rubber, silicone, commercial hoof packing or other
substances used to maintain adequate frog pressure or sole consistency.
(14) Single or double rocker-bars on the bottom surface of horseshoes
which extend more than 1 1/2 inches back from the point of the toe, or
which would cause, or could reasonably be expected to cause, an
unsteadiness of stance in the horse with resulting muscle and tendon
strain due to the horse's weight and balance being focused upon a small
fulcrum point. 2
(15) Metal hoof bands, such as used to anchor or strengthen pads and
shoes, placed less than 1/2 inch below the coronet band.
(16) Metal hoof bands that can be easily and quickly loosened or
tightened by hand, by means such as, but not limited to, a wing-nut or
similar fastener.
(17) Any action device or any other device that strikes the coronet
band of the foot of a horse except for soft rubber or soft leather bell
boots that are used as protective devices.
(18) Shoeing a horse, or trimming a horse's hoof in a manner that
will cause such horse to suffer, or can reasonably be expected to cause
such horse to suffer pain or distress, inflammation, or lameness when
walking, trotting, or otherwise moving.
(19) Lead or other weights attached to the outside of the hoof wall,
the outside surface of the horseshoe, or any portion of the pad except
the bottom surface within the horseshoe. Pads may not be hollowed out
for the purpose of inserting or affixing weights, and weights may not
extend below the bearing surface of the shoe. Hollow shoes or
artificial extensions filled with mercury or similar substances are
prohibited.
(c) Substances. All substances are prohibited on the extremities
above the hoof of any Tennessee Walking Horse or racking horse while
being shown, exhibited, or offered for sale at any horse show, horse
exhibition, or horse sale or auction, except lubricants such as
glycerine, petrolatum, and mineral oil, or mixtures thereof: Provided,
That:
(1) The horse show, horse exhibition, or horse sale or auction
management agrees to furnish all such lubricants and to maintain control
over them when used at the horse show, horse exhibition, or horse sale
or auction.
(2) Any such lubricants shall be applied only after the horse has
been inspected by management or by a DQP and shall only be applied under
the supervision of the horse show, horse exhibition, or horse sale, or
auction management.
(3) Horse show, horse exhibition, or horse sale or auction management
makes such lubricants available to Department personnel for inspection
and sampling as they deem necessary.
(d) Competition restrictions -- 2 Year-Old Horses. Horse show or
horse exhibition workouts or performances of 2-year-old Tennessee
Walking Horses and racking horses and working exhibitions of 2-year-old
Tennessee Walking Horses and racking horses (horses eligible to be shown
or exhibited in 2-year-old classes) at horse sales or horse auctions
that exceed a total of 10 minutes continuous workout or performance
without a minimum 5-minute rest period between the first such 10-minute
period and the second such 10-minute period, and, more than two such
10-minute periods per performance, class, or workout are prohibited.
(e) Information requirements -- horse related. Failing to provide
information or providing any false or misleading information required by
the Act or regulations or requested by Department representatives, by
any person that owns, trains, shows, exhibits, or sells or has custody
of, or direction or control over any horse shown, exhibited, sold, or
auctioned or entered for the purpose of being shown, exhibited, sold, or
auctioned at any horse show, horse exhibition, or horse sale or auction
is prohibited. Such information shall include, but is not limited to:
Information concerning the registered name, markings, sex, age, and
legal ownership of the horse; the name and address of the horse's
training and/or stabling facilities; the name and address of the owner,
trainer, rider, any other exhibitor, or other legal entity bearing
responsibility for the horse; the class in which the horse is entered
or shown; the exhibitor identification number; and, any other
information reasonably related to the identification, ownership,
control, direction, or supervision of any such horse.
(44 FR 25179, Apr. 27, 1979, as amended at 53 FR 14782, Apr. 26,
1988, 53 FR 15641, May 2, 1988, 53 FR 28372, July 28, 1988, 53 FR 41562,
Oct. 24, 1988, 53 FR 45854, Nov. 14, 1988; 54 FR 7178, Feb. 17, 1989)
2This prohibition is not intended to disallow corrective devices,
such as Memphis bars which consist of a metal bar(s) crossing from the
ground surface of one side of the horseshoe to the ground surface of the
other side of the horseshoe, and the purpose of which is to correct a
lameness or pathological condition of the foot: Provided, That such
metal bar(s) do not act as a single fulcrum point so as to affect the
balance of the horse.
09 CFR 11.3 Scar rule.
The scar rule applies to all horses born on or after October 1, 1975.
Horses subject to this rule that do not meet the following scar rule
criteria shall be considered to be ''sore'' and are subject to all
prohibitions of section 5 of the Act. The scar rule criteria are as
follows:
(a) The anterior and anterior-lateral surfaces of the fore pasterns
(extensor surface) must be free of bilateral granulomas,5 other
bilateral pathological evidence of inflammation, and, other bilateral
evidence of abuse indicative of soring including, but not limited to,
excessive loss of hair.
(b) The posterior surfaces of the pasterns (flexor surface),
including the sulcus or ''pocket'' may show bilateral areas of uniformly
thickened epithelial tissue if such areas are free of proliferating
granuloma tissue, irritation, moisture, edema, or other evidence of
inflammation.
(44 FR 25179, Apr. 27, 1979, as amended at 53 FR 14782, Apr. 26,
1988, 53 FR 28373, July 28, 1988)APHIS
3 -- 4(Reserved)
5Granuloma is defined as any one of a rather large group of fairly
distinctive focal lesions that are formed as a result of inflammatory
reactions caused by biological, chemical, or physical agents.
09 CFR 11.4 Inspection and detention of horses.
For the purpose of effective enforcement of the Act:
(a) Each horse owner, exhibitor, trainer, or other person having
custody of, or responsibility for, any horse at any horse show, horse
exhibition, or horse sale or auction, shall allow any APHIS
representative to reasonably inspect such horse at all reasonable times
and places the APHIS representative may designate. Such inspections may
be required of any horse which is stabled, loaded on a trailer, being
prepared for show, exhibition, or sale or auction, being exercised or
otherwise on the grounds of, or present at, any horse show, horse
exhibition, or horse sale or auction, whether or not such horse has or
has not been shown, exhibited, or sold or auctioned, or has or has not
been entered for the purpose of being shown or exhibited or offered for
sale or auction at any such horse show, horse exhibition, or horse sale
or auction. APHIS representatives will not generally or routinely delay
or interrupt actual individual classes or performances at horse shows,
horse exhibitions, or horse sales or auctions for the purpose of
examining horses, but they may do so in extraordinary situations, such
as but not limited to, lack of proper facilities for inspection, refusal
of management to cooperate with Department inspection efforts, reason to
believe that failure to immediately perform inspection may result in the
loss, removal, or masking of any evidence of a violation of the Act or
the regulations, or a request by management that such inspections be
performed by an APHIS representative.
(b) When any APHIS representative notifies the owner, exhibitor,
trainer, or other person having custody of or responsibility for a horse
at any horse show, horse exhibition, or horse sale or auction that APHIS
desires to inspect such horse, it shall not be moved from the horse
show, horse exhibition, or horse sale or auction until such inspection
has been completed and the horse has been released by an APHIS
representative.
(c) For the purpose of examination, testing, or taking of evidence,
APHIS representatives may detain for a period not to exceed 24 hours any
horse, at any horse show, horse exhibition, or horse sale or auction,
which is sore or which an APHIS veterinarian has probable cause to
believe is sore. Such detained horse may be marked for identification
and any such identifying markings shall not be removed by any person
other than an APHIS representative.
(d) Detained horses shall be kept under the supervision of an APHIS
representative or secured under an official USDA seal or seals in a
horse stall, horse trailer, or other facility to which access shall be
limited. It shall be the policy of APHIS to have at least one
representative present in the immediate detention area when a horse is
being held in detention. The official USDA seal or seals may not be
broken or removed by any person other than an APHIS representative,
unless:
(1) The life or well-being of the detained horse is immediately
endangered by fire, flood, windstorm, or other dire circumstances that
are beyond human control.
(2) The detained horse is in need of such immediate veterinary
attention that its life may be in peril before an APHIS representative
can be located.
(3) The horse has been detained for a maximum 24-hour detention
period, and an APHIS representative is not available to release the
horse.
(e) The owner, exhibitor, trainer, or other person having custody of
or responsibility for any horse detained by APHIS for further
examination, testing, or the taking of evidence shall be allowed to
feed, water, and provide other normal custodial and maintenance care,
such as walking, grooming, etc., for such detained horse: Provided,
That:
(1) Such feeding, watering, and other normal custodial and
maintenance care of the detained horse is rendered under the direct
supervision of an APHIS representative.
(2) Any non-emergency veterinary care of the detained horse requiring
the use, application, or injection of any drugs or other medication for
therapeutic or other purposes is rendered by a Doctor of Veterinary
Medicine in the presence of an APHIS representative and, the indentity
and dosage of the drug or other medication used, applied, or injected
and its purpose is furnished in writing to the APHIS representative
prior to such use, application, or injection by the Doctor of Veterinary
Medicine attending the horse. The use, application, or injection of
such drug or other medication must be approved by the APHIS Show
Veterinarian or his appointed representative.
(f) It shall be the policy of APHIS to inform the owner, trainer,
exhibitor, or other person having immediate custody of or responsibility
for any horse allegedly found to be in violation of the Act or the
regulations of such alleged violation or violations before the horse is
released by an APHIS representative.
(g) The owner, trainer, exhibitor, or other person having immediate
custody of or responsibility for any horse or horses that an APHIS
representative determines shall be detained for examination, testing, or
taking of evidence pursuant to paragraph (e) of this section shall be
informed after such determination is made and shall allow said horse to
be immediately put under the supervisory custody of APHIS or secured
under official USDA seal as provided in paragraph (d) of this section
until the completion of such examination, testing, or gathering of
evidence, or until the 24-hour detention period expires.
(h) The owner, trainer, exhibitor, or other person having custody of
or responsibility for any horse allegedly found to be in violation of
the Act or regulations, and who has been notified of such alleged
violation by an APHIS representative as stated in paragraph (f) of this
section, may request reexamination and testing of said horse within a
24-hour period: Provided, That:
(1) Such request is made to the APHIS Show Veterinarian immediately
after the horse has been examined by APHIS representatives and before
such horse has been removed from the APHIS inspection facilities; and
(2) The APHIS Show Veterinarian determines that sufficient cause for
reexamination and testing exists; and
(3) The horse is maintained under APHIS supervisory custody as
prescribed in paragraph (d) of this section until such reexamination and
testing has been completed.
(i) The owner, exhibitor, trainer, or other person having custody of,
or responsibility for any horse being inspected shall render such
assistance as the APHIS representative may request for purposes of such
inspection.
(44 FR 25179, Apr. 27, 1979, as amended at 56 FR 13750)
09 CFR 11.5 Access to premises and records.
Requirements regarding access to premises for inspection of horses
and records are as follows:
(a) Management. (1) The management of any horse show, horse
exhibition, or horse sale or auction shall, without fee, charge,
assessment, or other compensation, provide APHIS representatives with
unlimited access to the grandstands, sale ring, barns, stables, grounds,
offices, and all other areas of any horse show, horse exhibition, or
horse sale or auction, including any adjacent areas under their
direction, control, or supervision for the purpose of inspecting any
horses, or any records required to be kept by regulation or otherwise
maintained.
(2) The management of any horse show, horse exhibition, or horse sale
or auction shall, without fee, charge, assessment, or other
compensation, provide APHIS representatives with an adequate, safe, and
accessible area for the visual inspection and observation of horses
while such horses are competitively or otherwise performing at any horse
show or horse exhibition, or while such horses are being sold or
auctioned or offered for sale or auction at any horse sale or horse
auction.
(b) Exhibitors. (1) Each horse owner, exhibitor, or other person
having custody of or responsibility for any horse at any horse show,
horse exhibition, or horse sale or auction shall, without fee, charge,
assessment, or other compensation, admit any APHIS representative or
Designated Qualified Person appointed by management, to all areas of
barns, compounds, horse vans, horse trailers, stables, stalls, paddocks,
or other show, exhibition, or sale or auction grounds or related areas
at any horse show, horse exhibition, or horse sale or auction, for the
purpose of inspecting any such horse at any and all reasonable times.
(2) Each owner, trainer, exhibitor, or other person having custody of
or responsibility for, any horse at any horse show, horse exhibition, or
horse sale or auction shall promptly present his horse for inspection
upon notification, orally or in writing, by any APHIS representative or
Designated Qualified Person appointed by management, that said horse has
been selected for examination for the purpose of determining whether
such horse is in compliance with the Act and regulations.
(44 FR 25179, Apr. 27, 1979, as amended at 56 FR 13750, Apr. 4, 1991)
09 CFR 11.6 Inspection space and facility requirements.
The management of every horse show, horse exhibition, or horse sale
or auction, containing Tennessee Walking Horses or racking horses, shall
provide, without fee, sufficient space and facilities for APHIS
representatives to carry out their duties under the Act and regulations
at every horse show, horse exhibition, or horse sale or auction,
containing Tennessee Walking Horses or racking horses, whether or not
management has received prior notification or otherwise knows that such
show may be inspected by APHIS. The management of every horse show,
horse exhibition, horse sale or auction which does not contain Tennessee
Walking Horses or racking horses shall provide, without fee, such
sufficient space and facilities when requested to do so by APHIS
representatives. With respect to such space and facilities, it shall be
the responsibility of management to provide at least the following:
(a) Sufficient space in a convenient location to the horse show,
horse exhibition, or horse sale or auction arena, acceptable to the
APHIS Show Veterinarian, in which horses may be physically,
thermographically, or otherwise inspected.
(b) Protection from the elements of nature, such as rain, snow,
sleet, hail, windstorm, etc., if required by the APHIS Show
Veterinarian.
(c) A means to control crowds or onlookers in order that APHIS
personnel may carry out their duties without interference and with a
reasonable measure of safety, if requested by the APHIS Show
Veterinarian.
(d) An accessible, reliable, and convenient 110-volt electrical power
source, if electrical service is available at the show, exhibition, or
sale or auction site and is requested by the APHIS Show Veterinarian.
(e) An appropriate area adjacent to the inspection area for
designated horses to wait for inspection, and an area to be used for
detention of horses.
(44 FR 13750, Apr. 27, 1979, as amended at 56 FR 13750, Apr. 23,
1991)
09 CFR 11.7 Certification and licensing of designated qualified persons
(DQP's).
(a) Basic qualifications of DQP applicants. DQP's holding a valid,
current DQP license issued in accordance with this part may be appointed
by the management of any horse show, horse exhibition, horse sale, or
horse auction, as qualified persons in accordance with section 4(c) of
the Act, to inspect horses to detect or diagnose soring and to otherwise
inspect horses, or any records pertaining to any horse for the purpose
of enforcing the Act. Individuals who may be licensed as DQP's under
this part shall be:
(1) Doctors of Veterinary Medicine who are accredited in any State by
the United States Department of Agriculture under part 161 of chapter I,
title 9 of the Code of Federal Regulations, and who are:
(i) Members of the American Association of Equine Practitioners, or
(ii) Large animal practitioners with substantial equine experience,
or
(iii) Knowledgeable in the area of equine lameness as related to
soring and soring practices (such as Doctors of Veterinary Medicine with
a small animal practice who own, train, judge, or show horses, or
Doctors of Veterinary Medicine who teach equine related subjects in an
accredited college or school of veterinary medicine). Accredited
Doctors of Veterinary Medicine who meet these criteria may be licensed
as DQP's by a horse industry organization or association whose DQP
program has been certified by the Department under this part without
undergoing the formal training requirements set forth in this section.
(2) Farriers, horse trainers, and other knowledgeable horsemen whose
past experience and training would qualify them for positions as horse
industry organization or association stewards or judges (or their
equivalent) and who have been formally trained and licensed as DQP's by
a horse industry organization or association whose DQP program has been
certified by the Department in accordance with this section.
(b) Certification requirements for DQP programs. The Department will
not license DQP's on an individual basis. Licensing of DQP's will be
accomplished only through DQP programs certified by the Department and
initiated and maintained by horse industry organizations or
associations. Any horse industry organization or association desiring
Department certification to train and license DQP's under the Act shall
submit to the Administrator6 a formal request in writing for
certification of its DQP program and a detailed outline of such program
for Department approval. Such outline shall include the organizational
structure of such organization or association and the names of the
officers or persons charged with the management of the organization or
association. The outline shall also contain at least the following:
(1) The criteria to be used in selecting DQP candidates and the
minimum qualifications and knowledge regarding horses each candidate
must have in order to be admitted to the program.
(2) A copy of the formal training program, classroom and practical,
required to be completed by each DQP candidate before being licensed by
such horse industry organization or association, including the minimum
number of hours, classroom and practical, and the subject matter of the
training program. Such training program must meet the following minimum
standards in order to be certified by the Department under the Act.
(i) Two hours of classroom instruction on the anatomy and physiology
of the limbs of a horse. The instructor teaching the course must be
specified, and a resume of said instructor's background, experience, and
qualifications to teach such course shall be provided to the
Administrator. 6
(ii) Two hours of classroom instruction on the Horse Protection Act
and regulations and their interpretation. Instructors for this course
must be furnished or recommended by the Department. Requests for
instructors to be furnished or recommended must be made to the
Administrator6 in writing at least 30 days prior to such course.
(iii) Four hours of classroom instruction on the history of soring,
the physical examination procedures necessary to detect soring, the
detection and diagnosis of soring, and related subjects. The instructor
teaching the course must be specified and a summary of said instructor's
background, experience, and qualifications to teach such course must be
provided to the Administrator. 6
(iv) Four hours of practical instruction in clinics and seminars
utilizing live horses with actual application of the knowledge gained in
the classroom subjects covered in paragraphs (b)(2)(i), (ii), and (iii)
of this section. Methods and procedures required to perform a thorough
and uniform examination of a horse shall be included. The names of the
instructors and a resume of their background, academic and practical
experience, and qualifications to present such instruction shall be
provided to the Administrator. 6 Notification of the actual date, time,
duration, subject matter, and geographic location of such clinics or
seminars must be sent to the Administrator6 at least 10 days prior to
each such clinic or seminar.
(v) One hour of classroom instruction regarding the DQP standards of
conduct promulgated by the licensing organization or association
pursuant to paragraph (d)(7) of this section.
(vi) One hour of classroom instruction on recordkeeping and reporting
requirements and procedures.
(3) A sample of a written examination which must be passed by DQP
candidates for successful completion of the program along with sample
answers and the scoring thereof, and proposed passing and failing
standards.
(4) The criteria to be used to determine the qualifications and
performance abilities of DQP candidates selected for the training
program and the criteria used to indicate successful completion of the
training program, in addition to the written examination required in
paragraph (b)(3) of this section.
(5) The criteria and schedule for a continuing education program and
the criteria and methods of monitoring and appraising performance for
continued licensing of DQP's by such organization or association. A
continuing education program for DQP's shall consist of not less than 4
hours of instruction per year.
(6) Procedures for monitoring horses in the unloading, preparation,
warmup, and barn areas, or other such areas. Such monitoring may
include any horse that is stabled, loaded on a trailer, being prepared
for show, exhibition, sale, or auction, or exercised, or that is
otherwise on the grounds of, or present at, any horse show, horse
exhibition, or horse sale or auction.
(7) The methods to be used to insure uniform interpretation and
enforcement of the Horse Protection Act and regulations by DQP's and
uniform procedures for inspecting horses for compliance with the Act and
regulations; and,
(8) Standards of conduct for DQP's promulgated by the organization or
association in accordance with paragraph (d)(7) of this section.
(9) A formal request for Department certification of the DQP program.
The horse industry organizations or associations that have formally
requested Department certification of their DQP training, enforcement,
and maintenance program will receive a formal notice of certification
from the Department, or the reasons, in writing, why certification of
such program cannot be approved. A current list of certified DQP
programs and licensed DQP's will be published in the Federal Register at
least once each year, and as may be further required for the purpose of
deleting programs and names of DQP's that are no longer certified or
licensed, and of adding the names of programs and DQP's that have been
certified or licensed subsequent to the publication of the previous
list.
(c) Licensing of DQP's. Each horse industry organization or
association receiving Department certification for the training and
licensing of DQP's under the Act shall:
(1) Issue each DQP licensed by such horse industry organization or
association a numbered identification card bearing the name and personal
signature of the DQP, a picture of the DQP, and the name and address,
including the street address or post office box and zip code, of the
licensing organization or association;
(2) Submit a list to the Administrator6 of names and addresses
including street address or post office box and zip code, of all DQP's
that have successfully completed the certified DQP program and have been
licensed under the Act and regulations by such horse industry
organization or association;
(3) Notify the Department of any additions or deletions of names of
licensed DQP's from the licensed DQP list submitted to the Department or
of any change in the address of any licensed DQP or any warnings and
license revocations issued to any DQP licensed by such horse industry
organization or association within 10 days of such change;
(4) Not license any person as a DQP if such person has been convicted
of any violation of the Act or regulations occurring after July 13,
1976, or paid any fine or civil penalty in settlement of any proceeding
regarding a violation of the Act or regulations occurring after July 13,
1976, for a period of at least 2 years following the first such
violation, and for a period of at least 5 years following the second
such violation and any subsequent violation;
(5) Not license any person as a DQP until such person has attended
and worked two recognized or affiliated horse shows, horse exhibitions,
horse sales, or horse auctions as an apprentice DQP and has demonstrated
the ability, qualifications, knowledge and integrity required to
satisfactorily execute the duties and responsibilities of a DQP;
(6) Not license any person as a DQP if such person has been
disqualified by the Secretary from making detection, diagnosis, or
inspection for the purpose of enforcing the Act, or if such person's DQP
license is canceled by another horse industry organization or
association.
(d) Requirements to be met by DQP's and Licensing Organizations or
Associations. (1) Any licensed DQP appointed by the management of any
horse show, horse exhibition, horse sale or auction to inspect horses
for the purpose of detecting and determining or diagnosing horses which
are sore and to otherwise inspect horses for the purpose of enforcing
the Act and regulations, shall keep and maintain the following
information and records concerning any horse which said DQP recommends
be disqualified or excused for any reason at such horse show, horse
exhibition, horse sale or auction, from being shown, exhibited, sold or
auctioned, in a uniform format required by the horse industry
organization or association that has licensed said DQP:
(i) The name and address, including street address or post office box
and zip code, of the show and the show manager.
(ii) The name and address, including street address or post office
box and zip code, of the horse owner.
(iii) The name and address, including street address or post office
box and zip code, of the horse trainer.
(iv) The name and address, including street address or post office
box and zip code, of the horse exhibitor.
(v) The exhibitors number and class number, or the sale or auction
tag number of said horse.
(vi) The date and time of the inspection.
(vii) A detailed description of all of the DQP's findings and the
nature of the alleged violation, or other reason for disqualifying or
excusing the horse, including said DQP's statement regarding the
evidence or facts upon which the decision to disqualify or excuse said
horse was based.
(viii) The name, age, sex, color, and markings of the horse; and
(ix) The name or names of the show manager or other management
representative notified by the DQP that such horse should be excused or
disqualified and whether or not such manager or management
representative excused or disqualified such horse.
Copies of the above records shall be submitted by the involved DQP to
the horse industry organization or association that has licensed said
DQP within 72 hours after the horse show, horse exhibition, horse sale,
or horse auction is over.
(2) The DQP shall inform the custodian of each horse allegedly found
in violation of the Act or its regulations, or disqualified or excused
for any other reason, of such action and the specific reasons for such
action.
(3) Each horse industry organization or association having a
Department certified DQP program shall submit a report to the Department
containing the following information, from records required in paragraph
(d)(1) of this section and other available sources, to the Department on
a monthly basis:
(i) The identity of all horse shows, horse exhibitions, horse sales,
or horse auctions that have retained the services of DQP's licensed by
said organization or association during the month covered by the report.
Information concerning the identity of such horse shows, horse
exhibitions, horse sales, or horse auctions shall include:
(A) The name and location of the show, exhibition, sale, or auction.
(B) The name and address of the manager.
(C) The date or dates of the show, exhibition, sale, or auction.
(ii) The identity of all horses at each horse show, horse exhibition,
horse sale, or horse auction that the licensed DQP recommended be
disqualified or excused for any reason. The information concerning the
identity of such horses shall include:
(A) The registered name of each horse.
(B) The name and address of the owner, trainer, exhibitor, or other
person having custody of or responsibility for the care of each such
horse disqualified or excused.
(4) Each horse industry organization or association having a
Department certified DQP program shall provide, by certified mail if
personal service is not possible, to the trainer and owner of each horse
allegedly found in violation of the Act or its regulations or otherwise
disqualified or excused for any reason, the following information;
(i) The name and date of the show, exhibition, sale, or auction.
(ii) The name of the horse and the reason why said horse was excused,
disqualified, or alleged to be in violation of the Act or its
regulations.
(5) Each horse industry organization or association having a
Department certified DQP program shall provide each of its licensed
DQP's with a current list of all persons that have been disqualified by
order of the Secretary from showing or exhibiting any horse, or judging
or managing any horse show, horse exhibition, horse sale, or horse
auction. The Department will make such list available, on a current
basis, to organizations and associations maintaining a certified DQP
program.
(6) Each horse industry organization or association having a
Department certified DQP program shall develop and provide a continuing
education program for licensed DQP's which provides not less than 4
hours of instruction per year to each licensed DQP.
(7) Each horse industry organization or association having a
Department certified DQP program shall promulgate standards of conduct
for its DQP's, and shall provide administrative procedures within the
organization or association for initiating, maintaining, and enforcing
such standards. The procedures shall include the causes for and methods
to be utilized for canceling the license of any DQP who fails to
properly and adequately carry out his duties. Minimum standards of
conduct for DQP's shall include the following;
(i) A DQP shall not exhibit any horse at any horse show or horse
exhibition, or sell, auction, or pruchase any horse sold at a horse sale
or horse auction at which he or she has been appointed to inspect
horses;
(ii) A DQP shall not inspect horses at any horse show, horse
exhibition, horse sale or horse auction in which a horse or horses owned
by a member of the DQP's immediate family or the DQP's employer are
competing or are being offered for sale;
(iii) A DQP shall follow the uniform inspection procedures of his
certified organization or association when inspecting horses; and
(iv) The DQP shall immediately inform management of each case
regarding any horse which, in his opinion, is in violation of the Act or
regulations.
(e) Prohibition of appointment of certain persons to perform duties
under the Act. The management of any horse show, horse exhibition,
horse sale, or horse auction shall not appoint any person to detect and
diagnose horses which are sore or to otherwise inspect horses for the
purpose of enforcing the Act, if that person:
(1) Does not hold a valid, current DQP license issued by a horse
industry organization or association having a DQP program certified by
the Department.
(2) Has had his DQP license canceled by the licensing organization or
association.
(3) Is disqualified by the Secretary from performing diagnosis,
detection, and inspection under the Act, after notice and opportunity
for a hearing,7 when the Secretary finds that such person is unfit to
perform such diagnosis, detection, or inspection because he has failed
to perform his duties in accordance with the Act or regulations, or
because he has been convicted of a violation of any provision of the Act
or regulations occurring after July 13, 1976, or has paid any fine or
civil penalty in settlement of any proceeding regarding a violation of
the Act or regulations occurring after July 13, 1976.
(f) Cancellation of DQP license. (1) Each horse industry
organization or association having a DQP program certified by the
Department shall issue a written warning to any DQP whom it has licensed
who violates the rules, regulations, by-laws, or standards of conduct
promulgated by such horse industry organization or association pursuant
to this section, who fails to follow the procedures set forth in 11.21
of this part, or who otherwise carries out his duties and
responsibilities in a less than satisfactory manner, and shall cancel
the license of any DQP after a second violation. Upon cancellation of
his DQP license, the DQP may, within 30 days thereafter, request a
hearing before a review committee of not less than three persons
appointed by the licensing horse industry organization or association.
If the review committee sustains the cancellation of the license, the
DQP may appeal the decision of such committee to the Administrator
within 30 days from the date of such decision, and the Administrator
shall make a final determination in the matter. If the Administrator
finds, after providing the DQP whose license has been canceled with a
notice and an opportunity for a hearing,7 that there is sufficient cause
for the committee's determination regarding license cancellation, he
shall issue a decision sustaining such determination. If he does not
find that there was sufficient cause to cancel the license, the
licensing organization or association shall reinstate the license.
(2) Each horse industry organization or association having a
Department certified DQP program shall cancel the license of any DQP
licensed under its program who has been convicted of any violation of
the Act or regulations or of any DQP who has paid a fine or civil
penalty in settlement of any alleged violation of the Act or regulations
if such alleged violation occurred after July 13, 1976.
(g) Revocation of DQP program certification of horse industry
organizations or associations. Any horse industry organization or
association having a Department certified DQP program that has not
received Department approval of the inspection procedures provided for
in paragraph (b)(6) of this section, or that otherwise fails to comply
with the requirements contained in this section, may have such
certification of its DQP program revoked, unless, upon written
notification from the Department of such failure to comply with the
requirements in this section, such organization or association takes
immediate action to rectify such failure and takes appropriate steps to
prevent a recurrence of such noncompliance within the time period
specified in the Department notification, or otherwise adequately
explains such failure to comply to the satisfaction of the Department.
Any horse industry organization or association whose DQP program
certification has been revoked may appeal such revocation to the
Administrator6 in writing within 30 days after the date of such
revocation and, if requested, shall be afforded an opportunity for a
hearing. 7 All DQP licenses issued by a horse industry organization or
association whose DQP program certification has been revoked shall
expire 30 days after the date of such revocation, or 15 days after the
date the revocation becomes final after appeal, unless they are
transferred to a horse industry organization or association having a
program currently certified by the Department.
(Approved by the Office of Management and Budget under control number
0579-0056)
(44 FR 1563, Jan. 5, 1979, as amended at 44 FR 25182, Apr. 27, 1979;
48 FR 57471, Dec. 30, 1983; 55 FR 41993, Oct. 17, 1990; 56 FR 13750,
Apr. 4, 1991)
6Administrator, c/o Regulatory Enforcement and Animal Care, Animal
and Plant Health Inspection Service, Federal Building, 6505 Belcrest
Road, Hyattsville, MD 20782.
6See footnote 6 to this section.
7Hearing would be in accordance with the Uniform Rules of Practice
for the Department of Agriculture in subpart H of part 1, subtitle A,
title 7, Code of Federal Regulations (7 CFR 1.130 et seq.)
67See previous footnotes 6 and 7.
09 CFR 11.20 Responsibilities and liabilities of management.
(a) The management of any horse show, horse exhibition, or horse sale
or auction which does not appoint and retain a DQP shall be responsible
for identifying all horses that are sore or otherwise in violation of
the Act or regulations, and shall disqualify or disallow any horses
which are sore or otherwise in violation of the Act or regulations from
participating or competing in any horse show, horse exhibition, horse
sale, or horse auction. Horses entered for sale or auction at a horse
sale or horse auction must be identified as sore or otherwise in
violation of the Act or regulations prior to the sale or auction and
prohibited from entering the sale or auction ring. Sore horses or
horses otherwise in violation of the Act or regulations that have been
entered in a horse show or horse exhibition for the purpose of show or
exhibition must be identified and excused prior to the show or
exhibition. Any horses found to be sore or otherwise in violation of
the Act or regulations during actual participation in the show or
exhibition, must be removed from further participation prior to the
tyeing of the class or the completion of the exhibition. All horses
tyed first in each Tennessee Walking Horse or racking horse class or
event at any horse show or horse exhibition shall be inspected after
being shown or exhibited to determine if such horses are sore or
otherwise in violation of the Act or regulations.
(b)(1) The management of any horse show, horse exhibition, horse sale
or auction which designates and appoints a Designated Qualified Person
(or persons) to inspect horses shall accord said DQP access to all
records and areas of the grounds of such show, exhibition, sale, or
auction and the same right to inspect horses and records as is accorded
to any APHIS representative. Further, management shall not take any
action which would interfere with or influence said DQP in carrying out
his duties or making decisions concerning whether or not any horse is
sore or otherwise in violation of the Act or regulations. In the event
management is dissatisfied with the performance of a particular DQP,
including disagreement with decisions concerning violations, management
shall not dismiss or otherwise interfere with said DQP during the DQP's
appointed tour of duty. 8 However, management should immediately notify,
in writing, the Department6 and the organization or association that
licensed the DQP, as to why the performance of said DQP was inadequate
or otherwise unsatisfactory. Management which designates and appoints a
DQP shall immediately disqualify or disallow from being shown,
exhibited, sold, or auctioned any horse identified by the DQP to be sore
or otherwise in violation of the Act or regulations or any horse
otherwise known by management to be sore or in violation of the Act or
regulations. Should management fail to disqualify or disallow from
being shown, exhibited, sold or auctioned any such horse, said
management shall assume full responsibility for and liabilities arising
from the showing, exhibition, sale, or auction of said horses.
(2) The DQP shall physically inspect: (i) All Tennessee Walking
Horses and racking horses entered for sale or auction, (ii) all
Tennessee Walking Horses and racking horses entered in any animated gait
class (whether under saddle, horse to cart, or otherwise), (iii) all
Tennessee Walking Horses and racking horses entered for exhibition
before they are admitted to be shown, exhibited, sold, or auctioned, and
(iv) all Tennessee Walking Horses and racking horses tyed first in their
class or event at any horse show, horse exhibition, horse sale, or horse
auction. Such inspection shall be for the purpose of determining
whether any such horses are in violation of the Act or regulations.
Such physical examination shall be conducted in accordance with the
inspection procedures provided for in 11.21 of this part. The DQP
shall observe horses in the warmup ring and during actual performances
whenever possible, and shall inspect any Tennessee Walking Horse or
racking horse at any time he deems necessary to determine whether any
such horse shown, exhibited, sold, or auctioned is in violation of the
Act or regulations. If present at other shows, he shall examine any
horse which he determines should be examined for compliance with the Act
and regulations.
(3) The DQP shall immediately report, to the management of any horse
show, horse exhibition, or horse sale or auction, any horse which, in
his opinion, is sore or otherwise in violation of the Act or
regulations. Such report shall be made, whenever possible, before the
show class or exhibitioin involving said horse has begun or before said
horse is offered for sale or auction.
(c) The management of any horse show, exhibition, sale, or auction
that designates and appoints a DQP to inspect horses shall appoint and
designate at least two DQP's when more than 100 horses are entered.
(Approved by the Office of Management and Budget under control number
0579-0056)
(44 FR 25182, Apr. 27, 1979, as amended at 48 FR 57471, Dec. 30,
1983; 55 FR 41993, Oct. 17, 1990; 56 FR 13750, Apr. 4, 1991)
6See footnote 6 to 11.7.
8The duration of the show, exhibition, or sale or auction.
09 CFR 11.21 Inspection procedures for designated qualified persons
(DQP's).
(a)(1) During the preshow inspection, the DQP shall direct the
custodian of the horse to walk and turn the horse in a manner that
allows the DQP to determine whether the horse exhibits signs of
soreness. The DQP shall determine whether the horse moves in a free and
easy manner and is free of any signs of soreness.
(2) The DQP shall digitally palpate the front limbs of the horse from
knee to hoof, with particular emphasis on the pasterns and fetlocks.
The DQP shall examine the posterior surface of the pastern by picking up
the foot and examining the posterior (flexor) surface. The DQP shall
apply digital pressure to the pocket (sulcus), including the bulbs of
the heel, and continue the palpation to the medial and lateral surfaces
of the pastern, being careful to observe for responses to pain in the
horse. While continuing to hold onto the pastern, the DQP shall extend
the foot and leg of the horse to examine the front (extensor) surfaces,
including the coronary band. The DQP shall examine in a like manner the
rear limbs of all horses inspected after showing, and may examine the
rear limbs of any horses examined preshow when he deems it necessary.
While carrying out the procedures set forth in this paragraph, the DQP
shall also inspect the horse to determine whether the provisions of
11.3 of this part are being complied with, and particularly whether
there is any evidence of inflammation, edema, or proliferating granuloma
tissue.
(3) The DQP shall observe and inspect all horses for compliance with
the provisions set forth in 11.2(a) through 11.2(c) of this part. All
action devices, pads and other equipment shall be weighed and/or
measured to determine if they are in compliance with the regulations.
(4) The DQP shall instruct the custodian of the horse to control it
by holding the reins approximately 18 inches from the bit shank. The
DQP shall not be required to examine a horse if it is presented in a
manner that might cause the horse not to react to a DQP's examination,
or if whips, cigarette smoke, or other actions or paraphernalia are used
to distract a horse during examination. All such incidents shall be
reported to the show management and the DQP licensing organization.
(b) The DQP shall inspect horses no more than one class ahead of the
time the inspected horses are to be shown. Inspected horses shall be
held in a designated area that is under observation by the DQP or APHIS
representative. Horses shall not be permitted to leave the designated
area before showing. Only the horse, the rider, and either a groom or
trainer shall be allowed in the designated area.
(c) The DQP may carry out additional inspection procedures as he
deems necessary to determine whether the horse is sore.
(d) The certified DQP organization shall assess appropriate penalties
for violations, as set forth in the rule book of the certified program
under which the DQP is licensed, or as set forth by the Department, and
shall report all violations, in accordance with 11.20(b)(3) of this
part.
(55 FR 41993, Oct. 17, 1990; as amended at 56 FR 13750, Apr. 4,
1991)
09 CFR 11.22 Records required and disposition thereof.
(a) The management of any horse show, horse exhibition, or horse sale
or auction, that contains Tennessee Walking Horses or racking horses,
shall maintain for a period of at least 90 days following the closing
date of said show, exhibition, or sale or auction, all pertinent records
containing:
(1) The dates and place of the horse show, horse exhibition, horse
sale, or horse auction.
(2) The name and address (including street address or post office box
number and ZIP code) of the sponsoring organization.
(3) The name and address of the horse show, exhibition, horse sale or
horse auction management.
(4) The name and address (including street address or post office box
number and ZIP code) of the DQP, if any, employed to conduct inspections
under 11.20; and, the name of the horse industry organization or
association certifying the DQP.
(5) The name and address (including street address or post office box
number, and ZIP code) of each show judge.
(6) A copy of each class or sale sheet containing the names of
horses, the names and addresses (including street address, post office
box and ZIP code) of horse owners, the exhibitor number and class
number, or sale number assigned to each horse, the show class or sale
lot number, and the name and address (including street address, post
office box, and ZIP code) of the person paying the entry fee and
entering the horse in a horse show, horse exhibition, or horse sale or
auction.
(7) A copy of the official horse show, horse exhibition, horse sale,
or horse auction program, if any such program has been prepared.
(8) The identification of each horse, including the name of the
horse, the name and address (including street address, post office box,
and ZIP code) of the owner, the trainer, the rider or other exhibitor,
and the location (including street address, post office box, and ZIP
code) of the home barn or other facility where the horse is stabled.
(b) The management of any horse show, horse exhibition, or horse sale
or auction containing Tennessee Walking Horses or racking horses shall
designate a person to maintain the records required in this section.
(c) The management of any horse show, horse exhibition, or horse sale
or auction containing Tennessee Walking Horses or racking horses shall
furnish to any APHIS representative, upon request, the name and address
(including street address, or post office box, and ZIP code) of the
person designated by the sponsoring organization or manager to maintain
the records required by this section.
(d) The Administrator may, in specific cases, require that a horse
show, horse exhibition, or horse sale or auction records be maintained
by management for a period in excess of 90 days.
(Approved by the Office of Management and Budget under control
numbers 0579-0056, and 0579-0058)
(44 U.S.C. 3506)
(44 FR 25179, Apr. 27, 1979, as amended at 48 FR 57471, Dec. 30,
1983. Redesignated at 55 FR 41993, Oct. 17, 1990; 56 FR 13750 Apr. 4,
1991)
09 CFR 11.23 Inspection of records.
(a) The management of any horse show, horse exhibition, or horse sale
or auction shall permit any APHIS representative, upon request, to
examine and make copies of any and all records pertaining to any horse,
either required in any part of the regulations, or otherwise maintained,
during ordinary business hours or such other times as may be mutually
agreed upon. A room, table, or other facilities necessary for proper
examination of such records shall be made available to the APHIS
representative.
(b) Horse industry organizations or associations who train, maintain,
and license DQP's under a certified DQP program shall permit any APHIS
representative, upon request, to examine and copy any and all records
relating to the DQP program which are required by any part of the
regulations. Such requests shall be made during ordinary business hours
or such other times as mutually agreed upon. A room, table or other
facilities necessary for proper examination shall be made available upon
the request of the APHIS representative.
(44 FR 25179, Apr. 27, 1979. Redesignated at 55 FR 41993, Oct. 17,
1990)
09 CFR 11.24 Reporting by management.
(a) Within 5 days following the conclusion of any horse show, horse
exhibition, or horse sale or auction, containing Tennessee Walking
Horses or racking horses, the managements of such show, exhibition, sale
or auction shall submit to the Sector Supervisor1 for the State in which
the show, exhibition, sale or auction was held, the information required
by 11.22(a)(1) through (6) for each horse excused or disqualified by
management or its representatives from being shown, exhibited, sold or
auctioned, and the reasons for such action. If no horses are excused or
disqualified, the management shall submit a report so stating.
(b) Within 5 days following the conclusion of any horse show, horse
exhibition, or horse sale or auction which does not contain Tennessee
Walking Horses or racking horses, the management of such show,
exhibition, sale or auction shall inform the Sector Supervisor for the
State in which the show, exhibition, sale or auction was held, of any
case where a horse was excused or disqualified by management or its
representatives from being shown, exhibited, sold or auctioned because
it was found to be sore.
(Approved by the Office of Management and Budget under control number
0579-0056)
(44 FR 25179, Apr. 27, 1979, as amended at 48 FR 57471, Dec. 30,
1983; 55 FR 41994, Oct. 17, 1990; 56 FR 13750, Apr. 4, 1991)
1See footnote 1 to 11.1.
09 CFR 11.40 Prohibitions and requirements concerning persons involved
in transportation of certain horses.
(a) Each person who ships, transports, or otherwise moves, or
delivers or receives for movement, any horse with reason to believe such
horse may be shown, exhibited, sold or auctioned at any horse show,
horse exhibition, or horse sale or auction, shall allow and assist in
the inspection of such horse at any such show, exhibition, sale, or
auction to determine compliance with the Act as provided in 11.4 of the
regulations and shall furnish to any APHIS representatives upon his
request the following information:
(1) Name and address (including street address, post office box, and
ZIP code) of the horse owner and of the shipper, if different from the
owner or trainer.
(2) Name and address (including street address, post office box, and
ZIP code) of the horse trainer.
(3) Name and address (including street address, post office box, and
ZIP code) of the carrier transporting the horse, and of the driver of
the means of conveyance used.
(4) Origin of the shipment and date thereof, and,
(5) Destination of shipment.
(Approved by the Office of Management and Budget under control number
0579-0056)
(44 FR 25179, Apr. 27, 1979, as amended at 48 FR 57471, Dec. 30,
1983; 56 FR 13750, Apr. 4, 1991)
09 CFR 11.41 Reporting required of horse industry organizations or
associations.
Each horse industry organization or association which sponsors, or
which sanctions any horse show, horse exhibition, or horse sale or
auction, shall furnish the Department6 by March 1 of each year with all
such organization or association rulebooks, and disciplinary procedures
for the previous year pertaining to violations of the Horse Protection
Act or regulations, applicable to such horse show, horse exhibition, or
horse sale or auction. Rulebooks and information relating to
disciplinary procedures for violations of the Horse Protection Act or
regulations should be readily available to all exhibitors, trainers, and
owners of horses at such show, exhibition, sale, or auction. Each horse
industry organization or association shall furnish the Department6 with
a quarterly report of all disciplinary actions taken against the
management or any horse show, horse exhibition, horse sale, or horse
auction, any exhibitor, or any licensed DQP, for violation of the Horse
Protection Act or regulations, and the results thereof.
(Approved by the Office of Management and Budget under control number
0579-0056)
(44 FR 25179, Apr. 27, 1979, as amended at 48 FR 57471, Dec. 30,
1983)
6See footnote 6 to 11.7.
09 CFR 11.41 Pt. 12
09 CFR 11.41 PART 12 -- RULES OF PRACTICE GOVERNING PROCEEDINGS UNDER THE HORSE PROTECTION ACT
09 CFR 11.41 Subpart A -- General
Sec.
12.1 Scope and applicability of rules of practice.
09 CFR 11.41 Subpart B -- Supplemental Rules of Practice
12.10 Stipulations.
09 CFR 11.41 Subpart A -- General
09 CFR 12.1 Scope and applicability of rules of practice.
The Uniform Rules of Practice for the Department of Agriculture
promulgated in subpart H of part 1, subtitle A, title 7, Code of Federal
Regulations, are the Rules of Practice applicable to adjudicatory,
administrative proceedings under section 6(a) of the Horse Protection
Act of 1970 (15 U.S.C. 1825(a)) and sections 6 (b) and (c) of the Horse
Protection Act (15 U.S.C. 1825 (b) and (c)). In addition, the
Supplemental Rules of Practice set forth in subpart B of this part shall
be applicable to such proceedings.
(84 Stat. 1406; 15 U.S.C. 1828)
(42 FR 10959, Feb. 25, 1977)
09 CFR 12.1 Subpart B -- Supplemental Rules of Practice
09 CFR 12.10 Stipulations.
(a) At any time prior to the issuance of a complaint seeking a civil
penalty under the Act, the Administrator, in his discretion, may enter
into a stipulation with any person in which:
(1) The Administration gives notice of an apparent violation of the
Act or the regulations issued thereunder by such person and affords such
person an opportunity for a hearing regarding the matter as provided by
the Act;
(2) Such person expressly waives hearing and agrees to a specified
order including an agreement to pay a specified civil penalty within a
designated time; and
(3) The Administrator agrees to accept the specified order including
a civil penalty in settlement of the particular matter involved if it is
paid within the designated time.
(b) If the specified penalty is not paid within the time designated
in such a stipulation, the amount of the stipulated penalty shall not be
relevant in any respect to the penalty which may be assessed after
issuance of a complaint.
(84 Stat. 1406; 15 U.S.C. 1828)
(42 FR 10960, Feb. 25, 1977)
09 CFR 12.10 SUBCHAPTER B -- COOPERATIVE CONTROL AND ERADICATION OF LIVESTOCK OR POULTRY DISEASES
09 CFR 12.10 PART 49 -- RULES OF PRACTICE GOVERNING PROCEEDINGS UNDER CERTAIN ACTS
09 CFR 12.10 Subpart A -- General
Sec.
49.1 Scope and applicability of rules of practice.
09 CFR 12.10 Subpart B -- Supplemental Rules of Practice
49.10 Stipulations.
Authority: Secs. 3-7, 23 Stat. 32, as amended; secs. 2 and 3, 32
Stat. 792, as amended; secs. 1, 3, 4, and 6, 33 Stat. 1264, 1265, as
amended; sec. 11, 58 Stat. 734, as amended; sec. 2, 65 Stat. 693, as
amended; secs. 3 and 4, 76 Stat. 130; sec. 6, 76 Stat. 131, as
amended; sec. 11, 76 Stat. 132; 21 U.S.C. 111, 112, 114, 114a,
114a-1, 115, 117, 120, 122, 123, 125-127, 134b, 134c, 134e, 134f; 7 CFR
2.17, 2.51, 371.2(d).
Source: 48 FR 30094, June 30, 1983, unless otherwise noted.
09 CFR 12.10 Subpart A -- General
09 CFR 49.1 Scope and applicability of rules of practice.
The Uniform Rules of Practice for the Department of Agriculture
promulgated in subpart H of part 1, subtitle A, title 7, Code of Federal
Regulations, are the Rules of Practice applicable to adjudicatory,
administrative proceedings under the following statutory provisions:
Act of May 29, 1884, commonly known as the Animal Industry Act,
section 7, as amended (21 U.S.C. 117),
Act of February 2, 1903, commonly known as the Cattle Contagious
Diseases Act of 1903, section 3, as amended (21 U.S.C. 122),
Act of March 3, 1905, Section 6, as amended (21 U.S.C. 127),
Act of July 2, 1962, section 6(a), as amended (21 U.S.C. 134e).
In addition, the Supplemental Rules of Practice set forth in subpart
B of this part shall be applicable to such proceedings.
09 CFR 49.1 Subpart B -- Supplemental Rules of Practice
09 CFR 49.10 Stipulations.
(a) At any time prior to the issuance of a complaint seeking a civil
penalty under any of the Acts listed in 49.1, the Administrator, in his
discretion, may enter into a stipulation with any person in which:
(1) The Administrator or the Administrator's delegate gives notice of
an apparent violation of the applicable Act, or the regulations issued
thereunder, by such person and affords such person an opportunity for a
hearing regarding the matter as provided by such Act;
(2) Such person expressly waives hearing and agrees to pay a
specified penalty within a designated time; and
(3) The Administrator agrees to accept the penalty in settlement of
the particular matter involved if the penalty is paid within the
designated time.
(b) If the penalty is not paid within the time designated in such a
stipulation, the amount of the stipulated penalty shall not be relevant
in any respect to the penalty which may be assessed after issuance of a
complaint.
09 CFR 49.10 Pt. 50
09 CFR 49.10 PART 50 -- ANIMALS DESTROYED BECAUSE OF TUBERCULOSIS
Sec.
50.1 Definitions.
50.2 Cooperation with States.
50.3 Payment to owners for animals destroyed.
50.4 Determination of existence of or exposure to tuberculosis.
50.5 Record of tests.
50.6 Identification of animals to be destroyed because of
tuberculosis.
50.7 Destruction of animals.
50.8 Payment of expenses for transportation and disposal of carcasses
of affected animals.
50.9 Appraisals.
50.10 Report of appraisals.
50.11 Report of salvage proceeds.
50.12 Claims for indemnity.
50.13 Disinfection of premises, conveyances, and materials.
50.14 Claims not allowed.
50.15 Part 53 of this chapter not applicable.
50.16 Certain cattle on the Island of Molokai in Hawaii.
Authority: 21 U.S.C. 111-113, 114, 114a, 114a-1, 120, 121, 125,
134b; 7 CFR 2.17, 2.51, and 371.2(d).
Source: 40 FR 27009, June 26, 1975, unless otherwise noted.
09 CFR 50.1 Definitions.
For the purposes of this part, the following terms shall be
construed, respectively, to mean:
Accredited veterinarian: A veterinarian approved by the
Administrator in accordance with the provisions of part 161 of this
title to perform functions specified in parts 1, 2, 3, and 11 of
subchapter A, and subchapters B, C, and D of this chapter, and to
perform functions required by cooperative State-Federal disease control
and eradication programs.
Administrator: The Administrator, Animal and Plant Health Inspection
Service, or any person authorized to act for the Administrator.
Animals: Any mammalian species which may serve as a carrier or
reservoir of tuberculosis.
Animal and Plant Health Inspection Service: The Animal and Plant
Health Inspection Service of the United States Department of Agriculture
(APHIS).
APHIS representative: A veterinarian or other person employed by
APHIS in animal health activities, who is authorized to perform the
function involved.
Department: The United States Department of Agriculture.
Destroyed: Condemned under State authority and destroyed by
slaughter or by death otherwise.
Herd: Any group of animals (of like kind) maintained on common
ground for any purpose, or two or more groups of cattle or bison, or
both under common ownership or supervision, geographically separated but
which have an interchange or movement of cattle or bison without regard
to health status.
Herd depopulation: Removal by slaughter or other means of
destruction of all cattle and bison in a herd or from specific premises
or under common ownership prior to restocking with new animals.
Mortgage: Any mortgage, lien or other security or interest that is
recorded under State law or identified in the indemnity claim form filed
under 50.12 and held by any person other than the one claiming
indemnity.
Owner: Any person who has a legal or rightful title to cattle,
bison, or swine whether or not they are subject to a mortgage.
Permit: A permit for movement of cattle, bison, or swine direct to
slaughter listing the disease status and identification of the animal,
where consigned, cleaning and disinfecting requirements, and proof of
slaughter certification; Provided, however, a permit for movement to a
quarantined feedlot pursuant to 50.16 is the same except that the
permit is for movement to a quarantined feedlot instead of to slaughter
and the proof of slaughter certification is not applicable.
Person: Any individual, corporation, company, association, firm,
partnership, society, or joint stock company, or any organized group of
any of the foregoing.
Quarantined feedlot: A confined area under the direct supervision
and control of a State livestock official who shall establish procedures
for the accounting of all animals entering or leaving the area. The
quarantined feedlot shall be maintained for finish feeding of animals in
drylot with no provision for pasturing and grazing. All animals leaving
such feedlot must only move directly to slaughter in accordance with
established procedures for handling quarantined animals.
Registered cattle or bison: Cattle for which individual records of
ancestry are recorded and maintained, and for which individual
registration certificates are issued and recorded by a recognized breed
association whose purpose is the improvement of the breed.
State: Any State, territory, the District of Columbia, or Puerto
Rico.
Tuberculosis: The contagious, infectious, and communicable disease
caused by Mycobacterium bovis.
Veterinarian in Charge: The veterinary official of APHIS who is
assigned by the Administrator to supervise and perform official animal
health work of APHIS in the State concerned.
(40 FR 27009, June 26, 1975, as amended at 45 FR 32287, May 16, 1980;
51 FR 33735, Sept. 23, 1986; 52 FR 1317, Jan. 13, 1987; 52 FR 39614,
Oct. 23, 1987; 56 FR 36997, Aug. 2, 1991)
09 CFR 50.2 Cooperation with States.
The Administrator cooperates with the proper State authorities in the
eradication of tuberculosis and pays Federal indemnities for the
destruction of cattle, bison, or swine affected with or exposed to
tuberculosis.
(40 FR 27009, June 26, 1975, as amended at 52 FR 39614, Oct. 23,
1987; 56 FR 36998, Aug 2, 1991)APHIS
09 CFR 50.3 Payment to owners for animals destroyed.
(a) Affected cattle and bison. The Department may pay owners an
indemnity for cattle and bison affected with tuberculosis not to exceed
$750 for each animal, but any joint State-Federal indemnity payments,
plus salvage, must not exceed the appraised value of each animal.
(b) Herd depopulation -- cattle and bison. The Administrator may
authorize the payment of Federal indemnity to owners of cattle and bison
destroyed because of tuberculosis, not to exceed $450 for any animal
which is a part of a known affected herd, when it has been determined by
the Administrator that the destruction of all the exposed cattle and
bison in the herd will contribute to the Tuberculosis Eradication
Program; but, the joint State-Federal indemnity payments, plus salvage,
must not exceed the appraised value of each animal.
(c) Exposed cattle and bison. The Administrator may authorize the
payment of Federal indemnity to owners of cattle and bison destroyed
because of tuberculosis not to exceed $450 for any animal which has been
found by APHIS to have been exposed by reason of association with
tuberculous cattle or bison, when it has been determined by the
Administrator that the destruction of the exposed cattle or bison will
contribute to the Tuberculosis Eradication Program; but, the joint
State-Federal indemnity payments, plus salvage, must not exceed the
appraised value of each animal.
(d) Exposed swine. The Administrator may authorize the payment of
Federal indemnity to owners of swine destroyed because of tuberculosis
not to exceed $200 for any animal, when such animals are found by
Veterinary Services to be exposed to tuberculosis by reason of
association with a herd destroyed under 50.3(b); but, the joint
State-Federal indemnity payments, plus salvage, must not exceed the
appraised value of each animal.
(Secs. 3, 4, 5, 11, and 13, 23 Stat. 32, as amended; secs. 1 and 2,
32 Stat. 791-792, as amended; sec. 3, 33 Stat. 1265, as amended; sec.
3, 76 Stat. 130; 21 U.S.C. 111-113, 114, 114a, 114a-1, 120, 121, 125,
134b; 7 CFR 2.17, 2.51, and 371.2(d))
(45 FR 32287, May 16, 1980, as amended at 49 FR 28041, July 10, 1984;
49 FR 44273, Nov. 6, 1984; 52 FR 39614, Oct. 23, 1987; 56 FR 36998,
Aug. 2, 1991)
09 CFR 50.4 Determination of existence of or exposure to tuberculosis.
(a) Cattle and bison are classified as affected with tuberculosis on
the basis of an intradermal tuberculin test applied by a Federal, State,
or an accredited veterinarian or by other diagnostic procedure approved
in advance by the Administrator.
(b) Cattle and bison are classified as exposed to tuberculosis when
such animals (1) are part of a known infected herd, or (2) are found to
have moved from an infected herd before the time infection was disclosed
in such herd and after the time such herd had apparently become
infected, or (3) are found to have been exposed by virtue of nursing a
reactor dam: Provided, That cattle and bison classified as exposed to
tuberculosis shall be removed direct to slaughter.
(40 FR 27009, June 26, 1975, as amended at 52 FR 39614, Oct. 23,
1987; 56 FR 36998, Aug. 2, 1991)
09 CFR 50.5 Record of tests.
When any cattle or bison in a herd of cattle is classified by an
APHIS or State representative or accredited veterinarian as a reactor to
a test for tuberculosis, a complete test record shall be made for such
herd, including the reactor tag number of each reacting animal and the
registration name and number of each reacting registered animal. A form
acceptable to an APHIS shall be used for the record of any herd having
any reactor to a tuberculin test. A copy of the applicable test record
shall be given to the owner of any such herd, and one copy of each such
record shall be furnished to the appropriate State veterinarian's
office.
(40 FR 27009, June 26, 1975, as amended at 52 FR 39614, Oct. 23,
1987; 56 FR 36998, Aug. 2, 1991)
09 CFR 50.6 Identification of animals to be destroyed because of
tuberculosis.
Animals to be destroyed because of tuberculosis must be identified
within 15 days after being classified as reactors or otherwise condemned
because of tuberculosis, except that the appropriate Veterinarian in
Charge, for reasons satisfactory to him, may extend the time limit for
identification to 30 days when a request for such extension is received
by him prior to the expiration date of the original 15-day period
allowed, and the Administrator may extend the time limit for
identification beyond 30 days, upon request in specific cases and for
reasons satisfactory to him.
(a) Reactor cattle and bison. Reactor cattle and bison shall be
identified by branding the letter ''T'' on the left jaw not less than 2
nor more than 3 inches high and by tagging with an approved metal eartag
bearing a serial number and inscription ''U.S. Reactor'' or a similar
State reactor tag suitably attached to the left ear of each animal.
(b) Exposed cattle and bison. Exposed cattle and bison shall be
identified by branding the letter ''S'' on the left jaw not less than 2
nor more than 3 inches high and by tagging with an approved metal eartag
bearing a serial number attached to either ear of each animal;
Provided, however, That in lieu of branding they may be accompanied to
slaughter by an APHIS or State representative; or be shipped in
vehicles closed with official seals.
(c) Exposed swine. Swine destroyed under the provisions of 50.3(d)
shall be identified by tagging with a serially numbered metal eartag
attached to either ear. All such animals to be destroyed shall be
transported to the place of destruction in vehicles closed with seals
provided by an APHIS or shall be accompanied to the place of destruction
by an APHIS or State representative: Provided, however, That animals
destroyed and disposed of under the direct supervision of an APHIS or
State representative on the premises where they were exposed do not
require individual identification.
(40 FR 27009, June 26, 1975, as amended at 45 FR 32287, May 16, 1980;
50 FR 40963, Oct. 8, 1985; 51 FR 2346, Jan. 16, 1986; 52 FR 39614,
Oct. 23, 1987; 56 FR 36998, Aug. 2, 1991)
09 CFR 50.7 Destruction of animals.
(a) Slaughter or disposal. Animals to be destroyed because of
tuberculosis must be shipped direct to slaughter under permit to a
Federal or State inspected slaughtering establishment or be disposed of
by rendering, burial, or incinerating in an approved manner under
supervision of an APHIS or State employee.
(b) Time limit for destruction of animals. Animals for which Federal
indemnity may be paid because of tuberculosis must be destroyed and
carcass disposal completed within 15 days after the date of appraisal,
except that the appropriate Veterinarian in Charge, for reasons
satisfactory to him, may extend the time limit for slaughter to 30 days
when request for such extension is received by him prior to the
expiration of the original 15-day period allowed, and the Administrator
may extend the time limit for slaughter beyond 30 days, upon request in
specific cases and for reasons satisfactory to him.
(Approved by the Office of Management and Budget under control number
0579-0051)
(40 FR 27009, June 26, 1975, as amended at 45 FR 32287, May 16, 1980;
52 FR 39614, Oct. 23, 1987; 56 FR 36998, Aug. 2, 1991)
09 CFR 50.8 Payment of expenses for transportation and disposal of
carcasses of affected animals.
The Department may pay, when approved in advance in writing by the
Veterinarian in Charge, one-half the expenses for destruction, burial,
incineration, rendering, or otherwise disposing of affected cattle and
bison and one-half the expenses of transportation of affected cattle and
bison to the point where disposal shall take place. Claims for such
payment shall be made on forms furnished by APHIS and shall be signed by
an APHIS or State representative or jointly and by the owner certifying
his acceptance of the amount claimed. No portion of expenses of
disposal or transportation provided by the owner of affected animals
shall be paid by the Department.
(45 FR 32288, May 16, 1980, as amended 52 FR 39614, Oct. 23, 1987;
56 FR 36998, Aug. 2, 1991)
09 CFR 50.9 Appraisals.
Animals to be destroyed because of tuberculosis under 50.3 shall be
appraised within 15 days after being classified as affected or after
otherwise being condemned because of tuberculosis, except that the
appropriate Veterinarian in Charge, for reasons satisfactory to him, may
extend the time limit for appraisal to 30 days when a request for such
extension is received by him prior to the expiration date of the
original 15-day period allowed, and the Administrator may extend the
time limit for appraisal beyond 30 days, upon request in specific cases
and for reasons satisfactory to him. The appraisal shall be by an
independent professional appraiser at APHIS expense, except that the
veterinarian in charge may waive the requirement for independent
professional appraiser for reasons satisfactory to him. When animals
are thus appraised, due consideration shall be given to their breeding
value as well as to their dairy or meat value. Animals presented for
payment as registered shall be accompanied by their registration papers.
If the registration papers are temporarily not available, or if the
cattle or bison are less than 3 years old and unregistered, the
appropriate Veterinarian in Charge may grant a reasonable time for the
presentation of their registration papers. Veterinary Services may
decline to accept any appraisal that appears to be unreasonable or out
of proportion to the value of animals of like quality.
(45 FR 32288, May 16, 1980, as amended at 50 FR 40963, Oct. 8, 1985;
51 FR 2346, Jan. 16, 1986; 52 FR 39614, Oct. 23, 1987; 56 FR 36998,
Aug. 2, 1991)
09 CFR 50.10 Report of appraisals.
Appraisals of cattle and bison made in accordance with 50.9 shall be
recorded on forms furnished by APHIS. The appraisal form shall be
signed by the appraiser and by the owner certifying his acceptance of
the appraisal. The ''date of appraisal'' shall be the date that the
owner signs the appraisal form. The original of the appraisal form and
as many copies thereof as may be required for the State, and the owner
of the animals shall be sent to the appropriate Veterinarian in Charge.
(40 FR 27009, June 26, 1975, as amended at 52 FR 39614, Oct. 23,
1987; 56 FR 36998, Aug. 2, 1991)
09 CFR 50.11 Report of salvage proceeds.
A report of the salvage derived from the sale of each animal on which
a claim for indemnity may be made under the provisions of 50.3 shall be
made on a salvage form acceptable to APHIS which shall be signed by the
purchaser or his agent or by the selling agent handling the animals. If
the cattle or bison are sold by the pound, the salvage form shall show
the weight, price per pound, gross receipts, expenses if any, and net
proceeds. If the cattle or bison are not sold on a per pound basis, the
net purchase price of each animal must be stated on the salvage form and
an explanation showing how the amount was arrived at must be submitted.
In the event the animals are not disposed of through regular
slaughterers or through selling agents, the owner shall furnish, in lieu
of the salvage form, an affidavit showing the amount of salvage obtained
by him and shall certify that such amount is all that he has received or
will receive as salvage for said animals. In an emergency, a
certificate executed by the appropriate Veterinarian in Charge will be
acceptable in lieu of the owner's affidavit. The salvage shall be
considered to be the net amount received for an animal after deducting
freight, truckage, yardage, commission, slaughtering charges, and
similar costs. The original of the salvage form or the affidavit of the
owner or certificate of the appropriate Veterinarian in Charge,
furnished in lieu thereof, shall be furnished to the Veterinarian in
charge if it is not already in his possession. Additional copies may be
furnished to the State officials, if required. Destruction of animals
by burial, incineration or other disposal of carcasses shall be
supervised by an APHIS or State representative who shall prepare and
transmit to the Veterinarian in Charge a report identifying the animals
and showing the disposition thereof.
(Approved by the Office of Management and Budget under control number
0579-0001)
(40 FR 27009, June 26, 1975, as amended at 48 FR FR 57471, Dec. 30,
1983; 52 FR 39614, Oct. 23, 1987; 56 FR 36998, Aug. 2, 1991)
09 CFR 50.12 Claims for indemnity.
Claims for Federal indemnity for cattle or bison destroyed because of
tuberculosis shall be presented on indemnity claim forms furnished by
APHIS on which the owner of the animals covered thereby shall certify
that the animals are or are not, subject to any mortgage as defined in
this Part. If the owner states there is a mortgage, the APHIS indemnity
claim form shall be signed by the owner and by each person holding a
mortgage on the animals consenting to the payment of any indemnity
allowed to the person specified thereon. Payment will be made only if
the APHIS indemnity claim form has been approved by a proper State
official and if payment of the claim has been recommended by the
appropriate Veterinarian in Charge or an official designated by him. On
claims for indemnity made under the provisions of 50.3, the
Veterinarian in Charge or official designated by him shall record on the
APHIS indemnity claim form the amount of Federal and State indemnity
payments that appear to be due to the owner of the animals. The owner
of the animals shall be furnished a copy of the APHIS indemnity claim
form. The Veterinarian in Charge or official designated by him shall
then forward the APHIS indemnity claim form to the appropriate official
for further action on the claim. No charges for holding the cattle or
bison on the farm pending slaughter or for trucking by the owner shall
be so deducted or otherwise paid by the Department.
(40 FR 27009, June 26, 1975, as amended at 52 FR 39614, Oct. 23,
1987; 56 FR 36998, Aug. 2, 1991)
09 CFR 50.13 Disinfection of premises, conveyances, and materials.
All premises, including all structures, holding facilities,
conveyances, or materials which are determined by the appropriate
Veterinarian in Charge to constitute a health hazard to humans or
animals because of tuberculosis shall be properly cleaned and
disinfected, in accordance with procedures approved by the Department,
within 15 days after the removal of tuberculosis affected or exposed
cattle or bison except that the Veterinarian in Charge, for reasons
satisfactory to him, may extend the time limit for disinfection to 30
days when request for such extension is received by him prior to the
expiration date of the original 15-day period allowed.
(40 FR 27009, June 26, 1975, as amended at 52 FR 39614, Oct. 23,
1987)
09 CFR 50.14 Claims not allowed.
Claims for compensation for cattle or bison destroyed because of
tuberculosis shall not be allowed if any of the following circumstances
exist:
(a) If the claimant has failed to comply with any of the requirements
of this part.
(b) If all cattle 2 years of age or over in the claimants herd have
not been tested for tuberculosis under APHIS or State supervision:
Provided, however, That cattle and bison destroyed because of
tuberculosis under 50.3(b) and 50.3(c) are exempt from this
requirement, if the cattle and bison are subjected to a post-mortem
examination for tuberculosis by a Federal or State veterinarian.
(c) If there is substantial evidence that the owner or his agent has
in any way been responsible for any attempt unlawfully or improperly to
obtain indemnity funds for such animals.
(d) If at the time of test or condemnation, the cattle or bison
belonged to or were upon the premises of any person to whom they had
been sold, shipped, or delivered for slaughter unless or until all of
the cattle and bison remaining on the premises or in the herd from which
the tested or condemned cattle or bison originated are tested or
otherwise examined for tuberculosis in a manner satisfactory to the
Administrator or his designated representative.
(e) If the cattle or bison affected with tuberculosis have been added
to the herd while the herd was under quarantine for tuberculosis.
(40 FR 27009, June 26, 1975, as amended at 45 FR 32288, May 16, 1980;
52 FR 39614, Oct. 23, 1987; 56 FR 36998, Aug. 2, 1991)
09 CFR 50.15 Part 53 of this chapter not applicable.
No claim for Federal indemnity for cattle or bison destroyed because
of tuberculosis shall hereafter be paid under the regulations contained
in part 53 of this chapter, but all such claims shall be presented and
paid pursuant to and in compliance with the regulations contained in
this part.
(40 FR 27009, June 26, 1975, as amended at 52 FR 39614, Oct. 23,
1987)
09 CFR 50.16 Certain cattle on the Island of Molokai in Hawaii.
(a) The provisions of this part relating to indemnity for exposed
cattle shall apply with respect to exposed cattle on the island of
Molokai in Hawaii, except that: The Administrator may authorize the
payment of Federal indemnity to owners of exposed cattle under two years
of age, not to exceed $450 for any animal which has been found by APHIS
to have been exposed by reason of association with tuberculous cattle,
(the joint State-Federal indemnity payments, plus salvage, must not
exceed the appraised value of each animal), if the exposed cattle
instead of being immediately destroyed are to be moved from the premises
of origin on the island of Molokai (intrastate or interstate) to a
quarantined feedlot and if the following conditions are met:
(1) The exposed cattle are sold for movement to the quarantined
feedlot prior to their movement from the premises of origin;
(2) The exposed cattle, prior to movement from the premises of
origin, are identified by tagging with an approval metal eartag bearing
a serial number attached to either ear of each animal and by branding
the letter ''S'' (or other brand approved by the Deputy Administrator
based on a determination that the brand would adequately identify the
animal as destined for slaughter) on the left jaw not less than 2 nor
more than 3 inches high, Provided, however, such branding may be done
upon arrival at the quarantined feedlot if the cattle are accompanied to
the feedlot by an APHIS or State representative, or shipped in vehicles
closed with official seals;
(3) The owner of the exposed cattle on the island of Molokai prior to
sale for movement to the quarantined feedlot has entered into a
compliance agreement /1/ with APHIS whereby it is agreed that the
salvage for cattle moved to a quarantined feedlot shall be the amount
received from the sale of the animals and that such owner shall be
eligible for indemnity only if all cattle on the island of Molokai under
his or her control are destroyed or moved under permit directly from the
premises of origin to a quarantined feedlot under paragraph (a) of this
section and if he or she otherwise agrees to comply with any other
provisions of this part applicable to him or her; and;
(4) The purchaser of the exposed cattle has entered into a compliance
agreement /1/ with APHIS whereby it is agreed that the cattle will be
moved under permit directly from the premises of origin to the
quarantined feedlot; whereby it is agreed that at the time such cattle
are moved from the quarantined feedlot the cattle will be shipped under
permit directly to a Federal or State inspected slaughtering
establishment for slaughter or be disposed of by rendering, burial, or
incinerating in an approved manner under supervision of an APHIS or
State employee; whereby it is agreed that the exposed cattle shall not
be sold prior to destruction unless the purchaser enters into a
compliance agreement agreeing to the provisions contained in this
paragraph.
(b) After indemnity has been paid for exposed cattle under paragraph
(a) of this section, no additional indemnity shall be paid for such
exposed cattle.
(51 FR 33735, Sept. 23, 1986, as amended at 52 FR 1317, Jan. 13,
1987; 56 FR 36998, Aug. 2, 1991)
/1/ Compliance Agreement forms are available without charge from the
Administrator, c/o Veterinary Services, APHIS, USDA, Federal Building,
6505 Belcrest Road, Hyattsville, MD 20782, and from local offices of
Veterinary Services. (Local offices are listed in telephone
directories.)
09 CFR 50.16 Pt. 51
09 CFR 50.16 PART 51 -- ANIMALS DESTROYED BECAUSE OF BRUCELLOSIS
Sec.
51.1 Definitions.
51.2 Cooperation with States.
51.3 Payment to owners for animals destroyed.
51.4 Record of tests.
51.5 Identification of animals to be destroyed because of
brucellosis.
51.6 Destruction of animals; time limit for destruction of animals.
51.7 Claims for indemnity.
51.8 Disinfection of premises, conveyances, and materials.
51.9 Claims not allowed.
51.10 Part 53 of this chapter not applicable.
Authority: 21 U.S.C. 111-113, 114, 114a, 114a-1, 120, 121, 125,
134b; 7 CFR 2.17, 2.51, and 371.2(d).
09 CFR 51.1 Definitions.
For the purposes of this part, the following terms shall be
construed, respectively, to mean:
Accredited veterinarian. A veterinarian approved by the
Administrator in accordance with the provisions of part 161 of this
title to perform functions specified in parts 1, 2, 3, and 11 of
subchapter A, and subchapters B, C, and D of this chapter, and to
perform functions required by cooperative state-federal disease control
and eradication programs.
Administrator. The Administrator, Animal and Plant Health Inspection
Service, or any person authorized to act for the Administrator.
Animal and Plant Health Inspection Service. The Animal and Plant
Health Inspection Service of the United States Department of Agriculture
(APHIS or Service).
Animals. Cattle, bison, and breeding swine.
APHIS representative. An individual employed by APHIS who is
authorized to perform the function involved.
Brucellosis exposed animal. Except for a brucellosis reactor animal,
any animal that: (1) Is part of or has been in contact with a herd
known to be affected; or (2) has been in contact with a brucellosis
reactor animal for a period of 24 hours or longer; or (3) has been in
contact with a brucellosis reactor animal which has aborted, calved or
farrowed within the past 30 days, or has a vaginal or uterine discharge.
Brucellosis reactor animal. Any animal classified as a brucellosis
reactor as provided in the definition of official test in 78.1 of this
chapter.
Claimant. A person who files a claim for indemnity under 51.7 for
animals destroyed under this part.
Condemn. The determination made by an APHIS representative, State
representative, or accredited veterinarian that animals for which
indemnity is sought under this Part shall be destroyed.
Dairy cattle. A female bovine of a recognized dairy breed over 20
months of age, which has calved or is within 90 days of parturition and
which is a member of a dairy herd used to produce milk for commercial
use.
Destroyed. Condemned under State authority and slaughtered or
otherwise dies.
Exposed female calf. A female bovine less than 6 months of age which
is nursed by a brucellosis reactor at the time such reactor is
condemned.
Herd. Any group of animals of the same species maintained on common
ground for any purpose, or two or more groups of animals (of the same
species) under common ownership or supervision, geographically separated
but which have an interchange or movement of animals without regard to
health status.
Herd Depopulation. Removal by slaughter or other means of
destruction of all cattle, bison, or swine in a herd or from a specific
premises or under common ownership prior to restocking such premises
with new animals, except that steers and spayed heifers or barrows and
gilts maintained for feeding purposes may be retained on the premises if
the Veterinarian in Charge finds such retention to be compatible with
eradication efforts. The Veterinarian in Charge may also permit removal
of nonpregnant heifers, without payment of indemnity, to Quarantined
Feedlots in lieu of immediate slaughter.
Herd known to be affected. Any herd in which any animal has been
classified as a brucellosis reactor and which has not been released from
quarantine.
Inbred or hybrid swine. Any breeding swine which are the progeny of
two or more breeds of registered swine and which are maintained to
produce inbred or hybrid swine, and for which records of ancestry exist
through which such swine can be individually identified as progeny of
said registered swine.
Mortgage. Any mortgage, lien, or other security or interest that is
recorded under State law or identified in the indemnity claim form filed
under 51.7 and held by any person other than the one claiming
indemnity.
Official seal. A serially numbered metal strip consisting of a
self-locking device on one end and a slot on the other end, which forms
a loop when the ends are engaged, which cannot be reused if opened, and
is applied by a representative of the Veterinarian in Charge or the
State animal health official.
Owner. Any person who has a legal or rightful title to animals
whether or not they are subject to a mortgage.
Permit. An official document for movement of animals under this Part
issued by an APHIS representative, state representative, or accredited
veterinarian listing the disease status and identification of the
animal, where consigned, cleaning and disinfecting requirements, and
proof of slaughter certification.
Person. Any individual, corporation, company, association, firm,
partnership, society, or joint stock company, or other legal entity.
Recognized slaughtering establishment. Any slaughtering
establishment operating under the Meat Inspection Act (21 U.S.C.
601-695) or a State meat inspection act. /1/
Registered breed association. An association formed and perpetuated
for the maintenance of records of purebreeding of animal species for a
specific breed whose characteristics are set forth in Constitutions,
By-Laws, and other rules of the association. The records maintained by
such an association shall include an Official Herd Book or other
recordkeeping format and Certificates of Registration or Recordation
which identify an animal as a registered animal of that registered breed
association. Known registered breed associations are: American Angus
Association, American Beefalo Association, Inc., The American Black
Maine-Anjou Association, American Blonde d'Aquitaine Association,
American Brahman Breeders Association, American Brahmental Association,
American Breed Association, Inc., American Chianina Association,
American Dexter Cattle Association, American Galloway Breeders
Association, American Gelbvieh Association, American Guernsey Cattle
Club, American Hereford Association, American International Charolais
Association, American (nternational Marchigiana Society, American Jersey
Cattle Club, American Maine-Anjou Association, American Milking
Shorthorn Society, American Murray Grey Association, American Normande
Association, American Pinzgauer Association, American Polled Hereford
Association, American Red Brangus Association, American Red Poll
Association, American Salers Association, American Scotch Highland
Breeders Association, American Shorthorn Association, American Simmental
Association, Inc., American Tarentaise Asssociation, Ankina Breeders,
Inc., Ayrshire Breeders Association, Barzona Breed Association of
America, Beefmaster Breeders Universal, Belted Galloway Society,
Brahmanstein Breeders Association, Brown Swiss Beef International, Inc.,
Brown Swiss Cattle Breeders Association of U.S.A., Char-Swiss Breeders
Association, Devon Cattle Association, Inc., Dutch Belted Cattle
Association of America, Inc., Foundation Beefmaster Association,
Galloway Cattle Society of America, Inc., Galloway Performance
International, Holstein-Friesian Association of America, International
Braford Association, International Brangus Breeders Association, Inc.,
International Maine-Anjou Association, Marky Cattle Association, Mid
America RX3 Cattle Company, National Beefmaster Association, North
American Limousin Foundation, Pan American Zebu Association, Red and
White Dairy Cattle Association, Red Angus Association of America, Red
Poll Beef Breeders International, Red Poll Cattle Club of America, Santa
Gertrudis Breeders International, Simbrah Association, South Devon Breed
Society, Sussex Cattle Association of America, Texas Longhorn Breeders
Association of America, and White Park Cattle Association of America.
Registered cattle. Cattle for which individual records of ancestry
are recorded and maintained by a breed association whose purpose is the
improvement of the bovine species, and for which individual registration
certificates are issued and recorded by such breed association.
Registered swine. Any breeding swine for which a certificate of pure
breeding has been issued by a purebred swine association.
Specifically approved stockyard. Premises approved by the
Administrator, in accordance with 78.44 of this chapter, for assembling
cattle or bison for sale. /2/
State. Any State, the District of Columbia, Puerto Rico, the Virgin
Islands of the United States, Guam, the Northern Mariana Islands, or any
other territory or possession of the United States.
State animal health official. The individual employed by a State who
is responsible for livestock and poultry disease control and eradication
programs in that State.
State representative. An individual employed in animal health
activities by a State or a political subdivision thereof, and who is
authorized by such State or political subdivision to perform the
function involved under a cooperative agreement with the United States
Department of Agriculture.
Unofficial vaccinate. Any cattle or bison which have been vaccinated
for brucellosis other than in accordance with the provisions for
official vaccinates set forth in 78.1 of this chapter.
Veterinarian in Charge. The veterinary official of the Animal and
Plant Health Inspection Service, United States Department of
Agriculture, who is assigned by the Administrator to supervise and
perform offical animal health work of the Animal and Plant Health
Inspection Service, in the State concerned.
(Secs. 3, 4, 5, 11, and 13, 23 Stat. 32, as amended; secs. 1 and 2,
32 Stat. 791-792, as amended; sec. 3, 33 Stat. 1265, as amended; sec.
3, 76 Stat. 130 (21 U.S.C. 111-113, 114, 114a-1, 120, 121, 125, 134b);
7 CFR 2.17, 2.51, and 371.2(d))
(42 FR 64336, Dec. 23, 1977)
Editorial Note: For Federal Register citations affecting 51.1, see
the List of CFR Sections Affected in the Finding Aids section of this
volume.
/1/ The names and addresses of recognized slaughtering establishments
may be obtained from the Administrator, c/o Cattle Diseases and
Surveillance Staff, Veterinary Services, Animal and Plant Health
Inspection Service, United States Department of Agriculture, Federal
Building, 6505 Belcrest Road, Hyattsville, MD 20782.
/2/ Notices containing lists of specifically approved stockyards are
published in the Federal Register. Lists of specifically approved
stockyards also may be obtained from the State animal health official,
State representatives, or APHIS representatives.
09 CFR 51.2 Cooperation with States.
The Administrator has been delegated the authority to cooperate with
the proper State authorities in the eradication of brucellosis and to
pay indemnities for the destruction of brucellosis-reactor animals or
brucellosis-exposed animals.
(42 FR 64336, Dec. 23, 1977, as amended at 54 FR 32435, Aug. 8, 1989)
09 CFR 51.3 Payment to owners for animals destroyed.
(a) Cattle and bison. The Administrator may authorize /3/ the
payment of federal indemnity by the United States Department of
Agriculture to any owner whose cattle or bison are destroyed as affected
with brucellosis.
(1) Brucellosis reactor cattle and bison. The Administrator may
authorize /3/ the payment of Federal indemnity by the United States
Department of Agriculture to owners whose cattle or bison are destroyed
as brucellosis reactors. The indemnity shall not exceed $250 for any
registered cattle or $50 for any nonregistered cattle or bison, except
that, for nonregistered dairy cattle the indemnity shall not exceed
$250, and except that in Alaska, Hawaii, Puerto Rico, and the Virgin
Islands indemnity shall not exceed $250 for any registered cattle or
$150 for any nonregistered cattle or bison, except that, for
nonregistered dairy cattle the indemnity shall not exceed $250. Prior
to payment of indemnity, proof of destruction /4/ shall be furnished to
the veterinarian in charge.
(2) Herd depopulation -- (i) Eligibility. The Administrator may
authorize payment of Federal indemnity /3/ by the United States
Department of Agriculture to any owner whose herd of cattle or bison is
destroyed because of brucellosis. The United States Department of
Agriculture shall pay Federal indemnity for brucellosis exposed cattle
or brucellosis exposed bison in the herd only when the Administrator
determines that destruction of all cattle and bison in the herd will
contribute to the brucellosis eradication program. Proof of destruction
/4/ must be furnished to the Veterinarian in Charge prior to payment of
Federal indemnity. The United States Department of Agriculture shall
pay Federal indemnity for brucellosis reactor cattle and brucellosis
reactor bison in accordance with paragraph (a)(1) of this section.
(ii) Amount of Federal indemnity. Payments of Federal indemnity
shall be made at the rates in effect at the time the Administrator
approves depopulation for the herd. In all States except Alaska,
Hawaii, Puerto Rico, and the Virgin Islands of the United States, the
amount of Federal indemnity shall not exceed $250 for any registered
cattle, $250 for any nonregistered dairy cattle, $150 for any
nonregistered cattle other than dairy cattle, and $150 for any bison.
In Alaska, Hawaii, Puerto Rico, and the Virgin Islands of the United
States, the amount of Federal indemnity shall not exceed $250 for any
cattle or bison.
(3) Exposed female calves. The Administrator may authorize /1/ the
payment of Federal indemnity to any owner whose exposed female calf or
calves are destroyed because of brucellosis. The indemnity for such
animals shall not exceed $50 per head. Indemnity payments shall be made
only for exposed female calves and only when the Administrator
determines that the destruction of such calves will contribute to the
brucellosis eradication program. Prior to payment of indemnity, proof
of destruction shall be furnished to the veterinarian in charge.
(b) Swine -- (1) Brucellosis reactor swine. The Administrator may
authorize /1/ the payment of Federal indemnity by the United States
Department of Agriculture to an owner whose breeding swine are destroyed
as brucellosis reactors. The indemnity shall not exceed $25 per head
for registered, inbred, or hybrid swine, or $10 per head for all other
breeding swine. Prior to payment of indemnity, proof of destruction /2/
shall be furnished to the Veterinarian in Charge.
(2) Herd depopulation. The Administrator may authorize /1/ the
payment of Federal indemnity by the United States Department of
Agriculture to an owner whose herd of breeding swine is destroyed
because of brucellosis. The indemnity shall not exceed $25 per head for
registered, inbred, or hybrid swine, or $10 per head for all other
breeding swine. Indemnity payment shall be made only for brucellosis
exposed swine or for swine from a herd known to be affected and only
when the Administrator determines that the destruction of all swine in
the herd will contribute to the Brucellosis Eradication Program. Prior
to payment of indemnity, proof of destruction /2/ shall be furnished to
the Veterinarian in Charge.
(3) Exposed swine. The Administrator may authorize /1/ the payment
of Federal indemnity by the United States Department of Agriculture to
an owner whose breeding swine are destroyed because of brucellosis. The
indemnity shall not exceed $25 per head for registered, inbred, or
hybrid swine, or $10 per head for all other breeding swine. Indemnity
payment shall be made only for such brucellosis exposed swine and only
when the Administrator determines that the destruction of such swine
will contribute to the Brucellosis Eradication Program. Prior to
payment of indemnity, proof of destruction /2/ shall be furnished to the
Veterinarian in Charge.
(Approved by the Office of Management and Budget under control number
0579-0047)
(42 FR 64336, Dec. 23, 1977, as amended at 45 FR 43679, June 27,
1980; 46 FR 13673, Feb. 23, 1981; 46 FR 57027, Nov. 20, 1981; 47 FR
53323, Nov. 26, 1982; 48 FR 57472, Dec. 30, 1983; 50 FR 11993, Mar.
27, 1985; 51 FR 11300, Apr. 2, 1986; 54 FR 32435, Aug. 8, 1989; 56 FR
18506, 18507, Apr. 23, 1991)
Effective Date Note: In 51.3(b) (1)-(3), the second sentences were
amended at 46 FR 57027, Nov. 20, 1981. At 46 FR 61641, Dec. 18, 1981,
the effective date of the amendment was suspended until further notice.
For the convenience of the user, the suspended amendment is set forth
below.
51.3 Payment to owners for animals destroyed.
2. In 51.3(b), the second sentences in paragraphs (1), (2) and (3)
are amended to read: The indemnity shall not exceed $50 per head for
registered, inbred, and hybrid swine, and shall not exceed $25 per head
for all other breeding swine.
/3/ The Administrator shall authorize payment of Federal indemnity by
the Department at the applicable maximum percent in 51.3(a) (1) and (2)
and the maximum per head rates in 51.3(a)(3): (a) As long as
sufficient funds appropriated by Congress appear to be available for
this purpose for the remainder of the fiscal year; (b) In States or
areas not under Federal quarantine; (c) In States requesting payment of
Federal indemnity; and (d) In States not requesting a lower rate.
/4/ The Veterinarian in Charge shall accept any of the following
documents as ''proof of destruction'': (a) A postmortem report; (b) A
meat inspection certification of slaughter; (c) A written statement by
a state representative, APHIS representative, or accredited veterinarian
attesting to the destruction of the animal; (d) A written, sworn
statement by the owner or caretaker of the animal attesting to the
destruction of the animal; (e) A permit (VS Form 1-27) consigning the
animal from a farm or livestock market directly to a recognized
slaughtering establishment as defined in 78.1(dd) of this chapter; or
(f) In unique situations where the documents listed above are not
available, other similarly reliable forms of proof of destruction.
/3/ The Administrator shall authorize payment of Federal indemnity by
the United States Department of Agriculture at the maximum per head
rates in 51.3: (a) As long as sufficient funds appropriated by
Congress appear to be available for this purpose for the remainder of
the fiscal year; (b) In States or areas not under Federal quarantine;
(c) In States requesting payment of Federal indemnity; and (d) In
States not requesting a lower rate.
/4/ The Veterinarian in Charge shall accept any of the following
documents as proof of destruction: (a) A postmortem report; (b) A meat
inspection certification of slaughter; (c) A written statement by a
State representative, APHIS representative, or accredited veterinarian
attesting to the destruction of the animal; (d) A written, sworn
statement by the owner or caretaker of the animal attesting to the
destruction of the animal; (e) A permit (VS Form 1-27) consigning the
animal from a farm or livestock market directly to a recognized
slaughtering establishment; or (f) In unique situations where the
documents listed above are not available, other similarly reliable forms
of proof of destruction.
09 CFR 51.4 Record of tests.
The claimant shall be responsible for providing information to an
APHIS representative, State representative, or accredited veterinarian
so that a complete test record may be made by such person on an APHIS
approved form for each herd known to be affected, including the reactor
tag number of each brucellosis reactor animal and the registration name
and number of each brucellosis reactor registered animal. A copy of the
applicable test record shall be given to the owner of any such herd, and
one copy of each such record shall be furnished to the appropriate State
veterinarian's office by such person who completes the test record.
(Approved by the Office of Management and Budget under control number
0579-0047)
(42 FR 64336, Dec. 23, 1977, as amended at 48 FR 57472, Dec. 30,
1983; 54 FR 32435, Aug. 8, 1989; 56 FR 18506, Apr. 23, 1991)
09 CFR 51.5 Identification of animals to be destroyed because of
brucellosis.
(a) The claimant shall be responsible for insuring that any animal
for which indemnity is claimed shall be identified in accordance with
the provisions of this section within 15 days after having been
classified as a reactor or for any other animal subject to this part
within 15 days after having been condemned. The veterinarian in charge
may extend the time limit to 30 days when a request for such extension
is received by him prior to the expiration date of the original 15 day
period allowed, and when he determines that the extension will not
adversely affect the brucellosis eradication program; and except
further, that the Administrator shall upon request in specific cases,
extend the time limit beyond the 30-day period when unusual or
unforeseen circumstances occur which prevent or hinder the
identification of the animals within the 30-day period, such as, but not
limited to, floods, storms, or other Acts of God which are beyond the
control of the owner, or when identification is delayed due to
requirements of another Federal Agency.
(b) Cattle and bison shall be identified by branding the letter ''B''
on the left jaw not less than 2 nor more than 3 inches high and by
tagging with an approved metal tag bearing a serial number and
description ''U.S. Reactor'' or a similar State reactor tag suitably
attached to the left ear of each animal: Provided, However, That in
lieu of branding with the letter ''B'' and tagging with an approved
metal tag, reactors and exposed cattle and bison in herds scheduled for
herd depopulation, may be identified by USDA approved backtags and
either accompanied directly to slaughter by an APHIS or State
representative or moved directly to slaughter in vehicles closed with
official seals. Such official seals may only be removed by an APHIS
representative, State representative, accredited veterinarian, or by
other persons authorized for this purpose by an APHIS representative.
(c) Swine shall be individually identified by tagging with a metal
tag bearing a serial number and inscription ''U.S. Reactor'' or a
similar State reactor tag or other identification approved by the
Administrator, upon request in specific cases, attached to the left ear
of each animal.
(Approved by the Office of Management and Budget under control number
0579-0047)
(42 FR 64336, Dec. 23, 1977, as amended at 44 FR 45605, Aug. 3, 1979;
45 FR 24860, Apr. 11, 1980; 47 FR 53324, Nov. 26, 1982; 48 FR 57472,
Dec. 30, 1983; 50 FR 11993, Mar. 27, 1985; 54 FR 32435, Aug. 8, 1989;
56 FR 18506, Apr. 23, 1991)
09 CFR 51.6 Destruction of animals; time limit for destruction of
animals.
(a) Cattle. The claimant shall be responsible for ensuring that
cattle subject to this part shall be sold under permit to a recognized
slaughtering establishment or to a specifically approved stockyard for
sale to a recognized slaughtering establishment.
(b) Bison. The claimant shall be responsible for insuring that bison
subject to this part shall be sold under permit to a State or Federal
slaughtering establishment approved by the Administrator for this
purpose or to a stockyard approved by the Administrator for sale to such
a slaughtering establishment, Provided, However, That the Administrator
may approve such other bison slaughtering establishments as may be
deemed necessary to accomplish destruction of bison subject to this
part.
(c) Swine. The claimant shall be responsible for insuring that swine
subject to this part shall be sold under permit to a slaughtering
establishment where State or Federal meat inspection is available, or to
a market approved by the State Animal Health Official, or to a market
approved by the Administrator, for sale to such slaughtering
establishment. 5
(d) Time limit for destruction of animals. Payment of indemnity
shall be made under this part only if the animals are destroyed within
15 days after the date of identification, pursuant to 51.5 of the
regulations in this part, except that the appropriate Veterinarian in
Charge may extend the time limit to 30 days when request for such
extension is received from the owner prior to the expiration date of the
original 15-day period allowed, or when the animals were sold for
slaughter prior to the expiration date of the original 15-day period,
and when the Veterinarian in Charge determines that such extension will
not adversely affect the Brucellosis Eradication Program; and except
further, that the Administrator shall, upon request in specific cases,
extend the time limit beyond the 30-day period when unusual and
unforeseen circumstances occur which prevent or hinder the destruction
of the animals within the 30-day period, such as, but not limited to,
floods, storms, or other Acts of God which are beyond the control of the
owner, or when destruction is delayed due to requirements of another
Federal Agency.
(Approved by the Office of Management and Budget under control number
0579-0047)
(42 FR 64336, Dec. 23, 1977, as amended at 45 FR 43680, June 27,
1980; 45 FR 86410, Dec. 31, 1980; 46 FR 5861, Jan. 21, 1981; 47 FR
53324, Nov. 26, 1982; 48 FR 57472, Dec. 30, 1983; 50 FR 11993, Mar.
27, 1985; 51 FR 11300, Apr. 2, 1986; 51 FR 32599, Sept. 12, 1986; 54
FR 32435, Aug. 8, 1989; 56 FR 18506, Apr. 23, 1991)
5Markets are approved by the Administrator in accordance with 76.18
of this chapter.
09 CFR 51.7 Claims for indemnity.
(a) Claims for indemnity for animals destroyed because of brucellosis
shall be presented on indemnity claim forms furnished by APHIS on which
the owner of the animals covered thereby shall certify that the animals
are or are not subject to any mortgage as defined in this part. If the
owner states there is a mortgage, the APHIS indemnity claim form shall
be signed by the owner and by each person holding a mortgage on the
animals, consenting to the payment of any indemnity allowed to the
person specified thereon. Payment will be made only if the claimant has
submitted a complete indemnity claim form to, and such claim has been
approved by the Veterinarian in Charge or by an APHIS representative
designated by him. On claims for indemnity made under the provisions of
51.3, the Veterinarian in Charge or an APHIS representative designated
by him shall record on the APHIS indemnity claim form the amount of
Federal and State indemnity payments that appear to be due to the owner
of the animals. The owner of the animals shall be furnished a copy of
the completed APHIS indemnity claim form. The Veterinarian in Charge or
an APHIS representative designated by him shall then forward the
completed APHIS indemnity claim form to the Administrator for further
action on the claim. No charges for holding the animals on the farm
pending slaughter or for trucking by the owner shall be so deducted or
otherwise paid by the United States Department of Agriculture.
(b) Claims for indemnity for registered cattle shall be accompanied
by the cattle's registration papers issued in the name of the owner. If
the registration papers are unavailable or if the cattle are less than 1
year old and are not registered at the time the claim for indemnity is
submitted, the Veterinarian in Charge may grant a 60-day extension or
the Administrator may grant an extension longer than 60 days for the
presentation of registration papers.
(Approved by the Office of Management and Budget under control number
0579-0047)
(42 FR 64336, Dec. 23, 1977. Redesignated at 46 FR 13674, Feb. 23,
1981, and 47 FR 53324, Nov. 26, 1982, and amended at 47 FR 53324, Nov.
26, 1982; 48 FR 57472, Dec. 30, 1983; 50 FR 11993, Mar. 27, 1985; 54
FR 32435, Aug. 8, 1989; 56 FR 18506, Apr. 23, 1991)
09 CFR 51.8 Disinfection of premises, conveyances, and materials.
All premises, including all structures, holding facilities,
conveyances, and materials, contaminated because of occupation or use by
brucellosis reactor or exposed animals shall be properly cleaned and
disinfected with a disinfectant permitted by APHIS in accordance with
recommendations of the APHIS or State representative within 15 days from
the date reactors were removed from the premises, except that the
appropriate Veterinarian in Charge may extend the time limit for
disinfection to 30 days when request for such extension is received by
him prior to the expiration date of the original 15-day period allowed,
and when he determines that such extension will not adversely affect the
Brucellosis Eradication Program; and except further, that the
Administrator may, upon request in specific cases, extend the time limit
beyond the 30-day period when unusual and unforeseen circumstances
occur, such as but not limited to floods, storms, or other Acts of God,
which are beyond the control of the owner, preventing or hindering the
disinfection of premises, conveyances, and materials. Certain premises
may be exempted from such cleaning and disinfecting requirements by
approval of the appropriate Veterinarian in Charge on written
recommendations by the APHIS or State representative or when a written
report by the APHIS or State representative determines that there are no
buildings, holding facilities, conveyances, or other materials on the
premises that would require such cleaning and disinfection.
(Approved by the Office of Management and Budget under control number
0579-0047)
(42 FR 64336, Dec. 23, 1977. Redesignated at 46 FR 13674, Feb. 23,
1981, and 47 FR 53324, Nov. 26, 1982; 48 FR 57472, Dec. 30, 1983; 50
FR 11993, Mar. 27, 1985; 54 FR 32435, Aug. 8, 1989; 56 FR 18506, Apr.
23, 1991)
09 CFR 51.9 Claims not allowed.
Claims for compensation for animals destroyed because of brucellosis
shall not be allowed if any of the following circumstances exist:
(a) If the claimant has failed to comply with any of the requirements
of this part.
(b) If the existence of brucellosis in the animal was determined
based on the results of an official test, as defined in 78.1 of this
chapter, and specific instructions for the administration of the
official test had not previously been issued to the individual
performing the test by APHIS and the State animal health official.
(c) If all cattle, bison, and swine eligible for testing in the
claimant's herd have not been tested for brucellosis under APHIS or
State supervision.
(d) If the animals are barrows or gilts maintained for feeding
purposes, or are spayed heifers or steers unless the steers are work
oxen.
(e) If the animals are classified as reactors and are unofficial
vaccinates, unless there is either a record of a negative official test
made not less than 30 days following the date of unofficial vaccination
or unless other APHIS approved tests show the unofficial vaccinates are
affected with virulent Brucella.
(f) If there is substantial evidence that the owner or his agent has
in any way been responsible for any unlawful or improper attempt to
obtain indemnity funds for such animal.
(g) If, at the time of test or condemnation, the animals belonged to
or were upon the premises of any person to whom they had been sold for
slaughter; shipped for slaugher, or delivered for slaughter.
(h) If any known brucellosis reactor animal remains in the herd,
unless, in the opinion of the Veterinarian in Charge, a reasonable
search has been made for the brucellosis reactor animal and the
brucellosis reactor animal could not be found and removed.
(i) If the animals are brucellosis reactor animals which are
slaughtered other than as part of a herd depopulation, and which are
from a herd: (1) That was already classified as a ''herd known to be
affected'' at the time the animals were identified as brucellosis
reactor animals and (2) for which an approved action plan or approved
individual herd plan (as defined in 78.1 of this chapter) was not in
effect at the time the claim was filed.
(Approved by the Office of Management and Budget under control number
0579-0047)
(42 FR 64336, Dec. 23, 1977. Redesignated at 46 FR 13674, Feb. 23,
1981, and 47 FR 53324, Nov. 26, 1982, and amended at 47 FR 53324, Nov.
26, 1982; 48 FR 57472, Dec. 30, 1983; 50 FR 11993, Mar. 27, 1985; 50
FR 47036, Nov. 14, 1985; 51 FR 11300, Apr. 2, 1986; 54 FR 32435, Aug.
8, 1989)
09 CFR 51.10 Part 53 of this chapter not applicable.
No claim for indemnity for animals destroyed because of brucellosis
shall hereafter be paid under the regulations contained in part 53 of
this chapter, but all such claims shall be presented and paid pursuant
to and in compliance with regulations contained in this part.
(42 FR 64336, Dec. 23, 1977. Redesignated at 46 FR 13674, Feb. 23,
1981, and 47 FR 53324, Nov. 26, 1982; 50 FR 11993, Mar. 27, 1985)
09 CFR 51.10 PART 52 -- (RESERVED)
09 CFR 51.10 Pt. 53
09 CFR 51.10 PART 53 -- FOOT-AND-MOUTH DISEASE, PLEUROPNEUMONIA,
RINDERPEST, AND CERTAIN OTHER COMMUNICABLE DISEASES OF LIVESTOCK OR
POULTRY
Sec.
53.1 Definitions.
53.2 Determination of existence of disease; agreements with States.
53.3 Appraisal of animals or materials.
53.4 Destruction of animals.
53.5 Disinfection or destruction of materials.
53.6 Disinfection of animals.
53.7 Disinfection of premises, conveyances, and materials.
53.8 Presentation of claims.
53.9 Mortgage against animals or materials.
53.10 Claims not allowed.
Authority: 21 U.S.C. 111, 114, 114a; 7 CFR 2.17, 2.51, and
371.2(d).
Cross Reference: For non-applicability of part 53 with respect to
certain claims for indemnity, see 51.10 of this chapter.
09 CFR 53.1 Definitions.
Words used in this part in the singular form shall be deemed to
import the plural and vice versa, as the case may demand. Unless
otherwise clearly indicated by the context, whenever the following
words, names, or terms are used in the regulations in this part, they
shall be construed, respectively, to mean:
Administrator means the Administrator, Animal and Plant Health
Inspection Service, or any person authorized to act for the
Administrator.I11Animals -- Livestock, poultry, and all other members of
the animal kingdom including birds whether domesticated or wild, but not
including man.
Animal and Plant Health Inspection Service means the Animal and Plant
Health Inspection Service of the United States Department of Agriculture
(APHIS).
APHIS employee means any inspector or other individual employed by
the agency who is authorized by the Administrator to do any work or
perform any duty in connection with the control and eradication of
disease.
Bird means any member of the class aves other than poultry.
Department means the United States Department of Agriculture.
Disease means foot-and-mouth disease, rinderpest, contagious
pleuropneumonia, or any other communicable disease of livestock or
poultry which in the opinion of the Secretary constitutes an emergency
and threatens the livestock industry of the country; or any other
communicable disease of livestock or poultry referred to in this
paragraph:
(a) The communicable disease of poultry presently existing in the
States of California, Florida, New Mexico, and Texas and diagnosed as
exotic Newcastle-disease, at the time of slaughter, on the basis of
clinical or laboratory evidence, by an APHIS employee or representative
of the particular State involved.
(b) Lethal avian influenza (a disease of poultry caused by any form
of H5 influenza virus that has been determined by the Administrator, to
have spread from the 1983 outbreak in poultry in Pennsylvania).
Inspector in charge means an inspector of APHIS who is designated by
the Administrator to take charge of work in connection with the control
and eradication of disease as defined in this section.
Materials means parts of barns or other structures, straw, hay, and
other feed for animals, farm products or equipment, clothing, and
articles stored or contained in or adjacent to barns or other
structures.
Mortgage means any mortgage, lien or other security or beneficial
interest held by any person other than the one claiming indemnity.
Person means natural person, firm, partnership, corporation, company,
society, and association, and every officer, agent, or employee thereof.
Poultry means chickens, ducks, geese, swans, turkeys, pigeons, doves,
pheasants, grouse, partridges, quail, guinea fowl, and pea fowl.
Secretary means the Secretary of Agriculture of the United States, or
any officer or employee of the Department to whom authority has
heretofore been delegated, or to whom authority may hereafter be
delegated, to act in his stead.
State means each and every one of the States of the United States,
the District of Columbia, and the Territories and possessions of the
United States.
(28 FR 5935, June 13, 1963, as amended at 36 FR 25217, Dec. 30, 1971;
49 FR 3448, Jan. 27, 1984; 49 FR 26712, June 29, 1984; 56 FR 51973,
Oct. 17, 1991)
09 CFR 53.2 Determination of existence of disease; agreements with
States.
(a) The Director of Division is hereby authorized to invite the
proper State authorities to cooperate with the Department in the control
and eradication of any disease within the meaning of 53.1(f).
(b) Upon agreement of the authorities of the State to enforce
quarantine restrictions and orders and directives properly issued in the
control and eradication of such a disease, the Director of Division is
hereby authorized to agree, on the part of the Department, to cooperate
with the State in the control and eradication of the disease, and to pay
50 percent (and in the case of exotic Newcastle disease or lethal avian
influenza, up to 100 percent) of the expenses of purchase, destruction
and disposition of animals and materials required to be destroyed
because of being contaminated by or exposed to such disease: Provided,
however, That if the animals were exposed to such disease prior to or
during interstate movement and are not eligible to receive indemnity
from any State, the Department may pay up to 100 percent of the
purchase, destruction, and disposition of animals and materials required
to be destroyed: Provided, further, That the cooperative program for
the purchase, destruction, and disposition of birds shall be limited to
birds as referred to in 82.2(a) of this chapter, and which are
identified in documentation pursuant to Cooperative Agreements,1014 as
constituting a threat to the poultry industry of the United States: And
provided further, That the Secretary may authorize other arrangements
for the payment of such expenses upon finding that an extraordinary
emergency exists.
(37 FR 5689, Mar. 18, 1972, as amended at 49 FR 3448, Jan. 27, 1984;
49 FR 26712, June 29, 1984)
0141Agreements between the Departments and the particular State
involved relating to cooperative animal (including poultry) disease
prevention, control, and eradication.
09 CFR 53.3 Appraisal of animals or materials.
(a) Animals affected by or exposed to disease, and materials required
to be destroyed because of being contaminated by or exposed to disease
shall be appraised by an APHIS employee and a representative of the
State jointly, or, if the State authorities approve, by an APHIS
employee alone.
(b) The appraisal of animals shall be based on the fair market value
and shall be determined by the meat, egg production, dairy or breeding
value of such animals. Animals may be appraised in groups providing
they are the same species and type and providing that where appraisal is
by the head each animal in the group is the same value per head or where
appraisal is by the pound each animal in the group is the same value per
pound.
(c) Appraisals of animals shall be reported on forms furnished by
APHIS. Reports of appraisals shall show the number of animals of each
species and the value per head or the weight and value by pound.
(d) Appraisals of materials shall be reported on forms furnished by
APHIS. Reports of appraisals of materials shall, when practicable, show
the number, size or quantity, unit price, and total value of each kind
of material appraised.
(21 U.S.C. 112, 113, 115, 117, 120, 121, 134b)
(28 FR 5935, June 13, 1963, as amended at 35 FR 13981, Sept. 3, 1970;
36 FR 25217, Dec. 30, 1971; 56 FR 51974, Oct. 17, 1991)
09 CFR 53.4 Destruction of animals.
(a) Animals affected by or exposed to disease shall be killed
promptly after appraisal and disposed of by burial or burning, unless
otherwise specifically provided by the Administrator in extraordinary
circumstances.
(b) The killing of animals and the burial, burning, or other disposal
of carcasses of animals pursuant to the regulations in this part shall
be supervised by an APHIS employee who shall prepare and transmit to the
Administrator a report identifying the animals and showing the
disposition thereof.
(28 FR 5935, June 13, 1963, as amended at 56 FR 51974, Oct. 17, 1991)
09 CFR 53.5 Disinfection or destruction of materials.
(a) In order to prevent the spread of disease, materials contaminated
by or exposed to disease shall be disinfected: Provided, however, That
in all cases in which the cost of disinfection would exceed the value of
the materials or disinfection would be impracticable for any reason, the
materials shall be destroyed, after appraisal as provided in 53.3.
(b) The disinfection or destruction of materials under this section
shall be under the supervision of an APHIS employee who shall prepare
and transmit to the Administrator a certificate identifying all
materials which are destroyed, showing the disposition thereof.
(28 FR 5935, June 13, 1963, as amended at 56 FR 51974, Oct. 17, 1991)
09 CFR 53.6 Disinfection of animals.
Animals of species not susceptible to the disease for which a
quarantine has been established, but which have been exposed to the
disease, shall be disinfected when necessary by such methods as the
Administrator shall prescribe from time to time.
(28 FR 5935, June 13, 1963, as amended at 56 FR 51974, Oct. 17, 1991)
09 CFR 53.7 Disinfection of premises, conveyances, and materials.
All premises, including barns, corrals, stockyards and pens, and all
cars, vessels, aircraft, and other conveyances, and the materials
thereon, shall be cleaned and disinfected under supervision of an APHIS
employee whenever necessary for the control and eradication of disease.
Expenses incurred in connection with such cleaning and disinfection
shall be shared according to the agreement reached under 53.2 with the
State in which the work is done.
(28 FR 5935, June 13, 1963, as amended at 56 FR 51974, Oct. 17, 1991)
09 CFR 53.8 Presentation of claims.
Claims for (a) compensation for the value of animals, (b) cost of
burial, burning or other disposition of animals, (c) the value of
material destroyed, and (d) the expenses of destruction, shall each be
presented, through the inspector in charge, to APHIS on separate
vouchers in form approved by the Administrator.
(28 FR 5935, June 13, 1963, as amended at 56 FR 51974, Oct. 17, 1991)
09 CFR 53.9 Mortgage against animals or materials.
When animals or materials have been destroyed pursuant to the
requirements contained in this part, any claim for indemnity shall be
presented on forms furnished by APHIS on which the owner of the animals
or materials shall certify that the animals or materials covered
thereby, are, or are not, subject to any mortgage as defined in this
part. If the owner states there is a mortgage, forms furnished by APHIS
shall be signed by the owner and by each person holding a mortgage on
the animals or materials, consenting to the payment of any indemnity
allowed to the person specified thereon.
(28 FR 5935, June 13, 1963, as amended at 56 FR 51974, Oct. 17, 1991)
09 CFR 53.10 Claims not allowed.
(a) The Department will not allow claims arising under the terms of
this part if the payee has not complied with all quarantine
requirements.
(b) Expenses for the care and feeding of animals held for destruction
will not be paid by the Department, unless the payment of such expense
is specifically authorized or approved by the Administrator.
(c) The Department will not allow claims arising out of the
destruction of animals or materials unless they shall have been
appraised as prescribed in this part and the owners thereof shall have
executed a written agreement to the appraisals.
(d) The Department will not allow claims arising out of the
destruction of animals or materials which have been moved or handled by
the owner thereof or its officer, employee, or agent, acting within the
scope of his or its office, employment or agency, in violation of a law
or regulation administered by the Secretary for the prevention of the
introduction into or the dissemination within the United States of any
communicable disease of livestock or poultry for which the animal or
material was destroyed, or in violation of a law or regulation for the
enforcement of which the Secretary enters or has entered into a
cooperative agreement for the control and eradication of such disease.
(28 FR 5935, June 13, 1963, as amended at 45 FR 86411, Dec. 31, 1980;
56 FR 51974)
09 CFR 53.10 Pt. 54
09 CFR 53.10 PART 54 -- ANIMALS DESTROYED BECAUSE OF SCRAPIE
Sec.
54.1 Definitions.
54.2 Cooperation with States.
54.3 Appraisal of animals.
54.4 Time limit for slaughter.
54.5 Care and feeding of animals under quarantine; disposal of
animals after slaughter.
54.6 Mortgage against animals.
54.7 Destruction and disposition of animals.
54.8 Payments to owners for animals destroyed.
54.9 Claims not allowed.
Authority: 21 U.S.C. 111, 114, 114a, 134a-134h; 7 CFR 2.17, 2.51,
and 371.2(d).
Source: 28 FR 5936, June 13, 1963, unless otherwise noted.
Editorial Note: For nomenclature changes, see 53 FR 2581, Jan. 29,
1988.
09 CFR 54.1 Definitions.
For the purpose of this part, the following words, names, and terms
shall be construed, respectively, to mean:
Administrator. The Administrator of the Animal and Plant Health
Inspection Service, or any employee of the United States Department of
Agriculture to whom the Administrator has delegated authority to act in
his or her stead.
Affected animal. An animal for which a diagnosis of scrapie has been
made by a Veterinary Services representative or State representative.
Animal. A sheep or goat.
Bloodline animal. The dam of an affected animal and the dam's first
generation progeny, the maternal granddam of an affected animal, the
first generation progeny of an affected animal, and all succeeding
generations of female progeny from female progeny of an affected female
animal.
Department. The U.S. Department of Agriculture.
Destroyed. Killed by slaughter or by such other means as may be
authorized by the Administrator in an exceptional situation.
Flock. (a) All animals under common ownership or supervision that are
grouped on one or more parts of any single premises (lot, farm or
ranch); or (b) All animals under common ownership or supervision on two
or more premises which are geographically separated but on which animals
from the different premises have been interchanged or had contact with
each other.
Mortgage. Any mortgage, lien, or other security or beneficial
interest held by any person other than the one claiming indemnity.
Owner. A person, partnership, company, or corporation who has legal
or rightful title to animals whether or not they are subject to a
mortgage.
Scrapie-exposed animals. Animals, other than affected or bloodline
animals, in a flock in which an affected animal has been diagnosed by a
Veterinary Services representative or state representative. Animals in
the flock are no longer considered exposed after they are destroyed or
upon the flock's release from surveillance by state animal health
authorities.
State. Any State or Territory or possession of the United States, the
District of Columbia, or Puerto Rico.
State representative. A person employed in livestock sanitary work
of a State or a political subdivision thereof, and who is authorized by
such State or political subdivision to perform the function involved
under a cooperative agreement with the U.S. Department of Agriculture.
Veterinary Services. The Veterinary Services unit of the Animal and
Plant Health Inspection Service, U.S. Department of Agriculture.
Veterinary Services representative. A person employed by Veterinary
Services in animal health activities who is authorized by the
Administrator to perform the function involved.
(43 FR 41184, Sept. 15, 1978, as amended at 48 FR 16236, Apr. 15,
1983; 48 FR 38206, Aug. 23, 1983; 53 FR 2581, Jan. 29, 1988)
09 CFR 54.2 Cooperation with States.
Upon the determination by the Administrator of the existence of
scrapie, he shall solicit the cooperation of the proper State or
Territory authorities in the eradication of such disease.
09 CFR 54.3 Appraisal of animals.
(a) Subject to the provisions of paragraph (b) of this section,
animals for which indemnity is to be paid under 54.8 (a) and (b) shall
be appraised at their fair market value by an appraiser selected and
employed by Veterinary Services in each of the Veterinary Services
regions; except that, if the owner and State representative approve,
such animals may be appraised by a Veterinary Services representative
alone, or may be appraised jointly by a Veterinary Services
representative and a State representative; Provided, That if the owner
deems the appraisal of the Veterinary Services representative or of the
joint Veterinary Services representative and State representative to be
inadequate, the appraisal shall be made by an appraiser selected and
employed by Veterinary Services in each of the Veterinary Services
regions. Should the appraisal made by the appraiser employed by
Veterinary Services be deemed inadequate by the owner, the owner may
select and employ his own appraiser who shall appraise the animals and
consult with the Veterinary Services appraiser and attempt to agree on
the appraisal value. If the two appraisers do not agree on the
appraisal value of the animals, the two appraisers shall select a third
appraiser who will be employed by Veterinary Services. The three
appraisers shall attempt to agree upon an appraisal value for the
animals. Any appraisal agreed upon by these three appraisers will be
final.
(b) Veterinary Services may decline to accept any appraisal that
appears to it to be unreasonable or out of proportion to the value of
similar animals of a like quality. Appraisals shall not exceed any
limit set by the laws of the State or other agency which is cooperating
with Veterinary Services in the payment of indemnity because of scrapie.
(28 FR 5936, June 13, 1963 as amended at 43 FR 41184, Sept. 15, 1978;
48 FR 16236, Apr. 15, 1983; 48 FR 38206, Aug. 23, 1983; 53 FR 2581,
Jan. 29, 1988)
09 CFR 54.4 Time limit for slaughter.
Animals slaughtered under this part shall be slaughtered within 15
days after the date of appraisal unless such time is specifically
extended by the Administrator.
09 CFR 54.5 Care and feeding of animals under quarantine; disposal of
animals after slaughter.
Expenses for the care and feeding of animals held for destruction and
the expense of destruction, burial, incineration, etc., and/or
transportation and other expenses incidental to their slaughter will not
be paid by the Department.
09 CFR 54.6 Mortgage against animals.
When animals have been destroyed pursuant to the requirements
contained in this part, any claim for indemnity shall be presented on
forms furnished by Veterinary Services on which the owner of the animals
shall certify that the animals covered thereby, are, or are not, subject
to any mortgage as defined in this part. If the owner states there is a
mortgage, forms furnished by Veterinary Services shall be signed by the
owner and by each person holding a mortgage on the animals, consenting
to the payment of any indemnity allowed to the person specified thereon.
09 CFR 54.7 Destruction and disposition of animals.
(a) Indemnity for animals pursuant to 54.8 (a) and (b) of this part
shall be paid only after Veterinary Services obtains the written
agreement of the owner to accept from the United States compensation
which shall be equal to two-thirds of the appraised value of each
animal, not to exceed $300 per head.
(b) Animals for which indemnity is sought pursuant to 54.8 (a) and
(b) of this part shall be destroyed on the premises where held,
pastured, or penned at the time of appraisal; except that such animals
may be moved for destruction to a location other than the premises where
appraised when movement to such location is approved in advance by the
State representative and Veterinary Services representative involved,
and such animals are not to be processed for human food. The carcasses
of the animals destroyed shall be disposed of by burial or incineration.
(c) The destruction and disposition of animals destroyed in
accordance with this part shall be supervised by a Veterinary Services
or State representative who shall prepare and transmit to the
Administrator, a report identifying the animals and showing the
disposition thereof.
(40 FR 40506, Sept. 3, 1975; 40 FR 42739, Sept. 16, 1975, as amended
at 43 FR 41184, Sept. 15, 1978; 48 FR 16236, Apr. 15, 1983; 48 FR
38206, Aug. 23, 1983; 53 FR 2581, Jan. 29, 1988)
09 CFR 54.8 Payments to owners for animals destroyed.
(a) The Administrator shall authorize the payment of a federal
indemnity to owners of affected animals and bloodline animals.
(b) The Administrator shall authorize the payment of a federal
indemnity to any owner of scrapie-exposed animals when a cost-benefit
analysis establishes that it is more cost effective to destroy the flock
than to maintain it under surveillance: Provided, That sufficient funds
appropriated by Congress appear to be available for this purpose for the
remainder of the fiscal year. /1/ This cost-benefit analysis shall be
based on:
(1) The applicable laws and regulations of the state in which the
flock would be maintained; and
(2) The total cost of federal and state indemnities to be paid if an
entire scrapie-exposed flock were to be destroyed versus projected costs
for indemnities if only affected and bloodline animals are destroyed;
travel and per diem for the conducting of periodic flock inspections by
federal and state inspectors; resulting disruptions of federal and
state manpower schedules; and administrative and paperwork costs,
including projected owner recordkeeping and reporting expenditures.
(c) Owners of affected animals, bloodline animals, and
scrapie-exposed animals for which the Administrator authorizes payment
of indemnity pursuant to 54.8(b) of this part destroyed in accordance
with this part shall be paid an indemnity by the United States equal to
two-thirds of the appraised value of each animal so destroyed, not to
exceed $300 per head.
(d) Veterinary Services may indemnify owners up to the limitations
specified in this part whether or not the State participates in
indemnity payment.
(e) Animals presented for appraisal as purebred shall be accompanied
by their certificate of registry at the time of appraisal, or they shall
be appraised as grades; except that, in the absence of such proof of
purebreeding, the Administrator shall grant a reasonable time for the
owner to obtain and present his certificate of registration to the
Veterinary Services representative.
(43 FR 41185, Sept. 15, 1978, as amended at 48 FR 16236, Apr. 15,
1983; 48 FR 38206, Aug. 23, 1983; 53 FR 2581, Jan. 29, 1988)
/1/ Should funding not be sufficient to pay indemnities to all
eligible owners seeking payment for scrapie-exposed animals, then the
funds that are available shall be paid first in those instance where the
following indicates the greatest need for flock destruction:
1. Whether any of the affected flocks contain animals for which
bloodlines cannot be determined and the number of such animals in each
flock.
2. The estimated extent of infection in each affected flock as
measured by the number of affected and bloodline animals found and
destroyed -- and the number of remaining scrapie-exposed animals
displaying symptoms indicative of scrapie -- versus the number total
number of animals in each affected flock.
3. Any previous history of scrapie in an affected flock.
09 CFR 54.9 Claims not allowed.
(a) The Department will not allow claims arising out of the
destruction of animals unless they have been previously appraised, and
the owners thereof shall have executed agreements, in compliance with
this part.
(b) The Department will not allow claims if the claimant has failed
to comply with any of the Department regulations pertaining to scrapie
including the necessary cleaning and disinfection of his premises and
conveyances.
09 CFR 54.9 PART 55 -- (RESERVED)
09 CFR 54.9 PART 56 -- SWINE DESTROYED BECAUSE OF HOG CHOLERA
09 CFR 54.9 Pt. 56
Sec.
56.1 Definitions.
56.2 Cooperation with States.
56.3 Appraisal of swine.
56.4 Care and feeding of swine under quarantine; disposal after
slaughter.
56.5 Mortgages against swine.
56.6 Destruction of swine.
56.7 Payments to owners for swine destroyed.
56.8 Claims not allowed.
Authority: Secs. 3-5, 23 Stat. 32, as amended, sec. 2, 32 Stat.
792, as amended, sec. 3, 33 Stat. 1265, as amended, sec. 11, 58 Stat.
734, as amended; 21 U.S.C. 111-114a, 120, 125.
Source: 28 FR 9915, Sept. 12, 1963, unless otherwise noted.
09 CFR 56.1 Definitions.
For the purpose of this part, the following words, names, and terms
shall be construed, respectively, to mean:
(a) The Department means the United States Department of Agriculture.
(b) Veterinary Services means the Veterinary Services unit of the
Animal and Plant Health Inspection Service, United States Department of
Agriculture.
(c) Destroyed means condemned under State or Federal authority and
destroyed by slaughter or by dealth otherwise.
(d) Hog Cholera means the contagious, infectious, and communicable
disease of swine commonly known as hog cholera.
(e) Mortgage means any mortgage, lien, or other security or
beneficial interest held by any person other than the one claiming
indemnity.
(f) State means each and every one of the States of the United
States, the District of Columbia, Puerto Rico and the Territories and
possessions of the United States.
(g) Purebred swine. Any breeding swine upon which a certificate of
pure breeding has been issued by a purebred swine association.
(h) Inbred or hybrid swine. Any breeding swine which are the progeny
of two or more breeds of foundation stock for which records of ancestry
are available and which are maintained for breeding purposes as a part
of a formal breeding program to produce inbred or hybrid swine, and for
which records of ancestry exist through which such swine can be
identified as progeny of said foundation stock.
(i) Breeding swine. Grade female swine which are maintained for
breeding purposes as a part of a formal breeding program.
(28 FR 9915, Sept. 12, 1963, as amended at 33 FR 10005, July 12,
1968; 34 FR 14881, Sept. 27, 1969; 35 FR 16314, Oct. 17, 1970; 40 FR
30099, July 17, 1975)
09 CFR 56.2 Cooperation with States.
Upon determination by the Deputy Administrator, Veterinary Services
of the existence of hog cholera, and upon agreement of the authorities
of the State to enforce quarantine restrictions and orders and
directives properly issued in the control and eradication of hog
cholera, he is authorized to cooperate with the proper State authorities
in the eradication of such disease.
09 CFR 56.3 Appraisal of swine.
Swine affected with or exposed to hog cholera which are to be
destroyed and indemnities paid therefor under this part shall be
appraised at their actual value for meat, feeding or breeding purposes
at the place and time of appraisal, except that in the case of grade
animals only females shall be eligible for appraisal based on breeding
value and that no such appraisal shall exceed three times the animals'
meat or feeding value. Appraisal shall be made by a Veterinary Services
or State representative or jointly. The record of appraisal shall be
signed by the appraiser, or appraisers, and by the owner certifying his
acceptance of the appraisal. Swine may be appraised in groups providing
they are the same type and providing that where appraisal is by the head
each animal in the group is the same value per head or where appraisal
is by the pound each animal in the group is the same value per pound.
Swine presented for appraisal as purebred swine shall be accompanied by
their certificate of pure breeding; swine presented for appraisal as
inbred or hybrid swine shall be accompanied by their certificate of
registration. Certificates of pure breeding for purebred swine or
certificates of registration for inbred or hybrid swine shall be
presented at the time of appraisal or such swine will be appraised as
grades: Provided, however, That in the absence of such certificate of
pure breeding; or certificate of registration for inbred or hybrid
swine the Deputy Administrator, Veterinary Services may grant a
reasonable time for the presentation of the certificate of pure breeding
or registration to the appraiser.
(33 FR 10005, July 12, 1968)
09 CFR 56.4 Care and feeding of swine under quarantine; disposal after
slaughter.
The Department may pay up to 100 percent of expenses for the
purchase, destruction, and disposition of animals and materials required
to be destroyed because of being contaminated by or exposed to hog
cholera. The amount of the claim which may be paid for destruction,
burial, incineration, rendering, or otherwise disposing of swine
infected with or exposed to hog cholera shall be determined by a
Veterinary Services or State representative or jointly. The record of
such claim shall be signed by a Veterinary Services or State
representative or jointly and by the owner certifying his acceptance of
the amount claimed. The Department will not pay expenses for the care
and feeding of swine held for destruction except as specifically
approved by the Deputy Administrator, and in the case of approval, such
expenses for care and feeding of such swine shall be deducted from the
appraised value of the swine and indemnity payments may be made to the
limit specified in 56.7.
(38 FR 16842, June 27, 1973, as amended at 40 FR 30099, July 17,
1975)
09 CFR 56.5 Mortgages against swine.
Any indemnity claim for swine destroyed pursuant to the requirements
contained in this part shall be presented on forms furnished by
Veterinary Services on which the owner of the swine shall certify that
the swine covered thereby, are, or are not, subject to any mortgage as
defined in this part. If the owner states there is a mortgage, forms
furnished by the Veterinary Services shall be signed by the owner and by
each person holding a mortgage on the swine, consenting to the payment
of any indemnity allowed to the person specified thereon.
09 CFR 56.6 Destruction of swine.
(a) Swine affected with or exposed to hog cholera which are to be
destroyed and indemnities paid therefor under this part shall be
destroyed promptly after appraisal and disposed of through a method of
salvage approved by the Deputy Administrator, Veterinary Services or by
burial or burning.
(b) The destruction of swine and the burial, burning, or other
disposal of carcasses of swine pursuant to the regulations in this part
shall be supervised by a Department or State employee who shall prepare
and transmit to the Deputy Administrator, Veterinary Services a report
identifying the swine and showing the disposition thereof.
09 CFR 56.7 Payment to owners for swine destroyed.
(a) Owners of swine destroyed in accordance with this part in any
State may be paid an indemnity not to exceed 100 percent of the
appraised value of the swine destroyed. An indemnity may be paid not to
exceed $360 per head for purebred, inbred, or hybrid swine and for
breeding swine, or $180 per head for all other swine.
(b) If the Department has paid the expenses of care and feeding of
swine held for destruction in accordance with 56.4, such expenses shall
be deducted from the appraised value of the swine, and the difference
between the appraised value and such expenses shall be used as the net
appraised value for computing indemnity claims.
(21 U.S.C. 114g, 115, 117, 121, 123, 124, 126, 134a-h)
(28 FR 9915, Sept. 12, 1963, as amended at 40 FR 30099, July 17,
1975; 41 FR 8944, Mar. 2, 1976)
09 CFR 56.8 Claims not allowed.
(a) The Department will not allow claims arising out of the
destruction of swine unless they have been previously appraised in
compliance with this part.
(b) The Department will not allow claims if the claimant has failed
to comply with any of the Department regulations or quarantine
regulations of the cooperating State pertaining to hog cholera, and the
cleaning and disinfection of his premises or conveyances as deemed
necessary by Deputy Administrator, Veterinary Services to destroy hog
cholera virus.
(c) The Department will not allow claims if there is substantial
evidence that the owner or his agent has in any way been responsible for
any attempt unlawfully or improperly to obtain indemnity funds for such
swine.
09 CFR 56.8 SUBCHAPTER C -- INTERSTATE TRANSPORTATION OF ANIMALS (INCLUDING POULTRY) AND ANIMAL PRODUCTS
09 CFR 56.8 PART 70 -- RULES OF PRACTICE GOVERNING PROCEEDINGS UNDER CERTAIN ACTS
09 CFR 56.8 Subpart A -- General
Sec.
70.1 Scope and applicability of rules of practice.
09 CFR 56.8 Subpart B -- Supplemental Rules of Practice
70.10 Stipulations.
Authority: Secs. 4-7, 23 Stat. 32, as amended; secs. 2 and 3, 32
Stat. 792, as amended; secs. 1, 3, 4, and 6, 33 Stat. 1264, 1265, as
amended; sec. 11, 58 Stat. 734, as amended; sec. 2, 65 Stat. 693, as
amended; secs. 3 and 4, 76 Stat. 130, sec. 6, 76 Stat. 131, as
amended; sec. 11, 76 Stat. 132; 21 U.S.C. 111, 112, 114a, 114a-1,
115, 117, 120, 122, 123, 125-127, 134b, 134c, 134e, 134f; 7 CFR 2.17,
2.51, 371.2(d).
Source: 48 FR 30094, June 30, 1983, unless otherwise noted.
09 CFR 56.8 Subpart A -- General
09 CFR 70.1 Scope and applicability of rules of practice.
The Uniform Rules of Practice for the Department of Agriculture
promulgated in subpart H of part 1, subtitle A, title 7, Code of Federal
Regulations, are the Rules of Practice applicable to adjudicatory,
administrative proceedings under the following statutory provisions:
Act of May 29, 1884, commonly known as the Animal Industry Act,
section 7, as amended (21 U.S.C. 117),
Act of February 2, 1903, commonly known as the Cattle Contagious
Diseases Act of 1903, Section 3, as amended (21 U.S.C. 122),
Act of March 3, 1905, Section 6, as amended (21 U.S.C. 127),
Act of July 2, 1962, Section 6(a), as amended (21 U.S.C. 134e).
In addition, the Supplemental Rules of Practice set forth in subpart
B of this part shall be applicable to such proceedings.
09 CFR 70.1 Subpart B -- Supplemental Rules of Practice
09 CFR 70.10 Stipulations.
(a) At any time prior to the issuance of a complaint seeking a civil
penalty under any of the Acts listed in 70.1, the Administrator, in his
discretion, may enter into a stipulation with any person in which:
(1) The Administrator or the Administrator's delegate gives notice of
an apparent violation of the Act, or the regulations issued thereunder,
by such person and affords such person an opportunity for a hearing
regarding the matter as provided by the Act;
(2) Such person expressly waives hearing and agrees to pay a
specified penalty within a designated time; and
(3) The Administrator agrees to accept the penalty in settlement of
the particular matter involved if the penalty is paid within the
designated time.
(b) If the penalty is not paid within the time designated in such a
stipulation, the amount of the stipulated penalty shall not be relevant
in any respect to the penalty which may be assessed after issuance of a
complaint.
09 CFR 70.10 Pt. 71
09 CFR 70.10 PART 71 -- GENERAL PROVISIONS
Sec.
71.1 Definitions.
71.2 Secretary to issue rule governing quarantine and interstate
movement of diseased animals, including poultry.
71.3 Interstate movement of diseased animals and poultry generally
prohibited.
71.4 Maintenance of certain facilities and premises in a sanitary
condition required; cleaning and disinfection, when required; animals
classed as ''exposed.''
71.5 Unsanitary railroad cars, trucks, boats, aircraft or other means
of conveyance; interstate movement restricted.
71.6 Carrier responsible for cleaning and disinfecting of railroad
cars, trucks, boats, aircraft or other means of conveyance.
71.7 Means of conveyance, facilities and premises; methods of
cleaning and disinfecting.
71.10 Substances or materials allowed as permitted disinfectants.
71.11 Cresylic disinfectant as permitted disinfectant;
specifications.
71.12 Sodium orthophenylphenate as permitted disinfectant for
premises infected with tuberculosis.
71.13 Inspection of shipments in transit by APHIS inspector.
71.14 Slaughter of poultry or other animals to prevent spread of
disease; ascertainment of value and compensation.
71.15 Movement from quarantined to free area and shipment therefrom;
conditions under which permitted.
71.16 Inspection and certification of poultry or other animals for
interstate movement.
71.17 Interstate movement of dead poultry or other animals prohibited
in same car with live poultry or other animals.
71.18 Individual identification of certain cattle 2 years of age or
over for movement in interstate commerce.
71.19 Identification of swine in interstate commerce.
Authority: 21 U.S.C. 111-113, 114a, 114a-1, 115-117, 120-126, 134b,
134f; 7 CFR 2.17, 2.51, and 371.2(d).
Source: 28 FR 5937, June 13, 1963, unless otherwise noted.
09 CFR 71.1 Definitions.
As used in this part, the following terms shall have the meanings set
forth in this section.
Accredited herd. One officially declared by APHIS and the State as
free from tuberculosis and for which a certificate has been issued
evidencing that fact.
Accredited Veterinarian. A veterinarian who is approved by the
Administrator, in accordance with part 161 of this chapter, to perform
official animal health work of the Animal and Plant Health Inspection
Service specified in subchapters, A, B, C, and D of this chapter; and
to perform work required by cooperative state-federal disease control
and eradication programs.
Administrator. The Administrator, Animal and Plant Health Inspection
Service, or any person authorized to act for the Administrator.
Animal and Plant Health Inspection Service. The Animal and Plant
Health Inspection Service of the United States Department of Agriculture
(APHIS).
APHIS inspector. An inspector of the Animal and Plant Health
Inspection Service.
Area Veterinarian in Charge. The veterinary official of APHIS, who
is assigned by the Administrator to supervise and perform the official
animal health work of the Animal and Plant Health Inspection Service in
the state concerned.
Commingling. The mixing or assembling of swine from one premises with
swine from any other premises, including, but not limited to, loading
swine from more than one premises on the same truck, trailer, vessel, or
railroad car, unless swine from different premises are kept separate on
the means of conveyance by dividers.
Department. The United States Department of Agriculture.
Designated dipping station. A point mutually agreed upon by the
Division and the State livestock sanitary authorities, where proper
dipping and yarding facilities are provided, at which cattle of the area
of that State quarantined for splenetic, southern, or Texas fever in
cattle may be dipped, inspected, and certified for interstate movement.
Free area. The States, Territories, or the District of Columbia or
portions thereof not quarantined by the Secretary of Agriculture for the
specific contagious, infectious, or communicable animal disease
mentioned in each part.
Interstate. From one State into or through any other State.
Interstate commerce. Trade, traffic, transportation, or other
commerce between a place in a state and any place outside of that state,
or between points within a state but through any place outside of that
state.
Livestock market. A stockyard, buying station, concentration point,
or any other premises where swine are assembled for sale or sale
purposes.
Moved (movement) in interstate commerce. Moved from the point of
origin of the interstate movement to the animals' final destination,
such as a slaughtering establishment or a farm for breeding or raising,
and including any temporary stops along the way, such as at a stockyard
or dealer premises for feed, water, rest, or sale.
Official Brand Inspection Agency. The duly constituted body elected,
appointed, or delegated or granted authority by a State or governmental
subdivision thereof, to administer laws, regulations, ordinances or
rules pertaining to the brand identification of livestock.
Official brand inspection certificate. A certificate issued by an
official brand inspection agency in any State in which such certificates
are required for movement of livestock.
Official eartag. An identification eartag approved by APHIS as being
tamper-resistant and as conforming to the nine-character alpha-numeric
National Uniform Eartagging System, which provides unique identification
for each animal.
Official swine tattoo. A tattoo, conforming to the six-character
alpha-numeric National Tattoo System, that provides a unique
identification for each herd or lot of swine.
Person. Any individual, corporation, company, association, firm,
partnership, society, or joint stock company, or other legal entity.
Purebred registry association. A swine breed association formed and
perpetuated for the maintenance of records of purebreeding of swine
species for a specific breed whose characteristics are set forth in
constitutions, by-laws, and other rules of the association.
Quarantined area. The States, Territories, or the District of
Columbia or portions thereof quarantined by the Secretary of Agriculture
for the specific contagious, infectious, or communicable animal disease
mentioned in each part.
Recognized slaughtering center. Any point where slaughtering
facilities are provided and to which animals are regularly shipped and
slaughtered.
State. Any of the 50 states, the Commonwealth of Puerto Rico, the
Commonwealth of the Northern Mariana Islands, the District of Columbia,
and any territories and possessions of the United States.
State animal health official. The state official responsible for
livestock and poultry disease control and eradication programs.
State representative. An individual employed in animal health work
by a state or a political subdivision thereof and authorized by such
state or political subdivision to perform the function involved.
Stockers and feeders. Animals intended for stock or feeding
purposes.
Tick infested. Infested with the ticks Boophilus annulatus
(Margaropus annulatus), Boophilus microplus, or Rhipicephalus evertsi
evertsi.
United States Department of Agriculture backtag. A backtag issued by
APHIS that conforms to the eight-character alpha-numeric National
Backtagging System, and that provides unique identification for each
animal.
(28 FR 5937, June 13, 1963, as amended at 29 FR 14489, Oct. 22, 1964;
35 FR 14197, Sept. 9, 1970; 38 FR 18011, July 6, 1973; 50 FR 45987,
Nov. 6, 1985; 51 FR 32599, Sept. 12, 1986, 53 FR 40385, Oct. 14, 1988;
55 FR 11155, 11156, Mar. 27, 1990; 55 FR 15320, Apr. 23, 1990)
09 CFR 71.2 Secretary to issue rule governing quarantine and interstate
movement of diseased animals, including poultry.
When the Secretary of Agriculture shall determine the fact that
poultry or other animals in any State, Territory, or the District of
Columbia are affected with any contagious, infectious, or communicable
disease of livestock or poultry for which, in his opinion, a quarantine
should be established or that other basis for a quarantine exists,
notice will be given of that fact, and a rule will be issued
accordingly, placing in quarantine such State, Territory, or the
District of Columbia, or specified portion thereof. This rule will
either absolutely forbid the interstate movement of the quarantined
animals from the quarantined area or will indicate the regulations under
which interstate movements may be made.
(34 FR 15641, Oct. 9, 1969)
09 CFR 71.3 Interstate movement of diseased animals and poultry
generally prohibited.
(a) Animals or poultry affected with any of the following diseases,
which are endemic to the United States: Equine piroplasmosis, bovine
piroplasmosis or splenetic fever, scabies in cattle, hog cholera, acute
swine erysipelas, tuberculosis, paratuberculosis, brucellosis, scrapie,
bluetongue, anthrax, psittacosis or ornithosis, poultry disease caused
by adding Salmonella enteritidis serotype enteritidis, and Newcastle
disease, or any other communicable disease which is endemic to the
United States, or which are cattle fever tick infested, shall not be
moved interstate.
(b) Animals or poultry affected with any of the following diseases,
not known to exist in the United States: foot-and-mouth disease,
rinderpest, African swine fever, Teschen disease, contagious bovine
pleuropneumonia, European fowl pest, dourine, vesicular exanthema,
screwworms and glanders, scabies in sheep or any other communicable
foreign disease not known to exist in the United States, shall not be
moved interstate.
(c) Notwithstanding the provisions of paragraphs (a) and (b) of this
section:
(1) Domestic animals which have reacted to a test recognized by the
Secretary of Agriculture for brucellosis, or paratuberculosis, which are
not affected with any other disease referred to in this section and are
not tick infested, may be moved interstate in accordance with part 78 of
this chapter in the case of brucellosis reactors and with the provisions
of part 80 of this subchapter in the case of paratuberculosis reactors;
(2) Cattle which have reacted to the tuberculin test, which are not
affected with any other disease referred to in this section and are not
tick infested, may be moved interstate in accordance with the provisions
of 77.8 of this subchapter; and
(3) Poultry affected with disease caused by Salmonella enteritidis
serotype enteritidis may be moved interstate in accordance with part 82
of this chapter.
(d) Notwithstanding the provisions of paragraphs (a) and (b) of this
section, livestock which is found to be diseased may be moved interstate
in accordance with paragraphs (d) (1) through (6) of this section:
Provided, That such livestock is not tick infested or affected with any
disease referred to in this section other than the diseases named in
this paragraph: And provided further, That such livestock is
accompanied by a certificate, issued by an APHIS or State inspector or
accredited veterinarian stating the destination of the animals; the
purpose for which they are to be moved; the number of animals covered
by the certificate; the point from which the animals are moved
interstate; and the name and address of the owner or shipper.
(1) Livestock affected with one or more of the following diseases may
be moved interstate for immediate slaughter to a slaughtering
establishment where State or Federal meat inspection is maintained;
Actinomycosis, actinobacillosis, anaplasmosis, atrophic rhinitis,
contagious ecthyma, foot rot, infectious keratitis, ram epididymitis,
ringworm, swine influenza, arthritis (simple lesions only), and shipping
fever.
(2) Cattle with slight unopened cases of actinomycosis or
actinobacillosis (or both) may be moved interstate to a feed lot in the
State of destination: Provided, That such cattle are not affected with
any other disease named in this paragraph.
(3) Sheep affected with or exposed to contagious ecthyma may be moved
interstate to a feed lot located in a State the laws, rules, or
regulations of which require that such sheep be segregated or
quarantined under a permit from an official of such State: Provided,
That such sheep are not affected with any other disease named in this
paragraph.
(4) Livestock affected with one or more of the following diseases may
be moved interstate for any purpose to a State the laws, rules, or
regulations of which require that such livestock be segregated or
quarantined under a permit from the appropriate livestock sanitary
official of such State: actinomycosis, actinobacillosis, contagious
ecthyma, foot rot, and shipping fever: Provided, That such livestock is
not affected with any other disease named in this paragraph.
(5) Livestock affected with infectious keratitis or ringworm (or
both) may be moved interstate for any purpose if treated under the
supervision of an APHIS or State inspector or an accredited veterinarian
prior to movement: Provided, That such livestock is not affected with
any other disease named in this paragraph. Livestock affected with
infectious keratitis or ringworm (or both) and also with another disease
named in this paragraph may be moved interstate only under the
applicable provisions of paragraphs (d) (1) through (4) of this section
after being so treated for infectious keratitis or ringworm (or both).
Such livestock will be subject to further treatment at destination, if
required.
(6) Other Movements. The Administrator may provide for the movement,
not otherwise provided for in this paragraph, of animals affected with
the diseases named in paragraph (d)(1) of this section, under such
conditions as he may prescribe to prevent the spread of disease. The
Administrator will promptly notify the appropriate livestock sanitary
officials of the States involved of any such action.
(e) Notwithstanding the provisions of paragraphs (a) and (b) of this
section, the Administrator in specific cases and under such conditions
as he may prescribe to prevent the dissemination of disease may provide
for the interstate movement of individual animals affected with
contagious, infectious, or communicable disease to a designated
diagnostic or research facility when accompanied by a permit from the
appropriate livestock sanitary official in the State of destination:
Provided, That animals so moved shall be maintained in quarantine at
such designated facility until freed of disease as determined by tests
recognized by the Department, until natural death, or until disposal by
euthanasia.
(f) Before offering cattle or other livestock or poultry for
interstate transportation, transporting them interstate, or introducing
them into any stockyards or upon routes of traffic for interstate
transportation, all persons, companies, or corporations are required to
exercise reasonable diligence to ascertain whether such animals or
poultry are affected with any contagious, infectious, or communicable
disease, or have been exposed to the contagion or infection of any such
disease by contact with other animals or poultry so diseased or by
location in pens, cars, or other vehicles, or upon premises that have
contained animals or poultry so diseased.
(28 FR 5937, June 13, 1963, as amended at 28 FR 13929, Dec. 21, 1963;
30 FR 8327, June 30, 1965; 30 FR 13573, Oct. 26, 1965; 32 FR 7583,
May 24, 1967; 35 FR 7249, May 8, 1970; 38 FR 18457, July 11, 1973; 46
FR 59528, Dec. 7, 1981; 47 FR 7826, Feb. 23, 1982; 47 FR 56983, Dec.
22, 1982; 48 FR 37921, Aug. 22, 1983; 51 FR 32599, Sept. 12, 1986;
55 FR 5581, Feb. 16, 1990; 55 FR 11156, Mar. 27, 1990; 55 FR 15320,
Apr. 23, 1990; 56 FR 3738, Jan. 30, 1991)
09 CFR 71.4 Maintenance of certain facilities and premises in a
sanitary condition required; cleaning and disinfection, when required;
animals classed as ''exposed.''
(a) Yards, pens, chutes, alleys, and other facilities and premises
which are used in connection with the interstate movement of livestock
or poultry shall be maintained by the person in possession of the
facilities and premises in a clean and sanitary condition, in accordance
with good animal husbandry practices, and shall be subject to inspection
by an APHIS or State inspector. When such inspector determines that
such facilities or premises are not in such clean and sanitary condition
and gives written notice of his determination to such person, the
facilities and premises shall be cleaned and disinfected in accordance
with 71.7 and 71.10 through 71.12 by such person under the supervision
of such an inspector or an accredited veterinarian before such premises
are again used for livestock or poultry.
(b) Yards, pens, chutes, alleys, and other facilities and premises
which have contained interstate shipments of cattle, sheep, swine,
poultry, or other animals affected with, or carrying the infection of,
any contagious, infectious, or communicable disease of livestock or
poultry other than slight unopened cases of actinomycosis or
actinobacillosis (or both), bovine foot rot, atrophic rhinitis, ram
epididymitis, ringworm, infectious keratitis, and arthritis (simple
lesions only), shall be cleaned and disinfected under the supervision of
an APHIS or State inspector or an accredited veterinarian in accordance
with 71.7 and 71.10 through 71.12 before such premises are again used
for animals, and any poultry or other animals unloaded into such yards
or premises before they have been so cleaned and disinfected shall
thereafter be classed as ''exposed'' within the meaning of the
regulations in this subchapter and shall not be moved interstate except
in compliance with the provisions of such regulations applicable to
''exposed'' animals.
(34 FR 15641, Oct. 9, 1969, as amended at 55 FR 11156, Mar. 27, 1990;
55 FR 15320, Apr. 23, 1990)
09 CFR 71.5 Unsanitary railroad cars, trucks, boats, aircraft or other
means of conveyance; interstate movement restricted.
No person who receives notice from an APHIS inspector that a railroad
car, truck, boat, aircraft or other means of conveyance owned or
operated by such person is not in a clean and sanitary condition in
accordance with good animal husbandry practices, shall thereafter use
such means of conveyance in connection with the interstate movement of
livestock or poultry, or move said means of conveyance interstate, until
it has been cleaned and disinfected under the supervision of an APHIS or
State inspector or an accredited veterinarian in accordance with 71.7
and 71.10 through 71.12.
(34 FR 15641, Oct. 9, 1969, as amended at 55 FR 11156, Mar. 27, 1990;
55 FR 15320, Apr. 23, 1990)
09 CFR 71.6 Carrier responsible for cleaning and disinfecting of
railroad cars, trucks, boats, aircraft or other means of conveyance.
(a) Railroad cars, trucks, boats, aircraft, and other means of
conveyance which have been used in the interstate transportation of
cattle, sheep, swine, poultry, or other animals affected with, or
carrying the infection of, any contagious, infectious, or communicable
disease of livestock or poultry, other than slight unopened cases of
actinomycosis or actinobacillosis (or both), atrophic rhinitis, bovine
foot rot, brucellosis, ram epididymitis, ringworm, infectious keratitis,
and arthritis (simple lesions only), shall be cleaned and disinfected
under APHIS supervision in accordance with 71.7 and 71.10 through
71.12 at the point where the animals are unloaded and the final carrier
shall be responsible for such cleaning and disinfecting: Provided, That
when APHIS supervision is not available at such point, the means of
conveyance may be cleaned and disinfected under the supervision of a
State inspector or an accredited veterinarian.
(b) No railroad car, truck, boat, aircraft or other means of
conveyance from which poultry or other animals affected with an
infectious, contagious or communicable disease of livestock or poultry,
other than those specified in 71.4(b), have been unloaded shall
thereafter be used in connection with the interstate movement of
animals, including poultry, or be moved interstate until it has been
cleaned and disinfected by the final carrier under the supervision of an
APHIS or State inspector or an accredited veterinarian in accordance
with 71.7 and 71.10 through 71.12.
(c) If APHIS supervision or other supervision as required by
paragraph (a) or (b) of this section or proper cleaning and disinfecting
facilities are not available at the point where the animals are
unloaded, upon permission first received from the Animal and Plant
Health Inspection Service, the means of conveyance may be forwarded
empty to a point at which such supervision and facilities are available,
and there be cleaned and disinfected under supervision in accordance
with 71.7 and 71.10 through 71.12.
(34 FR 15641, Oct. 9, 1969, as amended at 37 FR 25337, Nov. 30, 1972;
39 FR 4465, Feb. 4, 1974; 55 FR 11156, Mar. 27, 1990; 55 FR 15320,
Apr. 23, 1990)
09 CFR 71.7 Means of conveyance, facilities and premises; methods of
cleaning and disinfecting.
(a) Railroad cars, trucks, aircraft, or other means of conveyance,
except boats, required by the regulations in this subchapter to be
cleaned and disinfected shall be treated in the following manner:
Remove all litter and manure from all portions of the conveyance,
including any external ledges and framework; clean the exterior and
interior of the conveyance; and saturate the entire interior surface,
including the inner surface of the doors of the conveyance, with a
permitted disinfectant specified in 71.10 through 71.12.
(b) Boats required by the regulations in this subchapter to be
cleaned and disinfected shall be treated in the following manner:
Remove all litter and manure from the decks and stalls, and all other
parts of the boat occupied or traversed by any poultry or other animals
and from the portable chutes or other appliances or fixtures used in
loading and unloading the animals, and saturate with a permitted
disinfectant the entire surface of the deck, stalls, or other parts of
the boat occupied or traversed by any animals or with which they may
come in contact or which have contained litter or manure.
(c) Yards, pens, chutes, and alleys required by the regulations in
this subchapter to be disinfected shall be treated in the following
manner: Empty all troughs, racks, or other feeding or watering
appliances; remove all litter and manure from the floors, posts, or
other parts; and saturate the entire surface of the fencing, troughs,
chutes, floors, walls, and other parts with a permitted disinfectant
specified in 71.10 through 71.12.
(34 FR 15642, Oct. 9, 1969)
09 CFR 71.10 Substances or materials allowed as permitted
disinfectants.
(a) The substances permitted for use in disinfecting cars, boats,
other vehicles, and premises are as follows:
(1) ''Cresylic disinfectant'' in the proportion of at least 4 fluid
ounces to 1 gallon of water.
(2) Liquefied phenol (U.S.P. strength 87 percent phenol) in the
proportion of at least 6 fluid ounces to 1 gallon of water.
(3) Chlorinated lime (U.S.P. strength, 30 percent available chlorine)
in the proportion of 1 pound to 3 gallons of water.
(4) Sodium hydroxide (Lye) prepared in a fresh solution in the
proportion of not less than 1 pound avoirdupois of sodium hydroxide of
not less than 95 percent purity to 6 gallons of water, or one 13 1/2
ounce can to 5 gallons of water. Due to the extreme caustic nature of
sodium hydroxide solution, precautionary measures such as the wearing of
rubber gloves, boots, raincoat, and goggles should be observed. An acid
solution such as vinegar shall be kept readily available in case any of
the sodium hydroxide solution should come in contact with the body.
(5) Disinfectants which are registered under the Federal Insecticide,
Fungicide, and Rodenticide Act (7 U.S.C. 135 et seq.), with
tuberculocidal claims, as disinfectants for general use, may be used for
the purpose of this part in accordance with directions on the labels
accepted in connection with their registration. However, disinfectants
which fall in this category are not permitted for use in outbreaks of
foreign animal diseases unless in specific cases such use is approved in
advance by the Administrator.
(b) The use of ''cresylic disinfectant'' is permitted subject to the
following conditions:
(1) The manufacturer thereof shall have obtained specific permission
from APHIS for the use of his products in official disinfection. To
obtain such permission manufacturers shall first submit a sample of at
least 8 ounces for examination, together with a statement of the formula
employed and a guaranty that the product will be maintained of a quality
uniform with the sample submitted.
(2) To prevent confusion, the product of each manufacturer and
distributor shall bear a distinctive trade name or brand, together with
the name of the manufacturer or distributor.
(3) The product shall at all times conform to specifications for
composition and performance issued by the Administrator.
(28 FR 5937, June 13, 1963, as amended at 32 FR 19157, Dec. 20, 1967;
37 FR 8864, May 2, 1972; 37 FR 9460, May 11, 1972; 55 FR 11156, Mar.
27, 1990; 55 FR 15320, Apr. 23, 1990)
09 CFR 71.11 Cresylic disinfectant as permitted disinfectant;
specifications.
The following specifications will be employed for determining the
suitability of cresylic disinfectant for use under the provisions of
71.10(b)(3):
(a) The product shall remain a uniform liquid when held at 0 C. (32
F.) for 3 hours (chill test).
(b) The product shall dissolve completely in 30 parts of distilled
water at 25 C. (77 F.) within 2 minutes (solution-rate test),
producing a solution entirely free from globules and not more than
faintly opalescent (solubility-degree test).
(c) The product shall contain not more than 25 percent of inert
ingredients (water and glycerin), not more excess alkali than the
equivalent of 0.5 percent of sodium hydroxide, and not less than 21
percent of soap exclusive of water, glycerin, and excess alkali.
(d) The product shall contain not less than 50 percent and not more
than 53 percent of total phenols. It shall contain less than 5 percent
of benzophenol (C6H5OH).
(e) The methods of determining compliance with the specifications in
paragraphs (a) to (d) of this section will be those described in United
States Department of Agriculture Bulletin 1308, Chemical and Physical
Methods for the Control of Saponified Cresol Solutions, so far as they
are applicable.
(f) Any suitable glyceride, fat acid, or resin acid may be used in
preparing the soap, but not all are suitable nor are all grades of a
single product equally suitable, Also various grades of commercial
cresylic acid differ in suitability. Therefore, manufacturers are
cautioned to prepare a trial laboratory batch from every set of
ingredients and to prove its conformity with paragraphs (a) and (b) of
this section, before proceeding with manufacture on a factory scale.
09 CFR 71.12 Sodium orthophenylphenate as permitted disinfectant for
premises infected with tuberculosis.
(a) A permitted brand of sodium orthophenylphenate in a proportion of
at least one pound to 12 gallons of water is permitted in tuberculosis
eradication work for disinfecting infected premises following the
removal of cattle that reacted to the tuberculin test.
(b) It is absolutely necessary that the solution be applied at a
temperature of 60 F. or over. Whenever the temperature of the
building to be disinfected is below 60 F., as indicated by a wall
thermometer, the solution shall be heated to 120 F. and higher in very
cold weather, to insure effective disinfection.
09 CFR 71.13 Inspection of shipments in transit by APHIS inspector.
All persons and corporations having control of the interstate
transportation of livestock or poultry shall, when directed by an APHIS
inspector so to do, stop the same in transit for inspection, and if any
of such poultry or other animals are found upon such inspection to be
infected with any contagious, infectious, or communicable disease or to
have been exposed to such infection, the person or corporation having
control of the transportation of such poultry or other animals shall,
upon receipt of an order from an APHIS inspector so to do, cease the
carriage, transportation, or moving of such poultry or other animals
unless such carriage, transportation, or moving can be accomplished in
accordance with the regulations in this subchapter governing the
interstate movement of poultry or other animals infected with or which
have been exposed to the infection of such disease, and in all cases
after the discovery of such infection or exposure thereto such poultry
or other animals shall be handled in accordance with such regulations.
(28 FR 5937, June 13, 1963, as amended at 34 FR 15642, Oct. 9, 1969;
55 FR 11156, Mar. 27, 1990; 55 FR 15320, Apr. 23, 1990)
09 CFR 71.14 Slaughter of poultry or other animals to prevent spread of
disease; ascertainment of value and compensation.
When, in order to prevent the spread of any contagious, infectious,
or communicable disease, it becomes necessary to slaughter any diseased
or exposed animals, including poultry, and the purchase of such animals,
including poultry, by the United States is authorized by law and an
appropriation is available therefor, the value of the animals, including
poultry shall be ascertained and compensation made therefor in
accordance with the orders or regulations of the Secretary of
Agriculture.
(28 FR 5937, June 13, 1963, as amended at 34 FR 15642, Oct. 9, 1969)
09 CFR 71.15 Movement from quarantined to free area and shipment
therefrom; conditions under which permitted.
No livestock or poultry shall be shipped, trailed, driven, or hauled
in private conveyance from the quarantined area in any State, Territory,
or the District of Columbia to the free area in the same State,
Territory, or the District of Columbia and subsequently delivered to a
transportation company for shipment or moved to any other State,
Territory, or the District of Columbia without complying with all
Federal and State regulations pertaining to such movements.
(28 FR 5937, June 13, 1963, as amended at 34 FR 15642, Oct. 9, 1969)
09 CFR 71.16 Inspection and certification of poultry or other animals
for interstate movement.
(a) Assistance and facilities. When poultry or other animals are to
be inspected and certified by an APHIS inspector, assistance and proper
facilities for restraining them shall be provided in order that a
careful inspection may be made, and the inspector while making the
inspection shall not be interfered with in any manner; otherwise
inspection will be immediately discontinued.
(b) Certificates and other statements to accompany shipments.
Whenever inspection or treatment and the issuance of a certificate,
statement, test chart, or other writing showing the performance of such
inspection or treatment and the result thereof is required by any of the
regulations in this subchapter as a condition precedent to the movement
interstate of any poultry or other animal or class of poultry or other
animals, or any poultry or other animal or class of poultry or other
animals is so required to be accompanied in interstate movement by such
certificate, statement, test chart, or other writing, no such poultry or
other animal or poultry or other animals shall be moved interstate
unless and until the following requirements are also complied with:
(1) In the case of such movement by a common carrier issuing waybills
or other form or forms of billing covering the movement, the said
certificate, statement, test chart, or other writing shall be delivered
to such carrier at the time the poultry or other animal or poultry or
other animals are delivered for shipment, and shall become the property
of the carrier, and be by such carrier attached to the billing covering
the transportation of such poultry or other animal or poultry or other
animals, and accompany such billing to destination, and be filed with
such billing for future reference.
(2) In case of such movement otherwise than by common carrier issuing
waybills or other form or forms of billing, the said certificate,
statement, test chart, or other writing shall accompany the poultry or
other animal or poultry or other animals to destination and be delivered
to the consignees, or, in case the consignor and consignee is the same
person, to the first purchaser purchasing during or after such movement
in interstate commerce, or to the person to whom the poultry or other
animal or poultry or other animals are delivered.
(28 FR 5937, June 13, 1963, as amended at 34 FR 15642, Oct. 9, 1969;
55 FR 11156, Mar. 27, 1990; 55 FR 15320, Apr. 23, 1990)
09 CFR 71.17 Interstate movement of dead poultry or other animals
prohibited in same car with live poultry or other animals.
No dead poultry or other animals shall be offered or accepted for
transportation or transported in the same car with live poultry or other
animals from the original point of shipment in any State or Territory or
the District of Columbia to or through any other State, Territory, or
the District of Columbia.
(28 FR 5937, June 13, 1963, as amended at 34 FR 15642, Oct. 9, 1969)
09 CFR 71.18 Individual identification of certain cattle 2 years of age
or over for movement in interstate commerce.
(a) No cattle 2 years of age or over, except steers and spayed
heifers and cattle of any age which are being moved interstate during
the course of normal ranching operations without change of ownership to
another premises owned, leased, or rented by the same individual as
provided in 78.9(a)(3)(iv), 78.9(b)(3)(iv), 78.9(c)(3)(iv), and
78.9(d)(3)(vii) of this chapter, shall be moved in interstate commerce
other than in accordance with the requirements of this section. Any
movement in interstate commerce of any cattle shall also comply with the
other applicable provisions in this part and other parts of this
subchapter.
(1) When permitted under such other provisions, cattle subject to
this section:
(i) May be moved in interstate commerce from any point to any
destination, if such cattle, when moved in interstate commerce, are
identified by a Department-approved backtag1015 affixed a few inches
from the midline and just behind the shoulder of the animal, or by such
other means approved by the Administrator, upon request in specific
cases, and if except as provided in paragraph (a)(5) of this section
such cattle when moved interstate are accompanied by a statement signed
by the owner or shipper of the cattle, or other document2016 stating:
(a) The point from which the animals are moved interstate; (b) the
destination of the animals; (c) the number of animals covered by the
statement, or other document; (d) the name and address of the owner at
the time of the movement; (e) the name and address of the previous
owner if ownership changed within four months prior to the movement of
the cattle; (f) the name and address of the shipper; and (g) the
identifying numbers of the backtags or other approved identification
applied: Provided, That identification numbers are not required to be
recorded on such statement or document for cattle moved from a stockyard
posted under the provisions of the Packers and Stockyards Act, 1921, as
amended (7 U.S.C. 181 et seq.),3017 directly to a recognized
slaughtering establishment as defined in 78.1 of this chapter; or
(ii) May be moved in interstate commerce only from a farm, ranch, or
feedlot to a recognized slaughtering establishment as defined in 78.1
of this chapter; or to a stockyard posted under the provisions of the
Packers and Stockyards Act, 1921, as amended (7 U.S.C. 181 et seq.), for
sale and shipment to such a slaughtering establishment, if such cattle
are identified upon arrival at such slaughtering establishment or
stockyard by the application of Department-approved backtags or by other
approved identification as prescribed in paragraph (a)(1)(i) of this
section and, except as provided in paragraph (a)(5) of this section when
moved interstate, are accompanied by a statement signed by the owner or
shipper of the cattle, or other document2 stating: (a) The point from
which the animals are moved interstate; (b) the destination of the
animals; (c) the number of animals covered by the statement or other
document; and (d) the name and address of the owner at the time of
movement; (e) the name and address of the previous owner if ownership
changed within four months prior to the movement of the cattle; and (f)
the name and address of the shipper: Provided, That the application of
backtags is not required if such cattle are moved in interstate commerce
to a recognized slaughtering establishment as defined in 78.1 of this
Chapter and if, when moved in interstate commerce, such cattle are
identified by a brand registered with an official brand inspection
agency and are accompanied by an official brand inspection certificate:
And provided, further, That the application of backtags is not required
when such cattle are moved in interstate commerce to a recognized
slaughtering establishment as defined in 78.1 of this Chapter, which
maintains records of ownership of cattle by slaughter lot number; 4018
or
(iii) May be moved in interstate commerce for any purpose other than
slaughter if such cattle, when moved in interstate comerce, are
identified by Animal and Plant Health Inspection Service-approved
eartags in lieu of backtags, and, except as provided in paraghaph (a)(5)
of this section, are accompanied when moved interstate by an owner's
statement or other document2 stating: (a) The point from which the
animals are moved interstate, (b) the destination of the animals, (c)
the number of animals covered by the statement or other document, (d)
the identifying numbers of the eartags, and (e) the name and address of
the owner at the time of movement; (f) the name and address of the
previous owner if ownership changed within four months prior to the
movement of the cattle; and (g) the name and address of the shipper:
Provided, That identification by eartag is not required if such animals
are registered purebred animals which are moved in interstate commerce
for any purpose other than slaughter and are identified in a manner
acceptable to the appropriate breed association for registration
purposes; or are identified by a brand registered with an official
brand inspection agency and are accompanied by an official brand
inspection certificate as prescribed in paragraph (a)(1)(ii) of this
section.
(2) The owner's or shipper's statement or other document2 or
registered purebred identification required by this section for cattle
moved under paragraph (a)(1) (i) or (ii) of this section shall be
delivered to the management of the stockyard or slaughtering
establishment at the time of delivery of the cattle; 5019 and documents
accompanying animals moved under paragraph (a)(1)(iii) of this section
for breeding or dairy purposes shall be delivered to the consignee. All
such documents shall be made available for inspection on request by a
State or Federal inspector or an accredited veterinarian, as defined in
78.1, at any time within the year from the date of such delivery.
(3) Each person who ships, transports, or otherwise causes the cattle
to be moved in interstate commerce is responsible for the identification
of the cattle as required by this section.
(4) No person shall remove or tamper with or cause the removal of or
tampering with a backtag, eartag, brand, or other identification device
required to be on cattle pursuant to this section while such cattle are
being moved in interstate commerce, except at the time of slaughter, or
as may be authorized by the Administrator, upon request in specific
cases and under such conditions as the Administrator, may impose to
ensure continuing identification.
(5) Cattle that would otherwise be required to be accompanied by an
owner-shipper statement or other document 2 as a condition of movement
in interstate commerce under paragraph (a)(1) of this section, shall not
be required to be accompanied by such an owner-shipper statement or
other document 2020 if the following conditions are met: if the cattle
are moved to a recognized slaughtering establishment as defined in 78.1
of this chapter or to a stockyard specifically approved under 78.44 of
this chapter; if the cattle are moved from a farm or other premises
where the cattle to be moved interstate have been kept for not less than
four months prior to the date of movement; and if such farm or other
premises has not had on the premises any cattle or bison from any other
premises within four months prior to the date of movement.
(38 FR 22768, Aug. 24, 1973, as amended at 47 FR 55656, Dec. 13,
1982; 50 FR 45987, Nov. 6, 1985; 51 FR 32599, Sept. 12, 1986; 52 FR
2987, Jan. 30, 1987; 55 FR 11156, Mar. 27, 1990)
0151Department-approved backtags are available at recognized
slaughtering establishments and specifically approved stockyards and
from State representatives and Veterinary Services representatives. A
list of recognized slaughtering establishments and specifically approved
stockyards may be obtained as indicated in 78.1 of this chapter. The
terms ''State representative'' and ''Veterinary Services
representative'' are defined in 78.1 of this chapter.
0162Other document means a shipping permit, an official health
certificate, an official brand inspection certificate, a bill of lading,
a waybill, or an invoice on which is listed the required information.
0173Posted stockyards are designated by posting notice at such
stockyards and by publication in the Federal Register. Information
concerning posted stockyards may also be obtained from the Washington
office or the area offices of the Packers and Stockyards Administration.
0184It is the responsibility of the person who causes the interstate
movement to determine whether the establishment maintains such records.
As evidence that the establishment does maintain such records such
person should obtain a statement to that effect from the management of
the establishment and retain it for a period of five years from the date
of shipment.
0195The backtag or other identification numbers should be included on
the receiving document of the stockyard or establishment for all such
cattle identified by backtags or other identification after arrival at
such stockyard or establishment.
0202Other document means a shipping permit, an official health
certificate, an official brand inspection certificate, a bill of lading,
a waybill, or an invoice on which is listed the required information.
09 CFR 71.19 Identification of swine in interstate commerce.
(a)(1) Except as provided in paragraph (c) of this section, no swine
may be sold, transported, received for transportation, or offered for
sale or transportation, in interstate commerce, unless they are
individually identified at whichever of the following comes first:
(i) The point of first commingling of the swine in interstate
commerce with swine from any other source;
(ii) Upon unloading of the swine in interstate commerce at any
livestock market;
(iii) Upon transfer of ownership of the swine in interstate commerce;
or
(iv) Upon arrival of the swine in interstate commerce at their final
destination.
(2) The identification shall be by means of identification approved
by the Administrator and listed in paragraph (b) of this section. All
swine shall remain so identified while they are in interstate commerce.
(3) Each person who buys or sells, for his or her own account or as
the agent of the buyer or seller, transports, receives for
transportation, offers for sale or transportation, or otherwise handles
swine in interstate commerce, is responsible for the identification of
the swine as provided by this section.
(b) Means of swine identification approved by the Administrator are:
(1) Official eartags, when used on any swine;
(2) United States Department of Agriculture backtags, when used on
swine moving to slaughter;
(3) Official swine tattoos, when used on swine moving to slaughter,
when the use of the official swine tattoo has been requested by a user
or the State animal health official, and the Administrator authorizes
its use in writing based on a determination that the tattoo will be
retained and visible on the carcass of the swine after slaughter, so as
to provide identification of the swine;
(4) Tattoos of at least 4-characters when used on swine moving to
slaughter, except sows and boars as provided in 78.33 of this chapter;
(5) Ear notching when used on any swine, if the ear notching has been
recorded in the book of record of a purebred registry association; and
(6) Ear tattoos when used on any swine, if the ear tattoos have been
recorded in the book of record of a purebred registry association.
(c) Swine that are kept as a group are not required to be
individually identified when in interstate commerce if:
(1) They were born on the same premises;
(2) They were raised on the same premises where they were born;
(3) They are moved in a group directly to a slaughtering
establishment from the place where they were raised;
(4) They are not mixed with swine from any other premises, between
the time they are born and the time they arrive at the slaughtering
establishment; and
(5) They are slaughtered one after another, as a group, and not mixed
with other swine at slaughter; or approved identification is applied to
the swine after entry into the slaughtering establishment.
(d) Serial numbers of United States Department of Agriculture
backtags and official swine tattoos will be assigned to each person who
applies to the State animal health official or the Area Veterinarian in
Charge for the State in which that person maintains his/her or its place
of business. Serial numbers of official eartags will be assigned to
each accredited veterinarian or State or Federal representative who
requests official eartags from the State animal health official or the
Area Veterinarian in Charge, whoever is responsible for issuing official
eartags in that State. Persons assigned serial numbers of United States
Department of Agriculture backtags, official swine tattoos, and official
eartags must:
(1) Record the following information on a document:
(i) All serial numbers applied to the swine;
(ii) Any other serial numbers and approved identification appearing
on the swine that are needed to identify the swine to its previous owner
and location;
(iii) The street address, including the city and state, or the
township, county, and state, of the premises where the approved means of
identification were applied; and
(iv) The telephone number, if available, of the person who owns or
possesses the swine.
(2) Maintain these records at the person's place of business for 2
years; and
(3) Make these records available for inspection and copying during
ordinary business hours (8 a.m. to 5:30 p.m., Monday through Friday)
upon request by any authorized employee of the United States Department
of Agriculture, upon that employee's request and presentation of his or
her official credentials.
(e)(1) Each person who buys or sells, for his or her own account or
as the agent of the buyer or seller, transports, receives for
transportation, offers for sale or transportation, or otherwise handles
swine in interstate commerce, must keep records relating to the transfer
of ownership, shipment, or handling of the swine, such as yarding
receipts, sale tickets, invoices, and waybills upon which is recorded:
(i) all serial numbers and other approved means of identification
appearing on the swine that are necessary to identify it to the person
from whom it was purchased or otherwise obtained; and
(ii) the street address, including city and state, or the township,
county, and state, and the telephone number, if available, of the person
from whom the swine were purchased or otherwise obtained.
(2) Each person required to keep records under this paragraph must
maintain the records at his/her or its place of business for at least 2
years after the person has sold or otherwise disposed of the swine to
another person, and for such further period as the Administrator may
require by written notice to the person, for purposes of any
investigation or action involving the swine identified in the records.
The person shall make the records available for inspection and copying
during ordinary business hours (8 a.m. to 5:30 p.m., Monday through
Friday) by any authorized employee of the United States Department of
Agriculture, upon that employee's request and presentation of his or her
official credentials.
(f) No person may remove or tamper with any approved means of
identification required to be on swine pursuant to this section while it
is in interstate commerce, except at the time of slaughter as provided
in 9 CFR 309.16(e).
(g) Written requests for approval of swine identification devices and
markings not listed in paragraph (b) of this section should be sent to
the Administrator, Animal and Plant Health Inspection Service, United
States Department of Agriculture, Hyattsville, Maryland 20782. If the
Administrator determines that the devices and markings will provide a
means of tracing swine in interstate commerce, a proposal will be
published in the Federal Register to add the devices and markings to the
list of approved means of swine identification.
(53 FR 40385, Oct. 14, 1988, as amended at 55 FR 11156, Mar. 27,
1990; 55 FR 15320, Apr. 23, 1990)
09 CFR 71.19 Pt. 72
09 CFR 71.19 PART 72 -- TEXAS (SPLENETIC) FEVER IN CATTLE
Sec.
72.1 Ticks (Boophilus annulatus (Margaropus annulatus), Boophilus
microplus, or Rhipicephalus evertsi evertsi); interstate movement of
infested or exposed animals prohibited.
72.2 Splenetic or tick fever in cattle in Texas, the Virgin Islands
of the United States and vectors of said disease in the Northern Mariana
Islands, the Commonwealth of Puerto Rico and the Island of Guam:
Restrictions on movement of cattle.
72.3 Areas quarantined in the Virgin Islands of the United States,
the Northern Mariana Islands, the Commonwealth of Puerto Rico, and the
Island of Guam.
72.4 (Reserved)
72.5 Area quarantined in Texas.
72.6 Interstate movement of cattle from quarantined areas not
eradicating ticks.
72.7 Interstate movement of cattle from cooperating States.
72.8 Interstate movement of cattle from free premises upon inspection
and certification by APHIS inspector.
72.9 Interstate movements of cattle; inspection and certification by
APHIS inspector required.
72.10 Inspected or dipped and certified cattle subject to
restrictions of State of destination.
72.11 Quarantined area; cattle considered infested; requirements
for placing in noninfectious pens or premises.
72.12 Cattle; exposure to tick infestation after treatment or
inspection prohibited.
72.13 Permitted dips and procedures.
72.14 (Reserved)
72.15 Owners assume responsibility; must execute agreement prior to
dipping or treatment waiving all claims against United States.
72.16 Designated dipping stations to be approved by the
Administrator, APHIS on recommendations of State authorities;
facilities.
72.17 Unloading noninfected cattle for rest, feed, and water only,
permitted in authorized pens for such purpose.
72.18 Movement interstate; specification by the Deputy
Administrator, Veterinary Services of treatment required when dipping
facilities unavailable.
72.19 Interstate shipments and use of pine straw, grass, litter from
quarantined area; prohibited until disinfected.
72.20 Exhibition of noninfected cattle in the quarantined area;
restrictions under which permitted.
72.21 Animals infested with or exposed to ticks subject to same
restrictions as cattle.
72.22 Cars, vehicles and premises; cleaning and treatment after
containing infested or exposed animals.
72.23 Cars or other vehicles having carried infested or exposed
cattle in quarantined area shall be cleaned and treated.
72.24 Litter and manure from carriers and premises of tick-infested
animals; destruction or treating required.
72.25 Dipping methods.
Authority: 21 U.S.C. 111-113, 115, 117, 120, 121, 123-126, 134b, and
134f; 7 CFR 2.17, 2.51, and 371.2(d).
Source: 28 FR 5940, June 13, 1963, unless otherwise noted.
09 CFR 72.1 Ticks (Boophilus annulatus (Margaropus annulatus),
Boophilus microplus, or Rhipicephalus evertsi evertsi); interstate
movement of infested or exposed animals prohibited.
No animals infested with ticks (Boophilus annulatus (Margaropus
annulatus), Boophilus microplus, or Rhipicephalus evertsi evertsi) or
exposed to tick infestation shall be shipped, trailed, driven, or
otherwise moved interstate for any purpose, except as provided in this
part.
09 CFR 72.2 Splenetic or tick fever in cattle in Texas, the Virgin
Islands of the United States and vectors of said disease in the Northern
Mariana Islands, the Commonwealth of Puerto Rico and the Island of Guam:
Restrictions on movement of cattle.
Notice is hereby given that the contagious, infectious, and
communicable disease known as splenetic or tick fever exists in cattle
in portions of the State of Texas and the Virgin Islands of the United
States. Notice is also hereby given that ticks which are vectors of
said disease exist in the Northern Mariana Islands, the Commonwealth of
Puerto Rico, and the Island of Guam. Therefore, portions of the State
of Texas, the Virgin Islands of the United States, the Northern Mariana
Islands, the Commonwealth of Puerto Rico and the Island of Guam are
hereby quarantined as provided in 72.3 and 72.5, and the movement of
cattle therefrom into any other State or Territory or the District of
Columbia shall be made only in accordance with the provisions of this
part and part 71 of this chapter.
(43 FR 60864, Dec. 29, 1978)
09 CFR 72.3 Areas quarantined in the Virgin Islands of the United
States, the Northern Mariana Islands, the Commonwealth of Puerto Rico,
and the Island of Guam.
The entire Territories of the Virgin Islands of the United States and
the Island of Guam, the Northern Mariana Islands, and the Commonwealth
of Puerto Rico are quarantined.
(43 FR 60864, Dec. 29, 1978)
72.4 (Reserved)
09 CFR 72.5 Area quarantined in Texas.
The following portions of the specified counties in Texas are
quarantined:
(a) That portion of Val Verde County lying generally southwest of a
line beginning at the point on the south bank of the Devils River where
the Amistad Dam Compound east fence intersects the water line and
following this east fence of the compound in a southerly direction to
the southeast corner of the Amistad Dam Compound, approximately 1 3/4
miles; thence, following the meanderings of this compound fence in a
southwesterly direction to where it intersects the east right-of-way
fence of the old railroad, approximately 3 1/4 miles; thence, following
the old railroad right-of-way fence in a southeasterly direction to its
intersection with the right-of-way fence of the present Southern Pacific
Railroad, approximately 3 1/8 miles; thence, following Southern Pacific
Railroad in a southeasterly direction to a point directly north across a
gravel road from the northeast corner of the Slover Field, approximately
5 3/4 miles; thence, south across this gravel road to the northeast
corner of the Slover Field and following the meanderings of the east
fence of the Slover Field in a southwesterly direction to where it
intersects the northeast corner of the Woodson Field #1, approximately
1/8 mile; thence, following the meanderings of Woodson Field #1 east
fence in a southwesterly direction to the southwest corner of the same,
approximately 1/4 mile to the north fence of the Payne Pasture; thence,
following the north fence of the Payne Pasture in a westerly direction
to the southwest corner of the same, approximately 100 yards; thence,
following the west fence of the Payne Pasture in a southeasterly
direction across Cienegas Creek to its junction with Kite Road,
approximately 100 yards; thence, following Kite Road in a southerly
direction to where it intersects Garza Lane, approximately 3/10 mile;
thence, following Garza Lane in a westerly direction to a corner,
approximately 1/8 mile; thence, following Garza Lane in a southeasterly
direction to where it intersects U.S. Highway 277 Spur, approximately 1
1/8 miles; thence, following U.S. Highway 277 Spur in a southeasterly
direction to its intersection with Hudson Drive, approximately 1/2 mile;
thence, following Hudson Drive in a southeasterly direction to where it
joins Rio Grande Drive, formerly called Silo Field Road, approximately
6/10 mile; thence, following the west fence of Rio Grande Drive in a
southeasterly direction to where it joins the east fence of the Rudy
Mota Vega,1 approximately 4/10 mile; thence, following the east fence
of the Rudy Mota Vega in a southerly direction to where it joins the San
Felipe Creek, approximately 3/10 mile; thence, following San Felipe
Creek in an easterly direction to where it joins the W. L. Moody Rancho
Rio Grande north fence of the Leroyce Pasture, approximately 1 2/10
miles; thence, following the meanderings of the Leroyce Pasture north
fence in an easterly direction to a corner where it intersects the west
right-of-way fence of U.S. Highway 277 being the east fence of the
Rancho Rio Grande, approximately 3 2/10 miles; thence, following the
Rancho Rio Grande east fence (on the west side of Highway 277) in a
southeasterly direction to where it intersects the Val Verde-Kinney
County Line, approximately 9 2/10 miles
(b) That portion of Kinney County lying generally southwest of a line
beginning at the point where the Rancho Rio Grande east fence intersects
the Val Verde-Kinney County Line; thence, following the meanderings of
the Rancho Rio Grande east fence in a southeasterly direction to where
it intersects the Kinney-Maverick County Line, approximately 14 miles.
(c) That portion of Maverick County lying generally southeasterly of
a line beginning at the point where the Rancho Rio Grande east fence
intersects the Kinney-Maverick County Line; thence, following the
Rancho Rio Grande east fence in a southeasterly direction to where it
joins the southeast corner of the Rancho Rio Grande four section
pasture, approximately 2 7/10 miles; thence, following the south fence
of the Rancho Rio Grande four section pasture in a westerly direction to
a point where it intersects the Maverick County Water District main
canal, approximately 1 5/10 miles; thence, following the Maverick
County Water District main canal in a southeasterly direction to where
it intersects the west right-of-way fence of U.S. Highway 277,
approximately 2 5/10 miles; thence, following the right-of-way fence of
U.S. Highway 277 in a southerly direction to where it intersects
Maverick County Water District Lateral 2, approximately 1/2 mile;
thence, following the Maverick County Water District Lateral 2 in a
southerly direction to where it intersects the north fence of the Calley
property, approximately 5 1/4 miles; thence, east along the north fence
of the Calley property to a corner, approximately 200 yards; thence,
following the east fence of the Calley property in a southerly direction
to the northeast corner of the Hal Bowles Ranch, approximately 3/8 mile;
thence, following the east fence of the Hal Bowles Ranch in a
southeasterly direction to where it intersects the north fence of the
Lehman Brothers Ranch, approximately 3/4 mile; thence, following the
Lehman north fence in a southeasterly direction to a drainage canal,
approximately 1/8 mile; thence, following the drainage canal in a
southerly direction to the north fence of the Las Vegas Ranch,
approximately 7/8 mile; thence, following the meanderings of the Las
Vegas Ranch fence in a southeasterly direction to the northeast corner
of the same, approximately 1 mile; thence, following the meanderings of
the east fence of the Las Vegas Ranch in a southerly direction to where
it intersects the Alex Ritchie north fence, approximately 3 1/2 miles;
thence, along the north fence of the Alex Ritchie Farm in an easterly
direction to where it intersects the Maverick County Water District main
canal, approximately 3/8 mile; thence, following the meanderings of the
Maverick County Water District main canal in a southerly direction to
where it intersects the C.P. & L. Power Plant Road, approximately 3 1/2
miles; thence, following the C.P. & L. Power Plant Road in an easterly
direction to where it intersects the west fence of the Beer Joint Trap,2
approximately 1 3/8 miles; thence, following the west fence of the Beer
Joint Trap in a southerly direction to the southwest corner of the same,
approximately 5/8 mile; thence, following the meanderings of the south
fence of the Beer Joint Trap in an easterly direction to where it
intersects the west right-of-way fence of U.S. Highway 277,
approximately 3/4 mile; thence, following U.S. Highway 277 in a
southerly direction into the City of Eagle Pass, Texas, and following
the meanderings of U.S. Highway 277 in a southerly direction to its
intersection with Church Street, approximately 8 1/2 miles; thence,
following Church Street in a westerly direction to its intersection with
Commercial Street, approximately 5/10 mile; thence, following
Commercial Street in a southerly direction to its intersection with
Garrison Street, approximately 7/10 mile; thence, following Garrison
Street in an easterly direction to its intersection with Adams Street,
approximately 2/10 mile; thence, following the meanderings of Adams
Street in a southerly direction to where it becomes Industrial Park
Road, approximately 1 mile; thence, following the meanderings of
Industrial Park Road to where it intersects Brown Street, approximately
1 1/2 miles; thence, following Brown Street in an easterly direction to
the intersection of Farm Road 1021, approximately 1/2 mile; thence,
following Farm Road 1021 in a southeasterly direction to the
intersection of Farm Road 1021 and Farm Road 2366; thence, following
Farm Road 2366 in a southwesterly direction to an intersection of Farm
Road 2366 and a paved county road, approximately 1 1/2 miles; thence,
continuing along a paved county road in a southwesterly direction to a
cattle guard at the eastmost corner of the Loma Linda Ranch double
fence, approximately 1 1/4 miles; thence, following the same double
fence in a westerly direction to a corner, approximately 5/8 mile;
thence, following the same double fence in a northerly direction to a
corner, approximately 3/4 mile; thence, following the same double fence
in a westerly direction to the northwest corner of the Loma Linda Ranch,
approximately 7/8 mile; thence, following the meanderings of the same
double fence in a southerly direction to the north fence of the W.D.
Ranch, approximately 1 1/2 miles; thence, following the same double
fence along the north property line of the W.D. Ranch in a westerly
direction to the northwest corner of the same, approximately 3/8 mile;
thence, following the same double fence along the meanderings of the Rio
Grande River in a southeasterly direction to the northwest corner of the
El Indio Land Company Ranch, approximately 1 mile; thence, following
the meanderings of the same double fence parallel to the Rio Grande
River in a southeasterly direction to where it intersects the west fence
of the Kiesling Rio Lado Farm, approximately 4 miles; thence, following
the same double fence in a southeasterly direction to where it joins the
west fence of the Stone Ranch Upper Pasture, approximately 1 1/4 miles;
thence, following the meanderings of the Stone Ranch Upper Pasture west
double fence in a northerly direction to a corner, approximately 1/2
mile; thence, following the same double fence along the north property
line of the Stone Ranch Upper Pasture in a northeasterly direction to
where it intersects the Maverick County quarantine fence at El Indio
vat, approximately 3/4 mile; thence, following the meanderings of the
Maverick County quarantine line fence in a southerly direction to the
northwest corner of the Kiesling Lake Pasture, approximately 10 3/4
miles; thence, along the Kiesling Lake Pasture double fence in a
southeasterly direction to where it intersects the north fence of the
Dick Swartz Ranch Mansfield Pasture, approximately 1 3/4 miles; thence,
following the meanderings of a double fence in a southeasterly direction
paralleling the Rio Grande River to the south fence of the Swartz Ranch
Mansfield Pasture, approximately 5 miles; thence, following the
meanderings of the south fence of the Swartz Ranch Mansfield Pasture in
a northeasterly direction to the Eagle Pass-Laredo River Road which will
be called the Mines Road from this point south, approximately 4 miles;
thence, following the Mines Road in a southeasterly direction to the
Maverick-Webb County Line, approximately 14 miles.
(d) That portion of Webb County lying generally southwest of a line
beginning at the point where the Maverick-Webb County Line intersects
the Mines Road and following this road in a southeasterly direction to
where it intersects the north double fence of the Las Minas Ranch,
approximately 43 1/2 miles; thence, following the north double fence of
the Las Minas Ranch in a westerly direction to the northwest corner of
the same, approximately 1 1/4 miles; thence, following the west double
fence of the Las Minas Ranch in a southerly direction to the southwest
corner of the same, approximately 3 3/4 miles; thence, following the
south double fence of the Las Minas Ranch in an easterly direction to
where it intersects the Mines Road, approximately 2 1/8 miles; thence,
following the Mines Road in a southeasterly direction to its
intersection with Del Mar Boulevard and Interstate Highway 35,
approximately 16 3/10 miles; thence, following Interstate Highway 35 in
a southerly direction to its intersection with Matamoros Street (U.S.
Highway 83), approximately 4 1/10 miles; thence, following Matamoros
Street (U.S. Highway 83) in an easterly direction approximately 1 mile
to where Matamoros Street (U.S. Highway 83) becomes Guadalupe Street;
thence, following Guadalupe Street in an easterly direction
approximately 1 1/2 miles to where U.S. Highway 83 turns in a southerly
direction; thence, following U.S. Highway 83 in a southerly direction,
approximately 12 3/10 miles to where it intersects the north double
fence of the H.B. Zachary Ranch; thence, following the meanderings of
this double fence in a westerly direction to the northwest corner of the
same double fence, approximately 5 5/10 miles; thence, following the
meanderings of the H.B. Zachary west double fence in a southeasterly
direction to a corner, approximately 4 1/2 miles; thence, following the
same fence in an easterly direction to a corner, approximately 3/8 mile;
thence, following the same fence in a southerly direction to a corner,
approximately 3/8 mile; thence, following the H.B. Zachary Ranch south
double fence in an easterly direction to where it intersects U.S.
Highway 83 at the Webb-Zapata County Line, approximately 4 miles.
(e) That portion of Zapata County lying generally southwest of a line
beginning at the point where U.S. Highway 83 intersects the Webb-Zapata
County Line and following U.S. Highway 83 in a southerly direction to
where it intersects the Martinez Windmill Trap north fence,
approximately 3/10 mile; thence, east along the north fence of the
Martinez Windmill Trap to the northeast corner of same, approximately
3/10 mile; thence, following the east fence of the Martinez Windmill
Trap in a southerly direction to the southeast corner of same,
approximately 1/10 mile; thence, along the south fence of the Martinez
Windmill Trap in a westerly direction to where it intersects U.S.
Highway 83, approximately 3/10 mile; thence, following U.S. Highway 83
in a southerly direction to where it intersects the Juan Vidaurri heirs'
pasture north fence, approximately 2 5/10 miles; thence, following the
Juan Vidaurri heirs' pasture north fence in an easterly direction to the
northeast corner of same, approximately 1 5/10 miles; thence, following
the meanderings of the Juan Vidaurri heirs' pasture east fence in a
southerly direction to where it intersects the north fence of the Dye
Farm, approximately 2 5/10 miles; thence, following the north fence of
the Dye Farm in a westerly direction to where it intersects U.S. Highway
83, approximately 7/8 mile; thence, following U.S. Highway 83 in a
southerly direction to where it intersects the Zapata City Limits fence,
approximately 25 miles; thence, along the Zapata City Limits fence in a
westerly direction to a corner, approximately 1/16 mile; thence,
following the meanderings of the Zapata City Limits fence in a
southeasterly direction to the southeast corner of the Eddie Bravo Trap,
approximately 2 5/10 miles; thence, following the south fence of the
Eddie Bravo Trap in a westerly direction to its intersection with the
water line of Falcon Lake, approximately 3/10 mile; thence, following
the meanderings of the water line of Falcon Lake in a southeasterly
direction to its intersection with U.S. Highway 83, approximately 1 2/10
miles; thence, following U.S. Highway 83 in a southerly direction to
where it intersects the Zapata-Starr County Line, approximately 23 1/8
miles.
(f) That portion of Starr County lying generally south of a line
beginning at the point where U.S. Highway 83 intersects the Zapata-Starr
County Line and following a fence along the Zapata-Starr County Line in
a southwesterly direction to where it intersects the east fence of the
Falcon State Park, approximately 3 3/4 miles; thence, following the
east fence of the Falcon State Park in a southeasterly direction to a
corner, approximately 1 mile; thence, following the same fence in an
easterly direction to a corner, approximately 100 yards; thence
following the same fence in a southerly direction to a corner,
approximately 100 yards; thence, following the same fence in an
easterly direction to a cattle guard at the entrance of Falcon State
Park at Old U.S. Highway 83, approximately 4/10 mile; thence, across
Park Road 46 at the entrance to Falcon State Park on Old U.S. Highway 83
and following the park enclosure fence in a southerly direction to a
corner, approximately 100 yards; thence, following Falcon State Park
fence in a westerly direction to a corner, approximately 4/10 mile;
thence, following the same fence in a southerly direction to where it
intersects the north fence of the IBWC Compound, approximately 5/10
mile; thence, following the IBWC Compound north fence in an easterly
direction to its intersection with Old U.S. Highway 83, approximately
4/10 mile; thence, following Old U.S. Highway 83, also known as F.M.
Road 2098, south and southeast to its junction with the present U.S.
Highway 83, approximately 4 1/4 miles; thence, following U.S. Highway
83 in a southeasterly direction to the south fence of the M. Ramirez
pasture at the north city limits of Roma, Texas, approximately 9 1/2
miles; thence, following the south fence of the M. Ramirez pasture in
a northeasterly direction to where it intersects the west fence of the
G. Madrigal Ranch, approximately 4/10 mile; thence, following the
meanderings of the west fence of the G. Madrigal Ranch in a
southeasterly direction, around the east side of the R. Pena addition
to the city of Roma, Texas, to a dirt road, approximately 9/10 mile;
thence, following the same dirt road in a southerly direction to where
it intersects U.S. Highway 83 at the Roma Graveyard, approximately 3/10
mile; thence, following U.S. Highway 83 in an easterly direction to the
southwest corner of the Lupe Villarreal pasture on the north side of
U.S. Highway 83, approximately 11 1/4 miles; thence, following the west
fence of the Lupe Villarreal pasture in a northerly direction to the
northwest corner of the same, approximately 1/2 mile; thence, following
the north fence of the Lupe Villarreal pasture in an easterly direction
to the northwest corner of the Roberto Corona pasture, approximately 100
yards; thence, following the north fence of the Roberto Corona pasture
in an easterly direction to a corner, approximately 4/10 mile; thence,
following the same fence in a northerly direction to where it intersects
the West City Limits Road, approximately 4/10 mile; thence, following
the West City Limits Road in a northerly direction to the north fence of
the Rene Smith property, approximately 3/10 mile; thence, following the
east and north fences of the Rene Smith property to where it joins the
east fence of the Laguna Ranch, approximately 1/2 mile; thence,
following the east fence of the Laguna Ranch in a northerly direction to
a cattle guard on the El Sauz Road, approximately 2 miles; thence,
crossing to the El Sauz Road to the east fence of the same and following
the El Sauz Road in a southeasterly direction to the northwest corner of
the M. Fuentes pasture, approximately 1 6/10 miles; thence, following
the north fence of the M Fuentes pasture in an easterly direction to the
west fence of the Rene Soliz pasture, approximately 2/10 mile; thence,
following the west fence of the Rene Soliz pasture in a southerly
direction to the southwest corner of the same, approximately 2/10 mile;
thence, following the south fence of the Rene Soliz pasture in an
easterly direction to a corner, approximately 1/10 mile; thence,
following the same fence in a northerly direction to a corner,
approximately 2/10 mile; thence, following the same fence in an
easterly direction to a corner, approximately 2/10 mile; thence,
following the same fence in a northerly direction to where it joins the
North City Limits Road, approximately 2/10 mile; thence, following the
meanderings of the North City Limits Road in an easterly direction to
where it joins FM Road 755, approximately 7/10 mile; thence, following
FM Road 755 in a northeasterly direction to the Los Olmos Creek Bridge,
approximately 2/10 mile; thence, crossing under the Los Olmos Creek
Bridge in a southerly direction to the east city limits of Rio Grande
City, Texas, approximately 80 yards; thence, following the meanderings
of the fence along the east city limits of Rio Grande City, Texas, in a
southerly direction to the north fence of the Rio Grande City air strip,
approximately 3/4 mile; thence, following the north fence of the Rio
Grande City air strip in a southeasterly direction to the northeast
corner of the same, approximately 6/10 mile; thence, following the east
fence of the Rio Grande City air strip in a southerly direction to the
M.P. Railroad right-of-way, approximately 5/16 mile; thence, crossing
the M.P. Railroad right-of-way in a southerly direction to U.S. Highway
83, approximately 100 yards; thence, following U.S. Highway 83 in a
southeasterly direction to the Starr-Hidalgo County Line, approximately
16 miles.
(g) That portion of Hidalgo County lying generally south of a line
beginning at the point where U.S. Highway 83 intersects the
Starr-Hidalgo County Line and following the south side of U.S. Highway
83 right-of-way in an easterly direction to the east fence of the Sam
Fordyce Ranch, approximately 4 miles; thence, following the east fence
of the Sam Fordyce Ranch in a southerly direction to the north fence of
the railroad right-of-way, approximately 1/2 mile; thence, following
the north fence of the railroad right-of-way in an easterly direction to
where it intersects the Havanna Road, approximately 6/10 mile; thence,
following the Havanna Road in a southerly direction to where it
intersects the Old Military Road, approximately 75 yards; thence,
following the Old Military Road in an easterly direction to where it
intersects the IBWC Levee, approximately 4 miles; thence, following the
IBWC Levee in a southeasterly direction to where it intersects the Old
Military Road, approximately 8 1/2 miles; thence, following the Old
Military Road in an easterly direction to where it joins FM Road No.
1016 at Madero, approximately 1 3/4 miles; thence, following FM Road
No. 1016 in a southeasterly direction to where it joins the Old
Military Road, approximately 1 mile; thence, following the Old Military
Road in a southeasterly direction to the North Granjeno Road,
approximately 1 3/4 miles; thence, following the North Granjeno Road in
an easterly direction to where it intersects Shary Road, approximately
5/8 mile; thence, south on Shary Road to where it intersects the IBWC
Levee, approximately 50 yards; thence, following the meanderings of the
IBWC Levee in an easterly direction to where it intersects FM Road 1926,
approximately 3 miles; thence, following FM Road 1926 in a southerly
direction to where it intersects U.S. Highway 281 Spur, approximately 27
miles; thence, following U.S. Highway 281 Spur in an easterly
direction to where it becomes U.S. Highway 281, approximately 4 2/10
miles; thence, following U.S. Highway 281 in an easterly direction to
where it intersects the Hidalgo-Cameron County Line, approximately 22
miles.
(h) That portion of Cameron County lying generally south of a line
beginning at the point where the Hidalgo-Cameron County Line intersects
U.S. Highway 281 following U.S. Highway 281 in an easterly direction to
where it intersects the Willacy County Canal, approximately 200 yards;
thence, following the Willacy County Canal in a northerly direction to
the C.P.&L. Company double pole power line, approximately 1/2 mile;
thence, following the C.P.&L. Company double pole power line in an
easterly direction to where it intersects FM Road No. 1479,
approximately 7 1/8 miles; thence, south on FM Road No. 1479 to where
it intersects a county road, approximately 50 yards; thence, following
said county road in a southeasterly direction to where it intersects
Ohio Station Road, approximately 1 1/2 miles; thence, southwest on Ohio
Station Road to where it intersects the Cameron County Water District
drain ditch, approximately 3/4 mile; thence, following the Cameron
County Water District drain ditch around the San Benito Water District
Reservoir in a northeasterly direction to the northeast corner of the
San Benito Water District Reservoir, approximately 2 1/2 miles; thence,
continuing along the Cameron County Water District drain ditch in a
northeasterly direction to where it joins the Resaca Rancho Viejo,
approximately 5 1/4 miles; thence; south and east along the
meanderings of the Cameron County Water District drain ditch to where it
again joins the Resaca Rancho Viejo, approximately 3 2/10 miles;
thence, following the meanderings of the Resaca Rancho Viejo in an
easterly direction to where it intersects FM Road 1421, approximately 2
miles; thence, following FM Road 1421 in a southerly direction to where
it intersects FM Road 1732, approximately 3/8 mile; thence, following
FM Road 1732 in an easterly direction to where it intersects Carmen
Avenue, approximately 1 3/4 miles; thence, following Carmen Avenue in a
southerly direction to where it intersects the south loop of the Resaca
de la Guerra, approximately 3 1/2 miles; thence, following the
meanderings of the Resaca de la Guerra in an easterly direction to where
it intersects the MP Railroad, approximately 7 miles; thence, following
the MP Railroad in a southerly direction to where it intersects Boca
Chica Boulevard, approximately 1 1/2 miles; thence, following Boca
Chica Boulevard in an easterly direction to where it becomes Boca Chica
Road and continuing in the same direction on Boca Chica Road to where it
intersects a drain ditch, approximately 9 1/2 miles; thence, following
this drain ditch in a northerly direction to where it intersects the
Brownsville Ship Channel, approximately 3 miles; thence, following the
Brownsville Ship Channel in a northeasterly direction to where it enters
the Gulf of Mexico, a distance of approximately 17 1/2 miles.
(49 FR 49611, Dec. 21, 1984, as amended at 50 FR 21796, May 29, 1985)
1Vega is a flat lowland area.
2A trap is an area in which animals may be trapped.
09 CFR 72.6 Interstate movement of cattle from quarantined areas not
eradicating ticks.
Cattle of any quarantined area where tick eradication is not being
conducted,3022 which, with an interval of 7 to 12 days between dippings
immediately preceding shipment, have been properly dipped twice with a
permitted dip as provided in 72.13, at a designated dipping station
approved under 72.16 that is located within the State of origin of the
shipment, or which have been otherwise treated under the supervision of
an APHIS inspector in a manner approved in specific cases by the
Administrator, APHIS at such designated dipping station, and which just
prior to final dipping are inspected by an APHIS inspector and found to
be apparently free from ticks, may, so far as the regulations in this
part are concerned, upon certification by the inspector, be shipped or
transported interstate for any purpose upon compliance with the
requirements set forth in 72.9 through 72.15.
(36 FR 20358, Oct. 21, 1971; 38 FR 18011, July 6, 1973, as amended
at 50 FR 430, Jan. 4, 1985; 56 FR 51974, Oct. 17, 1991)
0223 Information as to the identity of such areas may be obtained
from the Administrator, c/o Cattle Diseases and Surveillance Staff,
Veterinary Services, APHIS, United States Department of Agriculture,
Federal Building, 6505 Belcrest Road, Hyattsville, MD 20782.
09 CFR 72.7 Interstate movement of cattle from cooperating States.
Cattle in areas where tick eradication is being conducted in
cooperation with State authorities,3 which on inspection by an APHIS
inspector are found to be apparently free from ticks, may, after one
dipping, with a permitted dip as provided in 72.13, under the
supervision of an APHIS inspector and certification by the inspector, be
shipped or transported interstate for dip as provided in 72.13, under
the supervision of an APHIS inspector and certification by the
inspector, be shipped or transported interstate for any purpose upon
compliance with the requirements set forth in 72.9 through 72.15.
(36 FR 20358, Oct. 21, 1971, as amended at 56 FR 51975, Oct. 17,
1991)
09 CFR 72.8 Interstate movement of cattle from free premises upon
inspection and certification by APHIS inspector.
Cattle located in areas where tick eradication is being conducted in
co- operation with the State authorities, and which are on premises
shown by the official records of tick eradication to be free from ticks,
may, upon inspection and certification by an APHIS inspector, be shipped
or transported interstate for any purpose without dipping upon
compliance with the requirements set forth under 72.9, 72.10, 72.12.
(28 FR 5940, June 13, 1963, as amended at 56 FR 51975, Oct. 17, 1991)
09 CFR 72.9 Interstate movements of cattle; inspection and
certification by APHIS inspector required.
All interstate movements of inspected and certified and dipped and
certified cattle shall be accompanied to final destination by a
certificate of an APHIS inspector (which certificate shall show that the
cattle so being moved have been dipped as required by 72.6 or by 72.7
and are free of ticks, or have been inspected as required by 72.8 and
are free of ticks); all such certificates shall be handled, delivered,
kept, and preserved in accordance with the provisions of 72.16; and
all such cattle shall be handled through noninfectious pens, alleys, and
chutes, and when shipped shall be loaded into clean and disinfected cars
or trucks, and shall not be unloaded in the quarantined area except at
such points reserved for noninfested cattle as may from time to time be
authorized by APHIS.
(28 FR 5940, June 13, 1963, as amended at 56 FR 51975, Oct. 17, 1991)
09 CFR 72.10 Inspected or dipped and certified cattle subject to
restrictions of State of destination.
All such interstate movements of inspected or dipped and certified
cattle are subject to such restrictions, which are not inconsistent with
the regulations in this subchapter, as may be imposed at destination by
the officials of the State, Territory, or the District of Columbia.
09 CFR 72.11 Quarantined area; cattle considered infested;
requirements for placing in noninfectious pens or premises.
Cattle of the quarantined area shall be considered infested and shall
not be placed in noninfectious pens or premises until after the final
inspection or dipping.
09 CFR 72.12 Cattle; exposure to tick infestation after treatment or
inspection prohibited.
The cattle shall not be exposed to tick infestation after treatment
and/or inspection.
09 CFR 72.13 Permitted dips and procedures.
(a) Dipping requirements; facilities; handling. The dipping of
cattle for interstate movement shall be done only with a permitted dip
and at places where proper equipment is provided for dipping and for
handling the cattle in a manner to prevent exposure to infection after
the final dipping. Cattle which are to be dipped shall be given an
opportunity to drink sufficient water to quench their thirst prior to
dipping, be carefully handled, and not dipped while they are in a heated
or exhausted condition. Dipped cattle shall not be loaded for shipment
until dry. 4
(b) Permitted dips. The dips at present permitted by the Department
in official dipping for interstate movement are:
(1) Approved proprietary brands of a Dioxathion (DelnavR)
emulsifiable concentrate used at a concentration of 0.125 to 0.150
percent.4
(2) Approved proprietary brands of coumaphos (Co-RalR), 25 percent
wettable powder or flowable form labeled for use as a 0.25 percent dip
and used at a concentration of 0.125 to 0.250.4
(3) Approved proprietary brands of organophosphorous insecticides
(Prolate#) if used in a Prolate-water bath where the concentration level
is at least 0.15 percent and if used in accordance with the EPA approved
label.
(4) Approved proprietary brands of organophosphorous insecticides
(Ciodrin#) if used in a concentration of 0.44 to 0.54 percent and if
used in accordance with the EPA approved label.
(c) Approval of dips. Proprietary brands of dips are permitted to be
used for purposes of this part only when approved by the Administrator,
APHIS. Before a dip will be specifically approved as a permitted dip
for the eradication of ticks, APHIS will require that the product be
registered under the provisions of the Federal Insecticide, Fungicide
and Rodenticide Act, as amended (7 U.S.C. 135 et seq.); that its
efficacy and stability have been demonstrated; that trials have been
conducted to determine that its concentration can be maintained and that
under actual field conditions the dipping of cattle with a solution of
definite strength will effectually eradicate ticks without injury to the
animals dipped.
(d) Tissue residues; restriction on slaughter. Tissue residues are
created following use of certain dips. Animals treated with such dips
should not be slaughtered for food purposes until the expiration of such
period as may be required under the Federal Meat Inspection Act (21
U.S.C. 601 et seq.). The length of this period shall be specified on
each certificate issued by the inspector who supervises the dipping.
(33 FR 18089, Dec. 5, 1968, as amended at 34 FR 12214, July 24, 1969;
36 FR 19157, Sept. 30, 1971; 36 FR 19972, Oct. 14, 1971; 37 FR 13529,
July 11, 1972; 38 FR 19012, July 17, 1973; 40 FR 12768, Mar. 21, 1975;
42 FR 19854, Apr. 15, 1977; 47 FR 11002, Mar. 15, 1982; 49 FR 19799,
May 10, 1984; 49 FR 32540, Aug. 15, 1984; 50 FR 430, 431, Jan. 4,
1985; 56 FR 51974, Oct. 17, 1991)
72.14 (Reserved)
4Care is required when treating animals and in maintaining required
concentration of chemicals in dipping baths. Detailed information
concerning the use of, criteria for, and names of proprietary brands of
permitted dips for which specific permission has been granted, and
concerning the use of compressed air, vat management techniques, and
other pertinent information may be obtained from the Administrator, c/o
Cattle Diseases and Surveillance Staff, Veterinary Services, APHIS,
United States Department of Agriculture, Federal Building, 6505 Belcrest
Road, Hyattsville, MD 20782.
09 CFR 72.15 Owners assume responsibility; must execute agreement
prior to dipping or treatment waiving all claims against United States.
When the cattle are to be dipped under APHIS supervision the owner of
the cattle, offered for shipment, or his agent duly authorized thereto,
shall first execute and deliver to an APHIS inspector an application for
inspection and supervised dipping wherein he shall agree to waive all
claims against the United States for any loss or damage to said cattle
occasioned by or resulting from dipping or other treatment under this
part, or resulting from any subsequent treatment prior to their
interstate shipment, or resulting from the fact that they are later
found to be still tick infested, and also for all subsequent loss or
damage to any other cattle in the possession or control of such owner
which may come into contact with the cattle so dipped or treated.
(28 FR 5940, June 13, 1963, as amended at 56 FR 51975, Oct. 17, 1991)
09 CFR 72.16 Designated dipping stations to be approved by the
Administrator, APHIS on recommendations of State authorities;
facilities.
When deemed advisable and upon recommendation by the proper livestock
sanitary authorities, designated dipping stations may be approved by the
Administrator, APHIS as points at which cattle of the quarantined area
of the State in which said station is located may be inspected, dipped,
and certified for interstate movement. The facilities furnished shall
include a proper dipping equipment, noninfectious pens constructed in
accordance with 72.17 and a roofed or covered section of pens of
sufficient size to protect all dipped animals from exposure to rain or
hot sun. All alleys, chutes, and pens shall be paved or properly
floored.
(28 FR 5940, June 13, 1963, as amended at 50 FR 430, Jan. 4, 1985;
56 FR 51974, Oct. 17, 1991)
09 CFR 72.17 Unloading noninfected cattle for rest, feed, and water
only, permitted in authorized pens for such purpose.
(a) Specifications for construction and maintenance. Cattle of the
free area, and cattle of the quarantined area when properly dipped,
inspected, and certified in accordance with this part, which are
transported interstate by rail through the quarantined area shall not be
unloaded therein for rest, feed, and water unless they are unloaded into
the properly equipped, noninfectious pens set apart for such cattle at
such points as may from time to time be authorized by APHIS. Such
noninfectious pens and the platforms, chutes, and alleys leading thereto
shall be constructed and maintained in accordance with the
specifications set out in paragraph (a)(1) to (6) of this section.
(1) The outside fences inclosing such pens, and the fences on either
side of the alleys, chutes, and platforms leading thereto, shall be
tight board fences not less than 6 feet high on the inside.
(2) If such pens, alleys, chutes, and platforms are adjacent to pens,
alleys, chutes, and platforms used by cattle of the quarantined area,
there shall be between them a space not less than 10 feet wide, which
shall be inaccessible to livestock. This space shall be limited on each
side by the 6-foot fence required by paragraph (a)(1) of this section.
The remaining space around such yards shall be limited as in paragraph
(a)(3) of this section.
(3) If such pens, alleys, chutes, and platforms are isolated from
other pens, alleys, chutes, or platforms, there shall be built and
maintained outside thereof on all sides to which cattle of the vicinity
might otherwise approach a cattle-proof fence not less than 5 feet high
and not less than 15 feet from the 6-foot fence required by paragraph
(a)(1) of this section.
(4) The only means of egress from such pens shall be by way of the
alleys, chutes, and platforms inclosed by 6-foot fences as required by
paragraph (a)(1) of this section, to cars for reforwarding; and under
no circumstances shall there exist any connection between such pens and
other adjacent premises.
(5) Such noninfectious premises shall be so located, or such drainage
facilities shall be provided therefor, that water from the surrounding
area will not flow on to or through them.
(6) Such pens shall be marked by a conspicuous sign bearing the words
''Noninfectious Pens'' in letters not less than 10 inches in height.
(b) Materials for use in noninfectious pens; source, shipment,
handling. The hay, straw, or similar materials required for feed and
bedding in such noninfectious pens shall be shipped in noninfectious
cars from points outside of the quarantined area so handled that they
may not become infectious.
(28 FR 5940, June 13, 1963, as amended at 56 FR 51975, Oct. 17, 1991)
09 CFR 72.18 Movement interstate; specification by the Deputy
Administrator, Veterinary Services of treatment required when dipping
facilities unavailable.
(a) Tick-infested cattle. Cattle of the free area which are
tick-infested may be moved interstate for any purpose after they have
been treated in the same manner as cattle under 72.6: Provided,
however, That when dipping equipment is not available at the place where
the cattle are, said treatment shall be given at a place and in the
manner specified by the Administrator, APHIS.
(b) Tick-exposed cattle. Cattle of the free area which have been
exposed to tick infestation may be moved interstate for any purpose
after they have been treated in the same manner as cattle under 72.7:
Provided, however, That when dipping equipment is not available at the
place where the cattle are, said treatment shall be given at a place and
in the manner specified by the Administrator, APHIS.
(c) Cattle moved contrary to regulations. Cattle which have been
moved from the quarantined area to the free area without first having
been treated in the manner provided in either 72.6 or 72.7 or
inspected in the manner provided in 72.8 shall not be shipped or moved
interstate until they have been treated in the same manner as cattle
under 72.6: Provided, however, That when dipping equipment is not
available at the place where the cattle are, said treatment shall be
given at a place and in the manner specified by the Administrator,
APHIS.
(28 FR 5940, June 13, 1963, as amended at 50 FR 430, Jan. 4, 1985;
56 FR 51974, Oct. 17, 1991)
09 CFR 72.19 Interstate shipments and use of pine straw, grass, litter
from quarantined area; prohibited until disinfected.
Pine straw, grass, or similar litter collected from tick-infested
pastures, ranges, or premises may disseminate the contagion of
splenetic, southern, or Texas fever; therefore pine straw, grass, or
similar litter originating in the quarantined area shall not be
transported or moved interstate therefrom or used as packing material or
car bedding for commodities or livestock to be transported or moved from
the quarantined area of any State, Territory, or the District of
Columbia, to or through the free area of any other State, Territory, or
the District of Columbia, unless such material is first disinfected in
accordance with the provisions of 72.24.
09 CFR 72.20 Exhibition of noninfected cattle in the quarantined area;
restrictions under which permitted.
The exhibition of noninfected cattle at fairs or exhibitions in the
quarantined area and their reshipment to the free area without dipping
may, by written order of the Administrator, APHIS be permitted:
Provided, That the cattle shall be handled under such conditions as may
be prescribed in each case to preclude any danger of the spread of
infection.
(28 FR 5940, June 13, 1963, as amended at 56 FR 51974, Oct. 17, 1991)
09 CFR 72.21 Animals infested with or exposed to ticks subject to same
restrictions as cattle.
Animals other than cattle which are infested with ticks (Boophilus
annulatus (Margaropus annulatus), Boophilus microplus, or Rhipicephalus
evertsi evertsi) or exposed to tick infestation shall not be moved
interstate unless they are treated, handled, and moved in accordance
with the requirements specified in 72.9 through 72.15 and 72.18 of
this part governing the interstate movement of cattle.
09 CFR 72.22 Cars, vehicles, and premises; cleaning and treatment
after containing infested or exposed animals.
Cars and other vehicles, and yards, pens, chutes, or other premises
or facilities, which have contained interstate shipments of animals
infested with or exposed to ticks, shall be cleaned and treated within
72 hours of use and prior to further use in the required concentration
with a permitted dip listed in 72.13 under supervision of a State or
Federal inspector or an accredited veterinarian.
(38 FR 21996, Aug. 15, 1973)
09 CFR 72.23 Cars or other vehicles having carried infested or exposed
cattle in quarantined area shall be cleaned and treated.
Cars or others vehicles which have carried cattle exposed to or
infested with ticks within the quarantined area of any State shall be
cleaned and treated in the required concentration with a permitted dip
listed in 72.13 before being moved interstate under supervision of a
State or Federal inspector or an accredited veterinarian.
(38 FR 21996, Aug. 15, 1973)
09 CFR 72.24 Litter and manure from carriers and premises of
tick-infested animals; destruction or treating required.
The litter and manure removed from cars, boats, or other vehicles and
from pens, chutes, alleys, or other premises or inclosures which have
contained interstate shipments of tick-infested animals, shall be
destroyed or treated by the transportation or yard company, or other
owner thereof, under APHIS supervision, by saturating it in the required
concentration with a permitted dip listed in 72.13, or shall be
otherwise disposed of under prior permission received from the
Administrator, APHIS.
(38 FR 21996, Aug. 15, 1973, as amended at 56 FR 51974, Oct. 17,
1991)
09 CFR 72.25 Dipping methods.
Dipping is accomplished by thoroughly wetting the entire skin by
either immersion in a chemical solution in a dip vat, or by spraying
with a chemical solution using a spray-dip machine or a hand-held
sprayer.
(50 FR 430, Jan. 4, 1985)
09 CFR 72.25 Pt. 73
09 CFR 72.25 PART 73 -- SCABIES IN CATTLE
Sec.
73.1 Interstate movement prohibited.
73.1a Notice of quarantine.
73.1b Quarantine policy.
73.1c Definitions.
73.2 Interstate shipment for immediate slaughter from quarantined or
nonquarantined areas; conditions under which permitted.
73.3 Shipment for purposes other than slaughter; conditions under
which permitted.
73.4 Interstate shipment of exposed but not visibly diseased cattle
from a quarantined or nonquarantined area; conditions under which
permitted.
73.5 Interstate shipment of undiseased cattle from quarantined area;
when permitted.
73.6 Placarding means of conveyance and marking billing of shipments
of treated scabby cattle or cattle exposed to scabies.
73.7 Movement from quarantined to free area and shipment therefrom;
restrictions under which permitted.
73.8 Cattle infected or exposed during transit.
73.9 Owners assume responsibility; must execute agreement prior to
dipping or treatment waiving all claims against United States.
73.10 Permitted dips; substances allowed.
73.11 Treatment of means of conveyance and premises having contained
scabby cattle.
73.12 Ivermectin.
Authority: Secs. 4-7, 23 Stat. 32, as amended; secs. 1 and 2, 32
Stat. 791-792, as amended; secs. 1-4, 33 Stat. 1264, 1265, as
amended; secs. 3 and 11, 76 Stat. 130, 132; 21 U.S.C. 111-113, 115,
117, 120, 121, 123-126, 134b, 134f; 7 CFR 2.17, 2.51, and 371.2(d).
09 CFR 73.1 Interstate movement prohibited.
(a) Cattle affected with scabies. No cattle affected with scabies
shall be shipped, trailed, driven, or otherwise moved interstate for any
purpose except as provided in this part.
(b) Cattle affected with or exposed to scabies. No cattle which,
just prior to movement, were affected with or exposed to scabies shall
be shipped, trailed, driven, or otherwise moved interstate for any
purpose except as provided in this part.
(c) Cattle from area quarantined for scabies. No cattle shall be
shipped, trailed, driven, or otherwise moved interstate from the area
quarantined for the disease of scabies in cattle except as provided in
this part.
(28 FR 5945, June 13, 1963, as amended at 41 FR 5384, Feb. 6, 1976)
09 CFR 73.1a Notice of quarantine.
(38 FR 32915, Nov. 29, 1973)
Editorial Note: For Federal Register citations affecting 73.1a, see
the List of CFR Sections Affected in the Finding Aids section of this
volume.
09 CFR 73.1b Quarantine policy.
The Act of March 3, 1905, as amended (21 U.S.C. 123), authorizes the
Secretary of Agriculture to quarantine any State, or any portion of any
State, when he determines the fact that any animals in such jurisdiction
are affected with any contagious, infectious, or communicable disease of
livestock or that the contagion of any such disease exists, or that
vectors which may disseminate any such disease exist in such
jurisdiction. Pursuant to this authority, the Department has
quarantined various areas because of cattle scabies and has issued the
regulations in this part governing the interstate movement of cattle
from such areas. It is the policy of the Department to quarantine those
portions of any State that are clearly identifiable, and in which exist
animals affected with cattle scabies, or mites which are the contagion
of said disease and not to quarantine an entire State for cattle scabies
if the State adopts and enforces requirements for the intrastate
movement of cattle that are at least as stringent as the requirements in
the regulations in this part for interstate movements of cattle.
Further, it is the policy of the Department to remove the quarantine
from any quarantined area when it is determined that scabies-affected
animals and the mites which are the contagion of scabies no longer exist
in such areas.
(38 FR 31671, Nov. 16, 1973)
09 CFR 73.1c Definitions.
For purposes of this Part the following terms shall have the meaning
set forth in this section.
Administrator. The Administrator, Animal and Plant Health Inspection
Service, or any person authorized to act for the Administrator.
Animal and Plant Health Inspection Service. The Animal and Plant
Health Inspection Service of the United States Department of Agriculture
(APHIS or Service).
APHIS Inspector. A veterinarian or livestock inspector employed by
the Animal and Plant Health Inspection Service, U.S. Department of
Agriculture, in animal health activities, who is authorized to perform
the function involved.
State Inspector. A veterinarian or livestock inspector regularly
employed in animal health activities by a State or a political
subdivision thereof, authorized by such State or political subdivision
to perform the function involved under a cooperative agreement with the
U.S. Department of Agriculture.
(41 FR 5384, Feb. 6, 1976, as amended at 56 FR 52463, Oct. 21, 1991)
09 CFR 73.2 Interstate shipment for immediate slaughter from
quarantined or nonquarantined areas; conditions under which permitted.
(a) Conditions under which permitted after one dipping. Cattle
which, just prior to shipment, were affected with scabies but have been
dipped once in a permitted dip (other than a toxaphene dip), under the
supervision of an APHIS inspector or State inspector, within 10 days
prior to the date of shipment may be shipped or transported interstate
for immediate slaughter to a recognized slaughtering center, upon
compliance with the following conditions:
(1) They shall not be diverted en route.
(2) The means of conveyance shall be placarded and the billing shall
be marked ''Treated Scabby Cattle,'' in accordance with 73.6.
(b) After one dipping; to be slaughtered within 14 days or redipped
by owner. Cattle shipped interstate subject to the provisions of
paragraph (a) of this section shall be slaughtered within 14 days from
the date of the dipping or shall be again dipped by the owner.
(c) When part of diseased herd not visibly affected. Cattle of the
free area not visibly diseased with scabies, but which may be part of a
diseased herd, may be shipped or transported interstate for immediate
slaughter to any recognized slaughtering center where separate pens are
provided for yarding exposed cattle: Provided, That means of conveyance
in which the cattle are transported shall be placarded and the billing
accompanying the shipment shall be marked ''Cattle Exposed to Scabies''
in accordance with 73.6.
(d) Undiseased herds in quarantined area; conditions under which
permitted. Cattle of herds of the quarantined area which are not
diseased with scabies may be shipped, transported, or otherwise moved
interstate for immediate slaughter, upon inspection by an APHIS or State
inspector within 10 days prior to the date of shipment and when
accompanied by a certificate from such inspector showing the cattle to
be free from disease.
(Secs. 4-7, 23 Stat. 32, as amended; secs. 1 and 2, 32 Stat. 791,
792, as amended; secs. 1-4, 33 Stat. 1264, 1265, as amended; secs. 3
and 11, 76 Stat. 130, 132, 76 Stat. 663; 7 U.S.C. 450 and 21 U.S.C.
111-113, 115, 117, 120, 121, 123-126, 134b and 134f; 7 CFR 2.17, 2.51,
371.2(d))
(31 FR 8907, June 28, 1966, as amended at 36 FR 23996, Dec. 17, 1971;
38 FR 18011, July 6, 1973; 41 FR 5384, Feb. 6, 1976; 49 FR 10530,
Mar. 20, 1984; 49 FR 33120, Aug. 21, 1984; 56 FR 52463, Oct. 21,
1991)
09 CFR 73.3 Shipment for purposes other than slaughter; conditions
under which permitted.
Cattle affected with scabies may be shipped interstate for any
purpose if dipped twice in a permitted dip, 10 to 14 days apart, under
the supervision of an APHIS inspector or State inspector, and so
certified by such inspector, or such cattle may be so shipped if dipped
once in a permitted dip under APHIS supervision or State supervision at
the point of origin, provided arrangements have been made for the second
dipping, under APHIS supervision, en route or at destination within 10
to 14 days after the first dipping. If shipped in the latter manner the
means of conveyance containing the cattle shall be placarded and the
billing shall be marked ''Treated Scabby Cattle,'' in accordance with
73.6.
(Secs. 4-7, 23 Stat. 32, as amended; secs. 1 and 2, 32 Stat. 791,
792, as amended; secs. 1-4, 33 Stat. 1264, 1265, as amended; secs. 3
and 11, 76 Stat. 130, 132, 76 Stat. 663; 7 U.S.C. 450 and 21 U.S.C.
111-113, 115, 117, 120, 121, 123-126, 134b and 134f; 7 CFR 2.17, 2.51,
371.2(d))
(28 FR 5945, June 13, 1963, as amended at 41 FR 5384, Feb. 6, 1976;
49 FR 10530, Mar. 20, 1984; 49 FR 33120, Aug. 21, 1984; 56 FR 52463,
Oct. 21, 1991)
09 CFR 73.4 Interstate shipment of exposed but not visibly diseased
cattle from a quarantined or nonquarantined area; conditions under
which permitted.
Cattle not visibly diseased with scabies, but which are known to be
part of a diseased herd or to have come in contact with diseased cattle
or infectious means of conveyance or premises, may be shipped interstate
for any purpose if dipped at the point of origin, under the supervision
of an APHIS inspector or State inspector, in a permitted dip, or the
cattle may be dipped en route by special permission first had and
obtained from the Administrator; but in such event the means of
conveyance shall be placarded and the billing shall be marked ''Cattle
Exposed to Scabies,'' in accordance with 73.6, and the cattle shall not
be permitted to mingle with other cattle until disposed of in accordance
with the regulations in this part.
(28 FR 5945, June 13, 1963, as amended at 41 FR 5384, Feb. 6, 1976;
56 FR 52463, Oct. 21, 1991)
09 CFR 73.5 Interstate shipment of undiseased cattle from quarantined
area; when permitted.
Cattle of any herd in any quarantined area, which herd is not
diseased with scabies, may be shipped, transported, or otherwise moved
interstate for any purpose upon inspection by an APHIS or State
inspector within 10 days prior to the date of shipment and when
accompanied by a certificate from such inspector showing the cattle to
be free from such disease or exposure thereto. When it is determined by
the Administrator that all cattle of all herds in any quarantined area
have been inspected for scabies by an APHIS or State inspector, that all
the infected or exposed herds have been identified, and that all the
infected herds have been dipped twice, and all the exposed herds have
been dipped in a permitted dip as prescribed in 73.10, under
supervision of an APHIS or APHIS-approved inspector, cattle of herds in
such area which are not diseased with or exposed to scabies may be moved
interstate in accordance with this section, without further APHIS
inspection or certification, directly to a slaughtering plant where
Federal Meat Inspection is maintained: Provided further, that treatment
with ivermectin may be used in lieu of dipping for a herd of cattle
treated together if the herd is physically separated for 14 days
following treatment from all cattle not a part of the herd treated
together with ivermectin. Information may be obtained from an APHIS
inspector whether a determination as required by this section is
currently applicable to authorize such movement. Cattle moved
interstate under this section shall not be diverted en route and must be
accompanied by a waybill or similar document, or a statement signed by
the owner or shipper of the cattle, stating: (a) That the cattle are
not known to be infected with scabies or exposed thereto; (b)
(Reserved); (c) the purpose for which the cattle are to be moved; (d)
the number of the cattle; (e) the point from which the cattle are to be
moved interstate; (f) that the cattle shall not be diverted en route;
and (g) the name and address of the owner or shipper of the cattle.
(Approved by the Office of Management and Budget under control number
0579-0051)
(Secs. 4-7, 23 Stat. 32, as amended; secs. 1 and 2, 32 Stat. 791,
792, as amended; secs. 1-4, 33 Stat. 1264, 1265, as amended; secs. 3
and 11, 76 Stat. 130, 132, 76 Stat. 663; 7 U.S.C. 450 and 21 U.S.C.
111-113, 115, 117, 120, 121, 123-126, 134b and 134f; 7 CFR 2.17, 2.51,
371.2(d))
(31 FR 8907, June 28, 1966 as amended at 36 FR 23996, Dec. 17, 1971;
38 FR 10252, Apr. 26, 1973; 38 FR 18011, July 6, 1973; 41 FR 5384,
Feb. 6, 1976; 48 FR 57472, Dec. 30, 1983; 49 FR 10530, Mar. 20, 1984;
49 FR 33120, Aug. 21, 1984; 56 FR 52463, Oct. 21, 1991)
09 CFR 73.6 Placarding means of conveyance and marking billing of
shipments of treated scabby cattle or cattle exposed to scabies.
When cattle are shipped as ''Treated Scabby Cattle,'' or ''Cattle
Exposed to Scabies,'' the transportation companies shall securely affix
to and maintain upon both sides of each means of conveyance carrying
such cattle a durable, conspicuous placard, not less than 5 1/2 by 8
inches in size, on which shall be printed with permanent black ink in
boldfaced letters, not less than 1 1/2 inches in height, the words,
''Treated Scabby Cattle,'' or ''Cattle Exposed to Scabies,'' as the case
may be. These placards shall also show the name of the place from which
the shipment was made, the date of the shipment (which must correspond
to the date of the waybills and other papers), the name of the
transportation company, and the name of the place of destination. The
carrier issuing the waybills, conductors' manifests, memoranda, and
bills of lading pertaining to such shipments shall plainly write or
stamp upon the face of each such paper the words, ''Treated Scabby
Cattle,'' or ''Cattle Exposed to Scabies,'' as the case may be. If for
any reason the placards required by this part have not been affixed to
the means of conveyance as aforesaid, or the placards have been removed,
destroyed, or rendered illegible, or the cattle are rebilled or are
transferred to other means of conveyance, the placards shall be
immediately affixed or replaced by the carrier, and the new waybills
shall be marked as aforesaid by the carrier issuing them, the intention
being that the billing accompanying the shipment shall be marked and the
means of conveyance containing the cattle shall be placarded ''Treated
Scabby Cattle,'' or ''Cattle Exposed to Scabies,'' as the case may be,
from the time of shipment until the cattle arrive at destination or
point of dipping and the disposition of the means of conveyance is
indicated by an APHIS inspector or State inspector.
(Secs. 4-7, 23 Stat. 32, as amended; secs. 1 and 2, 32 Stat. 791,
792, as amended; secs. 1-4, 33 Stat. 1264, 1265, as amended; secs. 3
and 11, 76 Stat. 130, 132, 76 Stat. 663; 7 U.S.C. 450 and 21 U.S.C.
111-113, 115, 117, 120, 121, 123-126, 134b and 134f; 7 CFR 2.17, 2.51,
371.2(d))
(28 FR 5945, June 13, 1963, as amended at 41 FR 5384, Feb. 6, 1976;
49 FR 10530, Mar. 20, 1984; 49 FR 33120, Aug. 21, 1984; 56 FR 52463,
Oct. 21, 1991)
09 CFR 73.7 Movement from quarantined to free area and shipment
therefrom; restrictions under which permitted.
No person, firm, or corporation shall deliver for transportation,
transport, drive on foot, or otherwise move interstate from the free
area of any State, Territory, or the District of Columbia any cattle
which have been moved from the quarantined area of the same State,
Territory, or the District of Columbia into such free area: Provided,
however, That such cattle may be delivered for transportation,
transported, driven on foot, or otherwise moved interstate for the
purposes for which the shipment, transportation, or other movement
interstate of cattle of the quarantined area is permitted by this part,
Provided, That in such shipment and transportation or other movement the
requirements of this part governing the shipment and transportation or
other movement of cattle of the quarantined area are strictly complied
with: And provided further, That this section shall not apply to cattle
of the quarantined area which, before being moved into the free area,
are certified by an APHIS inspector or State inspector as free from
disease and are accompanied by such certificate in their shipment by
transportation or other movement interstate.
(Approved by the Office of Management and Budget under control number
0579-0051)
(44 U.S.C. 3506)
(28 FR 5945, June 13, 1963, as amended at 41 FR 5384, Feb. 6, 1976;
48 FR 57472, Dec. 30, 1983; 56 FR 52463, Oct. 21, 1991)
09 CFR 73.8 Cattle infected or exposed during transit.
(a) Healthy cattle from unquarantined State exposed en route. Should
healthy cattle in transit from a State not quarantined by the Secretary
of Agriculture for scabies in cattle be unloaded en route and placed in
infectious premises, they shall be treated as exposed cattle, and their
further movement shall be subject to the provisions of this part with
respect to the movement of exposed cattle.
(b) Interstate shipments of cattle under Veterinary Services or State
certificate found affected or exposed en route. Cattle shipped
interstate under a certificate from an APHIS inspector or State
inspector or other cattle which are found en route to be affected with
scabies or to have been exposed thereto, shall thereafter be handled in
the same manner as diseased or exposed cattle are required by this part
to be handled, and the means of conveyance and the chutes, alleys, and
pens which have been occupied by diseased animals shall be cleaned and
disinfected as provided in 71.4 through 71.11 of this subchapter.
(28 FR 5945, June 13, 1963, as amended at 41 FR 5384, Feb. 6, 1976;
56 FR 52463, Oct. 21, 1991)
09 CFR 73.9 Owners assume responsibility; must execute agreement prior
to dipping or treatment waiving all claims against United States.
When the cattle are to be dipped under APHIS supervision or control,
the owner of the cattle offered for shipment, or his agent duly
authorized thereto, shall first execute and deliver to an APHIS
inspector an application for inspection and supervised dipping wherein
he shall agree to waive all claims against the United States for any
loss or damage to said cattle occasioned by or resulting from dipping or
other treatment under this part, or resulting from any subsequent
treatment prior to their interstate shipment, or resulting from the fact
that they are later found to be still scabies infested, and also for all
subsequent loss or damage to any other cattle in the possession or
control of such owner which may come into contact with the cattle so
dipped or treated.
(41 FR 4012, Jan. 28, 1976, as amended at 56 FR 52463, Oct. 21, 1991)
09 CFR 73.10 Permitted dips; substances allowed.
(a) The dips at present permitted by the Department for the
treatment, as required in this part, of cattle affected with or exposed
to scabies, are as follows:
(1) Lime-sulphur dip, other than proprietary brands thereof, made in
the proportion of 12 pounds of unslaked lime (or 16 pounds of commercial
hydrated lime, not airslaked lime) and 24 pounds of flowers of sulphur
or sulphur flour to 100 gallons of water; or a specifically permitted
proprietary brand of lime-sulphur dip.
(2) Dips made from specifically permitted proprietary brand emulsions
of toxaphene and maintained throughout the dipping operation at a
concentration between 0.50 and 0.60 percent toxaphene. Animals treated
by such dips should not be slaughtered for food purposes until the
expiration of such period as may be required under the Federal Meat
Inspection Act (21 U.S.C., Supp. III, 601 et seq.). The length of this
required period shall be specified on each certificate issued by the
APHIS inspector or State inspector who supervises the dipping with such
dips.
(3) Approved proprietary brands of coumaphos (Co-RalR), 25 percent
wettable powder or flowable form used at a concentration of 0.30
percent.
(4) Approved proprietary brands of organophosphorous insecticides
(ProlateR)used at a concentration of 0.15 percent to 0.25 percent.
(b) The dipping bath for lime-sulphur dip must be used at a
temperature of 95 to 105 F., and must be maintained through the
dipping operation at a concentration of not less than 2 percent of
''sulphide sulphur'', as indicated by the field test for lime-sulphur
dipping baths approved by the APHIS. /1/ The dipping bath for toxaphene
emulsions must be kept within a temperature range of 40 -80 F., and at
a concentration between 0.50 and 0.60 percent throughout the dipping
operations. 2025
(c) Proprietary brands of lime-sulphur or toxaphene dips may be used
in official dipping only after specific permission therefor has been
granted by the Administrator. Before a dip will be specifically
approved as a permitted dip for the eradication of scabies in cattle,
the APHIS /3/ will require that the product be registered under the
provisions of the Federal Insecticide, Fungicide and Rodenticide Act, as
amended (7 U.S.C. 135 et seq.); that is efficacy and stability have
been demonstrated; that trials have been conducted to determine that
its concentration can be maintained and that under actual filed
conditions the dipping of cattle in a bath of definite strength will
effectually eradicate scabies infection without injury to the animals
dipped.
(34 FR 7443, May 8, 1969, as amended at 39 FR 39715, Nov. 11, 1974;
40 FR 12768, Mar. 21, 1975; 40 FR 42179, Sept. 11, 1975; 41 FR 5384,
Feb. 6, 1976; 41 FR 37307, Sept. 3, 1976; 50 FR 431, Jan. 4, 1985;
56 FR 52463, Oct. 21, 1991)
0241The field test for lime-sulphur dipping baths is described in
U.S. Department of Agriculture Bulletin 163, for sale by the
Superintendent of Documents, Government Printing Office, Washington,
D.C. 20402, at 5 cents a copy.
0252Care must be exercised in dipping animals and in maintaining the
bath at the standard concentration. Detailed instructions will be
issued for the guidance of employees who may be called upon to use them
in the scabies eradication program.
3 Information as to the names of such dips may be obtained from the
APHIS or a APHIS inspector.
09 CFR 73.11 Treatment of means of conveyance and premises having
contained scabby cattle.
Means of conveyance, yards, pens, sheds, chutes, or other premises or
facilities which have contained cattle of a consignment in which scabies
is found shall be treated within 72 hours of use and prior to further
use in the required concentration with a permitted dip listed in 73.10
under supervision of a State or Federal inspector or an accredited
veterinarian.
(38 FR 21996, Aug. 15, 1973, as amended at 41 FR 5384, Feb. 6, 1976)
09 CFR 73.12 Ivermectin. /1/
(a) Cattle affected with scabies or which just prior to movement were
affected with or exposed to scabies may be moved interstate from a
nonquarantined area after being treated with ivermectin under the
supervision of an APHIS inspector or State inspector in accordance with
the directions on the label of the drug if the following conditions are
met:
(1) Such cattle are kept physically separated for 14 days following
treatment from all cattle not part of the group treated together with
ivermectin (regardless of whether the cattle are moved interstate before
the end of the 14-day period); and
(2) If such cattle are moved interstate before the end of the 14th
day following treatment, at the time of interstate movement they are
accompanied by a certificate issued and signed by an APHIS inspector or
State inspector identifying the group of cattle treated with ivermectin
and stating the date on which the cattle were treated with ivermectin;
and
(3) If such cattle are moved interstate before the end of the 14th
day following treatment, at the time of interstate movement the means of
conveyance carrying them is placarded and the billing marked in
accordance with 73.6.
Note: Cattle from nonquarantined areas which are not affected with
scabies or which just prior to movement were not affected with or
exposed to scabies may be moved interstate without restrictions under
this part. Accordingly, cattle from nonquarantined areas which had been
treated with ivermectin more than 14 days before movement interstate may
be moved interstate without restriction under this Part unless following
treatment they become affected with scabies or just prior to movement
become affected with or exposed to scabies.
(b) Cattle may be moved interstate from a quarantined area after
being treated with ivermectin under the supervision of an APHIS
inspector or State inspector in accordance with the directions on the
label of the drug if the following conditions are met:
(1) Such cattle are moved interstate within 21 days following
treatment with ivermectin; and
(2) Such cattle are kept physically separated for 14 days following
treatment from all cattle not part of the group treated together with
ivermectin (regardless of whether the cattle are moved interstate before
the end of the 14 day period); and, if such cattle are moved within the
15- to 21-day period following treatment, they remain kept physically
separated from all cattle not a part of the group treated together with
ivermectin until after they are moved interstate; and
(3) Such cattle are accompanied at the time of interstate movement by
a certificate issued and signed by an APHIS inspector or State inspector
identifying the group of cattle treated with ivermectin and stating the
date on which the cattle were treated with ivermectin; and
(4) If such cattle are moved interstate before the end of the 14 day
period following treatment, at the time of interstate movement the means
of conveyance carrying them is placarded and the billing marked in
accordance with 73.6.
(Secs. 4-7, 23 Stat. 32, as amended; secs. 1 and 2, 32 Stat. 791,
792, as amended; secs. 1-4, 33 Stat. 1264, 1265, as amended; secs. 3
and 11, 76 Stat. 130, 132, 76 Stat. 663; 7 U.S.C. 450 and 21 U.S.C.
111-113, 115, 117, 120, 121, 123-126, 134b and 134f; 7 CFR 2.17, 2.51,
371.2(d))
(49 FR 10530, Mar. 20, 1984 and 49 FR 33120, Aug. 21, 1984; 56 FR
52463, Oct. 21, 1991)
/1/ Tissue residues remain following treatment with ivermectin.
Cattle treated with ivermectin are not allowed to be slaughtered for
food purposes until the expiration of such period as may be required
under the Federal Meat Inspection Act (21 U.S.C. 601 et seq.). Further,
the animal drug regulations in 21 CFR parts 522 and 556 promulgated
under the Federal Food, Drug, and Cosmetic Act (21 U.S.C. 301 et seq.)
contain limitations on the use of ivermectin and contain tolerances for
ivermectin in edible cattle tissue. With respect to the limitations 21
CFR part 522 provides the following: ''For subcutaneous use only. Not
for intramuscular use. Do not treat cattle within 35 days of slaughter.
Because a withdrawal time in milk has not been established, do not use
in female dairy cattle of breeding age. Federal law restricts this drug
to use by or on the order of a licensed veterinarian.''
09 CFR 73.12 PART 74 -- (RESERVED)
09 CFR 73.12 PART 75 -- COMMUNICABLE DISEASES IN HORSES, ASSES, PONIES,
MULES, AND ZEBRAS
Sec.
75.1 Movement of animals from quarantined areas; Veterinary Services
inspection and certification required.
75.2 Breeding animals in quarantined areas; interstate movement
within 18 months prohibited except on Veterinary Services certification
as having passed complement-fixation test.
75.3 Appraisal of and compensation for animals.
75.4 Interstate movement of equine infectious anemia reactors and
approval of laboratories, diagnostic facilities, research facilities,
and stockyards.
75.5 Definitions.
75.6 General restrictions.
75.7 Areas quarantined.
75.8 Restrictions on interstate movement from or through Kentucky.
75.9 Restrictions on interstate movement from or through Missouri.
75.10 Procedures for breeding mares to be released from Federal
quarantine because of CEM.
Authority: 21 U.S.C. 111-113, 115, 117, 120, 121, 123-126, 134-134h;
7 CFR 2.17, 2.51, and 371.2(d).
Source: 28 FR 5950, June 13, 1963, unless otherwise noted.
09 CFR 73.12 Dourine in Horses and Asses
09 CFR 75.1 Movement of animals from quarantined areas; Veterinary
Services inspection and certification required.
No horses or asses shall be offered for interstate shipment, shipped,
transported, driven, or trailed or otherwise moved interstate from an
area quarantined by the Secretary of Agriculture for dourine, without
Veterinary Services inspection and certification of freedom from the
disease for the purpose of the particular movement. Owners and
custodians of horses or asses for whom inspection is made shall provide
such reasonable facilities and render such assistance as may be required
by the inspector.
09 CFR 75.2 Breeding animals in quarantined areas; interstate movement
within 18 months prohibited except on Veterinary Services certification
as having passed complement-fixation test.
If stallions or jacks shall be allowed to run at large in an area
quarantined by the Secretary of Agriculture for dourine, or if there
shall be any breeding of horses or asses in a herd in the quarantined
area in which there is a horse or an ass which has been exposed to the
infection of dourine, within 18 months after the said exposure, the
interstate movement of any horses or asses from the said area is
absolutely prohibited unless and until such horses and asses have been
certified by a Veterinary Services inspector as having passed the
complement-fixation test for such disease.
09 CFR 75.3 Appraisal of and compensation for animals.
Animals to be destroyed because of dourine will be appraised and paid
for in accordance with the provisions of the indemnity regulations as
set forth in part 52, subchapter B of this title.
(30 FR 5790, Apr. 24, 1965)
09 CFR 75.3 Equine Infectious Anemia (Swamp Fever)
09 CFR 75.4 Interstate movement of equine infectious anemia reactors
and approval of laboratories, diagnostic facilities, research
facilities, and stockyards.
(a) Definitions. For the purpose of this section, the following
terms have the meanings set forth in this paragraph.
Accredited veterinarian. An accredited veterinarian as defined in
Part 160 of this chapter.
Animals. Cattle, sheep, goats, other ruminants, swine, horses, asses,
mules, zebras, dogs, and poultry.
Approved stockyard. A stockyard, livestock market, or other
premises, under state or federal veterinary supervision where horses or
other equines are assembled for sale purposes, and which has been
approved by the Administrator under this part.
Certificate. An official document issued by a State representative,
Veterinary Services representative, or an accredited veterinarian at the
point of origin of the interstate movement on which are listed: (1) The
description, including age, breed, color, sex, and distinctive markings
when present (such as brands, tattoos, scars or blemishes), of each
reactor to be moved; (2) the number of reactors covered by the
document; (3) the purpose for which the reactors are to be moved; (4)
the points of origin and destination; (5) consignor; and (6) the
consignee; and which states that each reactor identified on the
certificate meets the requirements of 75.4(b).
Deputy Administrator. The Deputy Administrator, Veterinary Services,
Animal and Plant Health Inspection Service, United States Department of
Agriculture, or any other Veterinary Services official to whom authority
is delegated to act for the Deputy Administrator.
Interstate. From any State into or through any other State.
Officially identified. The permanent identification of a reactor
using the National Uniform Tag code number assigned by the United States
Department of Agriculture to the State in which the reactor was tested,
followed by the letter ''A'', /1/ which markings shall be permanently
applied to the reactor by a Veterinary Services representative, State
representative or accredited veterinarian who shall use for the purpose
a hot iron or chemical brand, freezemarking or a lip tattoo. If hot
iron or chemical branding or freezemarking is used, the markings shall
be not less than two inches high and shall be applied to the left
shoulder or left side of the neck of the reactor. If a lip tattoo is
used, each character of the tattoo shall be not less than one inch high
and three-fourths of an inch wide and shall be applied to the inside
surface of the upper lip of the reactor.
Official test. The Agar gel immuno-diffusion test or the Competitive
Enzyme-Linked Immunosorbent Assay (CELISA) Test, conducted in a
laboratory approved by the Deputy Administrator.
Operator. The individual responsible for the day-to-day operations of
the specifically approved stockyard.
Reactor. Any horse, ass, mule, pony or zebra which is subjected to an
official test and found positive.
State. Any State, the District of Columbia, Puerto Rico, the Virgin
Islands of the United States, Guam, the Northern Mariana Islands, or any
other territory or possession of the United States.
State animal health official. The individial employed by a State who
is responsible for livestock and poultry disease control and eradication
programs.
State representative. An individual employed in animal health
activities of a State or a State's political subdivision, who is
authorized by that State to perform the function involved under a
cooperative agreement with the United States Department of Agriculture.
Veterinarian in Charge. The veterinary offical of Veterinary
Services, Animal and Plant Health Inspection Service, United States
Department of Agriculture, who is assigned by the Deputy Administrator
to supervise and perform the animal health activities of the Animal and
Plant Health Inspection Service in the State concerned.
Veterinary Services representative. An individual employed by
Veterinary Services, Animal and Plant Health Inspection Service, United
States Department of Agriculture, who is authorized to perform the
function involved.
(b) Interstate movement. No reactor may be moved interstate unless
the reactor is officially identified, is accompanied by a certificate,
and meets the conditions of either paragraph (b)(1), (b)(2), (b)(3), or
(b)(4) of this section:
(1) The reactor is moved interstate for immediate slaughter, either
to a Federally inspected slaughtering establishment operating under the
provisions of the Federal Meat Inspection Act (21 U.S.C. 601 et seq.) or
to a State-inspected slaughtering establishment that has inspection by a
State representative at time of slaughter; or
(2) The reactor is moved interstate to a diagnostic or research
facility after the individual issuing the certificate has consulted with
the State animal health official in the State of destination and has
determined that the reactor to be moved interstate will be maintained in
isolation sufficient to prevent the transmission of equine infectious
anemia to other horses, asses, ponies, mules, or zebras, and will remain
quarantined under State authority at the diagnostic or research facility
until natural death, slaughter, or until disposed of by euthanasia; or
(3) The reactor is moved interstate to its home farm after the
individual issuing the certificate has consulted with the State animal
health official in the State of destination and has determined that the
reactor to be moved interstate will be maintained in isolation
sufficient to prevent the transmission of equine infectious anemia to
other horses, asses, ponies, mules, or zebras, and will remain
quarantined under State authority on the reactor's home farm until
natural death, slaughter, or until disposed of by euthanasia; and
(4) The reactor is moved interstate through no more than one approved
stockyard for sale for immediate slaughter, and is moved within five
days of its arrival at the approved stockyard directly to:
(i) Slaughter at a federally inspected slaughtering establishment
operating under the provisions of the Federal Meat Inspection Act (21
U.S.C. 601 et seq.), or,
(ii) Slaughter at a state-inspected slaughtering establishment that
has inspection by a state representative at the time of slaughter, or,
(iii) The home farm of the reactor in accordance with paragraph
(b)(3) of this section.
(c) Approval of Laboratories, Diagnostic or Research Facilities, and
Stockyards. (1) The Deputy Administrator will approve laboratories to
conduct the official test only after consulting with the State animal
health official in the State in which the laboratory is located and
after determining that the laboratory: (i) Has technical personnel
assigned to conduct the official test who have received training
prescribed by the National Veterinary Services Laboratories; (ii) uses
United States Department of Agriculture licensed antigen; (iii) follows
standard test protocol prescribed by the National Veterinary Services
Laboratories; (iv) meets check test proficiency requirements prescribed
by the National Veterinary Services Laboratories; and (v) reports all
official test results to the State animal health official and the
Veterinarian in Charge. /2/
(2) The Deputy Administrator will approve diagnostic or research
facilities to which reactors may be moved interstate under paragraph
(b)(2) of this section, after a determination by the Deputy
Administrator that the facility has facilities and employs procedures
which are adequate to prevent the transmission of equine infectious
anemia from reactors to other equine animals. /3/
(3) The Administrator will approve stockyards to handle reactors
moved interstate under paragraph (b)(4) of this section when the
operator of the stockyard executes the following agreement:
(Name of Stockyard)
(Address and Stockyard)
I, (name of operator), operator of (name of stockyard), hereby agree
to maintain and operate this stockyard at (premises location) in
accordance with each of the provisions set forth herein.
(1) An accredited veterinarian, state representative, or APHIS
representative shall be on the stockyard premises on sale days to
perform duties in accordance with state and federal regulations.
(2) The state animal health official and the veterinarian in charge
shall be furnished with a current schedule of sale days which apply to
the stockyard and any revision to the schedule of sale days prior to
implementation of such revision.
(3) State representatives and APHIS representatives shall be granted,
during normal business hours, access to stockyard premises and
facilities to determine compliance with the requirements of title 9,
Code of Federal Regulations and the Standards of this agreement.
(4) Horses and other equines shall be received, handled, and released
by the stockyard only in accordance with title 9 of the Code of Federal
Regulations.
(5) Any horses and other equines classified as equine infectious
anemia reactors and accepted by the stockyard for sale shall be: (a)
Placed in quarantined pens at least 200 yards from all non-EIA-reactor
equines or other animals, unless moving out of the stockyard within 24
hours of arrival; and (b) consigned from the stockyard only to a
slaughtering establishment or to the home farm of the reactor in
accordance with title 9, Code of Federal Regulations, part 75.
(6) Quarantined pens for the confinement of horses and other equines
classified as equine infectious anemia reactors shall be clearly
placarded ''Quarantined,'' ''Equine Infectious Anemia,'' or ''Swamp
Fever.''
(7) The stockyard shall have in effect a fly control program
utilizing at least one of the following; baits, fly strips, electric
bug killers (''Fly Zappers,'' ''Fly Snappers,'' or similar equipment),
application of a pesticide effective against flies, applied according to
the schedule and dosage recommended by the manufacturer for fly control.
(8) Any document relating to animals which are or have been in the
stockyard shall be maintained by the stockyard for a period of 1 year
from the date the animal arrives at the stockyard.
(9) State representatives and APHIS representatives shall be granted,
during all hours the stockyard business office is open, access to all
documents required to be maintained pursuant to paragraph (8) of this
agreement, and authority to reproduce such documents upon request.
I, XXXXX, hereby acknowledge receipt of a copy of title 9, Code of
Federal Regulations, part 75, and hereby acknowledge that I have been
informed and understand that failure to abide by the provisions of this
agreement constitutes a basis for the withdrawal of approval from this
stockyard.
Request Approval
Operator of the Stockyard
Recommended Approval
State Animal Health Official
Date
Recommended Approval
Veterinarian in Charge
Date
Approval Granted
Administrator, Animal and Plant Health Inspection Service
Date
(d) Denial and withdrawal of approval of laboratories, diagnostic or
research facilities, and stockyards. The Deputy Administrator may deny
or withdraw approval of any laboratory to conduct the official test, or
of any diagnostic or research facility to receive reactors moved
interstate, or of any stockyard to handle reactors under this part, upon
a determination that the laboratory or diagnostic or research facility
or stockyard does not meet the criteria for approval under paragraph (c)
of this section, or, in the case of a stockyard, upon a determination
that the stockyard is not maintained and operated in accordance with the
standards specified in paragraph (c)(3) of this section.
(1) In the case of a denial, the operator of the laboratory or
facility or stockyard will be informed of the reasons for denial and,
upon request, shall be afforded an opportunity for a hearing with
respect to the merits or validity of such action in accordance with
rules of practice which shall be adopted for the proceeding.
(2) In the case of withdrawal, before such action is taken, the
operator of the laboratory or facility or stockyard will be informed of
the reasons for the proposed withdrawal and, upon request, shall be
afforded an opportunity for a hearing with respect to the merits or
validity of such action in accordance with rules of practice which shall
be adopted for the proceeding. However, withdrawal shall become
effective pending final determination in the proceeding when the Deputy
Administrator determines that such action is necessary to protect the
public health, interest, or safety. Such withdrawal shall be effective
upon oral or written notification, whichever is earlier, to the operator
of the laboratory or facility or stockyard. In the event of oral
notification, written confirmation shall be given as promptly as
circumstances allow. This withdrawal shall continue in effect pending
the completion of the proceeding, and any judicial review thereof,
unless otherwise ordered by the Deputy Administrator.
(3) Approval for a laboratory to conduct the official test will be
automatically withdrawn by the Deputy Administrator when the operator of
the approved laboratory notifies the National Veterinary Services
Laboratories in Ames, Iowa, in writing, that the laboratory no longer
conducts the official test.
(4) Approval for a diagnostic or research facility to receive
reactors moved interstate will be automatically withdrawn by the Deputy
Administrator when the operator of the approved diagnostic or research
facility notifies the Deputy Administrator, in writing, that the
diagnostic or research facility no longer receives reactors moved
interstate.
(5) Approval for a stockyard to handle reactors under this part will
be automatically withdrawn by the Administrator when the operator of the
approved stockyard notifies the Administrator, in writing, that the
stockyard no longer handles reactors moved interstate under this part.
(51 FR 12597, Apr. 14, 1986, as amended at 51 FR 30327, Aug. 26,
1986; 55 FR 13506, 13507, Apr. 11, 1990)
/1/ Information as to the National Uniform Tag code number system can
be obtained from the Deputy Administrator, Veterinary Services, Animal
and Plant Health Inspection Service, United States Department of
Agriculture, Federal Building, Hyattsville, Maryland 20782.
/2/ Training requirements, standard test protocols, and check test
proficiency requirements prescribed by the National Veterinary Services
Laboratories, and the names and addresses of approved laboratories can
be obtained from the Deputy Administrator Veterinary Services, Animal
and Plant Health Inspection Service, United States Department of
Agriculture, Federal Building, Hyattsville, Maryland 20782.
/3/ Facilities and procedures which are adequate to prevent the
transmission of equine infectious anemia, and the names and addresses of
approved diagnostic or research facilities, can be obtained from the
Deputy Administrator, Veterinary Services, Animal and Plant Health
Inspection Service, United States Department of Agriculture, Federal
Building, Hyattsville, MD 20782.
09 CFR 75.4 Contagious Equine Metritis (CEM)
09 CFR 75.5 Definitions.
For purposes of this section, the following terms shall mean:
Accredited Veterinarian. An accredited veterinarian as defined in
Part 160 of this chapter.
Affected Animal. An animal from which bacteria causing CEM has been
identified in a State or Federal animal disease diagnostic laboratory by
standard bacteriological methods.
Animal. Any horse, ass, mule, zebra or other equidae.
Breeding mare. Any mare more than 731 days old on the date of
interstate movement.
(43 FR 22926, May 30, 1978, as amended at 52 FR 7404, Mar. 11, 1987;
52 FR 28240, July 29, 1987)
09 CFR 75.6 General restrictions.
(a) Notice is hereby given that CEM, a communicable disease of
horses, asses, mules, zebras, and other equidae exists in each area
specified in 75.7 of this part.
(b) Affected or exposed animals shall not be moved interstate except
in accordance with the regulations in this part.
(43 FR 22927, May 30, 1978)
09 CFR 75.7 Areas quarantined.
Notice is hereby given that because of the existence of CEM in horses
in certain areas, and because of the nature and extent of such disease,
the following areas are hereby quarantined:
(a) (Reserved)
(52 FR 7404, Mar. 11, 1987, and 52 FR 28240, July 29, 1987)
09 CFR 75.8 and 75.9 (Reserved)
09 CFR 75.10 Procedures for breeding mares to be released from Federal
quarantine because of CEM.
(a) Any breeding mare which is affected with or exposed to CEM and
which is under Federal quarantine for CEM may be released from Federal
quarantine only if the breeding mare has met all the requirements of
this section and all specimens required by this section to be submitted
to a State or Federal animal disease diagnostic laboratory are cultured
and found negative for CEM, except as provided in paragraph (d) of this
section.
(b) Presurgical and surgical requirements. (1) Within 2 hours prior
to surgery required under paragraph (b)(2) of this section, a specimen
shall be collected from the clitoral fossa of the breeding mare by an
accredited veterinarian and submitted to a State or Federal animal
disease diagnostic laboratory for culture.
(2) The clitoral sinuses of the breeding mare shall be removed
surgically by an accredited veterinarian.
(3) The clitoral sinuses of the breeding mare shall be placed in a
container after removal and received by a State or Federal animal
disease diagnostic laboratory for culture within 6 hours of removal.
(c) Post surgical requirements. (1) For 5 consecutive days,
beginning the seventh day after removal of the clitoral sinuses, an
accredited veterinarian shall aseptically clean and wash (scrub) the
external genitalia and vaginal vestibule, including the clitoral fossa
with a solution of not less than 2 percent chlorhexidine in a detergent
base and then fill the clitoral fossa and coat the external genitalia
and vaginal vestibule with an ointment of not less than 0.2 percent
nitrofurozone.
(2) After an interim of 7 days following the 5th consecutive day of
scrubbing the external genitalia and the vaginal vestibule and filling
the clitoral fossa:
(i) For any pregnant breeding mare, an accredited veterinarian shall
collect three separate specimens from the clitoral fossa at an interval
of not less than 7 days between the collection of each specimen and
shall submit each specimen to a State or Federal animal disease
diagnostic laboratory for culture. Seven days after foaling, an
accredited veterinarian shall collect one specimen from the endometrium
of the uterus of the breeding mare and one specimen from the foal and
each specimen shall be submitted to a State or Federal animal disease
diagnostic laboratory for culture. If the foal is female, this specimen
shall be collected from the vaginal vestibule and, if male, from the
prepuce.
(ii) For any nonpregnant breeding mare for which complement fixation
and culture tests for CEM were conducted during the two year-period
immediately before the surgery required in this section, and for which
records have been kept of all such tests, which disclose that all the
tests conducted were negative, an accredited veterinarian shall collect
one specimen from the endometrium of the uterus during estrus and shall
submit the specimen to a State or Federal animal disease diagnostic
laboratory for culture.
(iii) For any nonpregnant breeding mare, other than provided in
paragraph (c)(2)(ii) of this section, an accredited veterinarian shall
collect three separate sets of specimens from the endometrium of the
uterus and clitoral fossa at an interval of not less than 7 days between
the collection of each set of specimens with one set of specimens to be
collected during estrus and shall submit each specimen to a State or
Federal animal disease diagnostic laboratory for culture.
(d) If any specimen required by this section is found to be positive
for CEM, the breeding mare shall not be released from Federal quarantine
except as provided in this paragraph. For such breeding mare, an
accredited veterinarian shall collect three additional separate sets of
specimens from the endometrium of the uterus and clitoral fossa at not
less than 7-day intervals between each set and shall submit each
specimen to a State or Federal animal disease diagnostic laboratory for
culture. The third set of specimens shall be collected not less than 1
year from the date of the last positive culture and shall be collected
during estrus. If the three additional sets of specimens are all
negative for CEM, the breeding mare may be released from Federal
quarantine.
(46 FR 15495, Mar. 6, 1981)
09 CFR 75.10 Pt. 76
09 CFR 75.10 PART 76 -- HOG CHOLERA AND OTHER COMMUNICABLE SWINE
DISEASES1034
Sec.
76.1 Definitions.
76.2 Notice relating to existence of the contagion or vectors of hog
cholera and other swine diseases; prohibition of movement of any hog
cholera virus, exceptions; spread of disease through raw garbage;
regulations; quarantines.
76.3 General restrictions.
76.4 Interstate movement of hog cholera virus prohibited, except as
provided.
76.5 Interstate movement of swine affected with or exposed to hog
cholera.
76.6 Interstate movement of certain swine not affected with or
exposed to hog cholera.
76.7 Interstate movement of vaccinated swine.
76.8 Interstate movement of swine from a quarantined area.
76.9 Interstate movement of swine products from a quarantined area.
76.10 Movement of swine and swine products from a quarantined area to
a nonquarantined area of the same State.
76.11 Movement of swine and swine products through quarantined areas.
76.12 Schedules of restrictions and conditions.
76.13 Interstate movement of specially processed swine products.
76.14 Special processing of swine products.
76.15 Special requirements for interstate movement of swine fed raw
garbage and products from swine fed raw garbage.
76.16 Authorization of other movements.
76.17 Serum prophylaxis treatment of swine.
76.18 Approval of livestock markets.
76.19-76.29 (Reserved)
76.30 Cleaning and disinfecting of means of conveyance.
76.31 Cleaning and disinfecting livestock markets and other
facilities.
76.32 Disinfectants to be used.
Authority: Secs. 4-7, 23 Stat. 32, as amended; secs. 1 and 2, 32
Stat. 791-792, as amended; secs. 1-4, 33 Stat. 1264, 1265, as
amended; sec. 1, 75 Stat. 481; secs. 3 and 11, 76 Stat. 130, 132;
21 U.S.C. 111-113, 114g, 115, 117, 120, 121, 123-126, 134b, 134f.
Source: 37 FR 3600, Feb. 17, 1972, unless otherwise noted.
0341The functions prescribed in part 76 of chapter I, 9 CFR, have
been transferred from the Agricultural Research Service, U.S.
Department of Agriculture, to the Animal and Plant Health Inspection
Service of the Department (36 FR 20707).
09 CFR 75.10 General Provisions
09 CFR 76.1 Definitions.
For purposes of this part, the following terms shall have the
meanings set forth in this section.
(a) Administrator. The Administrator of the Animal and Plant Health
Inspection Service, U.S. Department of Agriculture, or any other
official of such Service to whom authority has heretofore been delegated
or may hereafter be delegated to act in his stead.
(b) Deputy Administrator. The Deputy Administrator, Veterinary
Services, Animal and Plant Health Inspection Service, or any other
Veterinary Services official to whom authority has heretofore been
delegated or may hereafter be delegated to act in his stead.
(c) Veterinary Services. Veterinary Services, Animal and Plant
Health Inspection Service, U.S. Department of Agriculture.
(d) Hog cholera. The contagious, infectious and communicable disease
of swine commonly known as hog cholera.
(e) Exposed swine. Any swine that have been in contact with animals
known to be or suspected of being affected with hog cholera; any swine
which have been inoculated with modified live virus vaccine after
January 1, 1970; any swine which have been inoculated with any other
virulent hog cholera virus at any time; any swine which have been
inoculated with killed or inactivated hog cholera virus vaccine other
than as provided in paragraph (w) of this section; or any swine which
have been in contact with such vaccinates.
(f) Virulent hog cholera virus. The living agent capable of causing
hog cholera found:
(1) In the clear serum, plasma, defibrinated blood, whole blood or
other tissue derived from pigs affected with hog cholera; or
(2) In any material used as a medium for perpetuating such living
agent; or
(3) In living hog cholera virus vaccine commonly known as modified
live virus vaccine.
(g) Modified live virus vaccine. A living hog cholera virus vaccine
produced from a modified or attenuated strain of hog cholera virus and
prepared under license from the Secretary of Agriculture, issued
pursuant to Subchapter E of this chapter.
(h) Killed or inactivated hog cholera virus vaccine. A vaccine
produced from killed or inactivated hog cholera virus and prepared under
license from the Secretary of Agriculture, issued pursuant to Subchapter
E of this chapter.
(i) Garbage. Waste consisting in whole or in part of animal waste,
including any waste animal carcasses or the offal from such carcasses,
or parts thereof, but excluding waste from ordinary household operations
which is fed directly to swine on the same premises where such household
is located.
(j) Raw garbage. Garbage that has not been heated throughout to
boiling or equivalent temperature (usually 212 F. at sea level) for 30
minutes, or heated according to a method approved in specific cases by
the Deputy Administrator2035 as adequate to prevent the spread of hog
cholera.
(k) Food waste. Edible waste (for animal use) derived from garbage
that has been heated throughout to boiling or equivalent temperature
(usually 212 F. at sea level) for 30 minutes, or heated according to a
method approved in specific cases by the Deputy Administrator2 as
adequate to prevent the spread of hog cholera.
(l) State. Any State, Puerto Rico, the United States Virgin Islands,
or the District of Columbia.
(m) Interstate. From any State into or through any other State.
(n) Quarantined area. A State, or portion of a State, quarantined
under 76.2(e) because of hog cholera or other contagious, infectious,
or communicable disease of swine.
(o) Nonquarantined area. Any State, or portion of a State, not
quarantined under this part.
(p) Person. Any individual, corporation, company, association, firm,
partnership, society, or joint stock company or other legal entity.
(q) Moved. Shipped, transported, or otherwise moved, or delivered or
received for movement, by any person, by land, water, or air.
(r) Approved livestock market. A stockyard, livestock market, buying
station, concentration point or any other premises, under State or
Federal veterinary supervision where swine are assembled for sale or
sale purposes, and which has been approved by the Deputy Administrator
under 76.18.
(s) Nonapproved livestock market. A stockyard, livestock market,
buying station, concentration point or any other premises, other than an
approved livestock market, where swine are assembled for sale or sale
purposes.
(t) Recognized slaughtering establishment. A slaughtering
establishment where State or Federal meat inspection is available.
(u) Swine product. Any carcass, part or offal of swine, or product
thereof.
(v) Special processing. Subjecting a swine product to heat treatment
in accordance with the requirements contained in 76.14.
(w) Official vaccinates. Swine which are permanently identified as
official vaccinates; were reported at the time of vaccination to the
appropriate State or Federal agency; have never received official serum
prophylaxis; and were vaccinated against hog cholera prior to July 1,
1969, with a modified live virus hog cholera vaccine approved under this
part prior to July 1, 1969, administered in accordance with the
recommendations on the vaccine label, or were vaccinated prior to
January 1, 1970, with a killed or inactivated hog cholera virus vaccine
administered in accordance with the recommendations on the vaccine
label.
(x) Official serum prophylaxis. The inoculation of swine with
anti-hog-cholera serum or hog cholera antibody concentrate, as
prescribed in 76.17, under the supervision of a Federal or State
veterinary official, with permanent identification of such swine as
having been so inoculated.
(y) Farm of origin. A farm where the swine to be shipped interstate
were born and which has not been used within the 6 months prior to such
shipment to assemble, buy, or sell swine brought in from other sources.
(z) Slaughter market. An approved livestock market in a quarantined
area, the approval of which has been suspended as provided in 76.18(c),
or an approved livestock market not located within a quarantined area at
which swine for sale and shipment for slaughter are handled only on days
when no swine are handled for sale and shipment for feeding or breeding
purposes, and which is cleaned and disinfected in accordance with the
requirements of this part before any swine for feeding or breeding
purposes are handled thereat. 3036
(aa)-(bb) (Reserved)
(cc) Veterinary Services inspector. A veterinarian or livestock
inspector employed by Veterinary Services, Animal and Plant Health
Inspection Service, U.S. Department of Agriculture, in animal health
activities, who is authorized to perform the function involved.
(dd) State inspector. A veterinarian or livestock inspector
regularly employed in animal health activities by a State or a political
subdivision thereof, authorized by such State or political subdivision
to perform the function involved under a cooperative agreement with the
United States Department of Agriculture.
(ee) Accredited veterinarian. An accredited veterinarian as defined
in part 160 of this chapter.
(ff) State animal health official. The State animal health official
responsible for livestock and poultry disease control and eradication
programs.
(gg) Veterinarian in charge. The veterinary official of Veterinary
Services, Animal and Plant Health Inspection Service, U.S. Department
of Agriculture, who is assigned by the Deputy Administrator to supervise
and perform the official animal health work of the Animal and Plant
Health Inspection Service in the State concerned.
(hh) Vectors. Any swine which have been in contact with animals
known to be or suspected of being affected with hog cholera and which
are or have been introduced into, marketed, or maintained in any State
for purposes other than immediate slaughter and therefore may
disseminate hog cholera.
(37 FR 3600, Feb. 17, 1972, as amended at 37 FR 26391, Dec. 12, 1972;
39 FR 44404, Dec. 24, 1974; 40 FR 53546, Nov. 19, 1975)
0352Requests for approval of other methods may be made to the
Veterinarian in Charge, Animal Health Programs, Animal and Plant Health
Inspection Service, U.S. Department of Agriculture, for the State in
question.
0363Information concerning slaughter markets can be obtained from the
Veterinarian in Charge, Animal Health Programs, Animal and Plant Health
Inspection Service, U.S. Department of Agriculture, for the State in
question.
09 CFR 76.2 Notice relating to existence of the contagion or vectors of
hog cholera and other swine diseases; prohibition of movement of any
hog cholera virus, exceptions; spread of disease through raw garbage;
regulations; quarantines.
(a) Notice is hereby given that the contagion or vectors of hog
cholera exist in each area specified in paragraph (e) of this section
and that the contagion of hog cholera and other communicable diseases of
swine may exist in each State.
(b) Notice is hereby given that the Administrator has determined that
the prohibition of the interstate movement of any hog cholera virus,
except as specified in 76.4, is necessary in order to effectuate the
eradication of hog cholera.
(c) Notice is hereby given that there is reason to believe raw
garbage is one of the primary media through which the contagion of hog
cholera, swine erysipelas, trichinosis, tuberculosis, and other
contagious, infectious, or communicable diseases of swine is
disseminated. Further, there is reason to believe that if certain
foreign diseases, such as foot-and-mouth disease and African swine
fever, gain entrance into the United States, the contagion of such
diseases may be spread through the medium of raw garbage. Therefore,
the regulations in this part with respect to raw garbage are deemed
necessary in order to more effectually prevent, suppress, and extirpate
such diseases, to prevent the interstate spread thereof, and to guard
against the dissemination of diseases from foreign countries.
(d) Notice is hereby given that in order to effectually suppress and
extirpate hog cholera and other contagious, infectious, and communicable
diseases of swine, to prevent the spread and dissemination of the
contagion thereof and to protect the livestock of the United States, the
regulations in this part are promulgated to govern the interstate
movement of swine and swine products.
(e) Notice of quarantine: Notice is hereby given that because of the
existence of the contagion of hog cholera and the nature and extent of
such contagion or the existence of vectors, the following areas are
quarantined:
(Reserved)
(37 FR 3600, Feb. 17, 1972)
Editorial Note: The quarantined areas in paragraph (e) of 76.2 are
not carried in the Code of Federal Regulations. For Federal Register
citations affecting 76.2, see the List of CFR Sections Affected in the
Finding Aids section of this volume.
09 CFR 76.3 General restrictions.
Swine or swine products referred to in this part shall not be moved
interstate except in accordance with the regulations in this part.
09 CFR 76.4 Interstate movement of hog cholera virus prohibited, except
as provided.
Virulent hog cholera virus shall not be moved interstate, except
that: In specific cases and under such conditions as he may impose to
prevent the interstate spread of hog cholera and to effectuate the hog
cholera eradication program, the Deputy Administrator may authorize the
interstate movement of stated quantities of virulent hog cholera virus
for research, diagnostic, biologics production, or export purposes if he
determines that such movement will not endanger swine or impair the hog
cholera eradication program. When so moved for purposes other than
export, such virus shall be accompanied by a permit from the appropriate
official of the State of destination and shall in all cases, including
export, be accompanied by a certificate issued by the Deputy
Administrator specifying any conditions imposed regarding the specific
shipment.
09 CFR 76.5 Interstate movement of swine affected with or exposed to
hog cholera.
(a) Swine affected with hog cholera may not be moved interstate for
any purpose.
(b) Exposed swine (as defined in 76.1(e)) may be moved interstate
from any point in any State to a recognized slaughtering establishment
for immediate slaughter and special processing in accordance with
Schedule A of 76.12.
09 CFR 76.6 Interstate movement of certain swine not affected with or
exposed to hog cholera.
(a) Swine not known to be affected with or exposed to hog cholera may
be moved interstate from any point in any nonquarantined area to a
recognized slaughtering establishment for immediate slaughter, or to an
approved livestock market for sale for immediate slaughter without
further restriction under this part.
(b) Swine not known to be affected with or exposed to hog cholera may
be moved interstate from any nonquarantined area for feeding or breeding
purposes as provided in this paragraph (b):
(1) From any approved livestock market to any point other than a
nonapproved livestock market in accordance with Schedule B of 76.12.
(2) From a farm of origin to any point other than a nonapproved
livestock market in accordance with Schedule C of 76.12.
(3) From any premises other than a farm of origin or an approved or
nonapproved livestock market to any point other than a nonapproved
livestock market in accordance with Schedule D of 76.12.
(c) Swine not known to be affected with or exposed to hog cholera may
be moved interstate from any nonquarantined area for exhibition purposes
as provided in paragraph (b) of this section.
(37 FR 3600, Feb. 17, 1972, as amended at 40 FR 53546, Nov. 19, 1975)
09 CFR 76.7 Interstate movement of vaccinated swine.
(a) Official vaccinates may be moved interstate in accordance with
the same restrictions and conditions which apply to nonvaccinated swine
under the provisions of this part.
(b) Notwithstanding any other provisions of this part, swine treated
with approved modified live virus vaccine after July 1, 1969, but prior
to January 1, 1970, or treated with other virulent hog cholera virus
prior to April 1, 1966, may be moved interstate only from a
nonquarantined area and if they are not known to be affected with or
otherwise exposed to hog cholera and are consigned to a recognized
slaughtering establishment for immediate slaughter.
09 CFR 76.8 Interstate movement of swine from a quarantined area.
Swine may be moved interstate from a quarantined area in accordance
with the provisions of this section.
(a) Exposed swine (as defined in 76.1(e)) may be moved interstate as
provided in 76.5(b).
(b) Swine not known to be affected with or exposed to hog cholera may
be moved interstate from a quarantined area as provided in this
paragraph only for immediate slaughter or for sale and shipment for
immediate slaughter. Such swine may be so moved interstate:
(1) From any point other than an approved or nonapproved livestock
market to a recognized slaughtering establishment or to a slaughter
market (as defined in 76.1(z)) in accordance with Schedule E of 76.12.
(2) From a slaughter market (as defined in 76.1(z)) to a recognized
slaughtering establishment in accordance with Schedule E of 76.12.
(c) Quarantine of swine or detention of swine products moving
interstate in violation of regulations. The Deputy Administrator may
order the quarantine of swine or the detention of swine products found
to be moving interstate in violation of regulations contained in this
part. Release from quarantine or other disposition of such quarantined
swine or release of swine products detained to prevent the spread of
disease will be subject to the requirement of special processing in
accordance with 76.14 or any other conditions which may be specified by
the Deputy Administrator as necessary to prevent the spread of hog
cholera or other communicable diseases of livestock. Except for
supervision, no expense incurred in quarantining or otherwise disposing
of quarantined swine or in detaining or disposing of detained swine
products will be borne by the Department of Agriculture.
(37 FR 3600, Feb. 17, 1972, as amended at 40 FR 53546, Nov. 19, 1975)
09 CFR 76.9 Interstate movement of swine products from a quarantined
area.
Swine products not derived from swine affected with or exposed to hog
cholera may be moved interstate from a quarantined area if they were
produced in a federally inspected slaughtering establishment operating
under the provisions of the Federal Meat Inspection Act, as amended (21
U.S.C. 601 et seq.).
09 CFR 76.10 Movement of swine and swine products from a quarantined
area to a nonquarantined area of the same State.
Swine and swine products moved from the quarantined area of a State
to a nonquarantined area of the same State may be moved interstate only
as specified in 76.8 and 76.9.
09 CFR 76.11 Interstate movement of swine and swine products through
quarantined areas.
Swine and swine products may be moved interstate from nonquarantined
areas through quarantined areas without compliance with 76.8 and 76.9
if (a) such movement is continuous and direct and such swine and swine
products are not unloaded in the quarantined areas; or (b) if all
facilities used in connection with the unloading have been approved for
such purpose by a Veterinary Services inspector as having been cleaned
and disinfected before such use, as prescribed in 76.30 through 76.32,
under the supervision of a person authorized for the purpose by the
inspector.
09 CFR 76.12 Schedules of restrictions and conditions. 4037
Schedule A applies to the interstate movement of swine for immediate
slaughter and special processing as provided in 76.5(b) and 76.15 and
requires that:
1. The swine must be moved to a recognized slaughtering establishment
for immediate slaughter and special processing.
2. The recognized slaughtering establishment must be designated by
the Deputy Administrator to slaughter specific shipments of exposed
swine.
3. The means of conveyance must be sealed during transit with
Department seals or accompanied by a representative of Veterinary
Services or a person specifically authorized for the purpose by the
Deputy Administrator.
4. The seals must not be removed or broken except by a meat inspector
employed by the Consumer and Marketing Service of the U.S. Department
of Agriculture or other persons specifically authorized for this purpose
by the Deputy Administrator.
5. The swine must be accompanied by a certificate of a Veterinary
Services inspector showing that the establishment to which the animals
are consigned has been specifically approved by the Deputy
Administrator, that the inspector has inspected all swine on the
premises of origin within 48 hours of shipment interstate, and that the
swine are apparently free of hog cholera and other contagious,
infectious, or communicable diseases.
Schedule B applies to the interstate movement of feeder and breeder
swine as provided in 76.6(b)(1) and requires that:
1. The interstate movement must be continuous.
2. The interstate movement must be in the same means of conveyance in
its entirety.
3. The swine must be inspected by a Veterinary Services or State
inspector or an accredited veterinarian at the point of origin of the
interstate shipment immediately prior to such shipment, and found to be
apparently free of hog cholera and other contagious, infectious, or
communicable diseases.
4. The swine must be accompanied by an inspection certificate issued
by the Veterinary Services or State inspector or accredited Veterinarian
showing:
(a) Place and date of issuance.
(b) Consignee and consignor.
(c) That the swine have been inspected by the Veterinary Services or
State inspector or accredited veterinarian, and are apparently free of
hog cholera and other contagious, infectious, or communicable diseases.
5. A copy of the inspection certificate must be forwarded to the
appropriate Animal Health official of the State of destination.
6. Swine moved from an approved livestock market must be transported
in a means of conveyance which has been cleaned and disinfected as
provided in 76.30 and 76.32; Provided, however, That if the means of
conveyance is not regularly used to transport livestock, disinfection is
not required.
Schedule C applies to the interstate movement of feeder and breeder
swine as provided in 76.6(b)(2) and requires that:
1. The interstate movement must be continuous.
2. The interstate movement must be in the same means of conveyance in
its entirety.
Schedule D applies to the interstate movement of feeder and breeder
swine as provided in 76.6(b)(3) and requires that:
1. The interstate movement must be continuous.
2. The interstate movement must be in the same means of conveyance in
its entirety.
3. The swine must be inspected by a Veterinary Services or State
inspector or accredited Veterinarian at the point of origin of the
interstate shipment immediately prior to such shipment and found to be
apparently free of hog cholera and other contagious, infectious, or
communicable diseases.
4. The swine must be accompanied by an inspection certificate issued
by the Veterinary Services or State inspector or accredited veterinarian
showing:
(a) Place and date of issuance.
(b) Consignee and consignor.
(c) That the swine have been inspected by the Veterinary Services or
State inspector or accredited veterinarian and are apparently free from
hog cholera and other contagious, infectious, or communicable diseases.
5. A copy of the inspection certificate must be forwarded to the
appropriate Animal Health official of the State of destination.
Schedule E applies to the movement of swine from a quarantined area
for slaughter purposes as provided in 76.8(b) and requires that:
1. A permit for the movement must be obtained from the appropriate
Animal Health official of the State of destination.
2. (a) The swine must be identified by an individual ear tag to the
premises of origin or by a red mark at least 4'' 1/2'' above the
shoulder on the back of each animal, or (b) the means of conveyance in
which the swine are moved interstate must be sealed with Department
seals.
3. If the means of conveyance is sealed, the seals must not be
removed or broken except by a meat inspector employed by the Consumer
and Marketing Service of the U.S. Department of Agriculture or by other
persons authorized for this purpose by the Deputy Administrator.
4. All swine on the premises of origin, including the swine to be
moved interstate, must be inspected on the premises of origin by a
Veterinary Services or State inspector or an accredited veterinarian
within 24 hours prior to the time the interstate movement is to begin
and all swine on the premises must be found to be apparently free of hog
cholera and other contagious, infectious and communicable diseases, and
known exposure thereto.
5. The swine must be moved for immediate slaughter directly to a
federally inspected slaughtering establishment operating under the
provisions of the Federal Meat Inspection Act, as amended (21 U.S.C.
601 et seq.), or to a State inspected slaughtering establishment which
has inspection by a State inspector at the time of slaughter; or to a
slaughter market (as defined in 76.1(z) for sale and shipment for
immediate slaughter; they must be moved without contact at any point
with feeding or breeding swine; they shall not be unloaded en route;
and they shall not be diverted.
6. The swine must be accompanied by an inspection certificate issued
by a Veterinary Services or State inspector or an accredited
veterinarian showing:
(a) That all swine on the premises of origin, including those covered
by the certificate, were inspected by him as prescribed in paragraph 4
of this Schedule E and found to be apparently free from hog cholera and
other contagious diseases and from known exposure thereto.
(b) Consignee and consignor.
(c) Number of swine covered by the certificate.
(d) The individual eartag identification numbers of the swine or the
existence of the red color mark on each animal covered by the
certificate as prescribed in paragraph 2 of this Schedule E.
(e) That the swine covered by the certificate must be moved directly
to the federally or State inspected slaughtering establishment or
slaughter market specified on the certificate.
(f) That the swine must be moved without contact at any point with
feeding or breeding swine and shall not be unloaded or diverted enroute.
7. A copy of the inspection certificate must be forwarded to the
appropriate Animal Health official of the State of destination.
8. The means of conveyance used to transport the swine interstate
must be placarded by affixing conspicuously thereto a durable placard
not less than 5 x 8 inches in size on which are printed in block bold
faced letters not less than 1 1/2 inches in height, the words ''Swine
For Slaughter Only.''
9. The means of conveyance must be cleaned and disinfected in
accordance with 76.30 and 76.32 under supervision by a Veterinary
Services or State inspector immediately following unloading, except that
the Deputy Administrator may, in specific cases, approve other points
for such cleaning and disinfection when he finds that such procedure
will not hamper the hog cholera eradication program.
(37 FR 3600, Feb. 17, 1972, as amended at 40 FR 53547, Nov. 19, 1975)
0374 In each instance the regulations of the State of destination
should be consulted.
09 CFR 76.13 Interstate movement of specially processed swine products.
Except as provided in 76.9, 76.10, 76.11, and 76.15, swine products
which have been specially processed may be moved interstate without
restriction under this part.
09 CFR 76.14 Special processing of swine products.
All swine products required under the regulations of this part to be
specially processed shall be heated to an internal temperature of at
leasts 156 F. for 30 minutes or to an internal temperature of 177 F.
for 3 minutes.
09 CFR 76.15 Special requirements for interstate movement of swine fed
raw garbage and products from swine fed raw garbage.
(a) Movement of swine. Swine which have been fed any raw garbage may
be moved interstate under this part only in accordance with Schedule A
of 76.12 to a slaughtering establishment specifically approved for the
purpose by the Deputy Administrator in each case, for immediate
slaughter and special processing at such establishment in a manner
approved by the Deputy Administrator as adequate to prevent the spread
of communicable livestock diseases.
(b) Movement of swine products. (1) Swine products produced at an
establishment operating under the Federal Meat Inspection Act, as
amended (21 U.S.C. 601 et seq.), which handles products of swine fed raw
garbage but specially processes all such products separate and apart
from other swine products, keeps the products properly identified and
otherwise handles the products in a manner approved by the Deputy
Administrator as adequate to prevent the spread of communicable
livestock diseases, may be moved interstate without further restriction
under this section, but in accordance with the other provisions of this
part.
(2) Swine products produced at an establishment operating under the
Federal Meat Inspection Act, as amended (21 U.S.C. 601 et seq.), which
handles any products of swine fed any raw garbage and does not handle
all such products as specified in paragraph (b) (1) of this section, may
be moved interstate only if accompanied by a certificate signed by a
meat inspector of the Consumer and Marketing Service, U.S. Department
of Agriculture (i) identifying the products to be moved interstate and
stating that, insofar as he has been able to determine, the particular
products were derived from swine which had not been fed any raw garbage,
or (ii) identifying the products to be moved interstate and stating that
the particular products have been handled as specified in paragraph
(b)(1) of this section.
09 CFR 76.16 Authorization of other movements.
The Deputy Administrator, in specific cases, may authorize the
interstate movement of swine or swine products not otherwise authorized
under this part, under such conditions as he may prescribe to prevent
the spread of hog cholera or other contagious, infectious, or
communicable diseases, and when so moved, the swine or swine products
must be accompanied by a permit from the appropriate Animal Health
official of the State of destination and a permit from Veterinary
Services specifying any conditions imposed regarding such movement.
09 CFR 76.17 Serum prophylaxis treatment of swine.
Although there is no requirement under this part that swine be
treated with anti-hog-cholera serum or hog cholera antibody concentrate
prior to interstate movement, if swine do receive serum prophylaxis
prior to interstate movement they shall be inoculated with
anti-hog-cholera serum or hog cholera antibody concentrate prepared
under license from the Secretary of Agriculture issued pursuant to
subchapter E of this chapter; they shall meet all other applicable
provisions of this part; and the permitted dosage of anti-hog-cholera
serum or hog cholera antibody concentrate shall be as follows:
09 CFR 76.18 Approval of livestock markets.
(a) Notices containing lists of livestock markets approved for the
purposes of the regulations in this part will be published in the
Federal Register. Information with respect to those livestock markets
may also be obtained from Veterinary Services.
(b) The Deputy Administrator is authorized to approve any livestock
market for the purposes of the regulations in this part when he
determines that the operator of such livestock market has executed an
appropriate agreement as set forth in paragraph (b) (1) or (2) of this
section and that the livestock market meets the standards specified in
such agreement. Request for such approval may be made to the
Veterinarian in Charge, Animal Health Programs, Animal and Plant Health
Inspection Service, U.S. Department of Agriculture, for the State in
which the livestock market is located, and the executed agreement shall
be filed with said Veterinarian in Charge. The Deputy Administrator is
authorized to promulgate notices listing approved livestock markets in
accordance with paragraph (a) of this section. The Deputy Administrator
may withdraw approval and remove any livestock market from such list
when he determines that such livestock market no longer complies with
the requirements of the agreement applicable to its operations, or that
the operator has terminated such agreement. 5038
(1)
To: Veterinary Services Animal and Plant Health Inspection Service,
U.S. Department of Agriculture.
The undersigned operator of the livestock market known as
---------------- (Name) located at -------------------- (Address),
hereby requests approval to handle interstate shipments of feeder or
breeder and/or slaughter swine in accordance with the regulations in 9
CFR 76. Said operator agrees to:
1. Provide Veterinary Services with a schedule of sale days and
cooperate with Veterinary Services in obtaining compliance by livestock
shippers with applicable State and Federal regulations.
2. Provide well-constructed and well-lighted imperviously surfaced
pens, alleys, and sales rings for holding, inspecting and otherwise
handling swine, and keep all swine handling facilities clean and in good
repair.
3. Require all swine received at the livestock market to be given an
inspection by a Veterinary Services or State inspector or an accredited
veterinarian, and refuse to sell any swine that show signs of any
infectious, contagious, or communicable disease upon such inspection
except as authorized by a Veterinary Services or State inspector or an
accredited veterinarian.
4. Separate from the other swine all swine found upon inspection to
be, or suspected of being, affected with any contagious, infectious, or
communicable disease and immediately notify a Veterinary Services or
State inspector, or an accredited veterinarian, of the presence of such
swine at the livestock market.
5. Permit no feeder or breeder swine to remain in the livestock
market for more than 72 hours and permit no slaughter swine to remain in
the livestock market for more than 120 hours.
6. Issue no release for removal of feeder or breeder swine from the
livestock market until the swine are identified in accordance with
applicable requirements of Federal or State regulations and have been
inspected by a Veterinary Services or State inspector, or an accredited
veterinarian, and certified in accordance with applicable Federal or
State regulations.
7. Issue no release for removal of slaughter swine from the livestock
market unless consigned for immediate slaughter and identify the
consignee on the release document.
8. Clean and disinfect pens, alleys, sales rings, docks, scales, and
other facilities when required under 71.4 or 76.31, with a
disinfectant specified in 76.32.
9. Provide facilities and services for cleaning and disinfecting
means of conveyance as prescribed in 76.30 and 76.32.
10. Permit no swine to be inoculated at the livestock market with any
hog cholera vaccine or any virulent hog cholera virus.
11. Maintain, for one year after the transaction involved, a record
of the origin and destination of all swine, and also of the
identification of all swine required to be identified in accordance with
Paragraph 6 of this agreement, handled through the livestock market and
afford Veterinary Services and State inspectors access to such records
at all reasonable times.
(Name of operator of livestock market)
(Address)
(Signature and Title)
(Date)
The Veterinary Services, Animal and Plant Health Inspection Service,
U.S. Department of Agriculture, has approved this application effective
------------ (Date).
(Veterinarian in Charge)
(Address)
(Date)
(2) See the following example:
To: Veterinary Services, Animal and Plant Health Inspection Service,
U.S. Department of Agriculture:
The undersigned operator of the livestock market known as
---------------- (Name), located at -------------------- (Address),
hereby requests approval to handle interstate shipments of slaughter
swine only, in accordance with the regulations in 9 CFR, part 76. Said
operator agrees to:
1. Provide Veterinary Services with a schedule of sale days and
cooperate with Veterinary Services in obtaining compliance by livestock
shippers with applicable State and Federal regulations.
2. Separate from other swine all swine suspected of being affected
with any contagious, infectious, or communicable disease and immediately
notify a Veterinary Services or State inspector, or an accredited
veterinarian, of the presence of such swine at the livestock market.
3. Issue no releases for removal of any swine from the livestock
market unless consigned for immediate slaughter and identify the
consignee on the release document.
4. Permit no swine to be inoculated at the livestock market with any
modified live virus hog cholera vaccine or any other virulent hog
cholera virus.
5. Maintain, for one year after the transaction involved, a record of
the origin and destination of all swine handled through the livestock
market and afford Veterinary Services and State inspectors access to
such records at all reasonable times.
(Name of operator of livestock market)
(Address)
(Signature and title)
(Date)
The Veterinary Services, Animal and Plant Health Inspection Service,
U.S. Department of Agriculture, has approved this application effective
------------ (Date).
(Veterinarian in charge)
(Address)
(Date)
(c) Approval of livestock markets in a quarantined area. The
approved status of all livestock markets approved for the purposes of
the regulations in this part under this section which are located in an
area placed under quarantine because of hog cholera, shall be suspended
(only for purposes of this part) when such area is placed under
quarantine and shall be restored when such area is released from
quarantine only upon compliance with all provisions of this section:
Provided, That such livestock markets which qualify under 76.1(z) may
operate as slaughter markets for the purpose of receiving interstate
shipments of slaughter swine and releasing in accordance with 76.8,
directly to a slaughter swine for interstate shipment, federally
inspected slaughtering establishment operating under the provisions of
the Federal Meat Inspection Act, as amended (21 U.S.C. 601 et seq.), or
to a State inspected slaughtering establishment which has inspection by
a State inspector at the time of slaughter.
(Approved by the Office of Management and Budget under control number
0579-0016)
(37 FR 3600, Feb. 17, 1972, as amended at 40 FR 53547, Nov. 19, 1975;
48 FR 57472, Dec. 30, 1983)
76.19 -- 76.29 (Reserved)
0385The standards contained in these agreements are minimal and
agreements within individual States may be adjusted to conform to more
restrictive State laws or regulations.
09 CFR 76.30 Cleaning and disinfecting of means of conveyance.
(a) All means of conveyance and their associated equipment used for
receiving, shipping, loading, unloading, and delivering swine and for
feeding, watering, and resting swine, in connection with the interstate
movement of swine, shall be kept clean.
(b) Any means of conveyance and its associated equipment which has
been used to move swine interstate which are affected with any
contagious, infectious, or communicable disease, shall be cleaned and
disinfected under the supervision of a Veterinary Services or State
inspector or an accredited veterinarian as follows: Remove all litter,
feed, and manure from all portions of each means of conveyance,
including all ledges and framework inside and outside, and handle such
litter, feed, and manure in such manner as not to expose livestock to
any disease contained therein; clean the interior and the exterior of
such vehicle or other means of conveyance and its associated equipment;
and saturate the entire interior surface, including all doors, endgates,
portable chutes, and similar equipment with a disinfectant prescribed in
76.32.
(c) The Deputy Administrator may, in specific cases, require the
thorough cleaning and disinfecting, under the supervision of a
Veterinary Services or State inspector or an accredited veterinarian in
the manner provided in paragraph (b) of this section, of any means of
conveyance which has been used to move interstate any swine which have
been fed any raw garbage, or any swine products derived from such swine,
or swine exposed to hog cholera or other contagious, infectious or
communicable livestock disease, or which the Deputy Administrator has
reason to believe may have been otherwise infected with or exposed to
such a disease, when he determines that such cleaning and disinfecting
is necessary to guard against the spread of any such disease.
(d) The carrier shall be responsible for cleaning and disinfecting
all means of conveyance and associated equipment as required by this
section and such cleaning and disinfecting shall be done without expense
to the Department of Agriculture.
(e) Such cleaning and disinfecting shall be done before the means of
conveyance is moved from the place where the swine or swine products are
unloaded, unless the Deputy Administrator, in specific cases, authorizes
its movement to another location and cleaning and disinfecting is
carried out at such location in accordance with this section.
09 CFR 76.31 Cleaning and disinfecting livestock markets and other
facilities.
(a) All livestock markets and other facilities, including facilities
for receiving, shipping, loading, unloading, and delivering swine and
for feeding, watering, and resting swine, used in connection with the
interstate movement of swine shall be kept clean.
(b) All livestock markets and other facilities, or any portion
thereof, which have been used in connection with the interstate movement
of swine which are affected with any contagious, infectious, or
communicable disease, shall be cleaned and disinfected under the
supervision of a Veterinary Services or State inspector or an accredited
veterinarian as follows: Empty all troughs and other feeding and
watering appliances; remove all litter, feed, and manure from the
floors, posts, or other parts, and handle such litter, feed, and manure
in such manner as not to expose livestock to any disease contained
therein; and saturate the entire surface of the fencing, troughs,
chutes, floors, walls, and all other parts with a disinfectant as
prescribed in 76.32.
(c) The Deputy Administrator, in specific cases, may require the
thorough cleaning and disinfecting, under the supervision of a
Veterinary Services or State inspector or an accredited veterinarian, in
the manner provided in paragraph (b) of this section, of any livestock
market and other facility, or any portion thereof, which has been used
in connection with the interstate movement of any swine which have been
fed any raw garbage or swine products derived from such swine, or swine
exposed to hog cholera or other contagious, infectious, or communicable
disease, or which the Deputy Administrator has reason to believe may
have been otherwise infected with or exposed to such a disease, when he
determines that such cleaning and disinfecting is necessary to guard
against the spread of any such disease.
(d) The owner of such livestock markets and other facilities shall be
responsible for cleaning and disinfecting as required under this
section, and the cleaning and disinfecting shall be done without expense
to the Department of Agriculture.
(e) All livestock markets or other facilities, or any portion
thereof, required to be cleaned and disinfected under this section shall
not be used for handling swine until after the cleaning and disinfecting
has been done.
09 CFR 76.32 Disinfectants to be used.
Disinfection required under the regulations in this part shall be
performed with one of the following:
(a) A permitted brand of sodium orthophenylphenate used in a
proportion of at least 1 pound to 12 gallons of water, as prescribed in
71.12 of this chapter.
(b) A permitted cresylic disinfectant in the proportion of at least 4
fluid ounces to 1 gallon of water, as prescribed under 71.10(b) and
71.11 of this chapter.
(c) A permitted general disinfectant (which meets the specifications
of 71.10(a)(5) of this chapter) and which has been shown to be
virucidal against the virus of hog cholera, as determined by the Deputy
Administrator,6039 may be used at the dilution and otherwise in
accordance with directions for use as shown on the label of such
disinfectant.
0396Information as to the names of such disinfectants may be obtained
from the Veterinarian in Charge or a Veterinary Services inspector.
09 CFR 76.32 Pt. 77
09 CFR 76.32 PART 77 -- TUBERCULOSIS
Sec.
77.1 Definitions.
77.2 General restrictions.
77.3 Movement from accredited-free States and modified accredited
states.
77.4 Movement from nonmodified accredited states.
77.5 Interstate movement of cattle and bison that are exposed,
reactors, or suspects, or from herds comtaining suspects.
77.6 Other movements.
Authority: 21 U.S.C. 111, 114, 114a, 115-117, 120, 121, 134b, 134f;
7 CFR 2.17, 2.51, and 371.2(d).
Source: 43 FR 34431, Aug. 4, 1978, unless otherwise noted.
09 CFR 77.1 Definitions.
As used in this part, the following terms shall have the meanings set
forth in this section except as otherwise specified.
Accredited-free state. (1)(i) To establish or maintain status as an
accredited-free state, a state must have no findings or tuberculosis in
any cattle or bison in the state for at least 5 years. The state also
must comply with all of the provisions of the ''Uniform Methods and
Rules -- Bovine Tuberculosis Eradication'' regarding accredited-free
states and must apply these provisions to bison in the same manner as to
cattle. Detection of tuberculosis in any cattle or bison in the state
will result in suspension of accredited-free state status. Detection of
tuberculosis in two or more herds in the state within 48 months will
result in revocation of accredited-free state status. Accredited-free
state status must be renewed annually.
(ii) To qualify for renewal of accredited-free state status, a state
must submit an annual report to APHIS certifying that the state complies
with all the provisions of the ''Uniform Methods and Rules -- Bovine
Tuberculosis Eradication'' regarding accredited-free states and that the
state applies these provisions to bison in the same manner as to cattle.
The report must be submitted to APHIS each year between October 1 and
November 30.
(2) Accredited-free states: Alabama, Alaska, Arizona, Arkansas,
Colorado, Connecticut, Delaware, Florida, Georgia, Idaho, Illinois,
Indiana, Iowa, Kentucky, Maine, Maryland, Massachusetts, Michigan,
Minnesota, , Mississippi, Missouri, Montana, Nebraska, Nevada, New
Hampshire, New Jersey, New York, North Dakota, Ohio, Oregon,
Pennsylvania, Rhode Island, South Carolina, South Dakota, Utah, Vermont,
the Virgin Islands of the United States, Virginia, Washington, West
Virginia, Wisconsin, and Wyoming.
Accredited herd. To establish or maintain accredited herd status,
the herd owner must comply with all the provisions of the ''Uniform
Methods and Rules -- Bovine Tuberculosis Eradication'' regarding
accredited herds and must apply the provisions to bison in the same
manner as to cattle. All cattle and bison in a herd must be free from
tuberculosis.
Accredited veterinarian. A veterinarian approved by the
Administrator in accordance with the provisions of part 161 of this
title to perform functions specified in parts 1, 2, 3, and 11 of
subchapter A, and subchapters B, C, and D of this chapter, and to
perform functions required by cooperative State-Federal disease control
and eradication programs.
Administrator. The Administrator, Animal and Plant Health Inspection
Service, or any person authorized to act for the Administrator.
Affected herd. A herd in which tuberculosis has been disclosed in
any cattle or bison by an official tuberculin test or by postmortem
examination.
Animal. All species of animals except man, birds, or reptiles.
Animal and Plant Health Inspection Service. The Animal and Plant
Health Inspection Service of the United States Department of Agriculture
(APHIS or Service).
APHIS representative. An individual employed by APHIS who is
authorized to perform the function involved.
Cattle and bison not known to be affected. All cattle and bison
except those originating from tuberculosis affected herds or from herds
containing tuberculosis suspect cattle or bison.
Certificate. An official document issued by an APHIS representative,
a State representative, or an accredited veterinarian at the point of
origin of a shipment of cattle and bison to be moved under this part,
which shows the identification tag, tattoo, or registration number or
similar identification of each animal to be moved, the number, breed,
sex, and approximate age of the animals covered by the document, the
purpose for which the animals are to be moved, the date and place of
issuance, the points of origin and destination, the consignor, and the
consignee, and which states that the animal or animals identified on the
certificate meet the requirements of this part.
Department. The U.S. Department of Agriculture (USDA).
Exposed cattle and bison. Cattle and bison, except reactor cattle
and bison, which are part of an affected herd.
Herd. Any group of cattle or bison, or both maintained on common
ground for any purpose, or two or more groups of cattle or bison, or
both under common ownership or supervision, which are geographically
separated, but among which there is an interchange or movement of cattle
or bison without regard to health status.
Interstate. From one State into or through any other State.
Modified accredited state. (1)(i) To establish or maintain status as
a modified accredited state, a state must comply with all of the
provisions of the ''Uniform Methods and Rules -- Bovine Tuberculosis
Eradication'' regarding modified accredited states, and must apply these
provisions to bison in the same manner as to cattle. Modified
accredited state status must be renewed annually.
(ii) To qualify for renewal of modified accredited state status, a
state must submit an annual report to APHIS certifying that the state
complies with all the provisions of the ''Uniform Methods and Rules --
Bovine Tuberculosis Eradication'' regarding modified accredited states
and that the state applies these provisions to bison in the same manner
as to cattle. The report must be submitted to APHIS each year between
October 1 and November 30.
(2) Modified accredited states: California, Hawaii, Kansas,
Louisiana, New Mexico, North Carolina, Oklahoma, Puerto Rico, Tennessee,
and Texas.
Moved. Shipped, transported, or otherwise moved, or delivered or
received for movement.
Negative cattle and bison. Cattle are classified negative for
tuberculosis in accordance with the ''Uniform Methods and Rules --
Bovine Tuberculosis Eradication,'' based on the results of an official
tuberculin test. Bison are classified negative for tuberculosis in the
same manner as cattle.
Nonmodified accredited state. (1) A state that has not received
accredited-free state status or modified accredited state status. (2)
Nonmodified accredited states: (No states)
Official seal. A seal issued by a State or APHIS representative.
Official tuberculin test. Any test for tuberculosis conducted on
cattle in accordance with the ''Uniform Methods and Rules -- Bovine
Tuberculosis Eradication.'' The official tuberculin test for bison is
the same as for cattle.
Permit. An official document issued for movement of animals under
this part by an APHIS representative, State representative, or an
accredited veterinarian at the point of origin of a shipment of cattle
or bison to be moved directly to slaughter, which shows the tuberculosis
status of each animal (reactor, suspect, or exposed), the ear tag number
of each animal and the name of the owner of such animal, the
establishment to which the animals are to be moved, the purpose for
which the animals are to be moved and that they are eligible for such
movement under the applicable provisions of 77.5 and 77.6 of this
part.
Person. Any individual, corporation, company, association, firm,
partnership, society, or joint stock com- pany, or other legal entity.
Reactor cattle and bison. Cattle are classified as reactors for
tuberculosis in accordance with the ''Uniform Methods and Rules --
Bovine Tuberculosis Eradication,'' based on a positive response to an
official tuberculin test. Bison are classified as reactors for
tuberculosis in the same manner as cattle.
State. Any State, territory, the District of Columbia, or Puerto
Rico.
State representative. A veterinarian or other person employed in
livestock sanitary work of a State or political subdivision thereof and
who is authorized by such State or political subdivision thereof to
perform the function involved under a memorandum of understanding with
the Department.
Suspect cattle and bison. Cattle are classified as suspects for
tuberculosis in accordance with the ''Uniform Methods and Rules --
Bovine Tuberculosis Eradication,'' based on a positive response to an
official tuberculin test. Bison are classified as suspects for
tuberculosis in the same manner as cattle.
Transportation document. Any document accompanying the interstate
movement, such as an owner's statement, manifest, switch order, or
vehicle record, on which is stated: (1) The point from which the
animals are moved interstate; (2) the destination of the animals; (3)
the number of animals covered by the document; and (4) the name and
address of the owner or shipper.
Tuberculosis. The contagious, infectious, and communicable disease
caused by Mycobacterium bovis.
Uniform Methods and Rules -- Bovine Tuberculosis Eradication.
Uniform methods and rules for eradicating bovine tuberculosis in the
United States, adopted by the United States Animal Health Association on
October 24, 1984, and approved by APHIS on March 13, 1985. The
''Uniform Methods and Rules -- Bovine Tuberculosis Eradication'' were
approved for incorporation by reference into the Code of Federal
Regulations by the Director of the Federal Register in accordance with 5
U.S.C. 552(a) and 1 CFR part 51. 1
(Approved by the Office of Management and Budget under control number
0579-0084)
(40 FR 27009, June 26, 1975)
Editorial Note: For Federal Register citations affecting 77.1, see
the List of CFR Sections Affected in the Finding Aids section of this
volume.
1Copies may be obtained from the Animal Health and Depredation
Management Systems Staff, Animal and Plant Health Inspection Service,
United States Department of Agriculture, 6505 Belcrest Road,
Hyattsville, MD 20782.
/2/ (Reserved)
09 CFR 77.2 General restrictions.
Cattle and bison may not be moved interstate except in compliance
with this part.
(52 FR 39615, Oct. 23, 1987)
09 CFR 77.3 Movement from accredited-free States and modified
accredited states. 3
Cattle or bison not known to be affected with or exposed to
tuberculosis, originating in an accredited-free State or a modified
accredited state, may be moved interstate without restriction.
(43 FR 34431, Aug. 4, 1978. Redesignated at 52 FR 39615, Oct. 23,
1987, and amended at 52 FR 39616, Oct. 23, 1987)
3The regulations of the State of destination should be consulted
before shipments are made from accredited-free State and modified
accredited areas.
09 CFR 77.4 Movement from nonmodified accredited states.
Cattle or bison not known to be affected with or exposed to
tuberculosis, originating in a nonmodified accredited state, shall only
be moved interstate if:
(a) Such cattle or bison are accompanied by a certificate stating
that such cattle or bison have been classified negative to an official
tuberculin test, which was conducted within 30 days prior to the date of
movement. All cattle or bison not individually identified by a
registration name and number shall be individually identified by an
APHIS approved metal eartag or tattoo; or
(b) Such cattle or bison are from an accredited herd and they are
accompanied by a certificate showing the cattle to be from such a herd;
or
(c) Such cattle or bison are moved interstate directly to slaughter
to an establishment operating under the provisions of the Federal Meat
Inspection Act (21 U.S.C. 601 et seq.) or to a State inspected
slaughtering establishment which has inspection by a State inspector at
the time of slaughter.
(43 FR 34431, Aug. 4, 1978. Redesignated at 52 FR 39615, Oct. 23,
1987, and amended at 52 FR 39616, Oct. 23, 1987; 54 FR 31165, July 27,
1989)
09 CFR 77.5 Interstate movement of cattle and bison that are exposed,
reactors, or suspects, or from herds comtaining suspects.
(a) Reactor cattle and bison. Cattle or bison which have been
classified as reactor cattle or bison may be moved interstate only if
they are moved directly to slaughter at an establishment operating under
the provisions of the Federal Meat Inspection Act (21 U.S.C. 601 et
seq.) or to a State-inspected slaughtering establishment which has
inspection by a State inspector at the time of slaughter, and only upon
compliance with the following conditions:
(1) The reactor cattle or bison shall be individually identified by
branding the letter ''T'' not less than 2 nor more than 3 inches high on
the left jaw and by an APHIS approved metal eartag bearing a serial
number and the inscription ''U.S. Reactor'' or a similar State reactor
tag bearing such number and similar description attached to the left ear
of each animal; and
(2) The reactor cattle or bison shall be accompanied by a permit;
and
(3) The reactor cattle or bison shall not be moved interstate in a
means of conveyance containing any animals susceptible to tuberculosis
unless all of the animals are being moved directly to slaughter; and
(4) Any person who moves reactor cattle or bison interstate under
this paragraph shall plainly write or stamp upon the face of the
transportation document the words ''Tuberculin Reactor'' and the
following statement: ''This conveyance shall be cleaned and disinfected
in accordance with 77.5(a)(5) of the regulations.''; and
(5) Each means of conveyance in which reactor cattle or bison have
been transported interstate under this paragraph shall be cleaned and
disinfected by the carrier, in accordance with the provisions of 71.6,
71.7, and 71.10 of this subchapter, under the supervision of an APHIS
representative or State representative or an accredited veterinarian or
other person designated by the Administrator. If, at the point where
the cattle are unloaded, such supervision or proper cleaning and
disinfecting facilities are not available, and permission is obtained
from an APHIS representative or State representative, the empty means of
conveyance may be moved to a location where such supervision and
facilities are available for cleaning and disinfecting. Permission
shall be granted if such movement does not present a risk of the
dissemination of tuberculosis.
(b) Exposed cattle and bison. Except for the movement of exposed
cattle to a quarantined feedlot in accordance with 50.16 of this
chapter, exposed cattle or exposed bison shall be moved interstate only
if they are moved directly to slaughter to an establishment operating in
accordance with the Federal Meat Inspection Act (21 U.S.C. 601-695) or
to a state inspected slaughtering establishment which has inspection by
a state inspector at the time of slaughter and only in accordance with
the following conditions:
(1) Such exposed cattle or bison must be individually identified by
branding the letter ''S'' not less than 2 nor more than 3 inches high on
the left jaw and by tagging with an APHIS approved metal eartag bearing
a serial number attached to either ear of each animal, except that in
lieu of branding, the cattle or bison may be accompanied to slaughter by
an APHIS representative or State representative, or may be moved in
vehicles closed with official seals. When such cattle or bison are
moved in vehicles closed with official seals, said seals shall only be
removed by a State or Federal employee specifically designated by the
Administrator; and
(2) Such exposed cattle or bison shall be moved in accordance with
the requirements pertaining to reactor cattle or bison contained in
paragraphs (a)(2), (a)(3), and (a)(5) of this section.
(c) Suspect cattle and bison. Suspect cattle or bison which have not
been retested and found negative from herds in which no reactor cattle
or bison have been disclosed on an official tuberculin test, and
negative cattle or bison from such herds, shall only be moved interstate
if they are moved directly to slaughter to an establishment operating
under the provisions of the Federal Meat Inspection Act (21 U.S.C. 601
et seq.) or to a State inspected slaughtering establishment which has
inspection by a State inspector at the time of slaughter.
(Approved by the Office of Management and Budget under control number
0579-0051)
(43 FR 34431, Aug. 4, 1978, as amended at 51 FR 33736, Sept. 23,
1986; 52 FR 1317, Jan. 13, 1987. Redesignated at 52 FR 39615, Oct. 23,
1987, and amended at 52 FR 39616, Oct. 23, 1987; 54 FR 31165, July 27,
1989)
09 CFR 77.6 Other movements.
The Administrator may, with the concurrence of the livestock sanitary
officials of the State of destination, upon request in specific cases,
permit the movement of cattle or bison not otherwise provided for in
this part which have not been classified as reactor cattle or bison and
are not otherwise known to be affected with tuberculosis, under such
conditions as he may prescribe in each specific case to prevent the
spread of tuberculosis. The Administrator shall promptly notify the
appropriate livestock sanitary officials of the State of destination of
any such action.
(43 FR 34431, Aug. 4, 1978. Redesignated at 52 FR 39615, Oct. 23,
1987, and amended at 52 FR 39616, Oct. 23, 1987; 54 FR 31165, July 27,
1989)
09 CFR 77.6 Pt. 78
09 CFR 77.6 PART 78 -- BRUCELLOSIS
Sec.
09 CFR 77.6 Subpart A -- General Provisions
78.1 Definitions.
78.2 Handling of certificates, permits, and ''S'' brand permits for
interstate movement of animals.
78.3 Handling in transit of cattle and bison moved interstate.
78.4 (Reserved)
09 CFR 77.6 Subpart B -- Restrictions on Interstate Movement of Cattle
Because of Brucellosis
78.5 General restrictions.
78.6 Steers and spayed heifers.
78.7 Brucellosis reactor cattle.
78.8 Brucellosis exposed cattle.
78.9 Cattle from herds not known to be affected.
78.10 Official vaccination of cattle moving into and out of Class B
and Class C States or areas.
78.11 Cattle moved to a specifically approved stockyard not in
accordance with this part.
78.12 Cattle from quarantined areas.
78.13 Other movements.
78.14 Rodeo bulls.
78.15 -- 78.19 (Reserved)
09 CFR 77.6 Subpart C -- Restrictions on Interstate Movement of Bison
Because of Brucellosis
78.20 General restrictions.
78.21 Bison steers and spayed heifers.
78.22 Brucellosis reactor bison.
78.23 Brucellosis exposed bison.
78.24 Bison from herds not known to be affected.
78.25 Other movements.
78.26 -- 78.29 (Reserved)
09 CFR 77.6 Subpart D -- Restrictions on Movement of Swine Because of
Brucellosis
78.30 General restrictions.
78.31 Brucellosis reactor swine.
78.32 Brucellosis exposed swine.
78.33 Sows and boars.
78.34 Other movements.
78.35 -- 78.39 (Reserved)
09 CFR 77.6 Subpart E -- Designation of Brucellosis Areas, and
Specifically Approved Stockyards
78.40 Designation of States/areas.
78.41 State/area classification.
78.42 Quarantined areas.
78.43 Validated brucellosis-free States.
78.44 Specifically approved stockyards.
Authority: 21 U.S.C. 111-114a-1, 114g, 115, 117, 120, 121, 123-126,
134b, 134f; 7 CFR 2.17, 2.51, and 371.2(d).
Source: 51 FR 32580, Sept. 12, 1986, unless otherwise noted.
09 CFR 77.6 Subpart A -- General Provisions
09 CFR 78.1 Definitions.
The following terms are defined in this section:
Accredited veterinarian
Administrator
APHIS representative
Animals
Animal and Plant Health Inspection Service
Approved brucella vaccine
Approved individual herd plan
Approved intermediate handling facility
Area
''B'' branded
Boar
Brucellosis
Brucellosis exposed
Brucellosis negative
Brucellosis reactor
Brucellosis ring test
Brucellosis suspect
Certificate
Certified brucellosis-free herd
Class A State or area
Class B State or area
Class C State or area
Class Free State or area
Dairy cattle
Designated epidemiologist
Directly
Epidemiologist
Epidemiology
Farm of origin
Finished fed cattle
Herd
Herd blood test
Herd known to be affected
Herd not known to be affected
Herd of origin of swine
Interstate
Market cattle identification test cattle
Market swine test swine
Moved
Moved (movement) in interstate commerce
Official adult vaccinate
Official brand inspection certificate
Official brand recording agency
Official calfhood vaccinate
Official eartag
Official seal
Official swine tattoo
Official test
Official vaccinate
Official vaccination eartag
Originate
Parturient
Permit
Permit for entry
Person
Postparturient
Purebred registry association
Qualified herd
Quarantined area
Quarantined feedlot
Quarantined pasture
Recognized slaughtering establishment
''S'' branded
''S'' brand permit
Sow
Specifically approved stockyard
State
State animal health official
State representative
Test-eligible cattle and bison
United States Department of Agriculture backtag
Validated brucellosis-free herd
Validated brucellosis-free State
Veterinarian in Charge
Whole herd vaccination
As used in this part, the following terms shall have the meanings set
forth in this section.
Accredited veterinarian. A veterinarian approved by the
Administrator in accordance with the provisions of part 161 of this
title to perform functions specified in parts 1, 2, 3, and 11 of
subchapter A, and subchapters B, C, and D of this chapter, and to
perform functions required by cooperative State-Federal disease control
and eradication programs.
Administrator. The Administrator, Animal and Plant Health Inspection
Service, or any person authorized to act for the Administrator.
Animals. Cattle, bison, and swine.
Animal and Plant Health Inspection Service (APHIS). The Animal and
Plant Health Inspection Service of the United States Department of
Agriculture.
APHIS representative. An individual employed by APHIS who is
authorized to perform the function involved.
Approved brucella vaccine. A Brucella abortus Strain 19 product
approved by and produced under license of the United States Department
of Agriculture for injection into cattle and bison to enhance their
resistance to brucellosis.
Approved individual herd plan. A herd management and testing plan
designed by the herd owner, the owner's veterinarian if so requested,
and a State representative or APHIS representative to determine the
disease status of animals in the herd and to control and eradicate
brucellosis within the herd. The plan must be jointly approved by the
State animal health official and the Veterinarian in Charge.
Approved intermediate handling facility. Premises approved by the
Administrator and the State animal health official for receiving and
handling cattle and bison for release only to recognized slaughtering
establishments and quarantined feedlots. Cattle and bison may be held
at an approved intermediate handling facility for a maximum of 7 days
and may not change ownership during this time. No cattle or bison,
except cattle or bison moved directly from a farm of origin, shall be
permitted to enter an approved intermediate handling facility unless
they are accompanied by a permit or ''S'' brand permit. Cattle or bison
transported in vehicles closed with official seals are prohibited from
entering the approved intermediate handling facility. No cattle or
bison shall be permitted to leave an approved intermediate handling
facility unless they are accompanied by a permit or ''S'' brand permit
which lists a recognized slaughtering establishment or a quarantined
feedlot as the point of destination. To qualify for and retain
approval, the following conditions must be met: (a) The facility must
be separate and apart from other livestock handling facilities for
breeding cattle and breeding bison; (b) Serviceable equipment for
cleaning and disinfection shall be furnished and maintained with
adequate disinfectant on hand; (c) The facility must be cleaned and
disinfected in accordance with 71.4(a) of this chapter; (d) Any
document relating to cattle or bison which are or have been in the
facility shall be maintained by the facility for a period of 1 year;
(e) State representatives and APHIS representatives shall be granted, at
reasonable hours, access to all documents required to be maintained by
the facility and authority to reproduce the documents; and (f) Each
entrance and exit to the facility must prominently display a sign
bearing the following words: ''All cattle and bison entering this
facility must go directly to slaughter or a quarantined feedlot''. The
Administrator may withdraw or deny approval of any intermediate handling
facility in accordance with 78.44(b).
Area. That portion of any State which has a separate brucellosis
classification under this part.
''B'' branded. Branding with a hot iron the letter ''B'' at least 5
sq. cm. (2 x 2 inches) in size on the left jaw.
Boar. An uncastrated male swine 6 months of age or over which is or
has been capable of being used for breeding purposes.
Brucellosis. The contagious, infectious, and communicable disease
caused by bacteria of the genus Brucella. It is also known as Bangs
disease, undulant fever, and contagious abortion.
Brucellosis exposed. Except for brucellosis reactors, animals that
are part of a herd known to be affected, or are in a quarantined feedlot
or a quarantined pasture, or are brucellosis suspects, or that have been
in contact with a brucellosis reactor for a period of 24 hours or more,
or for a period of less than 24 hours if the brucellosis reactor has
aborted, calved, or farrowed within the past 30 days or has a vaginal or
uterine discharge.
Brucellosis negative. An animal subjected to one or more official
tests resulting in a brucellosis negative classification or reclassified
as brucellosis negative by a designated epidemiologist as provided for
in the definition of official test.
Brucellosis reactor. An animal subjected to an official test
resulting in a brucellosis reactor classification or subjected to a
bacteriological examination for field strain Brucella abortus and found
positive or reclassified as a brucellosis reactor by a designated
epidemiologist as provided for in the definition of official test.
Brucellosis ring test. The brucellosis ring test is conducted on
composite milk or cream samples from dairy herds and is interpreted as
either negative or suspicious (positive). Herds which are negative to
the brucellosis ring test and which are not quarantined as brucellosis
affected are classified as brucellosis negative for public health
ordinances and surveillance purposes. Herds classified as suspicious
require a herd blood test to determine animal and herd status.
Brucellosis suspect. An animal subjected to an official test
resulting in a brucellosis suspect classification or reclassified as a
brucellosis suspect by a designated epidemiologist as provided for in
the definition of official test.
Certificate. An official document issued by an APHIS representative,
state representative, or accredited veterinarian at the point of origin
of an interstate movement of animals.
(a) The certificate must show the official eartag number, individual
animal register breed association registration tattoo, individual animal
registered breed association registration brand, individual animal
registered breed association registration number, or similar individual
identification of each animal to be moved; the number of animals
covered by the certificate; the purpose for which the animals are to be
moved; the points of origin and destination; the consignor; and the
consignee. Ownership brands may be used in place of individual animal
identification on certificates for cattle moved interstate when no
official test for brucellosis is required under this part, provided the
ownership brands are registered with the official brand recording
agency. Except as provided in paragraphs (b) and (c) of this
definition, all of the information required by this paragraph must be
typed or written on the certificate.
(b) As an alternative to typing or writing individual animal
identification on a certificate, another document may be used to provide
this information, but only under the following conditions:
(1) The document must be a state form or APHIS form that requires
individual identification of animals;
(2) A legible copy of the document must be stapled to the original
and each copy of the certificate;
(3) Each copy of the document must identify each animal to be moved
with the certificate, but any information pertaining to other animals,
and any unused space on the document for recording animal
identification, must be crossed out in ink; and
(4) The following information must be written in ink in the
identification column on the original and each copy of the certificate
and must be circled or boxed, also in ink, so that no additional
information can be added:
(i) The name of the document; and
(ii) Either the serial number on the document or, if the document is
not imprinted with a serial number, both the name of the person who
prepared the document and the date the document was signed.
(c) As an alternative to typing or writing ownership brands on a
certificate, an official brand inspection certificate may be used to
provide this information, but only under the following conditions:
(1) A legible copy of the official brand inspection certificate must
be stabled to the original and each copy of the certificate;
(2) Each copy of the official brand inspection certificate must show
the ownership brand of each animal to be moved with the certificate, but
any other ownership brands, and any unused space for recording ownership
brands, must be crossed out in ink;
(3) The following information must be written in ink in the
identification column on the original and each copy of the certificate
and must be circled or boxed, also in ink, so that no additional
information can be added:
(i) The name of the attached document; and
(ii) Either the serial number on the official brand inspection
certificate or, if the official brand inspection certificate is not
imprinted with a serial number, both the name of the person who prepared
the official brand inspection certificate and the date it was signed.
Certified brucellosis-free herd. A herd of cattle or bison which has
qualified for and whose owner has been issued a certified
brucellosis-free herd certificate signed by the appropriate State animal
health official and the Veterinarian in Charge.
(a) Certification. Either of the following two methods may be used
to qualify a herd:
(1) In the case of dairy cattle, by conducting a minimum of four
consecutive negative brucellosis ring tests at not less than 90-day
intervals, followed by a negative herd blood test within 90 days after
the last negative brucellosis ring test; or
(2) By conducting at least two consecutive negative herd blood tests
not less than 10 months nor more than 14 months apart.
(b) Maintaining certification. Certified brucellosis-free herd
status will remain in effect for 1 year beginning with the date of
issuance of the certified brucellosis-free herd certificate. A negative
herd blood test must be conducted within 10 to 12 months of the last
certification date for continuous status. Lapsed certification may be
reinstated if a herd blood test is conducted within 14 months of the
last certification date. A new recertification test date may be
established if requested by the owner and if the herd is negative to a
herd blood test on that date, provided that date is within 1 year of the
previous certification date. A herd which loses certified
brucellosis-free herd status because a brucellosis reactor is found in
the herd may be recertified only by repeating the certification process,
except that certified brucellosis-free herd status may be reinstated
without repeating the certification process if epidemiological studies
and bacteriological cultures conducted by an APHIS representative or
State representative show that the herd was not affected with field
strain Brucella abortus.
Class A State or area. A State or area which meets standards for
classification as a Class A State or area and is certified as such on
initial classification or on reclassification by the State animal health
official, the Veterinarian in Charge, and the Administrator. Any
reclassification will be made in accordance with 78.40 of this part.
The following are the standards to attain and maintain Class A status.
(a) Surveillance -- (1) Brucellosis ring test. The brucellosis ring
test shall be conducted in the State or area at least four times per
year at approximately 90-day intervals. All herds producing milk for
sale shall be included in at least three of the four brucellosis ring
tests per year.
(2) Market Cattle Identification (MCI) program -- (i) Coverage. All
recognized slaughtering establishments in the State or area must
participate in the MCI program. Blood samples shall be collected from
at least 95 percent of all cows and bulls 2 years of age or over at each
recognized slaughtering establishment and subjected to an official test;
(ii) Brucellosis reactors. At least 90 percent of all brucellosis
reactors found in the course of MCI testing must be traced to the farm
of origin and an epidemiologic investigation conducted by State
representatives or APHIS representatives within 15 days after
notification by the cooperative State-Federal laboratory that
brucellosis reactors were found on the MCI test. When required by the
results of the epidemiologic investigation, herd blood tests must be
conducted or the herds must be confined to the premises under quarantine
within 30 days after notification that brucellosis reactors were found
on the MCI test.
(3) Epidemiologic surveillance -- (i) Adjacent herds. All adjacent
herds or other herds having contact with cattle in a herd known to be
affected shall have an approved individual herd plan in effect within 15
days of notification of brucellosis in the herd known to be affected;
(ii) Epidemiologically traced herds. All herds from which cattle are
moved into a herd known to be affected and all herds which have received
cattle from a herd known to be affected shall have an approved
individual herd plan in effect within 15 days of locating the source
herd or recipient herd. (iii) Each State shall ensure that such
approved individual herd plans are effectively complied with, as
determined by the Administrator.
(b) Herd infection rate -- (1) Percentage of herds affected. States
or areas must not exceed a cattle herd infection rate, based on the
number of herds found to have brucellosis reactors within the State or
area during any 12 consecutive months due to field strain Brucella
abortus, of 0.25 percent or 2.5 herds per 1,000, except in States with
10,000 or fewer herds. A special review by the Administrator will be
made to determine if such small herd population States would qualify for
Class A status. Locations of herds, sources of brucellosis, and
brucellosis control measures taken by the State will be considered.
(2) Epidemiologic investigation. Within 15 days after notification
by the cooperative State-Federal laboratory that brucellosis reactors
have been found in any herd, State representatives or APHIS
representatives shall investigate that herd to identify possible sources
of brucellosis. All possible sources of brucellosis identified shall be
contacted within an additional 15 days to determine appropriate action.
(3) All herds known to be affected shall have approved individual
herd plans in effect within 15 days after notification by a State
representative or APHIS representative of a brucellosis reactor in the
herd. Each State shall ensure that such approved individual herd plans
are effectively complied with, as determined by the Administrator.
(c) MCI reactor prevalence rate. The State or area must maintain a
12 consecutive month MCI reactor prevalence rate not to exceed 1
brucellosis reactor per 1,000 cattle tested (0.10 percent). For purposes
of State or area classification, cattle which are not official
vaccinates and are positive to the standard card test and officially
vaccinated cattle positive to the rivanol test at 1:25 serum titer or
greater will be counted as MCI reactors. The MCI reactor prevalence
rate is a rate of infection in the cattle population based on the
percentage of brucellosis reactors found in the MCI test cattle. The
MCI reactor prevalence rate is adjusted for out-of-State and out-of-area
cattle, recordkeeping errors, and cattle traced to herds known to be
affected or to herds with negative herd blood tests. Special
consideration of a State or area MCI reactor prevalence rate will be
permitted when it is affected by unusual marketing conditions.
Class B State or area. A State or area which meets standards for
classification as a Class B State or area and is certified as such on
initial classification or on reclassification by the State animal health
official, the Veterinarian in Charge, and the Administrator. Any
reclassification will be made in accordance with 78.40 of this part.
The following are the standards to attain and maintain Class B status.
(a) Surveillance -- (1) Brucellosis ring test. The brucellosis ring
test shall be conducted in the State or area at least four times per
year at approximately 90-day intervals. All herds producing milk for
sale shall be included in at least three of the four brucellosis ring
tests per year.
(2) Market Cattle Identification (MCI) program -- (i) Coverage. All
recognized slaughtering establishments in the State or area must
participate in the MCI program. Blood samples shall be collected from
at least 95 percent of all cows and bulls 2 years of age or over at each
recognized slaughtering establishment and subjected to an official test;
(ii) Brucellosis reactors. At least 80 percent of all brucellosis
reactors found in the course of MCI testing must be traced to the farm
of origin and an epidemiologic investigation conducted by State
representatives or APHIS representatives within 30 days after
notification by the cooperative State-Federal laboratory that
brucellosis reactors were found on the MCI test. When required by the
results of the epidemiologic investigation, herd blood tests must be
conducted or the herds must be confined to the premises under quarantine
within 30 days after notification that brucellosis reactors were found
on the MCI test.
(3) Epidemiologic surveillance -- (i) Adjacent herds. All adjacent
herds or other herds having contact with cattle in a herd known to be
affected shall have an approved individual herd plan in effect within 45
days of notification of brucellosis in the herd known to be affected;
(ii) Epidemiologically traced herds. All herds from which cattle are
moved into a herd known to be affected and all herds which have received
cattle from a herd known to be affected shall have an approved
individual herd plan in effect within 45 days of locating the source
herd or recipient herd. (iii) Each State shall ensure that such
approved individual herd plans are effectively complied with, as
determined by the Administrator.
(b) Herd infection rate -- (1) Percentage of herds affected. States
or areas must not exceed a cattle herd infection rate, based on the
number of herds found to have brucellosis reactors within the State or
area during any 12 consecutive months due to field strain Brucella
abortus, of 1.5 percent or 15 herds per 1,000, except in States with
1,000 or fewer herds. A special review by the Administrator will be
made to determine if such small herd population States would qualify for
Class B status. Locations of herds, sources of brucellosis, and
brucellosis control measures taken by the State will be considered.
(2) Epidemiologic investigation. Within 45 days after notification
by the cooperative State-Federal laboratory that brucellosis reactors
have been found in any herd, State representatives or APHIS
representatives shall investigate that herd to identify possible sources
of brucellosis. All possible sources of brucellosis identified shall be
contacted within an additional 30 days to determine appropriate action.
(3) All herds known to be affected shall have approved individual
herd plans in effect within 45 days after notification by a State
representative or APHIS representative of a brucellosis reactor in the
herd. Each State shall ensure that such approved individual herd plans
are effectively complied with, as determined by the Administrator.
(c) MCI reactor prevalence rate. The State or area must maintain a
12 consecutive month MCI reactor prevalence rate not to exceed 3
brucellosis reactors per 1,000 cattle tested (0.30 percent). For
purposes of State or area classification, cattle which are not official
vaccinates and are positive to the standard card test and officially
vaccinated cattle positive to the rivanol test at 1:25 serum titer or
greater will be counted as MCI reactors. The MCI reactor prevalence
rate is a rate of infection in the cattle population based on the
percentage of brucellosis reactors found in the MCI test cattle. The
MCI reactor prevalence rate is adjusted for out-of-State and out-of-area
cattle, recordkeeping errors, and cattle traced to herds known to be
affected or to herds with negative herd blood tests. Special
consideration of a State or area MCI reactor prevalence rate will be
permitted when it is affected by unusual marketing conditions.
Class C State or area. A State or area which meets standards for
classification as a Class C State or area and is certified as such on
initial classification or on reclassification by the State animal health
official, the Veterinarian in Charge, and the Administrator. Any
reclassification will be made in accordance with 78.40 of this part.
The following are the standards to attain and maintain Class C status.
(a) Surveillance -- (1) Brucellosis ring test. The brucellosis ring
test shall be conducted in the State or area at least four times per
year at approximately 90-day intervals. All herds producing milk for
sale shall be included in at least three of the four brucellosis ring
tests per year.
(2) Market Cattle Identification (MCI) program -- (i) Coverage. All
recognized slaughtering establishments in the State or area must
participate in the MCI program. Blood samples shall be collected from
at least 95 percent of all cows and bulls 2 years of age or over at each
recognized slaughtering establishment and subjected to an official test;
(ii) Brucellosis reactors. At least 80 percent of all brucellosis
reactors found in the course of MCI testing must be traced to the farm
of origin and an epidemiologic investigation conducted by State
representatives or APHIS representatives within 30 days after
notification by the cooperative State-Federal laboratory that
brucellosis reactors were found on the MCI test. When required by the
results of the epidemiologic investigation, herd blood tests must be
conducted or the herds must be confined to the premises under quarantine
within 30 days of the official notification that brucellosis reactors
were found on the MCI test.
(3) Epidemiologic surveillance -- (i) Adjacent herds. All adjacent
herds or other herds having contact with cattle in a herd known to be
affected shall have an approved individual herd plan in effect within 45
days of notification of brucellosis in the herd known to be affected;
(ii) Epidemiologically traced herds. All herds from which cattle are
moved into a herd known to be affected and all herds which have received
cattle from a herd known to be affected shall have an approved
individual herd plan in effect within 45 days of locating the source
herd or recipient herd. (iii) Each State shall ensure that such
approved individual herd plans are effectively complied with, as
determined by the Administrator.
(b) Herd infection rate -- (1) Percentage of herds affected. States
or areas exceed a cattle herd infection rate, based on the number of
herds found to have brucellosis reactors within the State or area during
any 12 consecutive months due to field strain Brucella abortus, of 1.5
percent or 15 herds per 1,000, except in States with 1,000 or fewer
herds. A special review by the Administrator will be made to determine
if such small herd population States should be classified as a Class C
State. Locations of herds, sources of brucellosis, and brucellosis
control measures taken by the State will be considered.
(2) Epidemiologic investigation. Within 45 days after notification
by the cooperative State-Federal laboratory that brucellosis reactors
have been found in any herd, State representatives or APHIS
representatives shall investigate that herd to identify possible sources
of brucellosis. All possible sources of brucellosis identified shall be
contacted within an additional 30 days to determine appropriate action.
(3) All herds known to be affected shall have approved individual
herd plans in effect within 45 days after notification by a State
representative or APHIS representative of a brucellosis reactor in the
herd. Each State shall ensure that such approved individual herd plans
are effectively complied with, as determined by the Administrator.
(c) MCI reactor prevalence rate. The State or area maintains a 12
consecutive month MCI reactor prevalence rate exceeding 3 brucellosis
reactors per 1,000 cattle tested (0.30 percent). For purposes of State
or area classification, cattle which are not official vaccinates and are
positive to the standard card test and officially vaccinated cattle
positive to the rivanol test at 1:25 serum titer or greater will be
counted as MCI reactors. The MCI reactor prevalence rate is a rate of
infection in the cattle population based on the percentage of
brucellosis reactors found in the MCI test cattle. The MCI reactor
prevalence rate is adjusted for out-of-State and out-of-area cattle,
recordkeeping errors, and cattle traced to herds known to be affected or
to herds with negative herd blood tests. Special consideration of a
State or area MCI reactor prevalence rate will be permitted when it is
affected by unusual marketing conditions.
(d) Compliance with minimum procedural standards.
(1) A State must implement and maintain minimum procedural standards.
(2) A State or area must make continued progress over a 2-year period
in reducing the prevalence of brucellosis as determined by epidemiologic
evaluation or it will be placed under Federal quarantine.
Class Free State or area. A State or area which meets standards for
classification as a Class Free State or area and is certified as such on
initial classification or on reclassification by the State animal health
official, the Veterinarian in Charge, and the Administrator. Any
reclassification will be made in accordance with 78.40 of this part.
All cattle herds in the State or area in which brucellosis has been
known to exist must be released from any State or Federal brucellosis
quarantine prior to classification. In addition, if any herds of other
species of domestic livestock have been found to be affected with
brucellosis, they must be subjected to an official test and found
negative, slaughtered, or quarantined so that no known foci of
brucellosis in any species of domestic livestock are left uncontrolled.
The following are the standards to attain and maintain Class Free
status.
(a) Surveillance -- (1) Brucellosis ring test. The brucellosis ring
test shall be conducted in the State or area at least four times per
year at approximately 90-day intervals. All herds producing milk for
sale shall be included in at least three of the four brucellosis ring
tests per year.
(2) Market Cattle Identification (MCI) program -- (i) Coverage. All
recognized slaughtering establishments in the State or area must
participate in the MCI program. Blood samples shall be collected from
at least 95 percent of all cows and bulls 2 years of age or over at each
recognized slaughtering establishment and subjected to an official test;
(ii) Brucellosis reactors. At least 90 percent of all brucellosis
reactors found in the course of MCI testing must be traced to the farm
of origin and an epidemiologic investigation conducted by State
representatives or APHIS representatives within 15 days after
notification by the cooperative State-Federal laboratory that
brucellosis reactors were found on the MCI test. When required by the
results of the epidemiologic investigation, herd blood tests must be
conducted or the herds must be confined to the premises under quarantine
within 30 days of notification that brucellosis reactors were found on
the MCI test.
(3) Epidemiologic surveillance -- (i) Adjacent herds. All adjacent
herds or other herds having contact with cattle in a herd known to be
affected shall be placed under quarantine and have an approved
individual herd plan in effect within 15 days after notification of
brucellosis in the herd known to be affected; (ii) Epidemiologically
traced herds. All herds from which cattle are moved into a herd known
to be affected and all herds which have received cattle from a herd
known to be affected shall be placed under quarantine and have an
approved individual herd plan in effect within 15 days of locating the
source herd or recipient herd. (iii) Each State shall ensure that such
approved individual herd plans are effectively complied with, as
determined by the Administrator.
(b) Herd infection rate -- (1) Percentage of herds affected. All
cattle herds in the State or area must remain free of field strain
Brucella abortus for 12 consecutive months. States or areas must have a
cattle herd infection rate, based on the number of herds found to have
brucellosis reactors within the State or area during any 12 consecutive
months due to field strain Brucella abortus of 0.0 percent or 0 herds
per 1,000.
(2) Epidemiologic investigation. Within 15 days after notification
by the cooperative State-Federal laboratory that brucellosis reactors
have been found in any herd, State representatives or APHIS
representatives shall investigate that herd to identify possible sources
of brucellosis. All possible sources of brucellosis identified shall be
contacted within an additional 15 days to determine appropriate action.
(3) All herds known to be affected shall have approved individual
herd plans in effect within 15 days after notification by a State
representative or APHIS representative of a brucellosis reactor in the
herd. Each State shall ensure that such approved individual herd plans
are effectively complied with, as determined by the Administrator.
(c) MCI reactor prevalence rate. The State or area must maintain a
12 consecutive month MCI reactor prevalence rate not to exceed 1
brucellosis reactor per 2,000 cattle tested (0.050 percent). For
purposes of State or area classification, cattle which are not official
vaccinates and are positive to the standard card test and officially
vaccinated cattle positive to the rivanol test at 1:25 serum titer or
greater will be counted as MCI reactors. The MCI reactor prevalence
rate is a rate of infection in the cattle population based on the
percentage of brucellosis reactors found in the MCI test cattle. The
MCI reactor prevalence rate is adjusted for out-of-State and out-of-area
cattle, recordkeeping errors, and cattle traced to herds known to be
affected or to herds with negative herd blood tests. Special
consideration of a State or area MCI reactor prevalence rate will be
permitted when it is affected by unusual marketing conditions.
Dairy cattle. A bovine animal of a recognized dairy breed.
Designated epidemiologist. An epidemiologist selected by the State
animal health official and the Veterinarian in Charge to perform the
functions required. The regional epidemiologist and the APHIS
brucellosis staff must concur in the selection and appointment of the
designated epidemiologist.
Directly. Without unloading en route if moved in a means of
conveyance, or without stopping if moved in any other manner.
Epidemiologist. A veterinarian who has received a master's degree in
epidemiology or completed a course of study in epidemiology sponsored by
the Animal and Plant Health Inspection Service, United States Department
of Agriculture.
Epidemiology. A branch of medical science that deals with the
incidence, distribution, and control of disease in the animal
population.
Farm of origin. (a) Premises where cattle or bison are born and
remain prior to movement from the premises but which are not used to
assemble cattle or bison from any other premises for 4 months before
such movement; or (b) premises where cattle or bison remain for not
less than 4 months immediately before movement from the premises but
which are not used to assemble cattle or bison from any other premises
for 4 months before such movement.
Finished fed cattle. Cattle fattened on a ration of feed
concentrates to reach a slaughter condition equivalent to that which
would be attained on full feed with a high concentrate grain ration for
90 days.
Herd. (a) All animals under common ownership or supervision that are
grouped on one or more parts of any single premises (lot, farm or
ranch); or (b) All animals under common ownership or supervision on two
or more premises which are geographically separated but on which animals
from the different premises have been interchanged or had contact with
each other.
Herd blood test. (a) Cattle and bison. A blood test for brucellosis
conducted in a herd on all cattle or bison which are (1) 6 months of age
or over and not official vaccinates, except steers and spayed heifers;
(2) Official calfhood vaccinates of any age which are parturient or
postparturient; (3) Official calfhood vaccinates of beef breeds or
bison with the first pair of permanent incisors fully erupted (2 years
of age or over); and (4) Official calfhood vaccinates of dairy breeds
with partial eruption of the first pair of permanent incisors (20 months
of age or over).
(b) Swine. A blood test for brucellosis conducted in a herd on all
swine 6 months of age or over maintained in the herd for breeding
purposes.
Herd known to be affected. Any herd in which any animal has been
classified as a brucellosis reactor and which has not been released from
quarantine.
Herd not known to be affected. Any herd in which no animal has been
classified as a brucellosis reactor or any herd in which one or more
animals have been classified as brucellosis reactors but which has been
released from quarantine.
Herd of origin of swine. Any herd in which swine are farrowed and
remain until movement or any herd in which swine remain for 30 days
immediately prior to movement.
Interstate. From any State into or through any other State.
Market cattle identification test cattle. Cows and bulls 2 years of
age or over which have been moved to recognized slaughtering
establishments, and test-eligible cattle which are subjected to an
official test for the purposes of movement at farms, ranches, auction
markets, stockyards, quarantined feedlots, or other assembly points.
Such cattle shall be identified by an official eartag and/or United
States Department of Agriculture backtag prior to or at the first
market, stockyard, quarantined feedlot, or slaughtering establishment
they reach.
Market swine test swine. Sows and boars which have been moved to
slaughtering establishments and sows and boars which are subjected to an
official test for the purposes of movement at farms, ranches, auction
markets, stockyards, or other assembly points.
Moved. Shipped, transported, delivered, or received for movement, or
otherwise aided, induced, or caused to be moved.
Moved (movement) in interstate commerce. Moved from the point of
origin of the interstate movement to the animals' final destination,
such as a slaughtering establishment or a farm for breeding or raising,
and including any temporary stops for any purpose along the way, such as
at a stockyard or dealer premises for feed, water, rest, or sale.
Official adult vaccinate. (a) (1) Female cattle or female bison
older than the specified ages defined for official calfhood vaccinate
and vaccinated by an APHIS representative, State representative, or
accredited veterinarian with a reduced dose approved brucella vaccine,
diluted so as to contain at least 300 million and not more than 1
billion live cells per 2 ml. dose, as part of a whole herd vaccination
plan authorized jointly by the State animal health official and the
Veterinarian in Charge; or (2) Female cattle or female bison vaccinated
prior to December 31, 1984, in accordance with the definition of an
official adult vaccinate in this part at the date of vaccination; and
(b) (1) Permanently identified by a ''V'' hot brand on the right jaw
or high on the hip near the tailhead, or by an official AV (adult
vaccination) tattoo in the right ear preceded by the quarter of the year
and followed by the last digit of the year; and (2) Identified with an
official eartag or individual animal registered breed association
registration brand or individual animal registered breed association
tattoo.
Official brand inspection certificate. A document issued by an
official brand inspection agency in any State which requires such
documents for movement of cattle.
Official brand recording agency. The duly constituted body
authorized by a State or governmental subdivision thereof to administer
laws, regulations, ordinances or rules pertaining to the brand
identification of cattle.
Official calfhood vaccinate. (a) (1) Female cattle or female bison
vaccinated while from 4 through 12 months of age by an APHIS
representative, State representative, or accredited veterinarian with a
reduced dose approved brucella vaccine containing at least 2.7 billion
and not more than 10 billion live cells per 2 ml. dose; or (2) Female
cattle or female bison vaccinated prior to December 31, 1984, in
accordance with the definition of an official vaccinate in this part at
the date of vaccination; and
(b) Permanently identified by a tattoo and by an official vaccination
eartag in the right ear. However, if already identified with an
official eartag prior to vaccination, an additional tag is not required.
The tattoo must include the U.S. Registered Shield and ''V,'' preceded
by the quarter of the year and followed by the last digit of the year of
vaccination. Individual animal registered breed association
registration brands or individual animal registered breed association
registration tattoos may be substituted for official eartags.
Official eartag. An APHIS approved identification eartag conforming
to the nine-character alpha-numeric National Uniform Eartagging System
which provides unique identification for each animal.
Official seal. A serially numbered, metal or plastic strip,
consisting of a self-locking device on one end and a slot on the other
end, which forms a loop when the ends are engaged and which cannot be
reused if opened, or a serially numbered, self-locking button which can
be used for this purpose.
Official swine tattoo. A tattoo, conforming to the six-character
alpha-numeric National Tattoo System, that provides a unique
identification for each herd or lot of swine.
Official test.
(a) Classification of cattle and bison -- (1) Standard card test.
(i) A test to determine the brucellosis disease status of test-eligible
cattle and bison when conducted according to instructions approved by
APHIS and the State in which the test is to be conducted and when
conducted under the following circumstances:
(A) When conditions and time are such that no other test is
available; or
(B) When the owner or the owner's agent requests it because of time
or situation constraints; or
(C) In specifically approved stockyards when the State animal health
official either:
(1) Designates the standard card test as the official test for
determining the brucellosis disease status of cattle and bison in all
specifically approved stockyards in the State. In these States, no
other official test except the Buffered Acidified Plate Antigen test
shall be used in specifically approved stockyards; or
(2) Designates the standard card test as the official test for
determining the brucellosis disease status of non-vaccinated cattle or
bison (the CITE# test may be designated as a supplemental test for
non-vaccinated cattle or bison that test positive to the standard card
test); and designates the standard card test as the official test for
determining the brucellosis disease status of official vaccinates and
the CITE# test, the standard plate test, or the Rivanol test as
supplemental tests for official vaccinates that test positive to the
standard card test. If supplemental tests are conducted, cattle or
bison that are positive to the standard card test shall be classified as
brucellosis suspects if all of the supplemental tests conducted disclose
a negative or suspect reaction, and shall be classified as brucellosis
reactors if any one of the supplemental tests conducted has a positive
reaction; or
(D) To test market cattle identification (MCI) program test samples.
Cattle and bison which test positive to the BAPA test or RST under the
MCI program must be retested using the standard card test or the
standard plate or tube agglutination test.
(ii) Results of the standard card test also may be used to supplement
the results of other official tests conducted in the cooperative
State-Federal laboratory to give the designated epidemiologist
additional information when classifying cattle and bison.
(iii) Standard card test results are interpreted as either negative
or positive. A moderate to marked clumping agglutination reaction is a
positive result. Test-eligible cattle and bison positive to the
standard card test are classified as brucellosis reactors.
Test-eligible cattle and bison negative to the standard card test are
classified as brucellosis negative.
(2) Standard tube test (STT) or standard plate test (SPT). A test to
determine the brucellosis disease status of test-eligible cattle and
bison when conducted according to instructions approved by APHIS and the
State in which the test is to be conducted. Cattle and bison are
classified according to the following agglutination reactions:
(3) Manual complement-fixation (CF) test. A test to determine the
brucellosis disease status of test-eligible cattle and bison when
conducted according to instructions approved by APHIS and the State in
which the test is to be conducted. Cattle and bison are classified
according to the following reactions:
(i) Cattle and bison which are not official vaccinates:
(A) Fifty percent fixation (2 plus) in a dilution of 1:20 or higher
-- brucellosis reactor;
(B) Fifty percent fixation (2 plus) in a dilution of 1:10 but less
than 50 percent fixation (2 plus) in a dilution of 1:20 -- brucellosis
suspect;
(C) Less than 50 percent fixation (2 plus) in a dilution of 1:10 --
brucellosis negative;
(ii) Official vaccinates:
(A) Twenty-five percent fixation (1 plus) in a dilution of 1:40 or
higher -- brucellosis reactor;
(B) Fifty percent fixation (2 plus) in a dilution of 1:10 but less
than 25 percent fixation (1 plus) in a dilution of 1:40 -- brucellosis
suspect;
(C) Less than 50 percent fixation (2 plus) in a dilution of 1:10 --
brucellosis negative.
(4) Technicon automated complement-fixation test. A test to
determine the brucellosis disease status of test-eligible cattle and
bison when conducted according to instructions approved by APHIS and the
State in which the test is to be conducted. Cattle and bison are
classified according to the following reactions:
(i) Cattle and bison which are not official vaccinates:
(A) Fixation in a dilution of 1:10 or higher -- brucellosis reactor;
(B) Fixation in a dilution of 1:5 but no fixation in a dilution of
1:10 -- brucellosis suspect;
(C) No fixation in a dilution of 1:5 or lower -- brucellosis
negative;
(ii) Official vaccinates:
(A) Fixation in a dilution of 1:20 or higher -- brucellosis reactor;
(B) Fixation in a dilution of 1:10 but no fixation in a dilution of
1:20 -- brucellosis suspect;
(C) Fixation in a dilution of 1:5 or less but no fixation in a
dilution of 1:10 -- brucellosis negative.
(5) Rivanol test. A test to determine the brucellosis disease status
of test-eligible cattle and bison when conducted according to
instructions approved by APHIS and the State in which the test is to be
conducted. Cattle and bison are classified according to the following
agglutination reactions:
(i) Cattle and bison which are not official vaccinates:
(A) Complete agglutination at a titer of 1:25 or higher --
brucellosis reactor;
(B) Less than complete agglutination at a titer of 1:25 --
brucellosis negative;
(ii) Official adult vaccinates more than 5 months after vaccination
and official calfhood vaccinates:
(A) Incomplete agglutination at a titer of 1:100 or higher --
brucellosis reactor;
(B) Complete agglutination at a titer of 1:25 or higher when the
manual or technicon automated complement-fixation test is not conducted
-- brucellosis reactor;
(C) Complete agglutination at a titer of 1:50 or less when the manual
complement-fixation test or the technicon automated complement-fixation
test is conducted and results in a classification of brucellosis suspect
or brucellosis negative -- brucellosis suspect;
(D) Less than complete agglutination at a titer of 1:25 --
brucellosis negative;
(iii) Official adult vaccinates less than 5 months after vaccination:
Less than complete agglutination at the 1:50 titer -- brucellosis
negative.
(6) Semen plasma test. A test to determine the brucellosis disease
status of bulls used for artificial insemination when conducted in
conjunction with an official serological test and according to
instructions approved by APHIS and the State in which the test is to be
conducted. The classification of such bulls shall be based on the
maximum agglutination titer of either the official serological test or
the semen plasma test.
(7) Buffered acidified plate antigen (BAPA) test. A test to
determine the brucellosis disease status of test-eligible cattle and
bison at recognized slaughtering establishments and specifically
approved stockyards when conducted according to instructions approved by
APHIS and the State in which the test is to be conducted. BAPA test
results are interpreted as either negative or positive. Cattle and
bison negative to the BAPA test are classified as brucellosis negative.
Cattle and bison positive to the BAPA test shall be subjected to other
official tests to determine their brucellosis classification.
(8) Rapid screening test (RST). A test to determine the brucellosis
disease status of test-eligible cattle and bison in cooperative
State-Federal laboratories when conducted according to instructions
approved by APHIS and the State in which the test is to be conducted.
RST results are interpreted as either negative or positive. Cattle and
bison negative to the RST are classified as brucellosis negative.
Cattle and bison positive to the RST shall be subjected to other
official tests to determine their brucellosis classification.
(9) Concentration immunoassay technology (CITE ) test. An enzyme
immunoassay that may be used as a diagnostic supplement to the standard
card test by designated epidemiologists determining the brucellosis
disease status of cattle and bison. The test must be done in accordance
with the CITE Brucella abortus Antibody Test Kit instructions, licensed
by the United States Department of Agriculture and approved as of
December 31, 1987, and incorporated by reference. This incorporation by
reference was approved by the Director of the Federal Register in
accordance with 5 U.S.C. 552(a) and 1 CFR Part 51. Copies may be
obtained from AgriTech Systems, Inc., 100 Fore Street, Portland, ME
04101. Copies may be inspected at Program Planning Staff, VS, APHIS,
USDA, Room 841, Federal Building, 6505 Belcrest Road, Hyattsville, MD
20782 or at the Office of the Federal Register, 1100 L Street, NW., Room
8401, Washington, DC.
(10) Particle concentration fluorescence immunoassay (PCFIA) test.
An automated serologic test to determine the brucellosis disease status
of test-eligible cattle and bison when conducted according to
instructions approved by APHIS. Cattle and bison are classified
according to the following ratio between the test sample and a known
negative sample (S/N ratio):
(11) The evaluation of test results for all cattle and bison shall be
the responsibility of a designated epidemiologist in each State. The
designated epidemiologist shall consider the animal and herd history and
other epidemiologic factors when determining the brucellosis
classification of cattle and bison. Deviations from the brucellosis
classification criteria as provided in this definition of official test
are acceptable when made by the designated epidemiologist.
(i) The designated epidemiologist may consider the results of CITE
tests when evaluating the results of standard card tests of cattle and
bison.
(b) Classification of swine -- (1) Standard card test. A test to
determine the brucellosis disease status of swine. Standard card test
results are interpreted as either negative or positive. A moderate to
marked clumping agglutination reaction is a positive result. Swine
negative to the standard card test are classified as brucellosis
negative. Swine positive to the standard card test in a herd not known
to be affected but negative to any other official test or
bacteriological culture for brucella are classified as brucellosis
suspects. Other swine positive to the standard card test are classified
as brucellosis reactors.
(2) Standard tube test. A test to determine the brucellosis disease
status of swine.
(i) If all of the following apply: (A) The swine are part of a herd
not known to be affected; (B) No swine tested, individually or as part
of a group, has a complete agglutination reaction at a dilution of 1:100
or higher; and (C) the swine are tested as part of a herd blood test or
are part of a validated brucellosis-free herd, then the swine are
classified according to the following agglutination reactions:
(ii) If any of the following apply: (A) The swine are part of a herd
known to be affected; (B) Any swine tested, individually or as part of
a group, has a complete agglutination reaction at a dilution of 1:100 or
higher or; (C) The swine are not part of a validated brucellosis-free
herd and are not being tested as part of a herd blood test, then the
swine are classified according to the following agglutination reactions:
(3) Particle concentration fluoresence immunoassay (PCFIA). An
automated serologic test to determine the brucellosis disease status of
test-eligible swine when conducted according to instructions approved by
the Animal and Plant Health Inspection Service. Swine are classified
according to the following ratios between the test sample and a known
negative sample (S/N ratio):
Official vaccinate. An official calfhood vaccinate or an official
adult vaccinate. The accredited veterinarian, State representative or
APHIS representative who performs the vaccination must forward a
completed official vaccination certificate for each animal vaccinated to
the State animal health official of the State in which the animal was
vaccinated.
Official vaccination eartag. An APHIS approved identification eartag
conforming to the alpha-numeric National Uniform Eartagging System which
provides unique identification for each animal. The eartag shall have a
''V'' followed by 2 letters and 4 numbers. States which require more
official vaccination eartags than the number of combinations available
in the ''V'' series of tags shall use a ''T'' or ''S'' followed by 2
letters and 4 numbers. Duplicate reissue of official vaccination
eartags shall not be made more often than once each 15 years.
Originate. (a) Animals will have the status of the herd from which
they are moved if:
(1) They were born and maintained in the herd since birth; or
(2) They have been in the herd for at least 120 days.
(b) Animals will have the status of the State or area from which they
are moved if:
(1) They were born and maintained in the State or area since birth;
or
(2) They were previously moved from a State or area of equal or
higher class to the State or area; or
(3) They were previously moved from a State or area of lower class to
the State or area where they are now located and have been in the new
State or area for at least 120 days.
(c) Cattle penned in a specifically approved stockyard with cattle
from a lower class State or area, in violation of the requirements set
forth in 78.44, shall have the status of the State or area of lower
class for any subsequent movement.
Parturient. Visibly prepared to give birth or within 2 weeks of
giving birth (springers).
Permit. An official document (VS Form 1-27 or a State form which
contains the same information but not a ''permit for entry'' or '''S'
brand permit'') issued by an APHIS representative, State representative,
or accredited veterinarian which lists the owner's name and address,
points of origin and destination, number of animals covered, purpose of
the movement, any reactor tag number, and one of the following: The
official eartag number, individual animal registered breed association
registration tattoo, individual animal registered breed association
registration brand, United States Department of Agriculture backtag
(when applied serially, only the beginning and the ending numbers need
be recorded), individual animal registered breed association
registration number, or similar individual identification. (A new
permit is required for each change in destination. However, permits
accompanying cattle or bison to an approved intermediate handling
facility may list either the approved intermediate handling facility a
quarantined feedlot or a recognized slaughtering establishment as the
point of destination. If the permit lists a quarantined feedlot or a
recognized slaughtering establishment as the point of destination, then
the permit must list the approved intermediate handling facility as a
temporary stopping point, and no additional permit is required for the
subsequent movement of the cattle or bison to the quarantined feedlot or
to the recognized slaughtering establishment.)
Permit for entry. A premovement authorization for entry of cattle
into a State from the State animal health official of the State of
destination. It may be oral or written.
Person. Any individual, corporation, company, association, firm,
partnership, society, or joint stock company or other legal entity.
Postparturient. Having given birth.
Purebred registry association. A swine breed association formed and
perpetuated for the maintenance of records of purebreeding of swine
species for a specific breed whose characteristics are set forth in
Constitutions, By-Laws, and other rules of the association.
Qualified herd. (a) Qualification. (1) Any herd of cattle or bison
which is in a quarantined area, not known to be affected, and negative
to two consecutive herd blood tests. The first of these two herd blood
tests shall be conducted not more than 240 days nor less than 120 days
prior to the date of classification as a qualified herd. The second
herd blood test may not be conducted less than 90 days nor more than 150
days after the first test. Additionally, the second herd blood test
must be within 120 days of the date of classification as a qualified
herd; or (2) Any certified brucellosis-free herd in a quarantined area
which is negative to a herd blood test 120 days before or after
designation of the area as a quarantined area.
(b) Requalification. In order to remain a qualified herd, a herd
must be negative to successive requalifying herd blood tests. Each
requalifying test shall be conducted not more than 120 days from the
date of the preceding herd blood test. All cattle or bison added to a
qualified herd must be included in two successive herd blood tests of
the qualified herd to qualify as cattle or bison from the qualified
herd.
Quarantined area. An area that does not meet the criteria for
classification as Class Free, Class A, Class B, or Class C.
Quarantined feedlot. /1/ A confined area under State quarantine
approved jointly by the State animal health official and the
Veterinarian in Charge. Approval will be granted only after a State
representative or APHIS representative inspects the confined area and
determines that all cattle and bison are secure and isolated from
contact with all other cattle and bison, that there are facilities for
identifying cattle and bison, and that there is no possibility of
brucellosis being mechanically transmitted from the confined area. The
quarantined feedlot shall be maintained for feeding cattle and bison for
slaughter, with no provisions for pasturing or grazing. All cattle and
bison in a quarantined feedlot, except steers and spayed heifers, shall
be treated as brucellosis exposed.
(a) All cattle and bison, except steers and spayed heifers, leaving
the quarantined feedlot must (1) Be accompanied by a permit and move
directly to a recognized slaughtering establishment; or (2) Be ''S''
branded and accompanied by an ''S'' brand permit and move directly to an
approved intermediate handling facility and then directly to another
quarantined feedlot or a recognized slaughtering establishment; or (3)
Be accompanied by a permit issued by the State animal health official
and move directly to another quarantined feedlot; or (4) After being
''S'' branded at the quarantined feedlot, be accompanied by an ''S''
brand permit and move directly to a specifically approved stockyard
approved to receive brucellosis exposed cattle and bison and then
directly to a recognized slaughtering establishment or another
quarantined feedlot; or (5) After being ''S'' branded at the
quarantined feedlot, be accompanied by an ''S'' brand permit and move
directly to a specifically approved stockyard approved to receive
brucellosis exposed cattle and bison and then directly to an approved
intermediate handling facility and then directly to another quarantined
feedlot or a recognized slaughtering establishment. However, finished
fed cattle moving directly to a recognized slaughtering establishment
are exempt from the permit/''S'' brand permit requirement.
(b) The State animal health official and the Veterinarian in Charge
shall establish procedures for accounting for all cattle and bison
entering or leaving quarantined feedlots.
Quarantined pasture. A confined grazing area under State quarantine
approved by the State animal health official, Veterinarian in Charge and
the Administrator. A justification of the need for the quarantined
pasture must be prepared by the State animal health official and/or
Veterinarian in Charge and submitted to the Administrator. An
intensified brucellosis eradication effort which produces large numbers
of brucellosis exposed cattle or bison or official adult vaccinates
needing the grazing period to reach slaughter condition would be an
acceptable justification. Approval will be granted only after a State
representative or APHIS representative inspects the confined grazing
area and determines that all cattle and bison are secure and isolated
from contact with all other cattle and bison, that there are facilities
for identifying the cattle and bison, and that there is no possibility
of brucellosis being mechanically transmitted from the confined grazing
area. The quarantined pasture shall be for utilizing available forage
for growth or to improve flesh condition of cattle or bison. No cattle
or bison may be moved interstate into these quarantined pastures, which
shall be restricted for use by cattle or bison originating within the
State. All cattle or bison shall be of the same sex, except that
neutered cattle and bison may share the quarantined pasture. All cattle
and bison, except steers and spayed heifers, must be ''S'' branded upon
entering the quarantined pasture. All cattle and bison, except steers
and spayed heifers, leaving the quarantined pasture must move directly
to a recognized slaughtering establishment or quarantined feedlot, or
directly to an approved intermediate handling facility and then directly
to a recognized slaughtering establishment, or directly to an approved
intermediate handling facility and then directly to a quarantined
feedlot and then directly to a recognized slaughtering establishment.
The movement shall be in accordance with established procedures for
handling brucellosis exposed cattle and bison, including issuance of
''S'' brand permits prior to movement. The State animal health official
and Veterinarian in Charge shall establish procedures for accounting for
all cattle and bison entering and leaving the quarantined pasture. All
brucellosis exposed cattle and bison must vacate the premises on or
before the expiration of approval, which may not last longer than 10
months.
Recognized slaughtering establishment. /2/ Any slaughtering
establishment operating under the provisions of the Federal Meat
Inspection Act (21 U.S.C. 601 et seq.) or a State meat inspection act.
Rodeo bulls. Male cattle kept solely for performance at rodeos.
''S'' branded. Branding with a hot iron the letter ''S'' at least 5
sq. cm. (2 2 inches) in size on the left jaw or high on the tailhead
(over the fourth to the seventh coccygeal vertebrae).
''S'' brand permit. A document prepared at the point of origin which
lists the points of origin and destination, the number of animals
covered, the purpose of movement, and one of the following: The
official eartag number, individual animal registered breed association
registration tattoo, individual animal registered breed association
registration brand, individual animal registered breed association
registration number, United States Department of Agriculture backtag
(when applied serially, only the beginning and the ending numbers need
be recorded), or similar individual identification. If the document is
prepared at a quarantined feedlot, it shall be prepared by an accredited
veterinarian, a State representative, or an individual designated for
that purpose by the State animal health official. If the document is
prepared at any other point of origin, it shall be prepared by an
accredited veterinarian, State representative, or APHIS representative.
(A new ''S'' brand permit is required for each change in destination.
However, ''S'' brand permits accompanying cattle or bison to approved
intermediate handling facilities may list either the approved
intermediate handling facility, a quarantined feedlot, or a recognized
slaughtering establishment as the point of destination. If the''S''
brand permit lists a quarantined feedlot or a recognized slaughtering
establishment as the point of destination, the ''S'' brand permit must
list the approved intermediate handling facility as a temporary stopping
point, and no additional ''S'' brand permit is required for the
subsequent movement of the cattle or bison from the approved
intermediate handling facility to the quarantined feedlot or to the
recognized slaughtering establishment. Subsequent movements from the
quarantined feedlot shall be subject to requirements set forth in the
definition of ''quarantined feedlot'' in this section.)
Sow. A female swine which is parturient or postparturient.
Specifically approved stockyard. /3/ Premises where cattle or bison
are assembled for sale or sale purposes and which meet the standards set
forth in 78.44 and are approved by the Administrator.
State. Any State, the District of Columbia, Puerto Rico, the Virgin
Islands of the United States, Guam, the Northern Mariana Islands or any
other territory or possession of the United States.
State animal health official. The State official responsible for
livestock and poultry disease control and eradication programs.
State representative. An individual employed in animal health work
by a State or a political subdivision thereof and authorized by such
State or political subdivision to perform the function involved under a
memorandum of understanding with the United States Department of
Agriculture.
Test-eligible cattle and bison. For purposes of interstate movement,
test-eligible cattle and bison are:
(a) Cattle and bison which are not official vaccinates and which have
lost their first pair of temporary incisors (18 months of age or over),
except steers and spayed heifers;
(b) Official calfhood vaccinates 18 months of age or over which are
parturient or postparturient;
(c) Official calfhood vaccinates of beef breeds or bison with the
first pair of permanent incisors fully erupted (2 years of age or over);
and
(d) Official calfhood vaccinates of dairy breeds with partial
eruption of the first pair of permanent incisors (20 months of age or
over).
United States Department of Agriculture backtag. A backtag issued by
APHIS that conforms to the eight-character alpha-numeric National
Backtagging System, and that provides unique identification for each
animal.
Validated brucellosis-free herd. (a) Validation. A herd of swine in
which all sows and boars maintained for breeding purposes are negative
to an official test. (b) Revalidation. To remain a validated
brucellosis-free herd, (1) All sows and boars maintained for breeding
purposes in the herd must be negative to an official test within 10 to
14 months of the last validation test date; or (2) At least 20 percent
of the sows and boars maintained for breeding purposes in the herd must
be tested under a market swine test (MST) program during the year, with
at least one-half of the MST sampling occurring during the last 6 months
of the validation period; or (3) All sows and boars maintained for
breeding purposes in the herd must be tested in groups according to an
approved individual herd plan with each such sow and boar tested at
least once during the 1-year validation period.
Validated brucellosis-free State. (a) Validation.
(1) The State has necessary authorities for classification as a
validated brucellosis-free State for swine; and
(2) The State has:
(i) No known focus of swine brucellosis at the time of validation and
has completed one of the following methods of surveillance: (A) All
sows and boars maintained for breeding purposes in the State are
subjected to an official test during the 18 months preceding validation
and no more than 3 percent of the herds in the State are found to have
brucellosis; (B) All swine maintained in herds for breeding purposes
and sold are subjected to an official test; 90 percent of all sows and
boars marketed for slaughter are subjected to an official test; and,
during the 12 months preceding validation, at least 90 percent of the
brucellosis reactors identified are traced to their herds of origin and
no more than 3 percent of the herds in the State are found to have
brucellosis; (C) During a 2-year period, all herds from which sows and
boars maintained for breeding purposes are sold are subjected to a herd
blood test; and at least 50 percent of the brucellosis reactors
identified at slaughter are traced to their herd of origin and no more
than 3 percent of the herds in the State are found to have brucellosis;
or
(ii) No diagnosed case of swine brucellosis in the preceding 12
months, and a statistical analysis of combined results of the Market
Swine Testing (MST) program, change of ownership testing, farm
validation tests, and diagnostic tests conducted during the period shows
the testing to be equivalent to either complete herd testing or
slaughter surveillance during a 1 or 2-year period, as chosen by the
State as most appropriate to its marketing needs; and
(3) The State is certified as such by the appropriate State animal
health official, the Veterinarian in Charge, and the Administrator. A
State may qualify as a validated brucellosis-free State regardless of
the brucellosis status of feral swine in that State if the feral swine
are not in physical contact with domestic swine.
(b) Revalidation. Revalidation may be obtained by either herd
testing, slaughter surveillance, or combined surveillance, as chosen by
the State as most appropriate to its marketing needs.
Veterinarian in Charge. The veterinary official of the Animal and
Plant Health Inspection Service, United States Department of
Agriculture, who is assigned by the Administrator to supervise and
perform the official animal health work of the Animal and Plant Health
Inspection Service in the State concerned.
Whole herd vaccination. The vaccination of all female cattle and
female bison 4 months of age or over in a herd when authorized by the
State animal health official and the Veterinarian in Charge, and
conducted in accordance with the definitions of official adult vaccinate
and official calfhood vaccinate.
(Approved by the Office of Management and Budget under control number
0579-0047)
(51 FR 32580, Sept. 12, 1986, as amended at 52 FR 33799, Sept. 8,
1987; 53 FR 16246, May 6, 1988 and 53 FR 32602, Aug. 26, 1988; 53 FR
34037, Sept. 2, 1988; 53 FR 40386, Oct. 14, 1988; 53 FR 40406, Oct.
17, 1988; 55 FR 11156, Mar. 27, 1990; 55 FR 28599, July 12, 1990; 55
FR 32897, Aug. 13, 1990; 56 FR 54534, Oct. 22, 1991; 56 FR 55803, Oct.
30, 1991; 56 FR 58637-58639, Nov. 21, 1991)
/1/ A list of quarantined feedlots in any State may be obtained from
the State animal health official, a State representative, or an APHIS
representative.
/2/ A list of recognized slaughtering establishments in any State may
be obtained from an APHIS representative, the State animal health
official, or a State representative.
/3/ Notices containing lists of specifically approved stockyards are
published in the Federal Register. Lists of specifically approved
stockyards also may be obtained from the State animal health official,
State representatives, or APHIS representatives.
09 CFR 78.2 Handling of certificates, permits, and ''S'' brand permits
for interstate movement of animals.
(a) Any certificate, permit, or ''S'' brand permit required by this
part for the interstate movement of animals shall be delivered to the
person moving the animals by the shipper or shipper's agent at the time
the animals are delivered for movement and shall accompany the animals
to their destination and be delivered to the consignee or the person
receiving the animals.
(b) The APHIS representative, State representative, or accredited
veterinarian issuing a certificate or permit required for the interstate
movement of animals under this part, except for permits for entry and
''S'' brand permits, shall forward a copy thereof as follows:
(1) A copy of each certificate shall be forwarded to the State animal
health official of the State of destination, or to the State animal
health official of the State of origin for forwarding to the State of
destination; or
(2) A copy of each permit shall be forwarded to the State animal
health official of the State of destination.
(Approved by the Office of Management and Budget under control number
0579-0047)
(51 FR 32580, Sept. 12, 1986, as amended at 56 FR 54533, Oct. 22,
1991)
09 CFR 78.3 Handling in transit of cattle and bison moved interstate.
Cattle and bison moving interstate, except cattle and bison moved
directly to a recognized slaughtering establishment, approved
intermediate handling facility, or quarantined feedlot, shall be moved
only in a means of conveyance which has been cleaned in accordance with
71.5, 71.7, 71.10, and 71.11 of this chapter and, if unloaded in the
course of such movement, shall be handled only in pens cleaned in
accordance with the provisions of 71.4, 71.7, 71.10, and 71.11 of this
chapter.
78.4 (Reserved)
09 CFR 78.3 Subpart B -- Restrictions on Interstate Movement of Cattle Because of Brucellosis
09 CFR 78.5 General restrictions.
Cattle may not be moved interstate except in compliance with this
subpart.
09 CFR 78.6 Steers and spayed heifers.
Steers and spayed heifers may be moved interstate without restriction
under this subpart.
09 CFR 78.7 Brucellosis reactor cattle.
(a) Destination. Brucellosis reactor cattle may be moved interstate
only for immediate slaughter as follows:
(1) Directly to a recognized slaughtering establishment;
(2) Directly to an approved intermediate handling facility and then
directly to a recognized slaughtering establishment; or
(3) From a farm of origin directly to a specifically approved
stockyard approved to receive brucellosis reactors and then
(i) Directly to a recognized slaughtering establishment; or
(ii) Directly to an approved intermediate handling facility and then
directly to a recognized slaughtering establishment.
(b) Identification. Prior to moving interstate, brucellosis reactor
cattle shall be
(1) Individually identified by attaching to the left ear a metal tag
bearing a serial number and the inscription, ''U.S. Reactor,'' or a
metal tag bearing a serial number designated by the State animal health
official for identifying brucellosis reactors; and
(2) ''B'' branded.
(c) Permit. Brucellosis reactor cattle moving interstate shall be
accompanied to destination by a permit.
(d) Marking of records. Each person moving brucellosis reactor
cattle interstate shall, in the course of interstate movement, plainly
write or stamp the words ''Brucellosis Reactor'' upon the face of any
document that person prepares in connection with such movement.
(e) Segregation en route. Brucellosis reactor cattle shall not be
moved interstate in any means of conveyance containing animals which are
not brucellosis reactors unless all the animals are for immediate
slaughter or unless the brucellosis reactor cattle are kept separate
from the other animals by a partition securely affixed to the sides of
the means of conveyance.
(Approved by the Office of Management and Budget under control number
0579-0047)
(51 FR 32580, Sept. 12, 1986, as amended at 56 FR 58639, Nov. 21,
1991)
09 CFR 78.8 Brucellosis exposed cattle.
Brucellosis exposed cattle may be moved interstate only as follows:
(a) Movement to recognized slaughtering establishments. (1) Finished
fed cattle from a quarantined feedlot may be moved interstate
(i) Directly to a recognized slaughtering establishment without
further restriction under this part; or
(ii) Directly to an approved intermediate handling facility and then
directly to a recognized slaughtering establishment if accompanied by a
permit or ''S'' brand permit.
(2) Brucellosis exposed cattle may be moved interstate directly to a
recognized slaughtering establishment if such cattle are:
(i) Individually identified by an official eartag or a United States
Department of Agriculture backtag;
(ii) Accompanied by a permit or ''S'' brand permit; and
(iii) (A) ''S'' branded before leaving the premises from which they
are to be moved interstate; or
(B) ''B'' branded when a claim for indemnity is made under part 51 of
this chapter; or
(C) Official adult vaccinates; or
(D) Moved in vehicles closed with official seals applied and removed
by an APHIS representative, State representative, accredited
veterinarian, or an individual authorized for this purpose by an APHIS
representative.
The official seal numbers must be recorded on the accompanying permit
or ''S'' brand permit.
(3) Brucellosis exposed cattle may be moved interstate directly to an
approved intermediate handling facility and then directly to a
recognized slaughtering establishment if such cattle are:
(i) Individually identified by an official eartag or a United States
Department of Agriculture backtag;
(ii) Accompanied by a permit or ''S'' brand permit; and
(iii) (A) ''S'' branded before leaving the premises from which they
are to be moved interstate; or
(B) ''B'' branded when a claim for indemnity is made under Part 51 of
this chapter; or
(C) Official adult vaccinates.
(4) Brucellosis exposed cattle moving to slaughter from a farm of
origin may be moved directly to a specifically approved stockyard
approved to receive brucellosis exposed cattle and then directly to a
recognized slaughtering establishment if such cattle are:
(i) Individually identified by an official eartag or United States
Department of Agriculture backtag;
(ii) Accompanied by a permit or ''S'' brand permit; and
(iii) (A) ''S'' branded before leaving the premises from which they
are to be moved interstate; or
(B) ''B'' branded when a claim for indemnity is made under Part 51 of
this chapter; or
(C) Official adult vaccinates; or
(D) Moved in vehicles closed with official seals applied and removed
by an APHIS representative, State representative, accredited
veterinarian, or an individual authorized for this purpose by an APHIS
representative.
The official seal numbers must be recorded on the accompanying permit
or ''S'' brand permit.
(5) Brucellosis exposed cattle moving to slaughter from a farm of
origin may be moved directly to a specifically approved stockyard
approved to receive brucellosis exposed cattle and then directly to an
approved intermediate handling facility and then directly to a
recognized slaughtering establishment if such cattle are:
(i) Individually identified by an official eartag or United States
Department of Agriculture backtag;
(ii) Accompanied by a permit or ''S'' brand permit; and
(iii) (A) ''S'' branded before leaving the premises from which they
are to be moved interstate; or
(B) ''B'' branded when a claim for indemnity is made under Part 51 of
this chapter; or
(C) Official adult vaccinates.
(b) Movement to quarantined feedlots. Brucellosis exposed cattle for
which no claim for indemnity is being made by the owner under part 51 of
this chapter may be moved interstate directly to a quarantined feedlot,
or from a farm of origin directly to a specifically approved stockyard
approved to receive brucellosis exposed cattle and then directly to a
quarantined feedlot, or from a farm of origin directly to an approved
intermediate handling facility and then directly to a quarantined
feedlot, or from a farm of origin directly to a specifically approved
stockyard approved to receive brucellosis exposed cattle and then
directly to an approved intermediate handling facility and then directly
to a quarantined feedlot, if the cattle are:
(1) Individually identified by an official eartag or a United States
Department of Agriculture backtag;
(2) Accompanied by a permit or ''S'' brand permit; and
(3)(i) ''S'' branded before leaving the premises from which they are
to be moved interstate; or
(ii) Official adult vaccinates.
(c) Movement other than in accordance with paragraphs (a) and (b) of
this section: Brucellosis exposed cattle for which no claim for
indemnity is being made by the owner under part 51 of this chapter also
may be moved interstate in accordance with 78.10 and as follows:
(1) Such brucellosis exposed cattle from herds known to be affected
other than female cattle which originate in Class B States or areas or
Class C States or areas may be moved interstate if the cattle are:
(i) Under 6 months of age and weaned from brucellosis reactors or
brucellosis exposed cows not less than 30 days immediately preceding
interstate movement; or
(ii) Under 6 months of age and nursing brucellosis exposed cows in a
herd subjected to a herd blood test within 10 days prior to interstate
movement; or
(iii) Official vaccinates under 1 year of age from a herd following
an approved individual herd plan.
(2) Cattle moved interstate from a farm of origin directly to a
specifically approved stockyard in accordance with 78.9(b)(3)(iii),
78.9(c)(3)(iii), or 78.9(d)(3) of this part and subsequently determined
to be brucellosis exposed may be moved interstate directly back to the
farm of origin under the following conditions:
(i) Prior to interstate movement, State representatives of the State
in which the cattle are located and the State of destination advise
APHIS that such movement would not be contrary to the laws and
regulations of their respective States;
(ii) Prior to interstate movement, the State representative of the
State of destination agrees to quarantine the cattle on arrival and to
require that all test-eligible cattle on the farm of origin be subjected
to an official test; and
(iii) The cattle are accompanied to the farm of origin by a permit.
(Approved by the Office of Management and Budget under control number
0579-0047)
(51 FR 32580, Sept. 12, 1986, as amended at 54 FR 1925, Jan. 18,
1989; 56 FR 54533, Oct. 22, 1991; 56 FR 58638, 58639, Nov. 21, 1991;
56 FR 65782, Dec. 18, 1991)
09 CFR 78.9 Cattle from herds not known to be affected.
Male cattle which are not test eligible and are from herds not known
to be affected may be moved interstate without further restriction.
Female cattle which are not test eligible and are from herds not known
to be affected may be moved interstate only in accordance with 78.10 of
this part and this section. Test-eligible cattle which are not
brucellosis exposed and are from herds not known to be affected may be
moved interstate only in accordance with 78.10 and as follows:
(a) Class Free States/areas. Test-eligible cattle which originate in
Class Free States or areas, are not brucellosis exposed, and are from a
herd not known to be affected may be moved interstate from Class Free
States or areas only as specified below:
(1) Movement to recognized slaughtering establishments.
(i) Such cattle may be moved interstate directly to a recognized
slaughtering establishment or directly to a specifically approved
stockyard and then directly to a recognized slaughtering establishment
without restriction under this subpart.
(ii) Such cattle may be moved interstate from a farm of origin
directly to an approved intermediate handling facility and then directly
to a recognized slaughtering establishment if accompanied by a permit.
(iii) Such cattle may be moved interstate from other than a farm of
origin directly to an approved intermediate handling facility and then
directly to a recognized slaughtering establishment if such cattle are
accompanied by a permit.
(2) Movement to quarantined feedlots. Such cattle may be moved
interstate without restriction under this subpart directly to a
quarantined feedlot, or directly to a specifically approved stockyard
and then directly to a quarantined feedlot, or directly to a
specifically approved stockyard and then directly to an approved
intermediate handling facility and then directly to a quarantined
feedlot, or directly to an approved intermediate handling facility and
then directly to a quarantined feedlot.
(3) Movement other than in accordance with paragraphs (a) (1) and (2)
of this section. Such cattle may be moved interstate other than in
accordance with paragraphs (a) (1) and (2) of this section only if:
(i) Such cattle are moved interstate from a farm of origin directly
to a specifically approved stockyard; or
(ii) Such cattle are moved interstate from a farm of origin or
returned interstate to a farm of origin in the course of normal ranching
operations, without change of ownership, directly to or from another
premises owned, leased, or rented by the same individual; or
(iii) Such cattle are moved interstate accompanied by a certificate
which states, in addition to the items specified in 78.1, that the
cattle originated in a Class Free State or area.
(b) Class A States/areas. Test-eligible cattle which originate in
Class A States or areas, are not brucellosis exposed, and are from a
herd not known to be affected may be moved interstate from Class A
States or areas only as specified below:
(1) Movement to recognized slaughtering establishments. (i) Such
cattle may be moved interstate from a farm of origin or nonquarantined
feedlot directly to a recognized slaughtering establishment or directly
to a specifically approved stockyard and then directly to a recognized
slaughtering establishment without restriction under this subpart.
(ii) Such cattle may be moved interstate from a farm of origin
directly to an approved intermediate handling facility without
restriction under this subpart.
(iii) Such cattle from other than a farm of origin or nonquarantined
feedlot may be moved interstate directly to a recognized slaughtering
establishment or directly to a specifically approved stockyard and then
directly to a recognized slaughtering establishment if identity to the
Class A State or area is maintained by means of identification tag
numbers appearing on sale records showing the consignor or by penning
cattle from the farm or State or area apart from other animals.
(iv) Such cattle from other than a farm of origin may be moved
interstate accompanied by a permit
(A) Directly to an approved intermediate handling facility and then
directly to a recognized slaughtering establishment; or
(B) Directly to a specifically approved stockyard and then directly
to an approved intermediate handling facility and then directly to a
recognized slaughtering establishment.
(2) Movement to quarantined feedlots. (i) Such cattle may be moved
interstate from a farm of origin directly to a quarantined feedlot, or
directly to a specifically approved stockyard and then directly to a
quarantined feedlot, or directly to a specifically approved stockyard
and then directly to an approved intermediate handling facility and then
directly to a quarantined feedlot, or directly to an approved
intermediate handling facility and then directly to a quarantined
feedlot, if the identity of the farm of origin of the cattle is
maintained by means of identification tag numbers appearing on sale
records showing the consignor or by penning cattle from the farm of
origin apart from other animals.
(ii) Such cattle from other than a farm of origin may be moved
interstate directly to a quarantined feedlot or directly to a
specifically approved stockyard and then directly to a quarantined
feedlot if identity to the Class A State or area is maintained by means
of identification tag numbers appearing on sale records showing the
consignor or by penning cattle from one farm or State or area apart from
other animals.
(3) Movement other than in accordance with paragraphs (b) (1) and (2)
of this section. Such cattle may be moved interstate other than in
accordance with paragraphs (b) (1) and (2) of this section only if:
(i) Such cattle originate in a certified brucellosis-free herd and
are accompanied interstate by a certificate which states, in addition to
the items specified in 78.1, that the cattle originated in a certified
brucellosis-free herd; or
(ii) Such cattle are negative to an official test within 30 days
prior to such interstate movement and are accompanied interstate by a
certificate which states, in addition to the items specified in 78.1,
the test dates and results of the official tests; or
(iii) Such cattle are moved interstate from a farm of origin directly
to a specifically approved stockyard and are subjected to an official
test upon arrival at the specifically approved stockyard prior to losing
their identity with the farm of origin; or
(iv) Such cattle are moved interstate from a farm of origin or
returned interstate to a farm of origin in the course of normal ranching
operations, without change of ownership, directly to or from another
premises owned, leased, or rented by the same individual.
(c) Class B States/areas. Test-eligible cattle which originate in
Class B States or areas, are not brucellosis exposed, and are from a
herd not known to be affected may be moved interstate from Class B
States or areas only under the conditions specified below:
(1) Movement to recognized slaughtering establishments. (i) Such
cattle may be moved interstate from a farm of origin or a nonquarantined
feedlot directly to a recognized slaughtering establishment without
restriction under this subpart.
(ii) Such cattle may be moved interstate from a farm of origin
directly to an approved intermediate handling facility without
restriction under this subpart.
(iii) Such cattle may be moved interstate from a nonquarantined
feedlot directly to an approved intermediate handling facility and then
directly to a recognized slaughtering establishment if they are
accompanied by a permit or ''S'' brand permit.
(iv) Such cattle may be moved interstate from a farm of origin or a
nonquarantined feedlot directly to a specifically approved stockyard and
then to a recognized slaughtering establishment if:
(A) They are negative to an official test conducted at the
specifically approved stockyard and are accompanied to slaughter by a
certificate or ''S'' brand permit which states, in addition to the items
specified in 78.1, the test dates and results of the official tests;
or
(B) They originate from a certified brucellosis-free herd and
identity to the certified brucellosis-free herd is maintained; or
(C) They are ''S'' branded at the specifically approved stockyard,
accompanied by an ''S'' brand permit, and moved directly to a recognized
slaughtering establishment; or
(D) They are moved from the specifically approved stockyard
accompanied by an ''S'' brand permit and in vehicles closed with
official seals applied and removed by an APHIS representative, a State
representative, an accredited veterinarian, or an individual authorized
for this purpose by an APHIS representative.
The official seal numbers must be recorded on the accompanying ''S''
brand permit.
(v) Such cattle may be moved interstate from a farm of origin or a
nonquarantined feedlot directly to a specifically approved stockyard and
then to an approved intermediate handling facility and then directly to
a recognized slaughtering establishment if:
(A) They are negative to an official test conducted at the
specifically approved stockyard and are accompanied by an ''S'' brand
permit which states, in addition to the items specified in 78.1, the
test dates and results of the official tests; or
(B) They originate from a certified brucellosis-free herd, identity
to the certified brucellosis-free herd is maintained, and they are
accompanied by an ''S'' brand permit; or
(C) They are ''S'' branded at the specifically approved stockyard,
accompanied by an ''S'' brand permit, and moved directly to an approved
intermediate handling facility.
(vi) Such cattle from other than a farm of origin or a nonquarantined
feedlot may be moved interstate to a recognized slaughtering
establishment only if:
(A) They are negative to an official test within 30 days prior to
such interstate movement and are accompanied by a certificate or ''S''
brand permit which states, in addition to the items specified in 78.1,
the test dates and results of the official tests; or
(B) They originate from a certified brucellosis-free herd and
identity to the certified brucellosis-free herd is maintained; or
(C) They are ''S'' branded, accompanied by an ''S'' brand permit, and
moved directly to a recognized slaughtering establishment; or
(D) They are accompanied by an ''S'' brand permit and moved in
vehicles closed with official seals applied and removed by an APHIS
representative, a State representative, an accredited veterinarian, or
by an individual authorized for this purpose by an APHIS representative.
The official seal numbers must be recorded on the accompanying ''S''
brand permit.
(vii) Such cattle from other than a farm of origin or a
nonquarantined feedlot may be moved interstate to an approved
intermediate handling facility and then directly to a recognized
slaughtering establishment only if:
(A) They are negative to an official test within 30 days prior to
such interstate movement and are accompanied by a permit or ''S'' brand
permit which states, in addition to the items specified in 78.1, the
test dates and results of the official tests; or
(B) They originate from a certified brucellosis-free herd, identity
to the certified brucellosis-free herd is maintained, and they are
accompanied by an ''S'' brand permit; or
(C) They are ''S'' branded, accompanied by an ''S'' brand permit, and
moved directly to an approved intermediate handling facility.
(2) Movement to quarantined feedlots. (i) Such cattle may be moved
interstate from a farm of origin directly to:
(A) A quarantined feedlot if such cattle are ''S'' branded upon
arrival at the quarantined feedlot; or
(B) A specifically approved stockyard and the directly to a
quarantined feedlot or directly to an approved intermediate handling
facility and then directly to a quarantined feedlot, if the cattle are
''S'' branded upon arrival at the specifically approved stockyard and
are accompanied to the quarantined feedlot by an ''S'' brand permit; or
(C) An approved intermediate handling facility and then directly to a
quarantined feedlot, if the cattle are ''S'' branded upon arrival at the
approved intermediate handling facility and are accompanied to the
quarantined feedlot by an ''S'' brand permit.
(ii) Such cattle from other than a farm of origin may be moved
interstate to a quarantined feedlot if:
(A) They are negative to an official test within 30 days prior to
such movement and are accompanied by a certificate which states, in
addition to the items specified in 78.1, the test dates and results of
the official tests; or
(B) They are ''S'' branded, accompanied by an ''S'' brand permit, and
moved directly to a quarantined feedlot.
(3) Movement other than in accordance with paragraphs (c) (1) and (2)
of this section. Such cattle may be moved interstate other than in
accordance with paragraphs (c) (1) and (2) of this section only if:
(i) Such cattle originate in a certified brucellosis-free herd and
are accompanied interstate by a certificate which states, in addition to
the items specified in 78.1, that the cattle originated in a certified
brucellosis-free herd; or
(ii) Such cattle are negative to an official test within 30 days
prior to interstate movement, have been issued a permit for entry, and
are accompanied interstate by a certificate which states, in addition to
the items specified in 78.1, the test dates and results of the official
tests; or
(iii) Such cattle are moved interstate from a farm of origin directly
to a specifically approved stockyard and are subjected to an official
test upon arrival at the specifically approved stockyard prior to losing
their identity with the farm of origin; or
(iv) Such cattle are moved interstate from a farm of origin or
returned interstate to a farm of origin in the course of normal ranching
operations, without change of ownership, directly to or from another
premises owned, leased or rented by the same individual, and (A) The
cattle being moved originate from a herd in which (1) All the cattle
were negative to a herd blood test within 1 year prior to the interstate
movement; (2) Any cattle added to the herd after such herd blood test
were negative to an official test within 30 days prior to the date the
cattle were added to the herd; (3) None of the cattle in the herd have
come in contact with any other cattle; and (B) The cattle are
accompanied interstate by a document which states the dates and results
of the herd blood test and the name of the laboratory in which the
official tests were conducted.
(v) The State animal health officials of the State of origin and
State of destination may waive the requirements of paragraph (c)(3)(iv)
of this section in writing.
(d) Class C States/areas. All female cattle and test-eligible male
cattle which originate in Class C States or areas, are not brucellosis
exposed, and are from a herd not known to be affected may be moved
interstate from Class C States or areas only under the conditions
specified below:
(1) Movement to recognized slaughtering establishments. (i) Such
cattle may be moved interstate from a farm of origin or a nonquarantined
feedlot directly to a recognized slaughtering establishment without
restriction under this subpart.
(ii) Such cattle may be moved interstate from a farm of origin
directly to an approved intermediate handling facility without
restriction under this subpart.
(iii) Such cattle may be moved interstate from a nonquarantined
feedlot directly to an approved intermediate handling facility and then
directly to a recognized slaughtering establishment if they are
accompanied by a permit or ''S'' brand permit.
(iv) Such cattle may be moved interstate from a farm of origin or a
nonquarantined feedlot directly to a specifically approved stockyard and
then to a recognized slaughtering establishment if:
(A) They are negative to an official test conducted at the
specifically approved stockyard and are accompanied by a certificate or
''S'' brand permit which states, in addition to the items specified in
78.1, the test dates and results of the official tests; or
(B) They originate from a certified brucellosis-free herd and
identity to the certified brucellosis-free herd is maintained; or
(C) They are ''S'' branded at the specifically approved stockyard,
accompanied by an ''S'' brand permit, and moved directly to a recognized
slaughtering establishment; or
(D) They are moved from the specifically approved stockyard
accompanied by an ''S'' brand permit and in vehicles closed with
official seals applied and removed by an APHIS representative, a State
representative, an accredited veterinarian, or an individual authorized
for this purpose by an APHIS representative.
The official seal numbers must be recorded on the accompanying ''S''
brand permit.
(v) Such cattle may be moved interstate from a farm of origin or a
nonquarantined feedlot directly to a specifically approved stockyard and
then to an approved intermediate handling facility and then directly to
a recognized slaughtering establishment if:
(A) They are negative to an official test conducted at the
specifically approved stockyard and are accompanied by an ''S'' brand
permit which states, in addition to the items specified in 78.1, the
test dates and results of the official tests; or
(B) They originate from a certified brucellosis-free herd, identity
to the certified brucellosis-free herd is maintained, and they are
accompanied by an ''S'' brand permit; or
(C) They are ''S'' branded at the specifically approved stockyard,
accompanied by an ''S'' brand permit, and moved directly to an approved
intermediate handling facility.
(vi) Such cattle from other than a farm of origin or a nonquarantined
feedlot may be moved interstate to a recognized slaughtering
establishment only if:
(A) They are negative to an official test within 30 days prior to
such interstate movement and are accompanied by a certificate or ''S''
brand permit which states, in addition to the items specified in 78.1,
the test dates and results of the official tests; or
(B) They originate from a certified brucellosis-free herd and
identity to the certified brucellosis-free herd is maintained; or
(C) They are ''S'' branded, accompanied by an ''S'' brand permit, and
moved directly to a recognized slaughtering establishment; or
(D) They are accompanied by an ''S'' brand permit and moved in
vehicles closed with official seals applied and removed by an APHIS
representative, a State representative, an accredited veterinarian, or
by an individual authorized for this purpose by the APHIS
representative.
The official seal numbers must be recorded on the accompanying ''S''
brand permit.
(vii) Such cattle from other than a farm of origin or a
nonquarantined feedlot may be moved interstate to an approved
intermediate handling facility and then directly to a recognized
slaughtering establishment only if:
(A) They are negative to an official test within 30 days prior to
such interstate movement and are accompanied by a permit or ''S'' brand
permit which states, in addition to the items specified in 78.1, the
test dates and results of the official tests; or
(B) They originate from a certified brucellosis-free herd, identity
to the certified brucellosis-free herd is maintained, and they are
accompanied by an ''S'' brand permit; or
(C) They are ''S'' branded, accompanied by an ''S'' brand permit, and
moved directly to an approved intermediate handling facility.
(2) Movement to quarantined feedlots.
(i) Such cattle may be moved interstate from a farm of origin
directly to:
(A) A quarantined feedlot if such cattle are ''S'' branded upon
arrival at the quarantined feedlot; or
(B) A specifically approved stockyard and then directly to a
quarantined feedlot, or directly to an approved intermediate handling
facility and then directly to a quarantined feedlot, if the cattle are
''S'' branded upon arrival at the specifically approved stockyard and
are accompanied to the quarantined feedlot by an ''S'' brand permit; or
(C) An approved intermediate handling facility and then directly to a
quarantined feedlot, if the cattle are ''S'' branded upon arrival at the
approved intermediate handling facility and are accompanied to the
quarantined feedlot by an ''S'' brand permit.
(ii) Such cattle from other than a farm of origin may be moved
interstate to a quarantined feedlot if:
(A) They are negative to an official test within 30 days prior to
such movement and are accompanied by a certificate which states, in
addition to the items specified in 78.1, the test dates and results of
the official tests; or
(B) They are ''S'' branded, accompanied by an ''S'' brand permit, and
moved directly to a quarantined feedlot.
(3) Movement other than in accordance with paragraphs (d) (1) or (2)
of this section. Such cattle may be moved interstate other than in
accordance with paragraphs (d) (1) or (2) of this section only if such
cattle originate in a certified brucellosis-free herd and are
accompanied interstate by a certificate which states, in addition to the
items specified in 78.1 of this part, that the cattle originated in a
certified brucellosis-free herd.
(Approved by the Office of Management and Budget under control number
0579-0047)
(51 FR 32580, Sept. 12, 1986, as amended at 54 FR 1925, Jan. 18,
1989; 56 FR 54533, Oct. 22, 1991; 56 FR 58638, 58639, Nov. 21, 1991)
09 CFR 78.10 Official vaccination of cattle moving into and out of
Class B and Class C states or areas.
(a) Female dairy cattle born after January 1, 1984, which are 4
months of age or over must be official vaccinates to move interstate
into or out of a Class B State or area /4/ unless they are moved
interstate directly to a recognized slaughtering establishment or
quarantined feedlot, or directly to an approved intermediate handling
facility and then directly to a recognized slaughtering establishment,
or directly to an approved intermediate handling facility and then
directly to a quarantined feedlot and then directly to a recognized
slaughtering establishment, or directly to an approved intermediate
handling facility and then directly to a quarantined feedlot and then
directly to a recognized slaughtering establishment. Female cattle
eligible for official calfhood vaccination and required by this
paragraph to be officially vaccinated may be moved interstate from a
farm of origin directly to a specifically approved stockyard and be
officially vaccinated upon arrival at the specifically approved
stockyard.
(b) Female cattle born after January 1, 1984, which are 4 months of
age or over must be official vaccinates to move into a Class C State or
area /4/ unless they are moved interstate directly to a recognized
slaughtering establishiment, or directly to an approved intermediate
handling facility and then directly to a recognized slaughtering
establishment, or directly to an approved intermediate handling facility
and then directly to a quarantined feedlot and then directly to a
recognized slaughtering establishment. Female cattle eligible for
official calfhood vaccination and required by this paragraph to be
officially vaccinated may be moved interstate from a farm of origin
directly to a specifically approved stockyard and be officially
vaccinated upon arrival at the specifically approved stockyard.
(c) Female cattle born after January 1, 1984, which are 4 months of
age or over must be official vaccinates to move interstate out of a
Class C State or area /4/ inder 78.9(d)(3) of this part. Female cattle
from a certified brucellosis-free herd that are eligible for official
calfhood vaccination and required by this paragraph to be officially
vaccinated may be moved interstate from a farm of origin directly to a
specifically approved stockyard and be officially vaccinated upon
arrival at the specifically approved stockyard.
(51 FR 32580, Sept. 12, 1986, as amended at 54 FR 1926, Jan. 18,
1989; 56 FR 58368, Nov. 21, 1991)
/4/ Female cattle imported into the United States may be exempted
from the vaccination requirements of this paragraph with the concurrence
of the State animal health official of the State of destination. This
concurrence is required prior to the importation of the cattle into the
United States.
09 CFR 78.11 Cattle moved to a specifically approved stockyard not in
accordance with this part.
Cattle, except brucellosis reactors and brucellosis exposed cattle,
which are moved interstate to a specifically approved stockyard but fail
to comply with the requirements of this part for release from the
specifically approved stockyard may be moved from the specifically
approved stockyard only as follows:
(a) With the concurrence of the State animal health officials of the
State of origin and State of destination, directly back to the farm of
origin accompanied by a permit; or
(b) Directly to an approved intermediate handling facility and then
directly to a recognized slaughtering establishment or directly to an
approved intermediate handling facility and then directly to a
quarantined feedlot and then directly to a recognized slaughtering
establishment if such cattle are ''S'' branded and accompanied by an
''S'' brand permit; or
(c) Directly to a recognized slaughtering establishment if such
cattle are
(1) ''S'' branded and accompanied by an ''S'' brand permit; or
(2) Accompanied by an ''S'' brand permit and moved in vehicles closed
with official seals applied and removed by an APHIS representative,
State representative, an accredited veterinarian, or an individual
authorized for this purpose by an APHIS representative.
The official seal numbers must be recorded on the ''S'' brand permit;
or
(d) Directly to a quarantined feedlot if such cattle are ''S''
branded and accompanied by an ''S'' brand permit.
(Approved by the Office of Management and Budget under control number
0579-0047)
(51 FR 32580, Sept. 12, 1986, as amended at 56 FR 54534, Oct. 22,
1991; 56 FR 58638, 58639, Nov. 21, 1991)
09 CFR 78.12 Cattle from quarantined areas.
Not withstanding any provisions in the regulations to the contrary,
cattle may be moved interstate from a quarantined area only in
accordance with 78.10 and this section.
(a) Steers and spayed heifers. Steers and spayed heifers may be
moved interstate without restriction under this section.
(b) Brucellosis reactor cattle. Brucellosis reactor cattle may be
moved interstate in accordance with 78.7.
(c) Brucellosis exposed cattle. Brucellosis exposed cattle may be
moved interstate in accordance with 78.8 (a) or (b).
(d) Movement from qualified herds. Cattle from qualified herds in
any quarantined area may be moved interstate only as follows:
(1) Movement to recognized slaughtering establishments.
(i) Cattle from qualified herds in a quarantined area may be moved
interstate from a farm of origin directly to a recognized slaughtering
establishment or directly to a specifically approved stockyard and then
directly to a recognized slaughtering establishment if they are negative
to an official test within 30 days prior to such interstate movement and
are accompanied by a certificate or ''S'' brand permit which states, in
addition to the items specified in 78.1, the test dates and results of
the official tests; or
(ii) Cattle from qualified herds in a quarantined area may be moved
interstate from a farm of origin directly to an approved intermediate
handling facility and then directly to a recognized slaughtering
establishment or directly to an approved intermediate handling facility
and then directly to a quarantined feedlot and then directly to a
recognized slaughtering establishment if they are negative to an
official test within 30 days prior to such interstate movement and are
accompanied by an ''S'' brand permit which states, in addition to the
items specified in 78.1, the test dates and results of the official
tests; or
(iii) Cattle from qualified herds in a quarantined area may be moved
interstate from a farm of origin directly to a specifically approved
stockyard and then directly to an approved intermediate handling
facility and then directly to a recognized slaughtering establishment or
directly to an approved intermediate handling facility and then directly
to a quarantined feedlot and then directly to a recognized slaughtering
establishment if they are negative to an official test within 30 days
prior to such interstate movement and are accompanied by a permit or
''S'' brand permit which states, in addition to the items specified in
78.1, the test dates and results of the official tests; or
(iv) Cattle from qualified herds in a quarantined area may be moved
interstate in accordance with 78.8(a).
(2) Movement to quarantined feedlots. -- (i) Cattle from qualified
herds in a quarantined area may be moved interstate from a farm of
origin directly to a quarantined feedlot, or directly to a specifically
approved stockyard and then directly to a quarantined feedlot, or
directly to an approved intermediate handling facility and then directly
to a quarantined feedlot if the cattle are negative to an official test
within 30 days prior to such interstate movement and are accompanied by
a certificate which states, in addition to the items specified in 78.1
of this part, the test dates and results of the official tests; or
(ii) Cattle from qualified herds in a quarantined area may be moved
in accordance with 78.8(b).
(3) Movement other than in accordance with paragraph (d) (1) or (2)
of this section. Cattle from qualified herds in a quarantined area may
be moved interstate other than in accordance with paragraph (d) (1) or
(2) of this section, either directly from a farm of origin or from a
farm of origin through no more than one specifically approved stockyard
if
(i) The cattle, except official vaccinates less than 1 year of age
and cattle less than 6 months of age, are negative to an official test
within 30 days prior to such interstate movement; and
(ii) The cattle are accompanied interstate by a certificate which
states, in addition to the items specified in 78.1, the test dates and
results of the official tests when such tests are required.
(e) Movement from herds which are not qualified. Cattle from herds
known to be affected or from herds which are not qualified in any
quarantined area may be moved interstate only in accordance with 78.8
(a) or (b). /5/
(Approved by the Office of Management and Budget under control number
0579-0047)
(51 FR 32580, Sept. 12, 1986, as amended at 56 FR 58368, 58369, Nov.
21, 1991)
/5/ A herd which is not qualified in a quarantined area may become a
qualified herd upon compliance with the provisions set forth in 78.1 in
the definition of ''qualified herd.''
09 CFR 78.13 Other movements.
The Administrator may, upon request in specific cases, permit the
interstate movement of cattle not otherwise provided for in this
subpart, under such conditions as the Administrator may prescribe in
each case to prevent the spread of brucellosis. The Administrator shall
promptly notify the State animal health officials of the States involved
of any such action.
(51 FR 32580, Sept. 12, 1986, as amended at 56 FR 54534, Oct. 22,
1991)
09 CFR 78.14 Rodeo bulls.
(a) A rodeo bull that is test-eligible and that is from a herd not
known to be affected may be moved interstate if:
(1) The bull is classified as brucellosis negative based upon an
official test conducted less than 365 days before the date of interstate
movement;
(2) The bull is identified with an official eartag;
(3) There is no change of ownership since the date of the last
official test;
(4) A certificate accompanies each interstate movement of the bull;
and
(5) A permit for entry is issue for each interstate movement of the
bull.
(b) A bull that would qualify as a rodeo bull, but that is used for
breeding purposes during the 365 days following the date of being
tested, may be moved interstate only if the bull meets the requirements
for cattle in this subpart.
(Approved by the Office of Management and Budget under control number
0579-0047)
78.15 -- 78.19 (Reserved)
09 CFR 78.14 Subpart C -- Restrictions on Interstate Movement of Bison Because of Brucellosis
09 CFR 78.20 General restrictions.
Bison may not be moved interstate except in compliance with this
subpart.
09 CFR 78.21 Bison steers and spayed heifers.
Bison steers and spayed heifers may be moved interstate without
restriction under this subpart.
09 CFR 78.22 Brucellosis reactor bison.
(a) Destination. Brucellosis reactor bison may be moved interstate
only for immediate slaughter as follows:
(1) Directly to a recognized slaughtering establishment;
(2) Directly to an approved intermediate handling facility and then
directly to a recognized slaughtering establishment; or
(3) From a farm of origin directly to a specifically approved
stockyard approved to receive brucellosis reactors and then
(i) Directly to a recognized slaughtering establishment; or
(ii) Directly to an approved intermediate handling facility and then
directly to a recognized slaughtering establishment.
(b) Identification. Prior to moving interstate, brucellosis reactor
bison shall be
(1) Individually identified by attaching to the left ear a metal tag
bearing a serial number and the inscription, ''U.S. Reactor,'' or a
metal tag bearing a serial number designated by the State animal health
official for identifying brucellosis reactors; and
(2) ''B'' branded.
(c) Permit. Brucellosis reactor bison moving interstate shall be
accompanied to destination by a permit.
(d) Marking of records. Each person moving brucellosis reactor bison
interstate shall, in the course of interstate movement, plainly write or
stamp the words ''Brucellosis Reactor'' upon the face of any document
that person prepares in connection with such movement.
(e) Segregation en route. Brucellosis reactor bison shall not be
moved interstate in any means of conveyance containing animals which are
not brucellosis reactors unless all of the animals are for immediate
slaughter or unless the brucellosis reactor bison are kept separate from
the other animals by a partition securely affixed to the sides of the
means of conveyance.
(Approved by the Office of Management and Budget under control number
0579-0047)
(51 FR 32580, Sept. 12, 1986, as amended at 56 FR 58639, Nov. 21,
1991)
09 CFR 78.23 Brucellosis exposed bison.
Brucellosis exposed bison may be moved interstate only as follows:
(a) Movement to recognized slaughtering establishments. Brucellosis
exposed bison may be moved interstate for slaughter accompanied by a
permit or ''S'' brand permit and as follows:
(1) Directly to a recognized slaughtering establishment or directly
to an approved intermediate handling facility and then directly to a
recognized slaughtering establishment; or
(2) From a farm of origin directly to a specifically approved
stockyard approved to receive brucellosis exposed bison and then
(i) Directly to a recognized slaughtering establishment; or
(ii) Directly to an approved intermediate handling facility and then
directly to a recognized slaughtering establishment.
(b) Movement to quarantined feedlots. Brucellosis exposed bison may
be moved directly to a quarantined feedlot or, from a farm of origin,
directly to a specifically approved stockyard approved to receive
brucellosis exposed bison and then directly to a quarantined feedlot.
Such bison shall be accompanied by a permit or ''S'' brand permit.
(c) Movement other than in accordance with paragraphs (a) or (b) of
this section. Brucellosis exposed bison which are from herds known to
be affected, but which are not part of a herd being depopulated under
Part 51 of this chapter, may move without restriction if the bison:
(1) Are under 6 months of age and were weaned from brucellosis
reactor or brucellosis exposed bison not less than 30 days immediately
preceding interstate movement; or
(2) Are under 6 months of age and nursing brucellosis exposed bison
in a herd subjected to a herd blood test within 10 days prior to
interstate movement; or
(3) Are official vaccinates under 1 year of age from a herd following
an approved individual herd plan.
(Approved by the Office of Management and Budget under control number
0579-0047)
(51 FR 32580, Sept. 12, 1986, as amended at 56 FR 58639, Nov. 21,
1991)
09 CFR 78.24 Bison from herds not known to be affected.
Bison from herds not known to be affected may be moved interstate
only as follows:
(a) Movement to recognized slaughtering establishments. Bison from
herds not known to be affected may be moved directly to a recognized
slaughtering establishment without restriction under this subpart.
(b) Movement to quarantined feedlots. Bison from herds not known to
be affected may be moved directly to a quarantined feedlot without
restriction under this subpart.
(c) Movement from public zoo to public zoo. Bison from herds not
known to be affected may be moved from a zoo owned by a governmental
agency to another such zoo if handled in accordance with 78.3.
(d) Movement other than in accordance with paragraphs (a), (b), or
(c) of this section. Bison from herds not known to be affected may be
moved interstate other than in accordance with paragraphs (a), (b), or
(c) of this section only as follows:
(1) Such bison under 6 months of age may be moved interstate when
accompanied by a certificate.
(2) Such bison which are official vaccinates under 2 years of age and
are not parturient or postparturient may be moved interstate when
accompanied by a certificate.
(3) Such bison may be moved interstate if they are negative to an
official test within 30 days prior to such movement and are accompanied
by a certificate which states, in addition to the items specified in
78.1, the dates and results of the official tests.
(4) Such bison may be moved interstate if they originate in a
certified brucellosis-free herd and are accompanied by a certificate
which states, in addition to the items specified in 78.1, that the
bison originated in a certified brucellosis-free herd.
(Approved by the Office of Management and Budget under control number
0579-0047)
(51 FR 32580, Sept. 12, 1986, as amended at 56 FR 58639, Nov. 21,
1991)
09 CFR 78.25 Other movements.
The Administrator may, upon request in specific cases, permit the
interstate movement of bison not otherwise provided for in this subpart,
under such conditions as the Administrator may prescribe in each case to
prevent the spread of brucellosis. The Administrator shall promptly
notify the State animal health officials of the States involved of any
such action.
(51 FR 32580, Sept. 12, 1986, as amended at 56 FR 54534, Oct. 22,
1991)
78.26 -- 78.29 (Reserved)
09 CFR 78.25 Subpart D -- Restrictions on Interstate Movement of Swine Because of Brucellosis
09 CFR 78.30 General restrictions.
(a) Brucellosis reactor swine, brucellosis exposed swine, and sows
and boars may not be moved interstate or in interstate commerce except
in compliance with this subpart.
(b) Each person who causes the movement of swine in interstate
commerce is responsible for the identification of the swine as required
by this subpart. No such person shall remove or tamper with or cause
the removal of or tampering with an identification tattoo or approved
swine identification tag required in this subpart except at the time of
slaughter, or as may be authorized by the Administrator upon request in
specific cases and under such conditions as the Administrator may impose
to ensure continuing identification.
(51 FR 32580, Sept. 12, 1986, as amended at 56 FR 54534, Oct. 22,
1991)
09 CFR 78.31 Brucellosis reactor swine.
(a) Destination. Brucellosis reactor swine may be moved interstate
only for immediate slaughter as follows:
(1) Directly to a recognized slaughtering establishment; or
(2) Directly to a stockyard posted under the Packers and Stockyards
Act, as amended (7 U.S.C. 181 et seq.), or directly to a market agency
or dealer registered under the Packers and Stockyards Act, for sale to a
recognized slaughtering eatablishment in accordance with the following
requirements:
(b) Identification. Brucellosis reactor swine shall be individually
identified by attaching to the left ear a metal tag bearing a serial
number and the inscription, ''U.S. Reactor,'' or a metal tag bearing a
serial number designated by the State animal health official for
identifying brucellosis reactors.
(c) Permit. Brucellosis reactor swine shall be accompanied to
destination by a permit.
(d) Marking of records. Each person moving brucellosis reactor swine
interstate shall, in the course of interstate movement, plainly write or
stamp the words ''Brucellosis Reactor'' upon the face of any document
that person prepares in connection with such movement.
(e) Segregation en route. Brucellosis reactor swine shall not be
moved interstate in any means of conveyance containing animals which are
not brucellosis reactors unless all of the animals in the shipment are
for immediate slaughter, or unless the brucellosis reactor swine are
kept separate from other animals by a partition securely affixed to the
sides of the means of conveyance.
(Approved by the Office of Management and Budget under control number
0579-0047)
(51 FR 32580, Sept. 12, 1986, as amended at 56 FR 58639, Nov. 21,
1991)
09 CFR 78.32 Brucellosis exposed swine.
Brucellosis exposed swine may be moved interstate only if accompanied
by a permit and only for immediate slaughter as follows:
(a) Directly to a recognized slaughtering establishment; or
(b) Directly to a stockyard posted under the Packers and Stockyards
Act, as amended (7 U.S.C. 181 et seq.), or directly to a market agency
or dealer registered under the Packers and Stockyards Act, for sale to a
recognized slaughtering establishment.
(Approved by the Office of Management and Budget under control number
0579-0047)
(51 FR 32580, Sept. 12, 1986, as amended at 56 FR 58639, Nov. 21,
1991)
09 CFR 78.33 Sows and boars.
(a) Sows and boars may be moved in interstate commerce for slaughter
or for sale for slaughter if they are:
(1) Individually identified by an official eartag or a United States
Department of Agriculture backtag applied before movement in interstate
commerce and before they are mixed with swine from any other source; or
(2) Individually identified by an official eartag or a United States
Department of Agriculture backtag applied upon arrival after movement in
interstate commerce and before they are mixed with swine from any other
source, when moved directly from their herd of origin to:
(i) A recognized slaughtering establishment; or
(ii) A stockyard, market agency, or dealer operating under the
Packers and Stockyards Act, as amended (7 U.S.C. 181 et seq.); or
(3) Individually identified by an official swine tattoo when the use
of the official swine tattoo has been requested by a user or the State
animal health official, and the Administrator authorizes its use in
writing based on a determination that the tattoo will be retained and
visible on the carcass of the swine after slaughter, so as to provide
identification of the swine.
(b) Sows and boars may be moved in interstate commerce for breeding
only if the sows and boars are:
(1) Individually identified by an official eartag, or by ear notching
or an ear tattoo that has been recorded in the book of record of a
purebred registry association. This identification must be accomplished
before movement in interstate commerce and before the sows and boars are
mixed with swine from any other source; and
(2) (i) From a validated brucellosis-free herd or a validated
brucellosis-free state and accompanied by a certificate which states, in
addition to the items specified in 78.1, that the swine originated in
either a validated brucellosis-free herd or a validated brucellosis-free
state; or
(ii) Negative to an official test within 30 days prior to interstate
movement and accompanied by a certificate which states, in addition to
the items specified in 78.1, the dates and results of the official
tests.
(c) Sows and boars may be moved in interstate commerce for purposes
other than slaughter or breeding without restriction under this subpart,
if they are identified as required by 71.19 of this chapter.
(d) Serial numbers of United States Department of Agriculture
backtags and official swine tattoos will be assigned to each person who
applies to the State animal health official or the Area Veterinarian in
Charge for the State in which that person maintains his or her place of
business. Serial numbers of official eartags will be assigned to each
accredited veterinarian or State or Federal representative who requests
official eartags from the State animal health official or the Area
Veterinarian in Charge, whoever is responsible for issuing official
eartags in that State. Persons assigned serial numbers of United States
Department of Agriculture backtags, official swine tattoos, and official
eartags:
(1) Record the following information on a document:
(i) All serial numbers applied to the swine;
(ii) Any other serial numbers and approved identification appearing
on the swine that are needed to identify the swine to its owner and
location;
(iii) The street address, including the city and State, or the
township, county, and State of the premises where the approved means of
identification were applied; and
(iv) The telephone number, if available, of the person who owns or
possesses the swine.
(2) Maintain these records at the place of business for 2 years; and
(3) Make these records available for inspection and copying during
ordinary business hours (8 a.m. to 5:30 p.m., Monday through Friday)
upon request by any authorized employee of the United States Department
of Agriculture, upon that employee's request and presentation of his or
her official credentials.
(e)(1) Each person who buys or sells, for his or her own account or
as the agent of the buyer or seller, transports, receives for
transportation, offers for sale or transportation, or otherwise handles
swine in interstate commerce, must keep records relating to the transfer
of ownership, shipment, or handling of the swine, such as yarding
receipts, sale tickets, invoices, and waybills, upon which are recorded:
(i) All serial numbers and other approved means of identification
appearing on the swine that are necessary to identify it to the person
from whom it was purchased or otherwise obtained; and
(ii) The street address, including the city and state, or the
township, county, and State, and the telephone number, if available, of
the person from whom the swine were purchased or otherwise obtained.
(2) Each person required to keep records under this paragraph must
maintain these documents at his/her or its place of business for at
least 2 years after the person has sold or otherwise disposed of the
swine to another person and for such further period as the Administrator
may require by written notice to the person, for purposes of any
investigation or action involving the swine identified in the records.
The person shall make the records available for inspection and copying
during ordinary business hours (8 a.m. to 5:30 p.m., Monday through
Friday) by any authorized employee of the United States Department of
Agriculture, upon that employee's request and presentation of his or her
official credentials.
(52 FR 33799, Sept. 8, 1987, as amended at 53 FR 32030, Aug. 23,
1988; 53 FR 40386, Oct. 14, 1988; 55 FR 11157, Mar. 27, 1990; 56 FR
54533, Oct. 22, 1991)
09 CFR 78.34 Other movements.
The Administrator may, upon request in specific cases, permit the
movement in interstate commerce of swine not otherwise provided for in
this subpart under such conditions as the Administrator may prescribe in
each case to prevent the spread of brucellosis. The Administrator shall
promptly notify the State animal health officials of the States involved
of any such action.
(51 FR 32580, Sept. 12, 1986, as amended at 56 FR 54534, Oct. 22,
1991)
78.35 -- 78.39 (Reserved)
09 CFR 78.34 Subpart E -- Designation of Brucellosis Areas, and Specifically Approved Stockyards
09 CFR 78.40 Designations of State/areas.
The Administrator may amend 78.41 and 78.42 to reclassify States
and areas as Class Free, Class A, Class B, Class C, or quarantined when
the Administrator determines that the States or areas meet the
appropriate definitions in 78.1. The Administrator may approve the
division of a State into two brucellosis classification areas upon
finding that: (a) The State has legislative and regulatory authority
for maintaining separate areas; (b) The State has committed resources
to enforcing the different requirements in each area; (c) The State has
an effective method for monitoring and controlling movement of cattle
across the intrastate boundary; (d) The State has defined the
intrastate boundary by county lines or by recognizable geographic
features, such as rivers and highways; and (e) Each area of the State
meets the standards for the brucellosis classification requested. The
Administrator may amend 78.43 to reclassify States as validated
brucellosis-free States or remove such status when the Administrator
determines that such States meet or do not meet the standards of a
validated brucellosis-free State as defined in 78.1. In the case of any
reclassification to a lower class, reclassification as a quarantined
State or area, or removal of validated brucellosis-free status, the
State animal health official of the State involved will be notified of
such reclassification or removal, and will be given an opportunity to
present objections and arguments to the Administrator prior to the
reclassification or removal taking place.
(51 FR 32580, Sept. 12, 1986, as amended at 53 FR 2222, Jan. 27,
1988; 56 FR 54533, Oct. 22, 1991; 56 FR 55803, Oct. 30, 1991)
09 CFR 78.41 State/area classification.
(a) Class Free -- Alaska, Arizona, Connecticut, Delaware, Hawaii,
Idaho, Maine, Maryland, Massachusetts, Michigan, Minnesota, Montana,
Nevada New Hampshire, New Jersey, New York, North Carolina, North
Dakota, Ohio, Pennsylvania, Puerto Rico, Rhode Island, South Carolina,
Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia,
Wisconsin, and Wyoming.
(b) Class A -- Alabama, Arkansas, California, Colorado, Georgia,
Illinois, Indiana, Iowa, Kansas, Kentucky, Missouri, Nebraska, New
Mexico, Oklahoma, Oregon, South Dakota, and Tennessee.
(c) Class B -- Florida, Louisiana, Mississippi, and Texas.
(51 FR 32580, Sept. 12, 1986)
Editorial Note: For Federal Register citations affecting 78.41, see
the List of CFR Sections Affected in the Finding Aids section of this
volume.
09 CFR 78.42 Quarantined areas.
None.
09 CFR 78.43 Validated brucellosis-free States.
Alaska, Arizona, California, Colorado, Connecticut, Delaware, Hawaii,
Idaho, Illinois, Indiana, Iowa, Kentucky, Maine, Maryland,
Massachusetts, Minnesota, Montana, Nebraska, Nevada, New Hampshire, New
Mexico, New York, North Carolina, North Dakota, Ohio, Oregon,
Pennsylvania, Puerto Rico, Rhode Island, South Dakota, Tennessee, Utah,
Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin,
Wyoming.
(53 FR 4382, Feb. 16, 1988; 53 FR 21979, June 13, 1988, as amended
at 53 FR 24930, July 1, 1988; 53 FR 44180, Nov. 2, 1988; 55 FR 420,
Jan. 5, 1990; 55 FR 7883, Mar. 6, 1990; 55 FR 41995, Oct. 17, 1990;
55 FR 42354, Oct. 19, 1990; 56 FR 2127, Jan. 22, 1991; 56 FR 46109,
Sept. 10, 1991)