[Title 7 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2018 Edition]
[From the U.S. Government Publishing Office]



[[Page i]]

          
          
          Title 7

Agriculture


________________________

Parts 1 to 26

                         Revised as of January 1, 2018

          Containing a codification of documents of general 
          applicability and future effect

          As of January 1, 2018
                    Published by the Office of the Federal Register 
                    National Archives and Records Administration as a 
                    Special Edition of the Federal Register

[[Page ii]]

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                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 7:
          SUBTITLE A--Office of the Secretary of Agriculture         3
  Finding Aids:
      Table of CFR Titles and Chapters........................     585
      Alphabetical List of Agencies Appearing in the CFR......     605
      List of CFR Sections Affected...........................     615

[[Page iv]]





                     ----------------------------

                     Cite this Code: CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 7 CFR 1.1 refers to 
                       title 7, part 1, section 
                       1.

                     ----------------------------

[[Page v]]



                               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, 2018), 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 
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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.

[[Page vi]]

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.

PAST PROVISIONS OF THE CODE

    Provisions of the Code that are no longer in force and effect as of 
the revision date stated on the cover of each volume are not carried. 
Code users may find the text of provisions in effect on any given date 
in the past by using the appropriate List of CFR Sections Affected 
(LSA). For the convenience of the reader, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume. For changes to 
the Code prior to the LSA listings at the end of the volume, consult 
previous annual editions of the LSA. For changes to the Code prior to 
2001, consult the List of CFR Sections Affected compilations, published 
for 1949-1963, 1964-1972, 1973-1985, and 1986-2000.

``[RESERVED]'' TERMINOLOGY

    The term ``[Reserved]'' is used as a place holder within the Code of 
Federal Regulations. An agency may add regulatory information at a 
``[Reserved]'' location at any time. Occasionally ``[Reserved]'' is used 
editorially to indicate that a portion of the CFR was left vacant and 
not accidentally dropped due to a printing or computer error.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
effect of incorporation by reference is that the material is treated as 
if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    What if the material incorporated by reference cannot be found? If 
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CFR INDEXES AND TABULAR GUIDES

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separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Authorities 
and Rules. A list of CFR titles, chapters, subchapters, and parts and an 
alphabetical list of agencies publishing in the CFR are also included in 
this volume.

[[Page vii]]

    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

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in the Code of Federal Regulations.

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
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the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-741-6000 
or write to the Director, Office of the Federal Register, National 
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information. Connect to NARA's web site at www.archives.gov/federal-
register.
    The e-CFR is a regularly updated, unofficial editorial compilation 
of CFR material and Federal Register amendments, produced by the Office 
of the Federal Register and the Government Publishing Office. It is 
available at www.ecfr.gov.

    Oliver A. Potts,
    Director,
    Office of the Federal Register
    January 1, 2018







[[Page ix]]



                               THIS TITLE

    Title 7--Agriculture is composed of fifteen volumes. The parts in 
these volumes are arranged in the following order: Parts 1-26, 27-52, 
53-209, 210-299, 300-399, 400-699, 700-899, 900-999, 1000-1199, 1200-
1599, 1600-1759, 1760-1939, 1940-1949, 1950-1999, and part 2000 to end. 
The contents of these volumes represent all current regulations codified 
under this title of the CFR as of January 1, 2018.

    The Food and Nutrition Service current regulations in the volume 
containing parts 210-299, include the Child Nutrition Programs and the 
Food Stamp Program. The regulations of the Federal Crop Insurance 
Corporation are found in the volume containing parts 400-699.

    All marketing agreements and orders for fruits, vegetables and nuts 
appear in the one volume containing parts 900-999. All marketing 
agreements and orders for milk appear in the volume containing parts 
1000-1199.

    For this volume, Michele Bugenhagen was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of John 
Hyrum Martinez, assisted by Stephen J. Frattini.

[[Page 1]]



                          TITLE 7--AGRICULTURE




                   (This book contains parts 1 to 26)

  --------------------------------------------------------------------
                                                                    Part

SUBTITLE A--Office of the Secretary of Agriculture..........           1

[[Page 3]]

           Subtitle A--Office of the Secretary of Agriculture

  --------------------------------------------------------------------

Part                                                                Page
1               Administrative regulations..................           5
1a              Law enforcement authorities.................         129
1b              National Environmental Policy Act...........         130
1c              Protection of human subjects................         131
2               Delegations of authority by the Secretary of 
                    Agriculture and general officers of the 
                    Department..............................         156
3               Debt management.............................         323
4

[Reserved]

5               Determination of parity prices..............         352
6               Import quotas and fees......................         357
7               Selection and functions of Farm Service 
                    Agency State and county committees......         370
8               4-H Club name and emblem....................         379
9-10

[Reserved]

11              National Appeals Division...................         382
12              Highly erodible land conservation and 
                    wetland conservation....................         394
13

[Reserved]

14              Determining the primary purpose of certain 
                    payments for Federal tax purposes.......         424
15              Nondiscrimination...........................         427
15a             Education programs or activities receiving 
                    or benefitting from Federal financial 
                    assistance..............................         453
15b             Nondiscrimination on the basis of handicap 
                    in programs or activities receiving 
                    Federal financial assistance............         469
15c             Nondiscrimination on the basis of age in 
                    programs or activities receiving Federal 
                    financial assistance from the United 
                    States Department of Agriculture........         492
15d             Nondiscrimination in programs or activities 
                    conducted by the United States 
                    Department of Agriculture...............         504

[[Page 4]]

15e             Enforcement of nondiscrimination on the 
                    basis of handicap in programs or 
                    activities conducted by the United 
                    States Department of Agriculture........         506
15f             Adjudications under section 741.............         513
16              Equal opportunity for religious 
                    organizations...........................         522
17              Sales of agricultural commodities made 
                    available under Title I of the 
                    Agricultural Trade Development and 
                    Assistance Act of 1954, as amended......         526
18              Equal employment opportunity in the State 
                    Cooperative Extension Services..........         543
19

[Reserved]

20              Export sales reporting requirements.........         546
21              Uniform relocation assistance and real 
                    property acquisition for Federal and 
                    federally assisted programs.............         553
22              Rural development coordination..............         554
23              State and regional annual plans of work.....         559
24

[Reserved]

25              Rural empowerment zones and enterprise 
                    communities.............................         564
26

[Reserved]

[[Page 5]]



PART 1_ADMINISTRATIVE REGULATIONS--Table of Contents



                       Subpart A_Official Records

Sec.
1.1 Purpose and scope.
1.2 Policy.
1.3 Agency implementing regulations.
1.4 Public access to certain materials.
1.5 Requests for records.
1.6 Aggregating requests.
1.7 Agency response to requests for records.
1.8 Multitrack processing.
1.9 Expedited processing.
1.10 Search services.
1.11 Review services.
1.12 Handling information from a private business.
1.13 Date of receipt of requests or appeals.
1.14 Appeals.
1.15 General provisions respecting release of records.
1.16 Extension of administrative deadlines.
1.17 Failure to meet administrative deadlines.
1.18 Fee schedule.
1.19 Exemptions and discretionary release.
1.20 Annual report.
1.21 Compilation of new records.
1.22 Authentication.
1.23 Records in formal adjudication proceedings.
1.24 Preservation of records.
1.25 Implementing regulations for the Office of the Secretary and the 
          Office of Communications.

Appendix A to Subpart A of Part 1--Fee Schedule

    Authority: 5 U.S.C. 301 and 552, Appendix A is also issued under 7 
U.S.C. 2244; 31 U.S.C. 9701, and 7 CFR 2.75 (a)(6)(xiii).

    Source: 52 FR 49386, Dec. 31, 1987, unless otherwise noted.

                   Subpart B_Departmental Proceedings

1.26 Representation before the Department of Agriculture.
1.27 Rulemaking and other notice procedures.
1.28 Petitions.
1.29 Subpoenas relating to investigations under statutes administered by 
          the Secretary of Agriculture.

                     Subpart C_Judicial Proceedings

1.41 Service of process.

                            Subpart D_Claims

1.51 Claims based on negligence, wrongful act or omission.

          Subpart E_Cooperative Production of Television Films

1.71 Purpose.
1.72 Policy.
1.73 Responsibility.
1.74 Basis for special working relationships.
1.75 General stipulations.
1.76 Department cooperation.
1.77 Assignment of priorities.
1.78 Development of special working relationships.
1.79 Credits.

                    Subpart G_Privacy Act Regulations

1.110 Purpose and scope.
1.111 Definitions.
1.112 Procedures for requests pertaining to individual records in a 
          record system.
1.113 Times, places, and requirements for identification of individuals 
          making requests.
1.114 Disclosure of requested information to individuals.
1.115 Special procedures: Medical records.
1.116 Request for correction or amendment to record.
1.117 Agency review of request for correction or amendment of record.
1.118 Appeal of initial adverse agency determination on correction or 
          amendment.
1.119 Disclosure of record to person other than the individual to whom 
          it pertains.
1.120 Fees.
1.121 Penalties.
1.122 General exemptions.
1.123 Specific exemptions.

Appendix A to Subpart G of Part 1--Internal Directives

 Subpart H_Rules of Practice Governing Formal Adjudicatory Proceedings 
           Instituted by the Secretary Under Various Statutes

1.130 Meaning of words.
1.131 Scope and applicability of this subpart.
1.132 Definitions.
1.133 Institution of proceedings.
1.134 Docket number.
1.135 Contents of complaint or petition for review.
1.136 Answer.
1.137 Amendment of complaint, petition for review, or answer; joinder of 
          related matters.
1.138 Consent decision.
1.139 Procedure upon failure to file an answer or admission of facts.
1.140 Conferences and procedure.
1.141 Procedure for hearing.
1.142 Post-hearing procedure.
1.143 Motions and requests.
1.144 Judges.
1.145 Appeal to Judicial Officer.

[[Page 6]]

1.146 Petitions for reopening hearing; for rehearing or reargument of 
          proceeding; or for reconsideration of the decision of the 
          Judicial Officer.
1.147 Filing; service; extensions of time; and computation of time.
1.148 Depositions.
1.149 Subpoenas.
1.150 Fees of witnesses.
1.151 Ex parte communications.

Subpart I_Rules of Practice Governing Cease and Desist Proceedings Under 
                  Section 2 of the Capper-Volstead Act

1.160 Scope and applicability of rules in this part.
1.161 Definitions.
1.162 Institution of proceedings.
1.163 The complaint.
1.164 Answer.
1.165 Amendments.
1.166 Consent order.
1.167 Conference.
1.168 Procedure for hearing.
1.169 Post-hearing procedure and decision.
1.170 Appeal to the Judicial Officer.
1.171 Intervention.
1.172 Motions and requests.
1.173 Judges.
1.174 Filing; service; extensions of time; and computation of time.
1.175 Procedure following entry of cease and desist order.

   Subpart J_Procedures Relating to Awards Under the Equal Access to 
            Justice Act in Proceedings Before the Department

                           General Provisions

1.180 Definitions.
1.181 Purpose of these rules.
1.182 When EAJA applies.
1.183 Proceedings covered.
1.184 Eligibility of applicants.
1.185 Standards for awards.
1.186 Allowable fees and expenses.
1.187 Rulemaking on maximum rates for attorney fees.
1.188 Awards against other agencies.
1.189 Delegations of authority.

                  Information Required From Applicants

1.190 Contents of application.
1.191 Net worth exhibit.
1.192 Documentation of fees and expenses.
1.193 Time for filing application.

                 Procedures for Considering Applications

1.194 Filing and service of documents.
1.195 Answer to application.
1.196 Reply.
1.197 Comments by other parties.
1.198 Settlement.
1.199 Further proceedings.
1.200 Decision.
1.201 Department review.
1.202 Judicial review.
1.203 Payment of award.

   Subpart K_Appearance of USDA Employees as Witnesses in Judicial or 
                       Administrative Proceedings

1.210 Purpose.
1.211 Definitions.
1.212 General.
1.213 Appearance as a witness on behalf of the United States.
1.214 Appearance as a witness on behalf of a party other than the United 
          States where the United States is not a party.
1.215 Subpoenas duces tecum for USDA records in judicial or 
          administrative proceedings in which the United States is not a 
          party.
1.216 Appearance as a witness or production of documents on behalf of a 
          party other than the United States where the United States is 
          a party.
1.217 Witness fees and travel expenses.
1.218 Penalty.
1.219 Delegations.

   Subpart L_Procedures Related to Administrative Hearings Under the 
                Program Fraud Civil Remedies Act of 1986

1.301 Basis, purpose and scope.
1.302 Definitions.
1.303 Basis for civil penalties and assessments.
1.304 Investigation.
1.305 Review by the reviewing official.
1.306 Prerequisites for issuing a complaint.
1.307 Complaint.
1.308 Service of complaint and notice of hearing.
1.309 Answer and request for hearing.
1.310 Default upon failure to file an answer.
1.311 Referral of complaint and answer to the ALJ.
1.312 Procedure where respondent does not request a hearing.
1.313 Procedure where respondent requests a hearing; notice of hearing.
1.314 Parties to the hearing.
1.315 Separation of functions.
1.316 Ex parte contacts.
1.317 Disqualification of reviewing official or ALJ.
1.318 Rights of parties.
1.319 Authority of the ALJ.
1.320 Prehearing conferences.
1.321 Disclosure of documents.
1.322 Discovery.
1.323 Subpoenas for attendance at hearing.
1.324 Fees.
1.325 Form, filing and service of papers.
1.326 Computation of time.
1.327 Motions.
1.328 Sanctions.
1.329 The hearing and burden of proof.

[[Page 7]]

1.330 Location of hearing.
1.331 Witnesses.
1.332 Evidence.
1.333 The record.
1.334 Post-hearing briefs.
1.335 Determining the amount of penalties and assessments.
1.336 Initial decision of the ALJ.
1.337 Reconsideration of initial decision.
1.338 Appeal to the judicial officer.
1.339 Stays ordered by the Department of Justice.
1.340 Stay pending appeal.
1.341 Judicial review.
1.342 Collection of civil penalties and assessments.
1.343 Right to administrative offset.
1.344 Deposit to Treasury of the United States.
1.345 Settlement.
1.346 Limitation.

  Subpart M_Rules of Practice Governing Adjudication of Sourcing Area 
Applications and Formal Review of Sourcing Areas Pursuant to the Forest 
Resources Conservation and Shortage Relief Act of 1990 (16 U.S.C. 620 et 
                                  seq.)

1.410 Meaning of words.
1.411 Definitions.
1.412 Institution of proceedings.
1.413 Submission of a sourcing area application.
1.414 Docket number.
1.415 Notification of proceedings.
1.416 Comment period.
1.417 Review period.
1.418 Procedure upon no request for hearing.
1.419 Amendment of a sourcing area application.
1.420 Consent recommendation.
1.421 Prehearing conferences and procedures.
1.422 Conduct of the hearing.
1.423 Post-hearing procedure.
1.424 Motions and requests.
1.425 Judges.
1.426 Appeal to Judicial Officer.
1.427 Filing; identification of parties of record; service; and 
          computation of time.
1.428 Depositions.
1.429 Ex parte communications.

    Subpart N_Policy With Regard to Indemnification of Department of 
                          Agriculture Employees

1.501 Policy on employee indemnification.

            Subpart O_Conditions in FERC Hydropower Licenses

                           General Provisions

1.601 What is the purpose of this subpart, and to what license 
          proceedings does it apply?
1.602 What terms are used in this subpart?
1.603 How are time periods computed?
1.604 What deadlines apply to the trial-type hearing and alternatives 
          processes?

                             Hearing Process

                             Representatives

1.610 Who may represent a party, and what requirements apply to a 
          representative?

                       Document Filing and Service

1.611 What are the form and content requirements for documents under 
          this subpart?
1.612 Where and how must documents be filed?
1.613 What are the requirements for service of documents?

                      Initiation of Hearing Process

1.620 What supporting information must the Forest Service provide with 
          its preliminary conditions?
1.621 How do I request a hearing?
1.622 How do I file a notice of intervention and response?
1.623 Will hearing requests be consolidated?
1.624 Can a hearing process be stayed to allow for settlement 
          discussions?
1.625 How will the Forest Service respond to any hearing requests?
1.626 What will the Forest Service do with any hearing requests?
1.627 What regulations apply to a case referred for a hearing?

                 General Provisions Related to Hearings

1.630 What will OALJ do with a case referral?
1.631 What are the powers of the ALJ?
1.632 What happens if the ALJ becomes unavailable?
1.633 Under what circumstances may the ALJ be disqualified?
1.634 What is the law governing ex parte communications?
1.635 What are the requirements for motions?

                  Prehearing Conferences and Discovery

1.640 What are the requirements for prehearing conferences?
1.641 How may parties obtain discovery of information needed for the 
          case?
1.642 When must a party supplement or amend information it has 
          previously provided?

[[Page 8]]

1.643 What are the requirements for written interrogatories?
1.644 What are the requirements for depositions?
1.645 What are the requirements for requests for documents or tangible 
          things or entry on land?
1.646 What sanctions may the ALJ impose for failure to comply with 
          discovery?
1.647 What are the requirements for subpoenas and witness fees?

                     Hearing, Briefing, and Decision

1.650 When and where will the hearing be held?
1.651 What are the parties' rights during the hearing?
1.652 What are the requirements for presenting testimony?
1.653 How may a party use a deposition in the hearing?
1.654 What are the requirements for exhibits, official notice, and 
          stipulations?
1.655 What evidence is admissible at the hearing?
1.656 What are the requirements for transcription of the hearing?
1.657 Who has the burden of persuasion, and what standard of proof 
          applies?
1.658 When will the hearing record close?
1.659 What are the requirements for post-hearing briefs?
1.660 What are the requirements for the ALJ's decision?

                          Alternatives Process

1.670 How must documents be filed and served under this subpart?
1.671 How do I propose an alternative?
1.672 May I file a revised proposed alternative?
1.673 When will the Forest Service file its modified condition?
1.674 How will the Forest Service analyze a proposed alternative and 
          formulate its modified condition?
1.675 Has OMB approved the information collection provisions of this 
          subpart?

 Subpart P_Rules of Practice and Procedure Governing Formal Rulemaking 
                 Proceedings Instituted by the Secretary

1.800 Words in the singular form.
1.801 Scope and applicability of this subpart.
1.802 Definitions.
1.803 Institution of proceedings.
1.804 Notification by interested persons.
1.805 Docket number.
1.806 Judge.
1.807 Direct testimony submitted as written documents.
1.808 Motions and requests.
1.809 Conduct of the hearing.
1.810 Oral and written arguments.
1.811 Certification of the transcript.
1.812 Copies of the transcript.
1.813 Administrator's recommended decision.
1.814 Submission to Secretary.
1.815 Decision by the Secretary.
1.816 Filing, extension of time, effective date of filing, and 
          computation of time.
1.817 Ex parte communications.
1.818 Additional documents to be filed with hearing clerk.
1.819 Hearing before Secretary.

    Authority: 5 U.S.C. 301, unless otherwise noted.



                       Subpart A_Official Records

    Authority: 5 U.S.C. 301, 552; 7 U.S.C. 3125a; 31 U.S.C. 9701; and 7 
CFR 2.28(b)(7)(viii).



Sec.  1.1  Purpose and scope.

    This subpart establishes policy, procedures, requirements, and 
responsibilities for administration and coordination of the Freedom of 
Information Act (``FOIA''), 5 U.S.C. 552, pursuant to which any person 
may obtain official records. It also provides rules pertaining to the 
disclosure of records pursuant to compulsory process. This subpart also 
serves as the implementing regulations (referred to in Sec.  1.3, 
``Agency implementing regulations'') for the Office of the Secretary 
(the immediate offices of the Secretary, Deputy Secretary, Under 
Secretaries and Assistant Secretaries) and for the Office of 
Communications. The Office of Communications has the primary 
responsibility for implementation of the FOIA in the Department of 
Agriculture (``USDA'' or ``Department''). The term ``agency'' or 
``agencies'' is used throughout this subpart to include both USDA 
program agencies and staff offices.

[65 FR 46336, July 28, 2000]



Sec.  1.2  Policy.

    (a) Agencies of USDA shall comply with the time limits set forth in 
the FOIA and in this subpart for responding to and processing requests 
and appeals for agency records, unless there are unusual circumstances 
within the meaning of 5 U.S.C. 552(a)(6)(B) and Sec.  1.16(b). An agency 
shall notify a requester in writing whenever it is unable to respond to 
or process a request

[[Page 9]]

or appeal within the time limits established by the FOIA.
    (b) All agencies of the Department shall comply with the fee 
schedule provided as appendix A to this subpart, with regard to the 
charging of fees for providing copies of records and related services to 
requesters.

[65 FR 46337, July 28, 2000]



Sec.  1.3  Agency implementing regulations.

    Each agency of the Department shall promulgate regulations setting 
forth the following:
    (a) The location and hours of operation of the agency office or 
offices where members of the public may gain access to those materials 
required by 5 U.S.C. 552(a)(2) and Sec.  1.4 to be made available for 
public inspection and copying.
    (b) Information regarding the publication and distribution (by sale 
or otherwise) of indexes and supplements to indexes that are maintained 
in accordance with the requirements of 5 U.S.C. 552(a)(2) and Sec.  
1.4(c);
    (c) The title and mailing address of the official or officials of 
the agency authorized to receive requests for records submitted in 
accordance with Sec.  1.5(a), and to make determinations regarding 
whether to grant or deny such requests. Authority to make such 
determinations includes authority to:
    (1) Extend the 20 working day administrative deadline for reply 
pursuant to Sec.  1.16;
    (2) Make discretionary releases pursuant to Sec.  1.19(b);
    (3) Make determinations regarding the charging of fees pursuant to 
appendix A to this subpart;
    (d) The title and mailing address of the agency official who is 
authorized to receive appeals submitted in accordance with Sec.  1.14 
and to make determinations regarding whether to grant or deny such 
appeals. Authority to determine appeals includes authority to:
    (1) Extend the 20 working day administrative deadline for reply 
pursuant to Sec.  1.16 (to the extent the maximum extension authorized 
by Sec.  1.16(c) was not used with regard to the initial request;
    (2) Make discretionary releases pursuant to Sec.  1.19(b);
    (3) Make determinations regarding the charging of fees pursuant to 
appendix A to this subpart; and
    (e) Other information which would be of concern to a person wishing 
to request records from that agency in accordance with this subpart.

[65 FR 46337, July 28, 2000]



Sec.  1.4  Public access to certain materials.

    (a) In accordance with 5 U.S.C. 552(a)(2), each agency within the 
Department shall make the following materials available for public 
inspection and copying (unless they are promptly published and copies 
offered for sale):
    (1) Final opinions, including concurring and dissenting opinions, as 
well as orders, made in the adjudication of cases;
    (2) Those statements of policy and interpretation which have been 
adopted by the agency and are not published in the Federal Register;
    (3) Administrative staff manuals and instructions to staff that 
affect a member of the public;
    (4) Copies of all records, regardless of form or format, which have 
been released pursuant to a FOIA request under 5 U.S.C. 552(a)(3), and 
which because of the nature of their subject matter, have become or are 
likely to become the subject of subsequent requests for substantially 
the same records. Agencies shall decide on a case by case basis whether 
records fall into this category, based on the following factors:
    (i) Previous experience with similar records;
    (ii) The particular characteristics of the records involved, 
including their nature and the type of information contained in them; 
and
    (iii) The identity and number of requesters and whether there is 
widespread media, historical, academic, or commercial interest in the 
records.
    (5) A general index of the records referred to in paragraph (a)(4) 
of this section.
    (b) Records encompassed within paragraphs (a)(1) through (a)(5) of 
this section created on or after November 1, 1996, shall be made 
available to the

[[Page 10]]

public by computer telecommunications or, if computer telecommunications 
means have not been established by the agency, by other electronic 
means.
    (c) Each agency of the Department shall maintain and make available 
for public inspection and copying current indexes providing identifying 
information regarding any matter issued, adopted or promulgated after 
July 4, 1967, and required by paragraph (a) of this section to be make 
available or published. Each agency shall publish and make available for 
distribution copies of such indexes and supplements to such indexes at 
least quarterly, unless it determines by notice published in the Federal 
Register that publication would be unnecessary and impracticable. After 
issuance of such notice, each agency shall provide copies of any index 
upon request at a cost not to exceed the direct cost of duplication.
    (d) Each agency is responsible for preparing reference material or a 
guide for requesting records or information from that agency. This guide 
shall also include an index of all major information systems, and a 
description of major information and record locator systems.
    (e) Each agency shall also prepare a handbook for obtaining 
information from that agency. The handbook should be a short, simple 
explanation to the public of what the FOIA is designed to do, and how a 
member of the public can use it to access government records. The 
handbook should be available on paper and through electronic means, and 
it should identify how a requester can access agency Freedom of 
Information Act annual reports. Similarly, the annual reports should 
refer to the handbook and how to obtain it.
    (f) It is appropriate to make frequently requested records available 
in accordance with paragraph (a)(4) of this section in situations where 
public access in a timely manner is important, and it is not intended to 
apply where there may be a limited number of requests over a short 
period of time from a few requesters. Agencies may remove a record from 
this access medium when the appropriate official determines that it is 
unlikely there will be substantial further requests for that document.

[65 FR 46337, July 28, 2000]



Sec.  1.5  Requests for records.

    (a) Any person who wishes to inspect or obtain copies of any record 
of any agency of the Department shall submit a request in writing and 
address the request to the official designated in regulations 
promulgated by that agency. The requester may ask for a fee waiver. All 
such requests for records shall be deemed to have been made pursuant to 
the Freedom of Information Act, regardless of whether the request 
specifically mentions the Freedom of Information Act. To facilitate 
processing of a request, the requester should place the phrase ``FOIA 
REQUEST'' in capital letters on the front of the envelope or on the 
cover sheet of the facsimile transmittal.
    (b) A request must reasonably describe the records to enable agency 
personnel to locate them with reasonable effort. Where possible, a 
requester should supply specific information regarding dates, titles, 
names of individuals, names of offices, and names of agencies or other 
organizations that may help identify the records. If the request relates 
to a matter in pending litigation, the requester should identify the 
court and its location.
    (c) If an agency determines that a request does not reasonably 
describe the records, the agency shall inform the requester of this fact 
and extend the requester an opportunity to clarify the request or to 
confer promptly with knowledgeable agency personnel to attempt to 
identify the records the requester is seeking. The ``date of receipt'' 
in such instances, for purposes of Sec.  1.13, shall be the date of 
receipt of the amended or clarified request.
    (d) If a request for records or a fee waiver made under this subpart 
is denied, the requester shall have the right to appeal the denial. 
Requesters also may appeal agency determinations of a requester's status 
for purposes of fee levels under sec. 5 of appendix A to this subpart. 
All appeals must be in writing and addressed to the official designated 
in regulations promulgated by the

[[Page 11]]

agency which denied the request. To facilitate processing of an appeal, 
the requester should place the phrase ``FOIA APPEAL'' in capital letters 
on the front of the envelope or on the cover sheet of the fax 
transmittal.
    (e) Requests that are not addressed to a specific agency in USDA, or 
which pertain to more than one USDA agency, or which are sent to the 
wrong agency of USDA, should be forwarded to the Department's FOIA 
Officer in the Office of Communications, U.S. Department of Agriculture, 
Washington, DC 20250.
    (f) The Department FOIA Officer will determine which agency or 
agencies should process the request, and, where necessary, refer the 
request to the appropriate agency or agencies. The Department FOIA 
Officer will also notify the requester of the referral and of the name 
of each agency to which the request has been referred.
    (g) A request will be properly received when it is in the possession 
of the component agency that has responsibility for maintaining the 
requested records.
    (h) Each agency shall develop and maintain a record of all written 
requests and appeals received in that agency. The record shall include 
the names of the requester; a brief summary of the information 
requested; whether the request or appeal was granted, denied, or 
partially denied; the exemption from mandatory disclosure under 5 U.S.C. 
552(b) upon which any denial was based; and the amount of any fees 
associated with the request or appeal.

[65 FR 46337, July 28, 2000]



Sec.  1.6  Aggregating requests.

    When an agency reasonably believes that a requester, or a group of 
requesters acting in concert, is attempting to break a request down into 
a series of requests for the purpose of evading the assessment of fees, 
the agency may aggregate any such requests and charge accordingly. One 
element that may be considered in determining whether such a belief 
would be reasonable is the brevity of the time period during which the 
requests have been made.

[65 FR 46338, July 28, 2000]



Sec.  1.7  Agency response to requests for records.

    (a) 5 U.S.C. 552(a)(6)(A)(i) provides that each agency of the 
Department to which a request for records is submitted in accordance 
with Sec.  1.5(a) shall inform the requester of its determination 
concerning that request within 20 working days of its date of receipt 
(excepting Saturdays, Sundays, and legal public holidays), plus any 
extension authorized under Sec.  1.16. If the agency determines to grant 
the request, it shall inform the requester of any conditions surrounding 
the granting of the request (e.g., payment of fees) and the approximate 
date upon which the agency will provide the requested records. If the 
agency grants only a portion of the request, it shall treat the portion 
not granted as a denial, and make a reasonable effort to estimate the 
volume of the records denied and provide this estimate to the requester, 
unless providing such an estimate would harm an interest protected by an 
exemption of the FOIA. If the agency determines to deny the request in 
part or in whole, it shall immediately inform the requester of that 
decision and provide the following:
    (1) The reasons for the denial;
    (2) The name and title or position of each person responsible for 
denial of the request;
    (3) The requester's right to appeal such denial and the title and 
address of the official to whom such appeal is to be addressed; and
    (4) The requirement that such appeal be made within 45 days of the 
date of the denial.
    (b) If the reason for not fulfilling a request is that the records 
requested are in the custody of another agency outside USDA, other than 
in the permanent custody of the National Archives and Records 
Administration (``NARA''), the agency shall inform the requester of this 
fact and shall forward the request to that agency or Department for 
processing in accordance with its regulations. If the records are in the 
permanent custody of NARA, the agency shall so inform the requester. 
Information about obtaining access to records at NARA may be obtained 
through the NARA Archival Information Locator (NAIL) Database at http://

[[Page 12]]

www/nara.gov/nara.nail.html, or by calling NARA at (301) 713-6800. If 
the agency has no knowledge of requested records or if no records exist, 
the agency shall notify the requester of that fact.

[65 FR 46338, July 28, 2000]



Sec.  1.8  Multitrack processing.

    (a) When an agency has a significant number of requests, the nature 
of which precludes a determination within 20 working days, the requests 
may be processed in a multitrack processing system, based on the date of 
receipt, the amount of work and time involved in processing the request, 
and whether the request qualifies for expedited processing.
    (b) Agencies may establish as many processing tracks as appropriate; 
processing within each track shall be based on a first-in, first-out 
concept, and rank-ordered by the date of receipt of the request.
    (c) Agencies may provide a requester whose request does not qualify 
for the fastest track an opportunity to limit the scope of the request 
in order to qualify for a faster track. This multitrack processing 
system does not lessen agency responsibility to exercise due diligence 
in processing requests in the most expeditious manner possible.
    (d) Agencies shall process requests in each track on a ``first-in, 
first-out'' basis, unless there are unusual circumstances as set forth 
in Sec.  1.16, or the requester is entitled to expedited processing as 
set forth in Sec.  1.9.

[65 FR 46338, July 28, 2000]



Sec.  1.9  Expedited processing.

    (a) A requester may apply for expedited processing at the time of 
the initial request for records. Within ten calendar days of its receipt 
of a request for expedited processing, an agency shall decide whether to 
grant it, and shall notify the requester of the decision. Once the 
determination has been made to grant expedited processing, an agency 
shall process the request as soon as practicable. If a request for 
expedited processing is denied, the agency shall act expeditiously on 
any appeal of that decision.
    (b) A request or appeal will be taken out of order and given 
expedited treatment whenever the agency determines that the requester 
has established either of the following criteria:
    (1) Circumstances in which the lack of expedited treatment could 
reasonably be expected to pose an imminent threat to the life or 
physical safety of an individual; or
    (2) An urgency to inform the public about an actual or alleged 
federal government activity, if made by an individual primarily engaged 
in disseminating information. Representatives of the news media would 
normally qualify as individuals primarily engaged in disseminating 
information; however, other requesters must demonstrate that their 
primary activity involves publishing or otherwise disseminating 
information to the public as a whole, and not just a particular segment 
or group. ``Urgency'' contemplates that the information has a particular 
value that will be lost if not disseminated quickly. Ordinarily this 
means a breaking news story of general public interest. Information of 
historical interest only or information sought for litigation or 
commercial activities would not meet the test of urgency, nor would a 
news media publication or broadcast deadline unrelated to the news 
breaking nature of the information.
    (c) A requester who seeks expedited processing must provide a 
written statement that the requester has certified to be true and 
correct to the best of the requester's knowledge, explaining in detail 
the basis for requesting expedited processing. The agency will not 
consider the request to have been received unless accompanied by a 
written, certified statement, and will be under no obligation to 
consider the request for expedited processing until it receives such a 
written, certified statement.
    (d) the same procedures apply to requests for expedited processing 
of administrative appeals.

[65 FR 46338, July 28, 2000]



Sec.  1.10  Search services.

    Search services are services of agency personnel--clerical or 
professional--used in trying to find the records, that

[[Page 13]]

are responsive to a request. Search services includes both manual and 
electronic searches and time spent examining records for the purpose of 
finding information that is within the scope of the request. Search 
services also include services to transport personnel to places of 
record storage, or records to the location of personnel for the purpose 
of the search, if such services are reasonably necessary.

[65 FR 46339, July 28, 2000]



Sec.  1.11  Review services.

    (a) Review services are services of agency personnel--clerical or 
professional--in examining records, both paper and electronic, located 
in response to a request that is for a commercial use (as specified in 
sec. 6 of appendix A to this subpart) to determine whether any portion 
of any record located is exempt from mandatory disclosure.
    (b) Review services include processing any records for disclosure 
e.g., doing all that is necessary to redact exempt portions and 
otherwise prepare records for release.
    (c) Review services do not include the time spent resolving general 
legal or policy issues regarding the application of exemptions.

[65 FR 46339, July 28, 2000]



Sec.  1.12  Handling information from a private business.

    Each USDA agency is responsible for making the final determination 
with regard to the disclosure or nondisclosure of information in agency 
records that has been submitted by a business. When, in the course of 
responding to an FOIA request, an agency cannot readily determine 
whether the information obtained from a person is privileged or 
confidential business information, the policy of USDA is to obtain and 
consider the views of the submitter of the information and to provide 
the submitter an opportunity to object to any decision to disclose the 
information. If a request (including a subpoena duces tecum as described 
in Sec.  1.215) is received in USDA for information that has been 
submitted by a business, the agency shall:
    (a) Provide the business information submitter with prompt 
notification of a request for that information (unless it is readily 
determined by the agency that the information requested should not be 
disclosed or, on the other hand, that the information is not exempt by 
law from disclosure). Afford business information submitter reasonable 
time in which to object to the disclosure of any specified portion of 
the information. The submitter must explain fully all grounds upon which 
disclosure is opposed. For example, if the submitter maintains that 
disclosure is likely to cause substantial harm to it competitive 
position, the submitter must explain item-by-item why disclosure would 
cause such harm. Information provided by a business submitter pursuant 
to this paragraph may itself be subject to disclosure under FOIA;
    (b) Notify the requester of the need to inform the submitter of a 
request for submitted business information;
    (c) Determine whether the requested records are exempt from 
disclosure or must be released;
    (d) Provide business information submitters with notice of any 
determination to disclose such records prior to the disclosure date, in 
order that the matter may be considered for possible judicial 
intervention; and
    (e) Notify business information submitters promptly of all instances 
in which FOIA requesters bring suit seeking to compel disclosure of 
submitted information.

[65 FR 46339, July 28, 2000]



Sec.  1.13  Date of receipt of requests or appeals.

    The date of receipt of a request or appeal shall be the date it is 
received in the agency and office responsible for the administrative 
processing of FOIA requests or appeals.

[65 FR 46339, July 28, 2000]



Sec.  1.14  Appeals.

    (a) Requesters seeking administrative appeal of a denial of a 
request for records or denial of a fee waiver must ensure that the 
appeal is received by the agency within 45 days of the date of the 
denial letter.

[[Page 14]]

    (b) Each agency shall provide for review of appeals by an official 
different from the official or officials designated to make initial 
denials.
    (c) 5 U.S.C. 552(a)(6)(A)(ii) provides that each agency in the 
Department to which an appeal of a denial is submitted shall inform the 
requester of its determination concerning that appeal within 20 working 
days (excepting Saturdays, Sundays, and legal public holidays), plus any 
extension authorized by Sec.  1.16, of its date of receipt. If the 
agency determines to grant the appeal, it shall inform the requester of 
any conditions surrounding the granting of the request (e.g., payment of 
fees) and the approximate date upon which compliance will be effected. 
If the agency grants only a portion of the appeal, it shall treat the 
portion not granted as a denial. If it determines to deny the appeal 
either in part or in whole, it shall inform the requester of that 
decision and of the following:
    (1) The reasons for denial;
    (2) The name and title or position of each person responsible for 
denial of the appeal; and
    (3) The right to judicial review of the denial in accordance with 5 
U.S.C. 552(a)(4).
    (d) Each agency, upon a determination that it wishes to deny an 
appeal, shall send a copy of the records requested and of all 
correspondence relating to the request to the Assistant General Counsel, 
General Law Division, Office of the General Counsel (``Assistant General 
Counsel''). When the volume of records is so large as to make sending a 
copy impracticable, the agency shall enclose an informative summary of 
those records. The agency shall not deny an appeal until it receives 
concurrence from the Assistant General Counsel
    (e) The Assistant General Counsel shall promptly review the matter 
(including necessary coordination with the agency) and render all 
necessary assistance to enable the agency to respond to the appeal 
within the administrative deadline or any extension of the 
administrative deadline.

[65 FR 46339, July 28, 2000]



Sec.  1.15  General provisions respecting release of records.

    (a) When releasing documents, agencies shall provide the record in 
any form or format the requester specifies, if the record is readily 
reproducible in that form of format. Agencies shall make reasonable 
efforts to maintain their records in forms or formats that are 
reproducible. In responding to requests for records, agencies shall make 
reasonable efforts to search for records in electronic form or format, 
except when such efforts would significantly interfere with the 
operation of an agency's automated information system. Such 
determinations shall be made on a case-by-case basis.
    (b) In the event a requested record contains some portions that are 
exempt from mandatory disclosure and others that are not, the official 
responding to the request shall ensure that all reasonably segregable 
nonexempt portions are disclosed, and that all exempt portions are 
identified according to the specific exemption or exemptions which are 
applicable. The amount of deleted information shall be indicated on the 
released portion of paper records. Deletions may be marked by use of 
brackets or darkened areas indicating removal of information, or by any 
other method that would reasonable demonstrate the extent of the 
deletion. In the case of electronic deletion, or deletion in audiovisual 
or microfiche records, if technically feasible, the amount of redacted 
information shall be indicated at the place in the records, if 
technically feasible, the amount of redacted information shall be 
indicated at the place in the record where such deletion was made. This 
may be done by use of brackets, shaded areas, or some other identifiable 
technique which will clearly show the limits of the deleted information.
    (c) If, in connection with a request or an appeal, a charge is to be 
made in accordance with sec. 8 of appendix A to this subpart, agencies 
shall inform the requester of the fee amount and of the basis for the 
charge. Each agency, in accordance with sec. 8 of appendix A to this 
subpart, may require payment of the entire fee, or a portion of the fee, 
before it provides the requested

[[Page 15]]

records. An agency shall require full payment of any delinquent fee owed 
by the requester plus any applicable interest prior to releasing records 
on a subsequent request or appeal. If a requester refuses to remit 
payment in advance, an agency may refuse to process the request or 
appeal with written notice to that effect forwarded to the requester. 
The ``date of receipt'' appeal for which advance payment has been 
required shall be the date that payment is received.
    (d) In the event compliance with the request or appeal involves 
inspection of records by the requester rather than providing copies of 
the records, the agency response shall include the name, mailing 
address, and telephone number of the person to be contacted to arrange a 
mutually convenient time for such inspection.
    (e) Whenever duplication fees, or search fees for unsuccessful 
searches (see sec. 4(f) of appendix A to this subpart), are anticipated 
to exceed $25.00, and the requester has not indicated, in advance, a 
willingness to pay fees as high as those anticipated, agencies shall 
notify the requester of the amount of the anticipated fee. If an 
extensive and therefore costly successful search is anticipated, 
agencies also should notify requesters of the anticipated fees. The 
notification shall offer the requester the opportunity to confer with 
agency personnel to reform the request to meet the requester's needs at 
a lower fee. In appropriate cases, an advance deposit in accordance with 
sec. 8 of appendix A to this subpart may be required.

[65 FR 46340, July 28, 2000]



Sec.  1.16  Extension of administrative deadlines.

    (a) In unusual circumstances as specified in this section, when 
additional time is needed to respond to the initial request or to an 
appeal, agencies shall acknowledge the request or the appeal in writing 
within the 20 working day time period, describe the unusual 
circumstances requiring the delay, and indicate the anticipated date for 
a substantive response that may not exceed 10 additional working days, 
except as provided in the following:
    (1) In instances in which the agency, with respect to a particular 
request, has extended the response date by 10 additional working days, 
if the agency finds that it cannot make a response determination within 
the additional 10 working day period, the agency shall notify the 
requester and provide the requester an opportunity to limit the scope of 
the request to allow the agency to process the request within the 
extended time limit, or an alternative time frame for processing the 
request or a modified request.
    (2) If the requester refuses to reasonably modify the request or 
arrange for an alternative time frame for processing the request, the 
FOIA provides that such refusal shall be considered as a factor in 
determining whether there are exceptional circumstances that warrant 
granting additional time for the agency to complete its review of the 
records, as set forth in 5 U.S.C. 552(a)(6)(C)(iii). The term 
``exceptional circumstances'' does not include a delay that results from 
a predictable agency backlog, unless the agency demonstrates reasonable 
progress in reducing its backlog of pending requests.
    (b) As used in this section, ``unusual circumstances'' that may 
justify delay are:
    (1) The need to search for and collect the requested records from 
field facilities or other establishments that are separate from the 
office processing the request;
    (2) The need to search for, collect, and appropriately examine a 
voluminous amount of separate and distinct records which are demanded in 
a single request; or
    (3) The need for consultation, which shall be conducted with all 
practicable speed, with another Department or agency having a 
substantial interest in the determination of the request or among two or 
more components of agency having substantial subject-matter interest in 
the request.

    Note to paragraph (b):
    Consultation regarding policy or legal issues between an agency and 
the Office of the General Counsel, Office of Communications, or the 
Department of Justice is not a basis for extension under this section.


[[Page 16]]


    (c) The 10-day extension authorized by this section may be divided 
between the initial and appellate reviews, but in no event shall the 
total extension exceed 10 working days.
    (d) Nothing in this section shall preclude the agency and the 
requester from agreeing to an extension of time. Any such agreement 
should be confirmed in writing and should specify clearly the total time 
agreed upon.

[65 FR 46340, July 28, 2000]



Sec.  1.17  Failure to meet administrative deadlines.

    In the event an agency fails to meet the administrative deadlines 
set forth in Sec.  1.7 or Sec.  1.14, plus any extension authorized by 
Sec.  1.16, it shall notify the requester, state the reasons for the 
delay, and the date by which it expects to dispatch a determination. 
Although the requester may be deemed to have exhausted his or her 
administrative remedies under 5 U.S.C. 552(a)(6)(C), the agency shall 
continue processing the request as expeditiously as possible and 
dispatch the determination when it is reached in the same manner and 
form as if it had been reached within the applicable deadline.

[65 FR 46341, July 28, 2000]



Sec.  1.18  Fee schedule.

    Pursuant to Sec.  2.28 of this title, the Chief Financial Officer is 
delegated authority to promulgate regulations providing for a uniform 
fee schedule applicable to all agencies of the Department regarding 
requests for records under this subpart. The regulations providing for a 
uniform fee schedule are found in appendix A to this subpart.

[65 FR 46341, July 28, 2000]



Sec.  1.19  Exemptions and discretionary release.

    (a) All agency records, except those specifically exempted from 
mandatory disclosure by one or more provisions of 5 U.S.C. 552(b), shall 
be made promptly available to any person submitting a request under this 
subpart.
    (b) Agencies are authorized, in their sole discretion, to make 
discretionary releases when such release is not otherwise specifically 
prohibited by Executive Order, statute, or regulation.

[65 FR 46341, July 28, 2000]



Sec.  1.20  Annual report.

    (a) Each agency of the Department shall compile the following 
Freedom of Information Act statistics on a fiscal year basis beginning 
October 1, 1997, and report the following information to the Office of 
Communications no later than November 30 following the fiscal year's 
close:
    (1) The number of requests for records received and the number of 
requests which were processed;
    (2) The number of determinations made not to comply with initial 
requests for records made to it under Sec.  1.5(a), and the reasons for 
each such determinations;
    (3) The number of appeals made by persons under Sec.  1.14(b), the 
result of such appeals, and the reason for the action upon each appeal 
that results in a denial of information.
    (4) A complete list of all statutes that the agency relies upon to 
authorize the agency to withhold information under 5 U.S.C. 552(b)(3), a 
description of whether a court has upheld the decision of the agency to 
withhold information under each such statute, and a concise description 
of the scope of any information withheld;
    (5) The number of requests for records pending before the agency as 
of September 30 of the preceding year, and the median number of days 
that such requests had been pending before the agency as of that date:
    (6) The median number of days taken by the agency to process 
different types of requests;
    (7) The total amount of fees collected by the agency for processing 
requests;
    (8) The number of full-time staff of the agency devoted to 
processing requests for records under this section, and the total amount 
expended by the agency for processing such requests.
    (b) Each agency shall compile the information required by paragraph 
(a) of this section for the preceding fiscal year into a report and 
submit this report to the Director of Communications, Office of 
Communications, no later than November 30 following the fiscal year's 
close.

[[Page 17]]

    (c) The Director of Communications, Office of Communications, shall 
combine the reports from all the agencies within USDA into a 
Departmental report, and shall submit to the Attorney General on or 
before February 1 of each year in accordance with 5 U.S.C. 552(e).
    (d) Each agency shall make the report available to the public 
including by computer telecommunications, or if computer 
telecommunications means have not been established by the agency, by 
other electronic means.

[65 FR 46341, July 28, 2000]



Sec.  1.21  Compilation of new records.

    Nothing in 5 U.S.C. 552 or this subpart requires that any agency 
create a new record in order to fulfill a request for records. However, 
an agency is required to provide a record in a form or format specified 
by a requester, if the record is readily reproducible by the agency in 
the form or format requested. Creation of records may be undertaken 
voluntarily if the agency determines this action to be in the public 
interest or the interest of USDA.

[65 FR 46341, July 28, 2000]



Sec.  1.22  Authentication.

    When a request is received for an authenticated copy of a document 
that the agency determines to make available to the requesting party, 
the agency shall cause a correct copy to be prepared and sent to the 
Office of the General Counsel, which shall certify the same and cause 
the seal of the Department to be affixed, except that the Hearing Clerk 
in the Office of Administrative Law Judges may authenticate copies of 
documents in the records of the Hearing Clerk, the Director of the 
National Appeals Division may authenticate copies of documents in the 
records of the National Appeals Division, and the Inspector General may 
authenticate copies of documents in the records of the Office of 
Inspector General.

[72 FR 66042, Nov. 27, 2007]



Sec.  1.23  Records in formal adjudication proceedings.

    Records in formal adjudication proceedings are on file in the 
Hearing Clerk's office, Office of Administrative Law Judges, U.S. 
Department of Agriculture, Washington, DC 20250, and shall be made 
available to the public.

[65 FR 46341, July 28, 2000]



Sec.  1.24  Preservation of records.

    Agencies shall preserve all correspondence relating to the requests 
it receives under this subpart, and all records processed pursuant to 
such requests, until such time as the destruction of such correspondence 
and records is authorized pursuant to Title 44 of the United States 
Code, and appropriate records disposition authority granted by NARA. 
Under no circumstances shall records be sent to a Federal Records 
Center, transferred to the permanent custody of NARA, or destroyed while 
they are the subject of a pending request, appeal, or civil action under 
the FOIA.

[65 FR 46341, July 28, 2000]



Sec.  1.25  Implementing regulations for the Office of the 
Secretary and the Office of Communications.

    (a) For the Office of the Secretary and for the Office of 
Communications, the regulations required by Sec.  1.3 are as follows:
    (1) Records available for public inspection and copying may be 
obtained in Room 536-A, Jamie L. Whitten Federal Building, USDA, 
Washington, DC 20250 during the hours of 9 a.m. to 5 p.m. by prior 
appointment;
    (2) Any indexes and supplements which are maintained in accordance 
with the requirements of 5 U.S.C. 552(a)(2) and Sec.  1.5(b) will also 
be available in Room 536-A, Jamie L. Whitten Federal Building, USDA, 
Washington, DC 20250 during the hours of 9 a.m. to 5 p.m.;
    (3) The person authorized to receive Freedom of Information Act 
requests and to determine whether to grant or deny such requests is the 
FOIA Officer, Office of Communications, USDA, Washington, DC 20250;
    (4) The official authorized to receive appeals from denial of FOIA 
requests and to determine whether to grant or deny such appeals is the 
Director of Communications, Office of Communications, USDA, Washington, 
DC 20250.

[[Page 18]]

    (b) The organization and functions of the Office of the Secretary 
and the Office of Communications is as follows:
    (1) The Office of the Secretary provides the overall policy guidance 
and direction of the activities of the Department of Agriculture. 
Department-wide policy statements and announcements are made from this 
office.
    (2) The Office of the Secretary consists of the Secretary, Deputy 
Secretary, Under Secretaries, Assistant Secretaries, and other staff 
members.
    (3) In the absence of the Secretary and the Deputy Secretary, 
responsibility for the operation of the Department of Agriculture is as 
delegated at part 2, subpart A, of this title.
    (4) The Office of Communications provides policy direction, review, 
and coordination of public information programs of the Department of 
Agriculture. The Office of Communications has responsibility for 
maintaining the flow of information to the mass communications media, 
various constituency groups, and the general public.
    (5) The Office of Communications is headed by the Director of 
Communications. In the Director's absence, the Office of Communications 
is headed by the Deputy Director.

[65 FR 46341, July 28, 2000]



          Sec. Appendix A to Subpart A of Part 1--Fee Schedule

                           Section 1. General.

    This schedule sets forth fees to be charged for providing copies of 
records--including photographic reproductions, microfilm, maps and 
mosaics, and related services--under the Freedom of Information Act 
(FOIA). Records and related services are available at the locations 
specified by agencies in their FOIA implementing regulations. The fees 
set forth in this schedule are applicable to all agencies of the 
Department of Agriculture, and are based upon guidelines prescribed by 
the Office of Management and Budget (OMB) issued at 52 FR 10012 (March 
27, 1987). No higher fees or charges in addition to those provided for 
in this schedule may be charged a party requesting services under the 
Freedom of Information Act.

       Section 2. Types of services for which fees may be charged.

    Subject to the criteria set forth in section 5 of this appendix, 
fees may be assessed under the Freedom of Information Act on all 
requests involving such services as record search, duplication, and 
review. Fees may also be charged in situations involving special service 
to a request, such as certifying that records requested are true copies, 
or sending records by special methods such as express mail, etc. For 
services not covered by the FOIA or by this appendix, agencies may set 
their own fees in accordance with applicable law, or costs incurred will 
be assessed the requester at the actual cost to the Government. For 
example, where records are required to be shipped from one office to 
another by commercial carrier in order to timely answer a request, the 
actual freight charge will be assessed the requester.

         Section 3. Instances in which fees will not be charged.

    (a) Except for requests seeking records for a commercial use (as 
specified in section 5 of this appendix), no charge shall be made for 
either: (1) The first 100 pages of duplicated records (8\1/2\ 
x 14 or smaller-size paper); or (2) The first two hours of 
manual search time, or the equivalent value of computer search time as 
defined in section 4(e) of this appendix.
    (b) No charge shall be made--even to commercial use requesters--if 
the cost of collecting a fee would be equal to or greater than the fee 
itself. For USDA, this figure has been calculated to be $25.00.
    (c) Fees may not be charged for time spent by an agency employee in 
resolving legal or policy issues, or in monitoring a requester's 
inspection of agency records. No charge shall be made for normal postage 
costs.
    (d) Records shall also be furnished without charge under the 
following conditions:
    (1) When filling requests from other Departments or Government 
agencies for official use, provided quantities requested are reasonable 
in number;
    (2) When members of the public provide their own copying equipment, 
in which case no copying fee will be charged (although search and review 
fees may still be assessed); or
    (3) When any notices, decisions, orders, or other materials are 
required by law to be served on a party in any proceeding or matter 
before any Department agency.

            Section 4. Fees for records and related services.

    (a) The fee for photocopies of pages 8\1/2\ x 
14 or smaller shall be $0.20 per page (per individual side of 
sheet).
    (b) The fee for photocopies larger than 8\1/2\ x 
14 shall be $0.50 per linear foot of the longest side of the 
copy.
    (c) The fee for other forms of duplicated records, such as 
microform, audio-visual materials, or machine-readable documentation 
(i.e., magnetic tape or disk), shall be the actual direct cost of 
producing the records.

[[Page 19]]

    (d) Manual searches shall be charged for in one of the two following 
manners in the given order:
    (1) When feasible, at the salary rate of the employee conducting the 
search, plus 16 percent of the employee's basic pay; or
    (2) Where a homogeneous class of personnel is used exclusively, at 
the rate of $10.00 per hour for clerical time, and $20.00 per hour for 
supervisory or professional time. Charges should be computed to the 
nearest quarter hour required for the search. A homogeneous class of 
personnel, for purposes of conducting manual searches and where more 
than one individual is involved, is a group of employees of like rank, 
grade, pay or position. A heterogeneous class of personnel is a group of 
employees of unlike rank, grade, pay, or position. If a heterogeneous 
class of personnel is involved in a search then the search shall be 
charged for at the salary rate of the individuals.
    (e) Mainframe computer searches and services shall be charged for at 
the rates established in the Users Manual or Handbook published by the 
computer center at which the work will be performed. Where the rate has 
not been established, the rate shall be $27.00 per minute. Searches 
using computers other than mainframes shall be charged for at the manual 
search rate.
    (1) Other rates are published and may be examined at the following 
places:

Fort Collins Computer Center Users Manual
    Fort Collins Computer Center, U.S. Department of Agriculture, 3825 
East Mulberry Street (P.O. Box 1206), Fort Collins, Colo. 80521.
National Finance Center, Cost, Productivity & Analysis Section, U.S. 
          Department of Agriculture, 13800 Old Gentilly Road, New 
          Orleans, La. 70129.
Kansas City Computer Center Users Manual Kansas City Computer Center, 
          U.S. Department of Agriculture, 8930 Ward Parkway (P.O. Box 
          205), Kansas City, MO. 64141.
Washington Computer Center Users Handbook: Washington Computer Center, 
          U.S. Department of Agriculture, Room S-100, South Building, 
          12th Street and Independence Avenue, SW., Washington, DC 
          20250.
St. Louis Computer Center, U.S. Department of Agriculture, 1520 Market 
          Street, St. Louis, MO. 63103.

    (f) Charges for unsuccessful searches, or searches which fail to 
locate records or which locate records which are exempt from disclosure, 
shall be assessed at the same fee rate as searches which result in 
disclosure of records.
    (g) The fee for providing review services shall be the hourly salary 
rate (i.e., basic pay plus 16 percent) of the employee conducting the 
review to determine whether any information is exempt from mandatory 
disclosure.
    (h) The fee for Certifications shall be $5.00 each; Authentications 
under Department Seal (including aerial photographs), $10.00 each.
    (i) All other costs incurred by USDA agencies will be assessed the 
requester at the actual cost to the Government.
    (j) The fees specified in paragraphs (a) through (g) of this section 
apply to all requests for services under the FOIA, unless no fee is to 
be charged, or the agency has determined to waive or reduce those fees 
pursuant to section 6 of this appendix. No higher fees or charges in 
addition to those provided for in this appendix may be charged for 
services under the FOIA.
    (k) The fees specified in paragraphs (h) and (i) of this section and 
in section 17 of this appendix apply to requests for services other than 
those subject to the FOIA. The authority for establishment of these fees 
is at 31 U.S.C. 9701 and other applicable laws.
    (l) Except as provided in section 11 of this appendix, for services 
not subject to the FOIA, and not covered by paragraph (h) of this 
section, agencies may set their own fees in accordance with applicable 
law.

       Section 5. Levels of fees for each category of requesters.

    Under the FOIA, there are four categories of FOIA requesters: 
Commercial use requesters, educational and non-commercial scientific 
institutions; representatives of the news media; and all other 
requesters. FOIA prescribes specific levels of fees for each category:
    (a) Commercial use requesters--For commercial use requesters, 
agencies shall assess charges which recover the full direct costs of 
searching for, reviewing for release, and duplicating the records 
sought. Commercial use requesters are not entitled to the free search 
time or duplication referenced in section 3(a) of this appendix. 
Agencies may recover the cost of searching for and reviewing records for 
commercial use requesters even if there is ultimately no disclosure of 
records.
    (1) A commercial use requester is defined as one who seeks 
information for a use or purpose that furthers the commercial, trade, or 
profit interests of the requester or the person on whose behalf the 
request is made.
    (2) In determining whether a requester properly belongs in this 
category, agencies must determine whether the requester will put the 
records to a commercial use. Where an agency has reasonable cause to 
doubt the use to which a requester will put the records sought, or where 
that use is not clear from the request itself, the agency may seek 
additional clarification from the requester.
    (b) Educational and non-commercial scientific institution 
requesters--Fees for this category of requesters shall be limited to the

[[Page 20]]

cost of providing duplication service alone, minus the charge for the 
first 100 reproduced pages. No charge shall be made for search or review 
services. To qualify for this category, requesters must show that the 
request is being made as authorized by and under the auspices of an 
eligible institution and that the records are not sought for a 
commercial use, but are sought in furtherance of scholarly research (if 
the request is from an educational institution) or scientific research 
(if the request is from a non-commercial scientific institution).
    (1) The term educational institution refers to a preschool, a public 
or private elementary or secondary school, an institution of graduate 
higher education, an institution of undergraduate higher education, an 
institution of professional education, and an institution of vocational 
education, which operates a program or programs of scholarly research.
    (2) The term non-commercial scientific institution refers to 
institution that is not operated on a ``commercial'' (see section 
5(a)(1)) of this appendix basis, and which is operated solely for the 
purpose of conducting scientific research the results of which are not 
intended to promote any particular product or industry.
    (c) Requesters who are representatives of the news media--Fees for 
this category of requesters shall also be limited to the cost of 
providing duplication service alone, minus the charge for the first 100 
reproduced pages. No charge shall be made for providing search or review 
services. Requests in this category must not be made for a commercial 
use.
    (1) The term representative of the news media refers to any person 
actively gathering news for an entity that is organized and operated to 
publish or broadcast news to the public.
    (2) The term news means information that is about current events or 
that would be of current interest to the public.
    (3) Examples of news media entities include television or radio 
stations broadcasting to the public at large, and publishers of 
periodicals which disseminate news and who make their products available 
for purchase or subscription by the general public.
    (4) Freelance journalists may be regarded as working for a news 
organization if they can demonstrate a solid basis for expecting 
publication through that organization, even though not actually employed 
by it.
    (d) All other requesters--Fees for requesters who do not fit into 
the categories described in paragraphs (a), (b), or (c) of this section 
shall be assessed for the full reasonable direct cost of searching for 
and duplicating records that are responsive to a request. No charge, 
however, shall be made to requesters in this category for: (1) The first 
100 duplicated pages; or (2) the first two hours of manual search time, 
or the equivalent value of computer search time as defined in section 
4(e) of this appendix.

                 Section 6. Fee waivers and reductions.

    (a) Agencies shall waive or reduce fees on request for records if 
disclosure of the information in the records is deemed to be in the 
public interest. A request is in the public interest if it is likely to 
contribute significantly to public understanding of the operations or 
activities of the government, and is not primarily in the commercial 
interest of the requester.
    (1) In determining when fees shall be waived or reduced, agencies 
should consider the following six factors:
    (i) The subject of the request, i.e., whether the subject of the 
requested records concerns ``the operations or activities of the 
government'';
    (ii) The informative value of the information to be disclosed, i.e., 
whether the disclosure is ``likely to contribute'' to an understanding 
of government operations or activities;
    (iii) The contribution to an understanding of the subject by the 
general public likely to result from disclosure, i.e., whether 
disclosure of the requested information will contribute to ``public 
understanding'';
    (iv) The significance of the contribution to public understanding, 
i.e., whether the disclosure is likely to contribute ``significantly'' 
to public understanding of government operations or activities;
    (v) The existence and magnitude of a commercial interest, i.e., 
whether the requester has a commercial interest that would be furthered 
by the requested disclosure; and,
    (vi) The primary interest in disclosure, i.e., whether the magnitude 
of the identified commercial interest of the requester is sufficiently 
large, in comparison with the public interest in disclosure, that 
disclosure is ``primarily in the commercial interest of the requester.''
    (2) An agency may, in its discretion, waive or reduce fees 
associated with a request for disclosure, regardless of whether a waiver 
or reduction has been requested, if the agency determines that 
disclosure will primarily benefit the general public.
    (3) Agencies may also waive or reduce fees under the following 
conditions:
    (i) Where the furnishings of records or a service without charge or 
at a reduced rate is an appropriate courtesy to a foreign country or 
international organization, or where comparable fees are set on a 
reciprocal basis with a foreign country or an international 
organization;
    (ii) Where the requester is engaged in a nonprofit activity designed 
for the public safety, health, or welfare; or
    (iii) Where it is determined that payment of the full fee by a State 
or local government or nonprofit group would not be in the interest of 
the program involved.

[[Page 21]]

    (4) Fees shall be waived, however, without discretion in all 
circumstances where the amount of the fee is $25.00 or less.

                Section 7. Restrictions regarding copies.

    (a) Agencies may restrict numbers of photocopies and directives 
furnished the public to one copy of each page. Copies of forms provided 
the public shall also be held to the minimum practical. Persons 
requiring any large quantities should be encouraged to take single 
copies to commercial sources for further appropriate reproduction.
    (b) Single or multiple copies of transcripts, provided to the 
Department under a reporting service contract, may be obtained by the 
public from the contractor at a cost not to exceed the cost per page 
charged to the Department for extra copies. The contractor may add a 
postage charge when mailing orders to the public, but no other charge 
may be added.

                Section 8. Payments of fees and charges.

    (a) Payments should be billed for to the fullest extent possible at 
the time the requested materials are furnished. Payments should be made 
by requesters within 30 days of the date of the billing.
    (b) Payments shall be made by check, draft, or money order made 
payable to the Treasury of the United States, although payments may be 
made in cash, particularly where services are performed in response to a 
visit to a Department office. All payments should be sent to the address 
indicated by the agency responding to the request.
    (c) Where the estimated fees to be charged exceed $250.00, agencies 
may require an advance payment of an amount up to the full estimated 
charges (but not less than 50 percent) from the requester before any of 
the requested materials are reproduced.
    (d) In instances where a requester has previously failed to pay a 
fee, an agency may require the requester to pay the full amount owed, 
plus any applicable interest as provided in section 9 of this appendix, 
as well as the full estimated fee associated with any new request before 
the agency begins to process that new or subsequent request.

                      Section 9. Interest charges.

    On requests that result in fees being assessed, agencies may begin 
levying interest charges on an upaid bill starting on the 31st day 
following the day on which the billing was sent. Interest will be at the 
rate prescribed in 31 U.S.C. 3717, and will accrue from the date of the 
billing.

         Section 10. Effect of the Debt Collection Act on fees.

    In attempting to collect fees levied under the FOIA, agencies shall 
abide by the provisions of 31 U.S.C. 3701, 3711-3720A, in disclosing 
information to consumer reporting agencies and in the use of collection 
agencies, where appropriate, to encourage payment.

Section 11. Photographic and digital reproductions of microfilm, aerial 
                           imagery, and maps.

    Microfilm, aerial imagery, and maps that have been obtained in 
connection with the authorized work of this Department may be sold at 
the estimated cost of furnishing reproductions of these records, using 
photographic, digital, or other methods of reproduction as prescribed in 
this appendix.

     Section 12. Agencies which furnish photographic reproductions.

    (a) Aerial Photographic reproductions. The following agency of the 
Department furnishes aerial photographic reproductions:
    Farm Service Agency (FSA), Aerial Photography Field Office (APFO), 
USDA, 2222 West 2300 South, Salt Lake City, Utah 84119-2020.
    (b) Other photographic reproductions. Other types of reproductions 
may be obtained from the following agency of the Department:
    National Agricultural Library, Agricultural Research Service, USDA, 
Office of the Deputy Director, Technical Information Systems, Room 200, 
NAL Building, Beltsville, MD 20705.

  Section 13. Circumstances under which reproductions may be provided 
                                  free.

    Reproductions may be furnished free at the discretion of the agency, 
if it determines that furnishing free reproductions is in the public 
interest, to:
    (a) Representatives of the news media for dissemination to the 
general public.
    (b) Agencies of State and local governments carrying on a function 
related to that of the Department when it will help to accomplish an 
objective of the Department.
    (c) Cooperators and others furthering agricultural programs. 
Generally, only one print of each photograph should be provided free.

                           Section 14. Loans.

    Aerial photographic film negatives or reproductions may not be 
loaned outside the Federal Government.

    Section 15. Sales of positive prints under government contracts.

    The annual contract for furnishing single and double frame slide 
film negatives and positive prints to agencies of the Department, County 
Extension Agents, and others cooperating with the Department, carries a 
stipulation that the successful bidder must agree to furnish slide film 
positive prints to such persons, organizations, and associations

[[Page 22]]

as may be authorized by the Department to purchase them.

               Section 16. Procedure for handling orders.

    In order to expedite handling, all orders should contain adequate 
identifying information. Agencies furnishing aerial photographic 
reproductions require that all such orders identify the photographs. 
Each agency has its own procedure and order forms.

                    Section 17. Reproduction prices.

    The prices for reproductions listed in this section are for the most 
generally requested items.
    (a) National Agricultural Library. The following prices are 
applicable to National Agricultural Library items only: Reproduction of 
electrostatic, microfilm, and microfiche copy--$5.00 for the first 10 
pages or fraction thereof, and $3.00 for each additional 10 pages or 
fraction thereof. Duplication of NAL-owned microfilm--$10.00 per reel. 
Duplication of NAL-owned microfiche--$5.00 for the first fiche, and 
$0.50 for each additional fiche. Charges for manual and automated data 
base searches for bibliographic or other research information will be 
made in accordance with section 4, paragraphs (c)-(e) of this appendix. 
The contract rate charged by the commercial source to the National 
Agricultrual Library for computer services is available at the National 
Agricultural Library, Agricultural Research Service, USDA, Document 
Delivery Services Branch, 10301 Baltimore Boulevard, Beltsville, 
Maryland 20705-2351 (301-504-6503).
    (b) General photographic reproductions. Minimum charge $1 per order. 
An extra charge may be necessary for excessive laboratory time caused by 
any special instructions from the purchaser.

------------------------------------------------------------------------
                     Class of work and unit                        Price
------------------------------------------------------------------------
1. Black and white line negatives:
    4 by 5 (each................................................   $6.00
    8 by 10 (each)..............................................    8.50
    11 by 14 (each).............................................   11.00
2. Black and white continuous tone negatives:
    4 by 5 (each)...............................................    8.50
    8 by 10 (each)..............................................   11.00
3. Black and white enlargements: 8 by 10 and smaller (each).....    6.50
    11 by 14 (each).............................................   11.00
    Larger sizes and quantities.................................   (\1\)
4. Black and white slides:
    2 x 2 cardboard mounted (from copy negative) (each).........    4.00
    Blue ozalid slides (each)...................................    5.00
5. Color slides: (2 x 2 cardboard mounted):
    Duplicate color slides:
        Display quality (each) (Display color slides are slides      .65
         copied from 35mm color slides only)....................
        Repro quality (each)....................................   (\1\)
        Original color slides (from flat copy) (each)...........    6.50
6. Color enlargements and transparencies: 4 by 5 and larger.....   (\1\)
7. Slide sets:
    1 to 50 frames..............................................   14.50
    51 to 60 frames.............................................   16.50
    61 to 75 frames.............................................   18.50
    76 to 95 frames.............................................   21.50
    96 to 105 frames............................................   23.00
    106 to 130 frames (Prices include printed narrative guide)..   26.50
8. Cassettes: (for the corresponding slide sets above)..........    3.00
------------------------------------------------------------------------
\1\ By quotation.

    (c) General aerial photographic reproductions. The prices for 
various types of aerial photographic reproductions are set forth in this 
paragraph. Size measurements refer to the approximate size in inches of 
the paper required to produce the reproduction.

------------------------------------------------------------------------
                             Size                                 Price
------------------------------------------------------------------------
                 Black and White Reproductions
------------------------------------------------------------------------
10 x 10 Paper.................................................     $5.00
10 x 10 Film Positive.........................................     10.00
10 x 10 Film Positive AT......................................     10.00
10 x 10 Film Positive Scan....................................     15.00
10 x 10 Film Duplicate Negative...............................      3.00
10 x 10 Film Internegative....................................      4.50
12 x 12 Paper.................................................     12.00
17 x 17 Paper.................................................     13.00
17 x 17 Film Positive.........................................     25.00
24 x 24 Paper.................................................     16.00
24 x 24 Film Positive.........................................     40.00
38 x 38 Paper.................................................     50.00
38 x 38 Film Positive.........................................     55.00
20 x 24 Paper Photo Index.....................................     20.00
Paper Line Index..............................................     15.00
Mylar Line Index..............................................     35.00
Microfilm (Photo Indexes): Aperture Cards.....................     10.00
 
Microfilm (Photo Indexes): Microfiche.........................     10.00
------------------------------------------------------------------------
                      Color Negative Reproductions
------------------------------------------------------------------------
10 x 10 Paper Quantities:
    1-50......................................................     $7.00
    51-1000...................................................      5.00
    1001 & Over...............................................      2.50
10 x 10 Film Positive.........................................     33.00
20 x 20 Paper.................................................     40.00
24 x 24 Paper.................................................     55.00
 
38 x 38 Paper.................................................     70.00
------------------------------------------------------------------------
                  Color Infrared Positive Reproductions
------------------------------------------------------------------------
10 x 10 Paper.................................................    $12.00
10 x 10 Film Positive.........................................     15.00
10 x 10 Film Positive AT......................................     15.00
10 x 10 Film Positive Scan....................................     20.00
20 x 20 Paper.................................................     32.00
24 x 24 Paper.................................................     40.00
38 x 38 Paper.................................................     70.00
------------------------------------------------------------------------

    (d) [Reserved]
    (e) Special needs. For special needs not covered elsewhere in this 
section, persons desiring aerial photographic reproductions should 
contact the aerial photography coordinator, Farm Service Agency (FSA), 
Aerial Photography Field Office, USDA-FSA, 2222 West 2300 South, P.O. 
Box 30010, Salt Lake City, Utah 84125.

[[Page 23]]

    (f) Audio and videotape reproductions. For reproductions of audio-
videotapes, requesters must supply their own recording tape, and will be 
assessed a fee of $25.00 an hour for copying work requested. There is a 
one-hour minimum charge. Payment is required at the time video or 
audiotapes are accepted by the requester.

[52 FR 49386, Dec. 31, 1987, as amended at 62 FR 33980, June 24, 1997; 
64 FR 3395, Jan. 22, 1999]



                   Subpart B_Departmental Proceedings



Sec.  1.26  Representation before the Department of Agriculture.

    (a) Applicability. This section applies to all hearings and other 
proceedings before the Department of Agriculture, except to the extent 
that any other regulation of the Department may specifically make this 
section, or any part of this section, inapplicable as to particular 
hearings or other proceedings.
    (b) Administrative provisions. (1) In any hearing or other 
proceeding before the Department of Agriculture, the parties may appear 
in person or by counsel or other representative. Persons who appear as 
counsel or in a representative capacity in any hearing or proceeding 
must conform to the standards of ethical conduct required of 
practitioners before the U.S. District Court for the District of 
Columbia, and to any applicable standards of ethical conduct established 
by statutes, executive orders and regulations.
    (2) Whenever the Secretary finds, after notice and opportunity for 
hearing, that a person who is acting or has acted as counsel or 
representative in any hearing or other proceeding before the Department 
has not conformed to any such standards of ethical conduct, the 
Secretary may order that such person be precluded from acting as counsel 
or representative in any hearing or other proceeding before the 
Department for such period of time as the Secretary deems warranted. 
Whenever the Secretary has probable cause to believe that any person who 
is acting or has acted as counsel or representative in any such hearing 
or other proceeding has not conformed to any such standards of ethical 
conduct, the Secretary may, by written notice to such person, suspend 
the person from acting as such a counsel or representative pending 
completion of the procedures specified in the preceding sentence.
    (3) No employee or former employee of the Department shall be 
permitted to represent any person before the Department in connection 
with any particular matter as to which by reason of employment with the 
Department the employee or former employee acquired personal knowledge 
of such a nature that it would be improper, unethical, or contrary to 
the public interest for the employee or former employee so to act.
    (4) This section shall not be construed to prevent an employee or 
former employee of the Department from appearing as a witness in any 
hearing or other proceeding before the Department.

(18 U.S.C. 203, 205, 207)

[32 FR 5458, Apr. 1, 1967, as amended at 60 FR 66480, Dec. 22, 1995]



Sec.  1.27  Rulemaking and other notice procedures.

    (a) This section shall apply to:
    (1) Notices of proposed rulemaking;
    (2) Interim final rules;
    (3) Advance notices of proposed rulemaking; and
    (4) Any other published notice that solicits, or affords interested 
members of the public an opportunity to submit, written views with 
respect to any proposed action relating to any program administered in 
the Department regardless of the fact that the issuance of a rule may 
not be contemplated.
    (b) Each notice identified in paragraph (a) of this section shall 
indicate the procedure to be followed with respect to the notice, unless 
the procedure is prescribed by statute or by published rule of the 
Department. Each notice shall contain a statement that advises the 
public of the policy regarding the availability of written submissions 
by indicating whether paragraph (c), (d), or (e) of this section is 
applicable to written submissions made pursuant to the notice.
    (c) All written submissions made pursuant to the notice shall be 
made available for public inspection at times and places and in a manner 
convenient to the public business.

[[Page 24]]

    (d)(1) Any written submission, pursuant to a notice, may be held 
confidential if the person making the submission requests that the 
submission be held confidential, the person making the submission has 
shown that the written submission may be withheld under the Freedom of 
Information Act, and the Department official authorized to issue the 
notice determines that the submission may be withheld under the Freedom 
of Information Act.
    (2) If a request is made in accordance with paragraph (d)(1) of this 
section for confidential treatment of a written submission, the person 
making the request shall be informed promptly in the event the request 
is denied and afforded an opportunity to withdraw the submission.
    (3) If a determination is made to grant a request for confidential 
treatment under paragraph (d)(1) of this section, a statement of the 
specific basis for the determination that will not be susceptible of 
identifying the person making the request will be made available for 
public inspection.
    (e) If the subject of the notice is such that meaningful submissions 
cannot be expected unless they disclose information that may be withheld 
under the Freedom of Information Act, the notice shall so indicate and 
contain a statement that written submissions pursuant to the notice will 
be treated as confidential and withheld under the Freedom of Information 
Act. Provided, That the policy regarding availability of written 
submissions set forth in this paragraph may only be used with the prior 
approval of the Secretary, or the Under Secretary or Assistant Secretary 
that administers the program that is the subject of the notice.

[60 FR 66480, Dec. 22, 1995]



Sec.  1.28  Petitions.

    Petitions by interested persons in accordance with 5 U.S.C. 553(e) 
for the issuance, amendment or repeal of a rule may be filed with the 
official that issued or is authorized to issue the rule. All such 
petitions will be given prompt consideration and petitioners will be 
notified promptly of the disposition made of their petitions.

[11 FR 177A, Sept. 11, 1946. Redesignated at 13 FR 6703, Nov. 16, 1948, 
as amended at 60 FR 66481, Dec. 22, 1995]



Sec.  1.29  Subpoenas relating to investigations under statutes 
administered by the Secretary of Agriculture.

    (a) Issuance of subpoena. (1) When the Secretary is authorized by 
statute to issue a subpoena in connection with an investigation being 
conducted by the Department, the attendance of a witness and the 
production of evidence relating to the investigation may be required by 
subpoena at any designated place, including the witness' place of 
business. Upon request of any representative of the Secretary involved 
in connection with the investigation, the subpoena may be issued by the 
Secretary, the Inspector General, or any Department official authorized 
pursuant to part 2 of this title to administer the program to which the 
subpoena relates, if the official who is to issue the subpoena is 
satisfied as to the reasonableness of the grounds, necessity, and scope 
of the subpoena. Except as provided in paragraph (a)(2) of this section, 
the authority to issue subpoenas may not be delegated or redelegated by 
the head of an agency.
    (2) The Administrator, Grain Inspection, Packers and Stockyards 
Administration, may delegate the authority to issue subpoenas in 
connection with investigations being conducted under the Packers and 
Stockyards Act (7 U.S.C. 181-229), to the Deputy Administrator, Packers 
and Stockyards Programs.
    (3) In the case of a subpoena issued under the Animal Health 
Protection Act (7 U.S.C. 8301-8317), Plant Protection Act (7 U.S.C. 
7701-7772), or Title V of the Agricultural Risk Protection Act of 2000 
(7 U.S.C. 2279e-2279f), the subpoena will be reviewed for legal 
sufficiency by the Office of the General Counsel, USDA.
    (b) Service of subpoena. (1) A subpoena issued pursuant to this 
section may be served by:
    (i) A U.S. Marshal or Deputy Marshal,
    (ii) Any other person who is not less than 18 years of age, or

[[Page 25]]

    (iii) Certified or registered mailing of a copy of the subpoena 
addressed to the person to be served at his, her, or its last known 
residence or principal place of business or residence.
    (2) Proof of service may be made by the return of service on the 
subpoena by the U.S. Marshal, or Deputy Marshal; or, if served by an 
individual other than a U.S. Marshal or Deputy Marshal, by an affidavit 
or certification of such person stating that he or she personally served 
a copy of the subpoena upon the person named in the subpoena; or, if 
service was by certified or registered mail, by the signed Postal 
Service receipt.
    (3) In making personal service, the person making service shall 
leave a copy of the subpoena with the person subpoenaed; and the 
original, bearing or accompanied by the required proof of service, shall 
be returned to the official who issued the subpoena.

[39 FR 15277, May 2, 1974, as amended at 40 FR 58281, Dec. 16, 1975; 42 
FR 65131, Dec. 30, 1977; 43 FR 12673, Mar. 27, 1978; 60 FR 66481, Dec. 
22, 1995; 66 FR 36907, July 16, 2001; 67 FR 70674, Nov. 26, 2002]



                     Subpart C_Judicial Proceedings



Sec.  1.41  Service of process.

    Process in any suit brought in Washington, District of Columbia, 
against the United States or any officer of the U.S. Department of 
Agriculture in any matter involving the activities of this Department, 
shall be served on the General Counsel of the Department. A U.S. Marshal 
or other process server attempting to serve process in such a suit on 
any officer of the Department shall be referred to the Office of the 
General Counsel, in order that service of process may be made. In the 
event an officer of the Department of Agriculture is served with process 
in such a suit, the officer shall immediately notify the General 
Counsel. Any subpoena, summons, or other compulsory process requiring an 
officer or employee to give testimony, or to produce or disclose any 
record or material of the U.S. Department of Agriculture, shall be 
served on the officer or employee of the U.S. Department of Agriculture 
named in the subpoena, summons, or other compulsory process.

[19 FR 4052, July 3, 1954, as amended at 33 FR 10273, July 18, 1968; 43 
FR 6202, Feb. 14, 1978; 60 FR 66481, Dec. 22, 1995]



                            Subpart D_Claims



Sec.  1.51  Claims based on negligence, wrongful act or omission.

    (a) Authority of the Department. Under the provisions of the Federal 
Tort Claims Act (FTCA), as amended, 28 U.S.C. 2671-2680, and the 
regulations issued by the Department of Justice (DOJ) contained in 28 
CFR part 14, the United States Department of Agriculture (USDA) may, 
subject to the provisions of the FTCA and DOJ regulations, consider, 
ascertain, adjust, determine, compromise, and settle claims for money 
damages against the United States for personal injury, death, or 
property loss or damage caused by the negligent or wrongful act or 
omission of any employee of USDA while acting within the scope of his or 
her office or employment, under circumstances where the United States, 
if it were a private person, would be liable, in accordance with the law 
of the place where the act or omission occurred.
    (b) Procedure for filing claims. Claims must be presented by the 
claimant, or by his or her duly authorized agent or legal representative 
as specified in 28 CFR 14.3. Standard Form 95, Claim for Damage or 
Injury, may be obtained from the agency within USDA that employs the 
employee who allegedly committed the negligent or wrongful act or 
omission. The completed claim form, together with appropriate evidence 
and information, as specified in 28 CFR 14.4, shall be filed with the 
agency from which it was obtained.
    (c) Determination of claims--(1) Delegation of authority to 
determine claims. The General Counsel, and such employees of the Office 
of the General Counsel as may be designated by the General Counsel, are 
hereby authorized to consider, ascertain, adjust, determine, compromise, 
and settle claims pursuant to the FTCA, as amended, and the regulations 
contained in 28 CFR part 14 and in this section.
    (2) Disallowance of claims. If a claim is denied, the General 
Counsel, or his or

[[Page 26]]

her designee, shall notify the claimant, or his or her duly authorized 
agent or legal representative.

[61 FR 57577, Nov. 7, 1996]



          Subpart E_Cooperative Production of Television Films

    Source: 22 FR 2904, Apr. 25, 1957, unless otherwise noted.



Sec.  1.71  Purpose.

    This subpart establishes procedures for developing special working 
relationships with the Department of Agriculture requested by producers 
of films for television use. These procedures are designed to guide 
Department employees and producers of commercial television pictures in 
entering into such arrangements.



Sec.  1.72  Policy.

    (a) General. It is a basic policy of the Department of Agriculture 
to make information freely available to the public.
    (b) Cooperation with television film producers. The Department 
recognizes that its people and programs constitute a rich source of 
materials on public services, often dramatic and interesting for their 
human values, which are suitable for production of films for television 
showings. The Department welcomes the interest of television film 
producers in its activities and maintains an ``open door'' policy with 
respect to the availability of factual information to such producers, as 
it does to representatives of other media. As its resources will permit, 
the Department will work with producers at their request, to assure 
technical accuracy of scripts and story treatments.
    (c) Special working relationships. In those instances where a 
producer of films for television seeks special Department participation 
such as the use of official insignia of the Department, or who request 
special assistance such as the services of technical advisors, use of 
Government equipment and similar aids which require a material 
expenditure of public funds, and where the proposed film will further 
the public service of the Department, the Department will consider 
entering into a special working relationship with such producer.
    (d) News film reporting exempted. Television and news film reporting 
of Department activities is not covered by this subpart.



Sec.  1.73  Responsibility.

    The Director of Information or his designee will be the authority 
for the approval of special working relationships on the part of the 
Department of Agriculture and its agencies. The Director or his designee 
shall not commit the Department to such special arrangements without 
proper concurrence and coordination with interested agencies and 
approval by the appropriate Assistant Secretary or Group Director.



Sec.  1.74  Basis for special working relationships.

    The Department and its agencies may lend special assistance on 
television films when it is clearly evident that public interests are 
served. Where special assistance is sought, an individual cooperative 
agreement will be drawn up between the Department with the Director of 
Information as its agent, and the producer. Details on such assistance 
as reviewing stories and scripts, loan of material, arrangements for 
locations, use of official motion picture footage, assignment of 
technical advisors and similar aids will be covered in the agreement, 
which shall delineate the general stipulations listed in Sec.  1.75.



Sec.  1.75  General stipulations.

    In requesting special working arrangements the producer must agree 
to the following stipulations:
    (a) The producer must show that he has legal authority to the 
literary property concerned.
    (b) The producer must show access to a distribution channel 
recognized by the motion picture or television industry. In lieu of 
complete distribution plans for a television series, a producer must 
produce satisfactory evidence of financial responsibility (showing 
financial resources adequate for the defrayment of costs for the 
proposed undertaking).

[[Page 27]]

    (c) The commercial advertising of any show produced, using oral or 
written rights granted to the producer, shall not indicate any 
endorsement, either direct or implied, by the U.S. Department of 
Agriculture or its agencies, of the sponsor's product.
    (d) Commercial sponsorship shall be only by a person, firm, or 
corporation acceptable under the terms of the 1954 Television Code of 
the National Association of Radio and Television Broadcasters, and all 
subsequent amendments thereto. Political sponsorship shall not be 
permitted.
    (e) That no production costs shall be chargeable to the U.S. 
Department of Agriculture.
    (f) That such cooperation will not interfere with the conduct of 
Department programs.
    (g) All damages, losses and personal liability incurred by producer 
will be his responsibility.
    (h) That mutual understanding and agreement will be reached upon 
story, script and film treatment with the Department before film 
production is begun.



Sec.  1.76  Department cooperation.

    When the producer agrees to meet the above stipulations to the 
satisfaction of the Director of Information, the U.S. Department of 
Agriculture and its agencies will be available for consultation on story 
ideas and give guidance through the services of a technical advisor to 
insure technical authenticity. Equipment, locations, and personnel will 
be available to the extent that such availability is concurrent with 
normal and usual conduct of the operations of the Department. The 
Department will check and work with the cooperators to arrange shooting 
schedules in order to avoid interferences with working schedules.



Sec.  1.77  Assignment of priorities.

    (a) Authority. (1) The Director of Information or his designee will 
make assignment of priorities for the U.S. Department of Agriculture for 
a television film company's and/or individual producer's story treatment 
of the subject matter, but no such priority shall limit use of the 
subject matter itself.
    (2) A priority will be given in writing upon acceptance in writing 
by the producer of the stipulations in Sec.  1.75(b). The U.S. 
Department of Agriculture will hold the producer's treatment of the 
story material in confidence until the producer has made a public 
release pertaining to the subject.
    (b) Time and scope. A priority will be given on the producer's story 
treatment for an agreed upon period of time. Requests for cooperation 
with similar or conflicting ideas and backgrounds will be considered 
only after holder of the first priority has used the agreed upon time to 
develop the materials.
    (1) Details on priorities will be written into the agreements.
    (2) The Director of Information will retain the right to cancel 
priorities when the producer at any stage violates the provisions of the 
regulations or of a particular agreement, or when public interest is no 
longer served.
    (3) No priority will be canceled until the producer has had an 
opportunity to appear before the Secretary of Agriculture or his 
designee.



Sec.  1.78  Development of special working relationships.

    (a) Preliminary. Prior to the submittal of a script or the rendering 
of an agreement, assistance may be given by the Department or one of its 
agencies in outlining story plans, visits to field points, and other 
incidentals that will assist the producer in determining his course of 
action.
    (b) Request for special working arrangements. Once the decision is 
made to go ahead with an agreement, either the interested agency or the 
producer will make a written submission to the Director of Information, 
requesting that special working arrangements be established.
    (1) In submitting scripts prior or subsequent to executing a written 
agreement under a special working relationship four (4) copies of the 
completed script shall be submitted to the Director of Information or 
his designee, along with a statement of specific requirements and the 
anticipated production schedule.
    (2) No script will be used under a special working relationship 
without the

[[Page 28]]

specific approval of the Director of Information.
    (3) Upon approval of the script, the agency of the Department 
concerned with subject matter will endeavor to arrange for the desired 
assistance with the stipulations of this policy.



Sec.  1.79  Credits.

    On films on which the Department or one of its agencies provides 
special assistance it shall be mutually agreed by the producer and the 
Director of Information what credits shall be given to the Department, 
and the form these credits will take.



                    Subpart G_Privacy Act Regulations

    Authority: 5 U.S.C. 301 and 552a; 31 U.S.C. 9701.

    Source: 40 FR 39519, Aug. 28, 1975, unless otherwise noted.



Sec.  1.110  Purpose and scope.

    This subpart contains the regulations of the U.S. Department of 
Agriculture (USDA) implementing the Privacy Act of 1974 (5 U.S.C. 552a). 
This subpart sets forth the basic responsibilities of each agency of 
USDA with regard to USDA's compliance with the requirements of the 
Privacy Act, and offers guidance to members of the public who wish to 
exercise any of the rights established by the Privacy Act with regard to 
records maintained by an agency of USDA.

[40 FR 39519, Aug. 28, 1975, as amended at 62 FR 33981, June 24, 1997]



Sec.  1.111  Definitions.

    For purposes of this subpart the terms individual, maintain, record, 
system of records, statistical record, and routine use shall have the 
meanings set forth in 5 U.S.C. 552a(a). The term agency shall mean an 
agency of USDA, unless otherwise indicated.



Sec.  1.112  Procedures for requests pertaining to individual
records in a record system.

    (a) Any individual who wishes to be notified if a system of records 
maintained by an agency contains any record pertaining to him or her, or 
to request access to such records, shall submit a written request in 
accordance with the instructions set forth in the system notice for that 
system of records. This request shall include:
    (1) The name of the individual making the request;
    (2) The name of the system of records (as set forth in the system 
notice to which the request relates);
    (3) Any other information specified in the system notice; and
    (4) When the request is one for access, a statement as to whether 
the requester desires to make a personal inspection of the records, or 
be supplied with copies by mail.
    (b) Any individual whose request under paragraph (a) of this section 
is denied may appeal that denial to the head of the agency which 
maintains the system of records to which the request relates.
    (c) In the event that an appeal under paragraph (b) of this section 
is denied, the requester may bring a civil action in federal district 
court to seek review of the denial.

[40 FR 39519, Aug. 28, 1975, as amended at 62 FR 33981, June 24, 1997]



Sec.  1.113  Times, places, and requirements for identification of 
individuals making requests.

    (a) If an individual submitting a request for access under Sec.  
1.112 has asked that an agency authorize a personal inspection of 
records pertaining to him or her, and the agency has granted that 
request, the requester shall present himself or herself at the time and 
place specified in the agency's response or arrange another, mutually 
convenient, time with the appropriate agency official.
    (b) Prior to inspection of the records, the requester shall present 
sufficient identification (e.g., driver's license, employee 
identification card, social security card, credit cards) to establish 
that the requester is the individual to whom the records pertain. If the 
requester is unable to provide such identification, the requester shall 
complete and sign in the presence of an agency official a signed 
statement asserting the requester's identity and stipulating that the 
requester understands that knowingly or willfully seeking or obtaining 
access to records about another

[[Page 29]]

individual under false pretenses is a misdemeanor punishable by fine up 
to $5,000. No identification shall be required, however, if the records 
are required by 5 U.S.C. 552 to be released.
    (c) Any individual who has requested access to records about himself 
or herself by personal inspection, and who wishes to have another person 
or persons accompany the requester during this inspection, shall submit 
a written statement authorizing disclosure of the record in the presence 
of such other person or persons.
    (d) Any individual having made a personal inspection of records 
pertaining to the requester may request the agency to provide the 
requester copies of those records or any portion of those records. Each 
agency shall grant such requests but may charge fees in accordance with 
Sec.  1.120.
    (e) If an individual submitting a request for access under Sec.  
1.112 wishes to be supplied with copies of the records by mail, the 
requester shall include with his or her request sufficient data for the 
agency to verify the requester's identity. If the sensitivity of the 
records warrant it, however, the agency to which the request is directed 
may require the requester to submit a signed, notarized statement 
indicating that the requester is the individual to whom the records 
pertain and stipulating the requester understands that knowingly or 
willfully seeking or obtaining access to records about another 
individual under false pretenses is a misdemeanor punishable by fine up 
to $5,000. No identification shall be required, however, if the records 
are required by 5 U.S.C. 552 to be released. If the agency to which this 
request is directed determines to grant the requested access, it may 
charge fees in accordance with Sec.  1.120 before making the necessary 
copies.

[40 FR 39519, Aug. 28, 1975, as amended at 62 FR 33981, June 24, 1997]



Sec.  1.114  Disclosure of requested information to individuals.

    (a) Any agency which receives a request or appeal under Sec.  1.112 
should acknowledge the request or appeal within 10 days of its receipt 
(excluding Saturdays, Sundays, and legal public holidays). Wherever 
practicable, the acknowledgment should indicate whether or not access 
will be granted and, if so, when and where. When access is to be 
granted, the agency should provide the access within 30 days of receipt 
of the request or appeal (excluding Saturdays, Sundays and legal public 
holidays) unless, for good cause shown, it is unable to do so. If the 
agency is unable to meet this deadline, it shall inform the requester of 
this fact, the reasons for its inability to do so, and an estimate of 
the date on which access will be granted.
    (b) Nothing in 5 U.S.C. 552a or this subpart shall be interpreted to 
require that an individual making a request under Sec.  1.112 be granted 
access to the physical record itself. The form in which a record is kept 
(e.g., on magnetic tape), or the content of the record (e.g., a record 
indexed under the name of the requester may contain records which are 
not about the requester) may require that the record be edited or 
translated in some manner. Neither of these procedures may be utilized, 
however, to withhold information in a record about the requester.
    (c) No agency shall deny any request under Sec.  1.112 for 
information concerning the existence of records about the requester in 
any system of records it maintains, or deny any request for access to 
records about the requester in any system of records it maintains, 
unless that system is exempted from the requirements of 5 U.S.C. 552a(d) 
in Sec.  1.123.
    (d) If any agency receives a request pursuant to Sec.  1.112(a) for 
access to records in a system of records it maintains which is so 
exempted, the system manager shall determine if the exemption is to be 
asserted. If the system manager determines to deny the request, the 
system manager shall inform the requester of that determination, the 
reason for the determination, and the title and address of the agency 
head to whom the denial can be appealed.
    (e) If the head of an agency determines that an appeal pursuant to 
Sec.  1.112(b) is to be denied, the head of the agency shall inform the 
requester of that determination, the reason for the determination, and 
the requester's

[[Page 30]]

right under 5 U.S.C. 552a(g) to seek judicial review of the denial in 
Federal district court.
    (f) Nothing in 5 U.S.C. 552a or this subpart shall allow an 
individual access to any information compiled in reasonable anticipation 
of a civil action or proceeding.

[40 FR 39519, Aug. 28, 1975, as amended at 62 FR 33981, June 24, 1997]



Sec.  1.115  Special procedures: Medical records.

    In the event an agency receives a request pursuant to Sec.  1.112 
for access to medical records (including psychological records) whose 
disclosure it determines would be harmful to the individual to whom they 
relate, it may refuse to disclose the records directly to the requester 
but shall transmit them to a doctor designated by that individual.



Sec.  1.116  Request for correction or amendment to record.

    (a) Any individual who wishes to request correction or amendment of 
any record pertaining to him or her contained in a system of records 
maintained by an agency shall submit that request in writing in 
accordance with the instructions set forth in the system notice for that 
system of records. This request shall include:
    (1) The name of the individual making the request;
    (2) The name of the system of records (as set forth in the system 
notice to which the request relates);
    (3) A description of the nature (e.g., modification, addition or 
deletion) and substance of the correction or amendment requested; and
    (4) Any other information specified in the system notice.
    (b) Any individual submitting a request pursuant to paragraph (a) of 
this section shall include sufficient information in support of that 
request to allow the agency to which it is addressed to apply the 
standards set forth in 5 U.S.C. 552a(e) (1) and (5).
    (c) Any individual whose request under paragraph (a) of this section 
is denied may appeal that denial to the head of the agency which 
maintains the system of records to which the request relates.
    (d) In the event that an appeal under paragraph (c) of this section 
is denied, the requester may bring a civil action in federal district 
court to seek review of the denial.

[40 FR 39519, Aug. 28, 1975, as amended at 62 FR 33981, June 24, 1997]



Sec.  1.117  Agency review of request for correction or amendment 
of record.

    (a) Any agency which receives a request for amendment or correction 
under Sec.  1.116 shall acknowledge that request within 10 days of its 
receipt (excluding Saturdays, Sundays and legal public holidays). The 
agency shall also promptly, either:
    (1) Make any correction, deletion or addition with regard to any 
portion of a record which the requester believes is not accurate, 
relevant, timely or complete; or
    (2) Inform the requester of its refusal to amend the record in 
accordance with the request; the reason for the refusal; the procedures 
whereby the requester can appeal the refusal to the head of the agency; 
and the title and business address of that official. If the agency 
informs the requester of its determination within the 10-day deadline, a 
separate acknowledgement is not required.
    (b) If an agency is unable to comply with either paragraphs (a)(1) 
or (2) of this section within 30 days of its receipt of a request for 
correction or amendment, (excluding Saturdays, Sundays and legal public 
holidays), it should inform the requester of that fact, the reasons for 
the inability to comply with paragraphs (a)(1) or (a)(2) of this section 
within 30 days, and the approximate date on which a determination will 
be reached.
    (c) In conducting its review of a request for correction or 
amendment, each agency shall be guided by the requirements of 5 U.S.C. 
552a(e)(1) and (5).
    (d) If an agency determines to grant all or any portion of a request 
for correction or amendment, it shall:
    (1) Advise the individual of that determination;
    (2) Make the requested correction or amendment; and
    (3) Inform any person or agency outside USDA to whom the record has 
been disclosed, if an accounting of that

[[Page 31]]

disclosure is maintained in accordance with 5 U.S.C. 552a(c), of the 
occurrence and substance of the correction or amendments.
    (e) If an agency determines not to grant all or any portion of a 
request for correction or amendment, it shall:
    (1) Comply with paragraph (d) of this section with regard to any 
correction or amendment which is made;
    (2) Advise the requester of its determination and the reasons for 
the determination not to grant all or a portion of the request for a 
correction or amendment;
    (3) Inform the requester that he or she may appeal this 
determination to the head of the agency which maintains the system of 
records; and
    (4) Describe the procedures for making such an appeal, including the 
title and business address of the official to whom the appeal is to be 
addressed.
    (f) In the event that an agency receives a notice of correction or 
amendment to information in a record contained in a system of records 
which it maintains, it shall comply with paragraphs (d)(2) and (3) of 
this section in the same manner as if it had made the correction or 
amendment itself.

[40 FR 39519, Aug. 28, 1975, as amended at 62 FR 33981, June 24, 1997]



Sec.  1.118  Appeal of initial adverse agency determination on
correction or amendment.

    (a) Any individual whose request for correction or amendment under 
Sec.  1.116 is denied, and who wishes to appeal that denial, shall 
address such appeal to the head of the agency which maintains the system 
of records to which the request relates, in accordance with the 
procedures set forth in the agency's initial denial of the request.
    (b) The head of each agency shall make a final determination with 
regard to an appeal submitted under paragraph (a) of this section not 
later than 30 days (excluding Saturdays, Sundays, and legal public 
holidays) from the date on which the individual requests a review, 
unless, for good cause shown, the head of the agency extends this 30-day 
period and so notifies the requester, together with an estimate of the 
date on which a final determination will be made. Such extension should 
be utilized only in exceptional circumstances and should not normally 
exceed 30 days. The delegation of authority set forth in this paragraph 
may not be redelegated.
    (c) In conducting a review of an appeal submitted under paragraph 
(a) of this section, the head of an agency shall be guided by the 
requirements of 5 U.S.C. 552a(e)(1) and (5).
    (d) If the head of an agency determines to grant all or any portion 
of an appeal submitted under paragraph (a) of this section, the head of 
the agency shall inform the requester and the agency shall comply with 
the procedures set forth in Sec.  1.117(d)(2) and (d)(3).
    (e) If the head of an agency determines in accordance with paragraph 
(c) of this section not to grant all or any portion of an appeal 
submitted under paragraph (a) of this section, the head of the agency 
shall inform the requester:
    (1) Of this determination and the reasons for the determination;
    (2) Of the requester's right to file a concise statement of the 
requester's reasons for disagreeing with the agency's decision;
    (3) Of the procedures for filing such a statement of disagreement;
    (4) That such statements of disagreements will be made available to 
anyone to whom the record is subsequently disclosed, together with (if 
the agency deems it appropriate) a brief statement by the agency 
summarizing its reasons for refusing to amend the record;
    (5) That prior recipients of the disputed record will be provided 
with a copy of the statement of disagreement, together with (if the 
agency deems it appropriate) a brief statement of the agency's reasons 
for refusing to amend the record, to the extent that an accounting of 
disclosures is maintained under 5 U.S.C. 552a(c); and
    (6) Of the requester's right to seek judicial review of the agency's 
determination in accordance with 5 U.S.C. 552a(g). The agency shall 
insure that any statements of disagreement submitted by a requester are 
handled in accordance with paragraphs (e)(4) and (5) of this section.

[40 FR 39519, Aug. 28, 1975, as amended at 62 FR 33981, June 24, 1997]

[[Page 32]]



Sec.  1.119  Disclosure of record to person other than the individual 
to whom it pertains.

    No agency shall disclose any record which is contained in a system 
of records it maintains, by any means of communication to any person, or 
to another agency outside USDA, except pursuant to a written request by, 
or with the prior written consent of, the individual to whom the record 
pertains, unless the disclosure is authorized by one or more provisions 
of 5 U.S.C. 552a(b).



Sec.  1.120  Fees.

    Any agency which provides copies of records pursuant to a request 
under this subpart may charge fees for the direct costs of producing 
such copies in accordance with appendix A to subpart A of this part. No 
agency, however, shall charge any fee for searches necessary to locate 
records. Nor shall an agency charge any fees for copies or searches, 
when the requester sought to make a personal inspection but was provided 
copies instead at the discretion of the agency.



Sec.  1.121  Penalties.

    The criminal penalties which have been established for violations of 
the Privacy Act of 1974 are set forth in 5 U.S.C. 552a(i). These 
penalties are applicable to any officer or employee of an agency who 
commits any of the acts enumerated in 5 U.S.C. 552a(i). These penalties 
also apply to contractors and employees of such contractors who enter 
into contracts with an agency of USDA and who are considered to be 
employees of the agency within the meaning of 5 U.S.C. 552a(m)(1).

[40 FR 39519, Aug. 28, 1975, as amended at 62 FR 33982, June 24, 1997]



Sec.  1.122  General exemptions.

    Pursuant to 5 U.S.C. 552a(j), and for the reasons set forth in 54 FR 
11204-11206 (March 17, 1989), the systems of records (or portions of 
systems of records) maintained by agencies of USDA identified in this 
section are exempted from the provisions of 5 U.S.C. 552a, except 
subsections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), 
(9), (10), and (11), and (i).

                       Office of Inspector General

Informant and Undercover Agent Records, USDA/OIG-2.
Investigative Files and Automated Investigative Indices System, USDA/
OIG-3.
OIG Hotline Complaint Records, USDA/OIG-4.
Consolidated Assignments, Personnel Tracking, and Administrative 
Information Network (CAPTAIN), USDA/OIG-5.

[54 FR 39517, Sept. 27, 1989, as amended at 62 FR 33982, June 24, 1997; 
62 FR 61209, Nov. 17, 1997]



Sec.  1.123  Specific exemptions.

    Pursuant to 5 U.S.C. 552a(k), the systems of records (or portions 
thereof) maintained by agencies of USDA identified below are exempted 
from the provisions of 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (H) 
and (I), and (f). The reasons for exempting each system are set out in 
the notice for that system published in the Federal Register.

                     Agricultural Marketing Service

AMS Office of Compliance Review Cases, USDA/AMS-11.

           Agricultural Stabilization and Conservation Service

EEO Complaints and Discrimination Investigation Reports, USDA/ASCS-12.
Investigation and Audit Reports, USDA/ASCS-18.
Producer Appeals, USDA/ASCS-21.

               Animal and Plant Health Inspection Service

Plant Protection and Quarantine Program--Regulatory Actions, USDA/APHIS-
1.
Veterinary Services Programs--Records of Accredited Veterinarians, USDA/
APHIS-2.
Veterinary Services Programs--Animal Quarantine Regulatory Actions, 
USDA/APHIS-3.
Veterinary Services Programs--Animal Welfare and Horse Protection 
Regulatory Actions, USDA/APHIS-4.

                       Farmers Home Administration

Credit Report File, USDA/FmHA-3.

                   Federal Crop Insurance Corporation

FCIC Compliance Review Cases, USDA/FCIC-2.

                    Federal Grain Inspection Service

Investigations Undertaken by the Government Pursuant to the United 
States Grain Standards Act of 1976, as amended, or the Agricultural 
Marketing Act of 1946, as amended, USDA/FGIS-2.

[[Page 33]]

                       Food and Nutrition Service

Civil Rights Complaints and Investigations, USDA/FNS-1.
Claims Against Food Stamp Recipients, USDA/FNS-3.
Investigations of Fraud, Theft, or Other Unlawful Activities of 
Individuals Involving Food Stamps, USDA/FNS-5.

                   Food Safety and Inspection Service

Meat and Poultry Inspection Program--Slaughter, Processing and Allied 
Industries Compliance Records System, USDA/FSIS-1.

                             Forest Service

Law Enforcement Investigation Records, USDA/FS-33.

                      Office of the General Counsel

                           Regulatory Division

Cases by the Department under the Federal Meat Inspection Act, the 
Poultry Products Inspection Act, and the voluntary inspection and 
certification provisions of the Agricultural Marketing Act of 1946, 
USDA/OGC-6.
Cases by the Department under the Humane Methods of Livestock Slaughter 
Law (i.e., the Act of August 27, 1958), USDA/OGC-7.
Cases by the Department under the 28 Hour Law, as amended, USDA/OGC-8.
Cases by the Department under the various Animal Quarantine and related 
laws, USDA/OGC-9.
Cases by the Department under the various Plant Protection Quarantine 
and related laws, USDA/OGC-10.
Cases by the Department under Horse Protection Act of 1970, USDA/OGC-41.
Cases by the Department under the Laboratory Animal Welfare Act, USDA/
OGC-42.

                     Community Development Division

Community Development Division Litigation, USDA/OGC-11.
Farmers Home Administration (FmHA) General Case Files, USDA/OGC-12.

                       Food and Nutrition Division

Claims by and against USDA under the Food Assistance Legislation, USDA/
OGC-13.
Perishable Agricultural Commodities, USDA/OGC-14.

        Foreign Agriculture and Commodity Stabilization Division

Agricultural Stabilization and Conservation Service (ASCS), Foreign 
Agricultural Service (FAS), and Commodity Credit Corporation Cases, 
USDA/OGC-15.
Federal Crop Insurance Corporation (FCIC) Cases, USDA/OGC-16.
Administrative proceedings brought by the Department, court cases in 
which the government is plaintiff and court cases in which the 
government is a defendant brought pursuant to the United States 
Warehouse Act, USDA/OGC-43.

                           Marketing Division

Administrative proceedings brought by the Department pursuant to the 
Plant Variety Protection Act, the Federal Seed Act, or the Agricultural 
Marketing Act of 1946, USDA/OGC-18.
Cases brought by the Government pursuant to the Cotton Futures 
provisions of the Internal Revenue Code of 1954, USDA/OGC-22.
Court cases brought by the Government pursuant to either the 
Agricultural Marketing Act of 1946 or the Tobacco Inspection Act, USDA/
OGC-24.
Court cases brought by the Government pursuant to either the 
Agricultural Marketing Agreement Act of 1937, as amended, or the Anti-
Hog-Cholera Serum and Hog Cholera Virus Act, USDA/OGC-25.
Court cases brought by the Government pursuant to either the Cotton 
Research and Promotion Act, Potato Research and Promotion Act, the Egg 
Research and Consumer Information Act, USDA/OGC-26.
Court cases brought by the Government pursuant to either the Export 
Apple and Pear Act or the Export Grape and Plum Act, USDA/OGC-27.
Court cases brought by the Government pursuant to either the Cotton 
Statistics and Estimates Act of 1927 or the United States Cotton 
Standards Act, USDA/OGC-28.
Court cases brought by the Government pursuant to either the Naval 
Stores Act, or the Tobacco Seed and Plant Exportation Act, USDA/OGC-29.
Court cases brought by the Government pursuant to either the Peanut 
Statistics Act or the Tobacco Statistics Act, USDA/OGC-30.
Court cases brought by the Government pursuant to either the Plant 
Variety Protection Act or the Egg Products Inspection Act, USDA/OGC-31.
Court cases brought by the Government pursuant to either the Produce 
Agency Act, or the Process of Renovated Butter Provisions of the 
Internal Revenue Code of 1954, USDA/OGC-32.
Court cases brought by the Government pursuant to either the United 
States Grain Standards Act or the Federal Seed Act, USDA/OGC-33.
Court cases brought by the Government pursuant to the Agricultural Fair 
Practices Act, USDA/OGC-34.
Cases by and against the Department under the Virus-Serum Toxin Act, 
USDA/OGC-44.

[[Page 34]]

                       Office of Inspector General

Informant and Undercover Agent Records, USDA/OIG-2.
Investigative Files and Automated Investigative Indices System, USDA/
OIG-3.
OIG Hotline Complaint Records, USDA/OIG-4.
Consolidated Assignments, Personnel Tracking, and Administrative 
Information Network (CAPTAIN), USDA/OIG-5.

                     Packers and Stockyards Division

Packers and Stockyards Act, Administrative Cases, USDA/OGC-69.
Packers and Stockyards Act, Civil and Criminal Cases, USDA/OGC-70.

                    Research and Operations Division

Personnel Irregularities, USDA/OGC-75.

                         Office of the Secretary

Non-Career Applicant File, USDA/SEC-1.

[40 FR 45103, Sept. 30, 1975, as amended at 41 FR 22333, June 3, 1976; 
53 FR 5969, Feb. 29, 1988; 54 FR 5073, Feb. 1, 1989; 55 FR 41179, Oct. 
10, 1990; 62 FR 61209, Nov. 17, 1997]



       Sec. Appendix A to Subpart G of Part 1--Internal Directives

    Section 1. General requirements. Each agency that maintains a system 
of records subject to 5 U.S.C. 552a and the regulations of this subpart 
shall:
    (a) Maintain in its records only such information about an 
individual as is relevant and necessary to accomplish a purpose of the 
agency required to be accomplished by statute or by executive order of 
the President;
    (b) Collect information to the greatest extent practicable directly 
from the subject individual when the information may result in adverse 
determinations about an individual's rights, benefits, and privileges 
under Federal programs;
    (c) Inform each individual whom it asks to supply information, on 
the form which it uses to collect the information, or on a separate form 
that can be retained by the individual, of:
    (1) The authority (whether granted by statute, or by executive order 
of the President) which authorizes the solicitation of the information 
and whether disclosure of such information is mandatory or voluntary;
    (2) The principal purpose or purposes for which the information is 
intended to be used;
    (3) The routine uses which may be made of the information, as 
published pursuant to paragraph (d)(4) of this section; and
    (4) The effects on the individual, if any, of not providing all or 
any part of the requested information;
    (d) Subject to the provisions of section 2 of this appendix, prepare 
for publication in the Federal Register at least annually a notice of 
the existence and character of each system it maintains, which notice 
shall include:
    (1) The name and location(s) of the system;
    (2) The categories of individuals on whom records are maintained in 
the system;
    (3) The categories of records maintained in the system;
    (4) Each routine use of the records contained in the system, 
including the categories of uses and the purpose of such use;
    (5) The policies and practices of the agency regarding storage, 
retrievability, access controls, retention, and disposal of the records;
    (6) The title and business address of the agency official who is 
responsible for the system of records;
    (7) The agency procedures whereby an individual can be notified at 
his or her request if the system of records contains a record pertaining 
to the individual;
    (8) The agency procedures whereby an individual can be notified at 
his or her request how the individual can gain access to any record 
pertaining to him or her contained in the system of records, and how he 
can contest its content; and
    (9) The categories of sources of records in the system;
    (e) Maintain all records which are used by the agency in making any 
determination about any individual with such accuracy, relevance, 
timeliness, and completeness as is reasonably necessary to assure 
fairness to the individual in the determination;
    (f) Prior to disseminating any record about an individual to any 
person other than an agency, unless the dissemination is made pursuant 
to 5 U.S.C. 552a(b)(2), make reasonable efforts to assure that such 
records are accurate, complete, timely, and relevant for agency 
purposes;
    (g) Maintain no record describing how any individual exercises 
rights guaranteed by the First Amendment unless expressly authorized by 
statute or by the individual about whom the record is maintained, or 
unless pertinent to and within the scope of an authorized law 
enforcement activity;
    (h) Make reasonable efforts to serve notice on an individual when 
any record on such individual is made available to any person under 
compulsory legal process when such process becomes a matter of public 
record;
    (i) Establish rules of conduct for persons involved in the design, 
development, operation, or maintenance of any system of records, or in 
maintaining any record, and instruct each such person with respect to 
such rules and the requirements of this section, including any other 
rules and procedures adopted pursuant to this section and the penalties 
for noncompliance;
    (j) Establish appropriate administrative, technical, and physical 
safeguards to insure the security and confidentiality of records and to 
protect against any anticipated

[[Page 35]]

threats or hazards to their security or integrity which could result in 
substantial harm, embarrassment, inconvenience, or unfairness to any 
individual on whom information is maintained.
    Sec. 2. Amendment of routine uses for an existing system of records, 
or establishment of a new system of records.
    (a) Any agency which intends to add a routine use, or amend an 
existing one, in a system of records it maintains, shall, in accordance 
with 5 U.S.C. 552a(e)(11), ensure that at least 30 days advance notice 
of such action is given by publication in the Federal Register and an 
opportunity provided for interested persons to submit written data, 
views or arguments to the agency.
    (b) Any agency which intends to establish a new system of records, 
or to alter any existing system of records, shall insure that adequate 
advance notice is provided to Congress and the Office of Management and 
Budget to permit an evaluation of the probable or potential effect of 
such action on the privacy and other personal or property rights of 
individuals or the disclosure of information relating to such 
individuals, and its effect on the preservation of the constitutional 
principles of federalism and separation of powers. Such notice is 
required for any new system of records and for any alteration in an 
existing one which will:
    (1) Increase the number or types of individuals on whom records are 
maintained;
    (2) Expand the type or amount of information maintained;
    (3) Increase the number or categories of agencies or other persons 
who may have access to those records;
    (4) Alter the manner in which the records are organized so as to 
change the nature or scope of those records (e.g., the combining of two 
or more existing systems);
    (5) Modify the way the system operates at its location(s) in such a 
manner as to alter the procedures by which individuals can exercise 
their rights under this subpart; or
    (6) Change the equipment configuration on which the system is 
operated so as to create the potential for greater access (e.g., adding 
a telecommunications capability).
    Sec. 3. Accounting of certain disclosures. Each agency, with respect 
to each system of records under its control, shall:
    (a) Except for disclosures made under 5 U.S.C. 552a(b)(1) and (2), 
keep an accurate account of:
    (1) The date, nature, and purpose of each disclosure of a record to 
any person or agency outside the Department; and
    (2) The name and address of the person or agency to whom the 
disclosure is made;
    (b) Retain the accounting made under paragraph (a) of this section 
for the longer of a period of five years, after the date of the 
disclosure for which the accounting is made, or the life of the record 
disclosed;
    (c) Except for disclosures made under 5 U.S.C. 552a(b)(7), make the 
accounting required under paragraph (a) of this section available to the 
individual named in the record at his or her request.
    Sec. 4. Government contractors. When an agency within the Department 
provides by a contract for the operation by or on behalf of the agency 
of a system of records to accomplish an agency function, the agency 
shall, consistent with its authority, cause the requirements of this 
subpart to be applied to such system. For purposes of 5 U.S.C. 552a(i) 
any such contractor or any employee of such contractor shall be 
considered to be an employee of an agency and therefore subject to the 
criminal penalties set forth in 5 U.S.C. 552a(i).
    Sec. 5. Mailing lists. No agency within the Department shall sell or 
rent any individual's name and address unless such action is 
specifically authorized by law. This section shall not be construed to 
require, or to authorize, the withholding of names and addresses whose 
disclosure is required by 5 U.S.C. 552.
    Sec. 6. Social security account numbers. (a) No agency shall deny, 
or permit any State or local government with whom it is involved in a 
cooperative venture to deny, to any individual any right, benefit, or 
privilege provided by law because of such individual's refusal to 
disclose his or her social security account number.
    (b) Paragraph (a) of this section shall not apply with respect to:
    (1) Any disclosure required by Federal statute; or
    (2) Any disclosure to any agency relating to a system of records it 
maintained prior to January 1, 1975, if such disclosure was required 
under statute or regulation adopted prior to that date, to verify the 
identity of an individual.
    (c) Any agency in the Department which requests an individual to 
disclose his or her social security account number shall inform that 
individual whether the disclosure is mandatory or voluntary, by what 
statutory or other authority the number is solicited, and what uses will 
be made of it. The agency shall also insure that this information is 
provided by a State or local government with whom it is involved in a 
cooperative agreement.
    Sec. 7. Annual report. Each agency in the Department shall submit to 
the Office of the General Counsel prior to March 30 of each year a 
report containing the following information related to implementation of 
5 U.S.C. 552a:
    (a) A summary of major accomplishments;
    (b) A summary of major plans for activities in the upcoming year;
    (c) A list of the systems which were exempted during the year from 
any of the operative provisions of this subpart pursuant to 5

[[Page 36]]

U.S.C. 552a (j) and (k), whether or not the exemption was effected 
during that year, the number of instances with respect to each system 
exempted in which the exemption was invoked to deny access, and the 
reasons for invoking the exemption;
    (d) A brief summary of changes to the total inventory of personal 
data system subject to this subpart including reasons for major changes; 
and
    (e) A general description of operational experiences including 
estimates of the number of individuals (in relation to the total number 
of records in the system):
    (1) Requesting information on the existence of records pertaining to 
them;
    (2) Refusing to provide information;
    (3) Requesting access to their records;
    (4) Appealing initial refusals to amend records; and
    (5) Seeking redress through the courts.
    Sec. 8. Effect of 5 U.S.C. 552. No agency in the Department shall 
rely on any exemption in 5 U.S.C. 552 to withhold from an individual any 
record which is otherwise accessible to such individual under 5 U.S.C. 
552a and this subpart.

[40 FR 44480, Sept. 26, 1975, as amended at 62 FR 33982, June 24, 1997]



 Subpart H_Rules of Practice Governing Formal Adjudicatory Proceedings 
           Instituted by the Secretary Under Various Statutes

    Authority: 5 U.S.C. 301; 7 U.S.C 61, 87e, 228, 268, 499o, 608c(14), 
1592, 1624(b), 1636b, 1638b, 2151, 2279e, 2621, 2714, 2908, 3812, 4610, 
4815, 4910, 6009, 6107, 6207, 6307, 6411, 6519, 6520, 6808, 7107, 7734, 
8313; 15 U.S.C. 1828; 16 U.S.C. 620d, 1540(f), 3373; 21 U.S.C. 104, 111, 
117, 120, 122, 127, 134e, 134f, 135a, 154, 463(b), 621, 1043; 30 U.S.C. 
185(o)(1); 43 U.S.C. 1740; 7 CFR 2.27, 2.35.

    Source: 42 FR 743, Jan. 4, 1977, unless otherwise noted.



Sec.  1.130  Meaning of words.

    As used in this subpart, words in the singular form shall be deemed 
to import the plural, and vice versa, as the case may require.



Sec.  1.131  Scope and applicability of this subpart.

    (a) The rules of practice in this subpart shall be applicable to all 
adjudicatory proceedings under the statutory provisions listed below as 
those provisions have been or may be amended from time to time, \1\ 
except that those rules shall not be applicable to reparation 
proceedings under section 6(c) of the Perishable Agricultural 
Commodities Act, 1930. Section 1.26 shall be inapplicable to the 
proceedings covered by this subpart.
---------------------------------------------------------------------------

    \1\ See also the regulations promulgated under these statutes for 
any supplemental rules relating to particular circumstances arising 
thereunder.

Agricultural Bioterrorism Protection Act of 2002, section 212(i) (7 
U.S.C. 8401(i)).
Agricultural Marketing Act of 1946, as amended, section 253 (7 U.S.C. 
1636b) and section 283 (7 U.S.C. 1638b).
Agricultural Marketing Agreement Act of 1937, as amended, section 
8c(14), 7 U.S.C. 608c(14).
Animal Health Protection Act, section 10414 (7 U.S.C. 8313).
Animal Welfare Act, section 19 (7 U.S.C. 2149).
Beef Promotion and Research Act of 1985, section 9 (7 U.S.C. 2908).
Egg Products Inspection Act, section 18 (21 U.S.C. 1047).
Endangered Species Act of 1973, as amended, section 11(a) (16 U.S.C. 
1540(a)).
Egg Research and Consumer Information Act, as amended, 7 U.S.C. 2714, 
Pub. L. 96-276, 94 Stat. 541.
Federal Land Policy and Management Act of 1976, section 506 (43 U.S.C. 
1766).
Federal Meat Inspection Act, sections 4, 6, 7(e), 8, and 401 (21 U.S.C. 
604, 606, 607(e), 608, 671).
Federal Seed Act, section 409 (7 U.S.C. 1599).
Fluid Milk Promotion Act of 1990, section 1999L [7 U.S.C. 6411].
Forest Resources Conversation and Shortage Relief Act of 1990, section 
492 (16 U.S.C. 620d)
Fresh Cut Flowers and Fresh Cut Greens Promotion and Consumer 
Information Act of 1993, section 9 [7 U.S.C. 6808].
Honey Research, Promotion, and Consumer Information Act, section 11 (7 
U.S.C. 4610).
Horse Protection Act of 1970, sections 4(c) and 6 (15 U.S.C. 1823(c), 
1825).
Lacey Act Amendments of 1981, section 4 (a) and (b) (16 U.S.C. 3373 (a) 
and (b)).
Lime Research, Promotion, and Consumer Information Act of 1990, as 
amended, section 1958 [7 U.S.C. 6207]
Mineral Leasing Act, section 28(o)(1) (30 U.S.C. 185(o)(1)).
Mushroom Promotion, Research, and Consumer Information Act of 1990, 
section 1928 [7 U.S.C. 6107]
Organic Foods Production Act of 1990, sections 2119 and 2120 (7 U.S.C. 
6519, 6520).
Packers and Stockyards Act, 1921, as supplemented, sections 203, 312, 
and 401 of the

[[Page 37]]

Act, and section 1, 57 Stat. 422, as amended by section 4, 90 Stat. 1249 
(7 U.S.C. 193, 204, 213, 221)
Pecan Promotion and Research Act of 1990, section 1914 [7 U.S.C. 6009]
Perishable Agricultural Commodities Act, 1930, sections 1(b)(9), 3(c), 
4(d), 6(c), 8(a), 8(b), 8(c), 8(e), 9, and 13(a) (7 U.S.C. 499a(b)(9), 
499c(c), 499d(d), 499f(c), 499h(a), 499h(b), 499h(c), 499h(e), 499i, 
499m(a))
Plant Protection Act, section 424 (7 U.S.C. 7734).
Pork Promotion, Research, and Consumer Information Act of 1985, section 
1626 (7 U.S.C. 4815).
Potato Research and Promotion Act, as amended, 7 U.S.C. 2621, Pub. L. 
97-244, 96 Stat. 310.
Poultry Products Inspection Act, sections 6, 7, 8(d), and 18 (21 U.S.C. 
455, 456, 457(d), 467).
Sheep Promotion, Research, and Information Act of 1994 [7 U.S.C. 7107].
Soybean Promotion, Research, and Consumer Information Act, section 1972 
[7 U.S.C. 6307].
Swine Health Protection Act, sections 5 and 6 (7 U.S.C. 3804, 3805).
Title V of the Agricultural Risk Protection Act of 2000, section 501(a) 
(7 U.S.C. 2279e).
United States Cotton Standards Act, as supplemented, section 3 of the 
Act and section 2 of 47 Stat. 1621 (7 U.S.C. 51b, 53).
United States Grain Standards Act, sections 7(g)(3), 9, 10, and 17A(d) 
(7 U.S.C. 79(g)(3), 85, 86, 87f-1(d)).
United States Warehouse Act, sections 12 and 25 (7 U.S.C. 246, 253).
Virus-Serum-Toxin Act (21 U.S.C. 156).
Watermelon Research and Promotion Act, section 1651 (7 U.S.C. 4910).

    (b) These rules of practice shall also be applicable to:
    (1) Adjudicatory proceedings under the regulations promulgated under 
the Agricultural Marketing Act of 1946 (7 U.S.C. 1621 et seq.) for the 
denial or withdrawal of inspection, certification, or grading service; 
\1\
    (2) Adjudicatory proceedings under the regulations promulgated under 
the Animal Health Protection Act (7 U.S.C. 8301 et seq.) for the 
suspension or revocation of accreditation of veterinarians (9 CFR parts 
160, 161);
    (3) Proceedings for debarment of counsel under Sec.  1.141(d) of 
this subpart;
    (4) Adjudicatory proceedings under the regulations promulgated under 
the Animal Welfare Act (7 U.S.C. 2131 et seq.) for the denial of an 
initial license application (9 CFR 2.11) or the termination of a license 
during the license renewal process or at any other time (9 CFR 2.12);
    (5) Adjudicatory proceedings under the regulations promulgated under 
sections 901-905 of the Federal Agriculture Improvement and Reform Act 
of 1996 (7 U.S.C. 1901 note) pertaining to the commercial transportation 
of equines to slaughtering facilities (9 CFR part 88); and
    (6) Other adjudicatory proceedings in which the complaint 
instituting the proceeding so provides with the concurrence of the 
Assistant Secretary for Administration.

[42 FR 743, Jan. 4, 1977]

    Editorial Note: For Federal Register citations affecting Sec.  
1.131, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and at www.fdsys.gov.



Sec.  1.132  Definitions.

    As used in this subpart, the terms as defined in the statute under 
which the proceeding is conducted and in the regulations, standards, 
instructions, or orders issued thereunder, shall apply with equal force 
and effect. In addition and except as may be provided otherwise in this 
subpart:
    Administrator means the Administrator of the Agency administering 
the statute involved, or any officer or employee of the Agency to whom 
authority has heretofore been delegated, or to whom authority may 
hereafter be delegated, to act for the Administrator.
    Complainant means the party instituting the proceeding.
    Complaint means the formal complaint, order to show cause, or other 
document by virtue of which a proceeding is instituted.
    Decision means: (1) The Judge's initial decision made in accordance 
with the provisions of 5 U.S.C. 556 and 557, and includes the Judge's 
(i) findings and conclusions and the reasons or basis therefor on all 
material issues of fact, law or discretion, (ii) order, and (iii) 
rulings on proposed findings, conclusions and orders submitted by the 
parties; and
    (2) The decision and order by the Judicial Officer upon appeal of 
the Judge's decision.
    Hearing means that part of the proceeding which involves the 
submission

[[Page 38]]

of evidence before the Judge for the record in the proceeding.
    Hearing Clerk means the Hearing Clerk, United States Department of 
Agriculture, Washington, DC 20250.
    Judge means any Administrative Law Judge appointed pursuant to 5 
U.S.C. 3105 and assigned to the proceeding involved.
    Judicial Officer means an official of the United States Department 
of Agriculture delegated authority by the Secretary of Agriculture, 
pursuant to the Act of April 4, 1940 (7 U.S.C. 450c-450g) and 
Reorganization Plan No. 2 of 1953 (5 U.S.C. App. (1988)), to perform the 
function involved (Sec.  2.35(a) of this chapter), or the Secretary of 
Agriculture if the authority so delegated is exercised by the Secretary.
    Mail means to deposit an item in the United States Mail with postage 
affixed and addressed as necessary to cause it to be delivered to the 
address shown by ordinary mail, or by certified or registered mail if 
specified.
    Petitioner means an individual who has filed a petition for review 
of a determination that the individual is responsibly connected to a 
licensee within the meaning of 7 U.S.C. 499a(b)(9).
    Re-mail means to mail by ordinary mail to an address an item that 
has been returned after being sent to the same address by certified or 
registered mail.
    Respondent means the party proceeded against.

[42 FR 743, Jan. 4, 1977, as amended at 55 FR 30673, July 27, 1990; 60 
FR 8455, Feb. 14, 1995; 61 FR 11503, Mar. 21, 1996; 68 FR 6340, Feb. 7, 
2003]



Sec.  1.133  Institution of proceedings.

    (a) Submission of information concerning apparent violations. (1) 
Any interested person desiring to submit information regarding an 
apparent violation of any provision of a statute listed in Sec.  1.131 
or of any regulation, standard, instruction, or order issued pursuant 
thereto, may file the information with the Administrator of the agency 
administering the statute involved in accordance with this section and 
any applicable statutory or regulation provisions. Such information may 
be made the basis of any appropriate proceeding covered by the rules in 
this subpart, or any other appropriate proceeding authorized by the 
particular statute or the regulations promulgated thereunder.
    (2) The information may be submitted by telegram, by letter, or by a 
preliminary statement of facts, setting forth the essential details of 
the transaction complained of. So far as practicable, the information 
shall include such of the following items as may be applicable:
    (i) The name and address of each person and of the agent, if any, 
representing such person in the transaction involved;
    (ii) Place where the alleged violation occurred;
    (iii) Quantity and quality or grade of each kind of product or 
article involved;
    (iv) Date of alleged violation;
    (v) Car initial and number, if carlot;
    (vi) Shipping and destination points;
    (vii) If a sale, the date, sale price, and amount actually received;
    (viii) If a consignment, the date, reported proceeds, gross, net;
    (ix) Amount of damage claimed, if any;
    (x) Statement of other material facts, including terms of contract; 
and
    (xi) So far as practicable, true copies of all available papers 
relating to the transaction complained about, including shipping 
documents, letters, telegrams, invoices, manifests, inspection 
certificates, accounts of sales and any special contracts or agreements.
    (3) Upon receipt of the information and supporting evidence, the 
Administrator shall cause such investigation to be made as, in the 
opinion of the Administrator, is justified by the facts. If such 
investigation discloses that no violation of the Act or of the 
regulations, standards, instructions, or orders issued pursuant thereto, 
has occurred, no further action shall be taken and the person submitting 
the information shall be so informed.
    (4) The person submitting the information shall not be a party to 
any proceeding which may be instituted as a result thereof and such 
person shall have no legal status in the proceeding, except as a 
subpoenaed witness or as a deponent in a deposition taken without 
expense to such person.

[[Page 39]]

    (b) Filing of complaint or petition for review. (1) If there is 
reason to believe that a person has violated or is violating any 
provision of a statute listed in Sec.  1.131 or of any regulation, 
standard, instruction or order issued pursuant thereto, whether based 
upon information furnished under paragraph (a) of this section or other 
information, a complaint may be filed with the Hearing Clerk pursuant to 
these rules.
    (2) Any person determined by the Chief, PACA Branch, pursuant to 
Sec. Sec.  47.47-47.49 of this title to have been responsibly connected 
within the meaning of 7 U.S.C. 499a(b)(9) to a licensee who is subject 
or potentially subject to license suspension or revocation as the result 
of an alleged violation of 7 U.S.C. 499b or 499h(b) or as provided in 7 
U.S.C. 499g(d) shall be entitled to institute a proceeding under this 
section and to have determined the facts with respect to such 
responsibly connected status by filing with the Hearing Clerk a petition 
for review of such determination.
    (3) As provided in 5 U.S.C. 558, in any case, except one of 
willfulness or one in which public health, interest, or safety otherwise 
requires, prior to the institution of a formal proceeding which may 
result in the withdrawal, suspension, or revocation of a ``license'' as 
that term is defined in 5 U.S.C. 551(8), the Administrator, in an effort 
to effect an amicable or informal settlement of the matter, shall give 
written notice to the person involved of the facts or conduct concerned 
and shall afford such person an opportunity, within a reasonable time 
fixed by the Administrator, to demonstrate or achieve compliance with 
the applicable requirements of the statute, or the regulation, standard, 
instruction or order promulgated thereunder.

[42 FR 743, Jan. 4, 1977, as amended at 60 FR 8455, Feb. 14, 1995; 61 FR 
11503, Mar. 21, 1996; 68 FR 6340, Feb. 7, 2003]



Sec.  1.134  Docket number.

    Each proceeding, immediately following its institution, shall be 
assigned a docket number by the Hearing Clerk, and thereafter the 
proceeding shall be referred to by such number.



Sec.  1.135  Contents of complaint or petition for review.

    (a) Complaint. A complaint filed pursuant to Sec.  1.133(b) shall 
state briefly and clearly the nature of the proceeding, the 
identification of the complainant and the respondent, the legal 
authority and jurisdiction under which the proceeding is instituted, the 
allegations of fact and provisions of law which constitute a basis for 
the proceeding, and the nature of the relief sought.
    (b) Petition for review. The Petition for Review of responsibly 
connected status shall describe briefly and clearly the determination 
sought to be reviewed and shall include a brief statement of the factual 
and legal matters that the petitioner believes warrant the reversal of 
the determination.

[42 FR 743, Jan. 4, 1977, as amended at 61 FR 11503, Mar. 21, 1996]



Sec.  1.136  Answer.

    (a) Filing and service. Within 20 days after the service of the 
complaint (within 10 days in a proceeding under section 4(d) of the 
Perishable Agricultural Commodities Act, 1930), or such other time as 
may be specified therein, the respondent shall file with the Hearing 
Clerk an answer signed by the respondent or the attorney of record in 
the proceeding. The attorney may file an appearance of record prior to 
or simultaneously with the filing of the answer. The answer shall be 
served upon the complainant, and any other party of record, by the 
Hearing Clerk. As response to a petition for review of responsibly 
connected status, the Chief, PACA Branch, shall within ten days after 
being served by the Hearing Clerk with a petition for review, file with 
the Hearing Clerk a certified copy of the agency record upon which the 
Chief, PACA Branch, made the determination that the individual was 
responsibly connected to a licensee under the Perishable Agricultural 
Commodities Act, 7 U.S.C. 499a et seq., and such agency record shall 
become part of the record in the review proceeding.
    (b) Contents. The answer shall:

[[Page 40]]

    (1) Clearly admit, deny, or explain each of the allegations of the 
Complaint and shall clearly set forth any defense asserted by the 
respondent; or
    (2) State that the respondent admits all the facts alleged in the 
complaint; or
    (3) State that the respondent admits the jurisdictional allegations 
of the complaint and neither admits nor denies the remaining allegations 
and consents to the issuance of an order without further procedure.
    (c) Default. Failure to file an answer within the time provided 
under paragraph (a) of this section shall be deemed, for purposes of the 
proceeding, an admission of the allegations in the Complaint, and 
failure to deny or otherwise respond to an allegation of the Complaint 
shall be deemed, for purposes of the proceeding, an admission of said 
allegation, unless the parties have agreed to a consent decision 
pursuant to Sec.  1.138.

[42 FR 743, Jan. 4, 1977, as amended at 61 FR 11504, Mar. 21, 1996; 68 
FR 6340, Feb. 7, 2003]



Sec.  1.137  Amendment of complaint, petition for review, 
or answer; joinder of related matters.

    (a) Amendment. At any time prior to the filing of a motion for a 
hearing, the complaint, petition for review, answer, or response to 
petition for review may be amended. Thereafter, such an amendment may be 
made with consent of the parties, or as authorized by the Judge upon a 
showing of good cause.
    (b) Joinder. The Judge shall consolidate for hearing with any 
proceeding alleging a violation of the Perishable Agricultural 
Commodities Act, 7 U.S.C. 499a et seq., any petitions for review of 
determination of status by the Chief, PACA Branch, that individuals are 
responsibly connected, within the meaning of 7 U.S.C. 499a(b)(9), to the 
licensee during the period of the alleged violations. In any case in 
which there is no pending proceeding alleging a violation of the 
Perishable Agricultural Commodities Act, 7 U.S.C. 499a et seq., but 
there have been filed more than one petition for review of determination 
of responsible connection to the same licensee, such petitions for 
review shall be consolidated for hearing.

[61 FR 11504, Mar. 21, 1996, as amended at 68 FR 6340, Feb. 7, 2003]



Sec.  1.138  Consent decision.

    At any time before the Judge files the decision, the parties may 
agree to the entry of a consent decision. Such agreement shall be filed 
with the Hearing Clerk in the form of a decision signed by the parties 
with appropriate space for signature by the Judge, and shall contain an 
admission of at least the jurisdictional facts, consent to the issuance 
of the agreed decision without further procedure and such other 
admissions or statements as may be agreed between the parties. The Judge 
shall enter such decision without further procedure, unless an error is 
apparent on the face of the document. Such decision shall have the same 
force and effect as a decision issued after full hearing, and shall 
become final upon issuance to become effective in accordance with the 
terms of the decision.



Sec.  1.139  Procedure upon failure to file an answer or admission of facts.

    The failure to file an answer, or the admission by the answer of all 
the material allegations of fact contained in the complaint, shall 
constitute a waiver of hearing. Upon such admission or failure to file, 
complainant shall file a proposed decision, along with a motion for the 
adoption thereof, both of which shall be served upon the respondent by 
the Hearing Clerk. Within 20 days after service of such motion and 
proposed decision, the respondent may file with the Hearing Clerk 
objections thereto. If the Judge finds that meritorious objections have 
been filed, complainant's Motion shall be denied with supporting 
reasons. If meritorious objections are not filed, the Judge shall issue 
a decision without further procedure or hearing. Copies of the decision 
or denial of complainant's Motion shall be served by the Hearing Clerk 
upon each of the parties and may be appealed pursuant to Sec.  1.145. 
Where the decision as proposed by complainant is entered, such decision 
shall become final and effective without further proceedings 35 days 
after the date of service thereof

[[Page 41]]

upon the respondent, unless there is an appeal to the Judicial Officer 
by a party to the proceeding pursuant to Sec.  1.145: Provided, however, 
That no decision shall be final for purposes of judicial review except a 
final decision of the Judicial Officer upon appeal.



Sec.  1.140  Conferences and procedure.

    (a) Purpose and scope. (1) Upon motion of a party or upon the 
Judge's own motion, the Judge may direct the parties or their counsel to 
attend a conference at any reasonable time, prior to or during the 
course of the hearing, when the Judge finds that the proceeding would be 
expedited by a conference. Reasonable notice of the time, place, and 
manner of the conference shall be given. The Judge may order each of the 
parties to furnish at or subsequent to the conference any or all of the 
following:
    (i) An outline of the case or defense;
    (ii) The legal theories upon which the party will rely;
    (iii) Copies of or a list of documents which the party anticipates 
introducing at the hearing; and
    (iv) A list of anticipated witnesses who will testify on behalf of 
the party. At the discretion of the party furnishing such list of 
witnesses, the names of the witnesses need not be furnished if they are 
otherwise identified in some meaningful way such as a short statement of 
the type of evidence they will offer.
    (2) The Judge shall not order any of the foregoing procedures that a 
party can show is inappropriate or unwarranted under the circumstances 
of the particular case.
    (3) At the conference, the following matters shall be considered:
    (i) The simplification of issues;
    (ii) The necessity of amendments to pleadings;
    (iii) The possibility of obtaining stipulations of facts and of the 
authenticity, accuracy, and admissibility of documents, which will avoid 
unnecessary proof;
    (iv) The limitation of the number of expert or other witnesses;
    (v) Negotiation, compromise, or settlement of issues;
    (vi) The exchange of copies of proposed exhibits;
    (vii) The identification of documents or matters of which official 
notice may be requested;
    (viii) A schedule to be followed by the parties for completion of 
the actions decided at the conference; and
    (ix) Such other matters as may expedite and aid in the disposition 
of the proceeding.
    (b) Reporting. A conference will not be stenographically reported 
unless so directed by the Judge.
    (c) Manner of Conference. (1) The conference shall be conducted by 
telephone or correspondence unless the Judge determines that conducting 
the conference by audio-visual telecommunication:
    (i) Is necessary to prevent prejudice to a party;
    (ii) Is necessary because of a disability of any individual expected 
to participate in the conference; or
    (iii) Would cost less than conducting the conference by telephone or 
correspondence. If the Judge determines that a conference conducted by 
audio-visual telecommunication would measurably increase the United 
States Department of Agriculture's cost of conducting the conference, 
the conference shall be conducted by personal attendance of any 
individual who is expected to participate in the conference, by 
telephone, or by correspondence.
    (2) If the conference is not conducted by telephone or 
correspondence, the conference shall be conducted by audio-visual 
telecommunication unless the Judge determines that conducting the 
conference by personal attendance of any individual who is expected to 
participate in the conference:
    (i) Is necessary to prevent prejudice to a party;
    (ii) Is necessary because of a disability of any individual expected 
to participate in the conference; or
    (iii) Would cost less than conducting the conference by audio-visual 
telecommunication.
    (d) Order. Actions taken as a result of a conference shall be 
reduced to a written appropriate order, unless the Judge concludes that 
a stenographic report shall suffice, or, if the conference takes place 
within 7 days of the beginning of the hearing, the Judge elects to make

[[Page 42]]

a statement on the record at the hearing summarizing the actions taken.
    (e) Related matters. Upon motion of a respondent, the Judge may 
order the attorney for the complainant to produce and permit the 
respondent to inspect and copy or photograph any relevant written or 
recorded statements or confessions made by such respondent within the 
possession, custody or control of the complainant.

[42 FR 743, Jan. 4, 1977, as amended at 60 FR 8455, Feb. 14, 1995]



Sec.  1.141  Procedure for hearing.

    (a) Request for hearing. Any party may request a hearing on the 
facts by including such request in the complaint or answer, or by a 
separate request, in writing, filed with the Hearing Clerk within the 
time in which an answer may be filed. A petition for review shall be 
deemed a request for a hearing. Failure to request a hearing within the 
time allowed for the filing of the answer shall constitute a waiver of 
such hearing. Waiver of hearing shall not be deemed to be a waiver of 
the right to request oral argument before the Judicial Officer upon 
appeal of the Judge's decision. In the event the respondent denies any 
material fact and fails to file a timely request for a hearing, the 
matter may be set down for hearing on motion of the complainant or upon 
the Judge's own motion.
    (b) Time, place, and manner. (1) If any material issue of fact is 
joined by the pleadings, the Judge, upon motion of any party stating 
that the matter is at issue and is ready for hearing, shall set a time, 
place, and manner for hearing as soon as feasible after the motion is 
filed, with due regard for the public interest and the convenience and 
necessity of the parties. The Judge shall file with the Hearing Clerk a 
notice stating the time and place of the hearing. \2\ This notice shall 
state whether the hearing will be conducted by telephone, audio-visual 
telecommunication, or personal attendance of any individual expected to 
participate in the hearing. The Judge's determination regarding the 
manner of the hearing shall be made in accordance with paragraphs (b)(3) 
and (b)(4) of this section. If any change in the time, place, or manner 
of the hearing is made, the Judge shall file with the Hearing Clerk a 
notice of such change, which notice shall be served upon the parties, 
unless it is made during the course of an oral hearing and made part of 
the transcript or recording, or actual notice is given to the parties.
---------------------------------------------------------------------------

    \2\ The place of hearing in a proceeding under the Packers and 
Stockyards Act shall be set in accordance with the Packers and 
Stockyards Act (7 U.S.C. 228(e) and (f)). In essence, if there is only 
one respondent, the hearing is to be held as near as possible to the 
respondent's place of business or residence depending on the 
availability of an appropriate location for conducting the hearing. If 
there is more than one respondent and they have their places of business 
or residence within a single unit of local government, a single 
geographical area within a State, or a single State, the hearing is to 
be held as near as possible to their places of business or residence 
depending on the availability of an appropriate location for conducting 
the hearing. If there is more than one respondent, and they have their 
places of business or residence distant from each other, 7 U.S.C. 228(e) 
and (f) have no applicability.
---------------------------------------------------------------------------

    (2)(i) If any material issue of fact is joined by the pleadings and 
the matter is at issue and is ready for hearing, any party may move that 
the hearing be conducted by telephone or personal attendance of any 
individual expected to attend the hearing rather than by audio-visual 
telecommunication. Any motion that the hearing be conducted by telephone 
or personal attendance of any individual expected to attend the hearing 
must be accompanied by a memorandum in support of the motion stating the 
basis for the motion and the circumstances that require the hearing to 
be conducted other than by audio-visual telecommunication.
    (ii) Within 10 days after the Judge issues a notice stating the 
manner in which the hearing is to be conducted, any party may move that 
the Judge reconsider the manner in which the hearing is to be conducted. 
Any motion for reconsideration must be accompanied by a memorandum in 
support of the motion stating the basis for the motion and the 
circumstances that require the hearing to be conducted other than in 
accordance with the Judges's notice.

[[Page 43]]

    (3) The hearing shall be conducted by audio-visual telecommunication 
unless the Judge determines that conducting the hearing by personal 
attendance of any individual who is expected to participate in the 
hearing:
    (i) Is necessary to prevent prejudice to a party;
    (ii) Is necessary because of a disability of any individual expected 
to participate in the hearing; or
    (iii) Would cost less than conducting the hearing by audio-visual 
telecommunication. If the Judge determines that a hearing conducted by 
audio-visual telecommunication would measurably increase the United 
States Department of Agriculture's cost of conducting the hearing, the 
hearing shall be conducted by personal attendance of any individual who 
is expected to participate in the hearing or by telephone.
    (4) The Judge may, in his or her sole discretion or in response to a 
motion by a party to the proceeding, conduct the hearing by telephone if 
the Judge finds that a hearing conducted by telephone:
    (i) Would provide a full and fair evidentiary hearing;
    (ii) Would not prejudice any party; and
    (iii) Would cost less than conducting the hearing by audio-visual 
telecommunication or personal attendance of any individual who is 
expected to participate in the hearing.
    (c) Appearances. The parties may appear in person or by attorney of 
record in the proceeding. Any person who appears as attorney must 
conform to the standards of ethical conduct required of practitioners 
before the courts of the United States.
    (d) Debarment of attorney. (1) Whenever a Judge finds that a person 
acting as attorney for any party to the proceeding is guilty of 
unethical or contumacious conduct, in or in connection with a proceeding 
, the Judge may order that such person be precluded from further acting 
as attorney in the proceeding. An appeal to the Judicial Officer may be 
taken from any such order, but no proceeding shall be delayed or 
suspended pending disposition of the appeal: Provided, That the Judge 
shall suspend the proceeding for a reasonable time for the purpose of 
enabling the party to obtain another attorney.
    (2) Whenever it is found, after notice and opportunity for hearing, 
that a person, who is acting or has acted as attorney for another person 
in any proceeding before the United States Department of Agriculture, is 
unfit to act as such counsel because of such unethical or contumacious 
conduct, such person will be precluded from acting as counsel in any or 
all proceedings before the Department as found to be appropriate.
    (e) Failure to appear. (1) A respondent who, after being duly 
notified, fails to appear at the hearing without good cause, shall be 
deemed to have waived the right to an oral hearing in the proceeding and 
to have admitted any facts which may be presented at the hearing. Such 
failure by the respondent shall also constitute an admission of all the 
material allegations of fact contained in the complaint. Complainant 
shall have an election whether to follow the procedure set forth in 
Sec.  1.139 or whether to present evidence, in whole or in part, in the 
form of affidavits or by oral testimony before the Judge. Failure to 
appear at a hearing shall not be deemed to be a waiver of the right to 
be served with a copy of the Judge's decision and to appeal and request 
oral argument before the Judicial Officer with respect thereto in the 
manner provided in Sec.  1.145.
    (2) If the petitioner in the case of a Petition for Review of a 
determination of responsibly connected status within the meaning of 7 
U.S.C. 499a(b)(9), having been duly notified, fails to appear at the 
hearing without good cause, such petitioner shall be deemed to have 
waived the right to a hearing and to have voluntarily withdrawn the 
petition for review.
    (f) Order of proceeding. Except as may be determined otherwise by 
the Judge, the complainant shall proceed first at the hearing.
    (g) Written statements of direct testimony. (1) Except as provided 
in paragraph (g)(2) of this section, each party must exchange with all 
other parties a written narrative verified statement of the oral direct 
testimony that the party will provide at any hearing to be

[[Page 44]]

conducted by telephone; the direct testimony of each employee or agent 
of the party that the party will call to provide oral direct testimony 
at any hearing to be conducted by telephone; and the direct testimony of 
each expert witness that the party will call to provide oral direct 
testimony at any hearing to be conducted by telephone. The written 
direct testimony of witnesses shall be exchanged by the parties at least 
10 days prior to the hearing. The oral direct testimony provided by a 
witness at a hearing conducted by telephone will be limited to the 
presentation of the written direct testimony, unless the Judge finds 
that oral direct testimony which is supplemental to the written direct 
testimony would further the public interest and would not constitute 
surprise.
    (2) The parties shall not be required to exchange testimony in 
accordance with this paragraph if the hearing is scheduled to begin less 
than 20 days after the Judge's notice stating the time of the hearing.
    (h) Evidence--(1) In general. (i) The testimony of witnesses at a 
hearing shall be on oath or affirmation and subject to cross-
examination.
    (ii) Upon a finding of good cause, the Judge may order that any 
witness be examined separately and apart from all other witnesses except 
those who may be parties to the proceeding.
    (iii) After a witness called by the complainant has testified on 
direct examination, any other party may request and obtain the 
production of any statement, or part thereof, of such witness in the 
possession of the complainant which relates to the subject matter as to 
which the witness has testified. Such production shall be made according 
to the procedures and subject to the definitions and limitations 
prescribed in the Jencks Act (18 U.S.C. 3500).
    (iv) Evidence which is immaterial, irrelevant, or unduly 
repetitious, or which is not of the sort upon which responsible persons 
are accustomed to rely, shall be excluded insofar as practicable.
    (2) Objections. (i) If a party objects to the admission of any 
evidence or to the limitation of the scope of any examination or cross-
examination or to any other ruling of the Judge, the party shall state 
briefly the grounds of such objection, whereupon an automatic exception 
will follow if the objection is overruled by the Judge.
    (ii) Only objections made before the Judge may subsequently be 
relied upon in the proceeding.
    (3) Depositions. The deposition of any witness shall be admitted in 
the manner provided in and subject to the provisions of Sec.  1.148.
    (4) Exhibits. Unless the Judge finds that the furnishing of copies 
is impracticable, four copies of each exhibit shall be filed with the 
Judge: Provided, That, where there are more than two parties in the 
proceeding, an additional copy shall be filed for each additional party. 
A true copy of an exhibit may be substituted for the original.
    (5) Official records or documents. An official government record or 
document or entry therein, if admissible for any purpose, shall be 
admissible in evidence without the production of the person who made or 
prepared the same, and shall be prima facie evidence of the relevant 
facts stated therein. Such record or document shall be evidenced by an 
official publication thereof or by a copy certified by a person having 
legal authority to make such certification.
    (6) Official notice. Official notice shall be taken of such matters 
as are judicially noticed by the courts of the United States and of any 
other matter of technical, scientific, or commercial fact of established 
character: Provided, That the parties shall be given adequate notice of 
matters so noticed, and shall be given adequate opportunity to show that 
such facts are erroneously noticed.
    (7) Offer of proof. Whenever evidence is excluded by the Judge, the 
party offering such evidence may make an offer of proof, which shall be 
included in the transcript or recording. The offer of proof shall 
consist of a brief statement describing the evidence excluded. If the 
evidence consists of a brief oral statement, it shall be included in the 
transcript or recording in toto. If the evidence consists of an exhibit, 
it shall be marked for identification and inserted in the hearing 
record. In either event, the evidence shall be

[[Page 45]]

considered a part of the transcript or recording and hearing record if 
the Judicial Officer, upon appeal, decides the Judge's ruling excluding 
the evidence was erroneous and prejudicial. If the Judicial Officer 
decides the Judge's ruling excluding the evidence was erroneous and 
prejudicial and that it would be inappropriate to have such evidence 
considered a part of the hearing record, the Judicial Officer may direct 
that the hearing be reopened to permit the taking of such evidence or 
for any other purpose in connection with the excluded evidence.
    (i) Transcript or recording. (1) Hearings to be conducted by 
telephone shall be recorded verbatim by electronic recording device. 
Hearings conducted by audio-visual telecommunication or the personal 
attendance of any individual who is expected to participate in the 
hearing shall be transcribed, unless the Judge finds that recording the 
hearing verbatim would expedite the proceeding and the Judge orders the 
hearing to be recorded verbatim. The Judge shall certify that to the 
best of his or her knowledge and belief any recording made pursuant to 
this paragraph with exhibits that were accepted into evidence is the 
record of the hearing.
    (2) If a hearing is recorded verbatim, a party requests the 
transcript of a hearing or part of a hearing, and the Judge determines 
that the disposition of the proceeding would be expedited by a 
transcript of the hearing or part of a hearing, the Judge shall order 
the verbatim transcription of the recording as requested by the party.
    (3) Recordings or transcripts of hearings shall be made available to 
any person at actual cost of duplication.

[42 FR 743, Jan. 4, 1977, as amended at 60 FR 8455, Feb. 14, 1995; 61 FR 
11504, Mar. 21, 1996; 68 FR 6340, Feb. 7, 2003]



Sec.  1.142  Post-hearing procedure.

    (a) Corrections to transcript or recording. (1) Within the period of 
time fixed by the Judge, any party may file a motion proposing 
corrections to the transcript or recording.
    (2) Unless a party files such a motion in the manner prescribed, the 
transcript or recording shall be presumed, except for obvious 
typographical errors, to be a true, correct, and complete transcript or 
recording of the testimony given at the hearing and to contain an 
accurate description or reference to all exhibits received in evidence 
and made part of the hearing record, and shall be deemed to be certified 
without further action by the Judge.
    (3) As soon as practicable after the close of the hearing and after 
consideration of any timely objections filed as to the transcript or 
recording, the Judge shall issue an order making any corrections to the 
transcript or recording which the Judge finds are warranted, which 
corrections shall be entered onto the original transcript or recording 
by the Hearing Clerk (without obscuring the original text).
    (b) Proposed findings of fact, conclusions, orders, and briefs. 
Prior to the Judge's decision, each party shall be afforded a reasonable 
opportunity to submit for consideration proposed findings of fact, 
conclusions, order, and brief in support thereof. A copy of each such 
document filed by a party shall be served upon each of the other 
parties.
    (c) Judge's decision. (1) The Judge may, upon motion of any party or 
in his or her own discretion, issue a decision orally at the close of 
the hearing, or within a reasonable time after the closing of the 
hearing.
    (2) If the decision is announced orally, a copy thereof, excerpted 
from the transcript or recording, shall be furnished to the parties by 
the Hearing Clerk. Irrespective of the date such copy is mailed, the 
issuance date of the decision shall be the date the oral decision was 
announced.
    (3) If the decision is in writing, it shall be filed with the 
Hearing Clerk and served upon the parties as provided in Sec.  1.147.
    (4) The Judge's decision shall become final and effective without 
further proceedings 35 days after the issuance of the decision, if 
announced orally at the hearing, or if the decision is in writing, 35 
days after the date of service thereof upon the respondent, unless there 
is an appeal to the Judicial Officer by a party to the proceeding 
pursuant to

[[Page 46]]

Sec.  1.145; Provided, however, that no decision shall be final for 
purposes of judicial review except a final decision of the Judicial 
Officer upon appeal.

[42 FR 743, Jan. 4, 1977, as amended at 53 FR 7177, Mar. 7, 1988; 60 FR 
8456, Feb. 14, 1995; 68 FR 6340, Feb. 7, 2003]



Sec.  1.143  Motions and requests.

    (a) General. All motions and requests shall be filed with the 
Hearing Clerk, and served upon all the parties, except (1) requests for 
extensions of time pursuant to Sec.  1.147, (2) requests for subpoenas 
pursuant to Sec.  1.149, and (3) motions and requests made on the record 
during the oral hearing. The Judge shall rule upon all motions and 
requests filed or made prior to the filing of an appeal of the Judge's 
decision pursuant to Sec.  1.145, except motions directly relating to 
the appeal. Thereafter, the Judicial Officer will rule on any motions 
and requests, as well as the motions directly relating to the appeal.
    (b) Motions entertained. (1) Any motion will be entertained other 
than a motion to dismiss on the pleading.
    (2) All motions and request concerning the complaint must be made 
within the time allowed for filing an answer.
    (c) Contents. All written motions and requests shall state the 
particular order, ruling, or action desired and the grounds therefor.
    (d) Response to motions and requests. Within 20 days after service 
of any written motion or request, or within such shorter or longer 
period as may be fixed by the Judge or the Judicial Officer, an opposing 
party may file a response to the motion or request. The other party 
shall have no right to reply to the response; however, the Judge or the 
Judicial Officer, in the Judge's or the Judicial Officer's discretion, 
may order that a reply be filed.
    (e) Certification to the judicial officer. The submission or 
certification of any motion, request, objection, or other question to 
the Judicial Officer prior to the filing of an appeal pursuant to Sec.  
1.145 shall be made by and in the discretion of the Judge. The Judge may 
either rule upon or certify the motion, request, objection, or other 
question to the Judicial Officer, but not both.

[42 FR 743, Jan. 4, 1977, as amended at 55 FR 30673, July 27, 1990; 68 
FR 6340, Feb. 7, 2003]



Sec.  1.144  Judges.

    (a) Assignment. No Judge shall be assigned to serve in any 
proceeding who (1) has any pecuniary interest in any matter or business 
involved in the proceeding, (2) is related within the third degree by 
blood or marriage to any party to the proceeding, or (3) has any 
conflict of interest which might impair the Judge's objectivity in the 
proceeding.
    (b) Disqualification of Judge. (1) Any party to the proceeding may, 
by motion made to the Judge, request that the Judge withdraw from the 
proceeding because of an alleged disqualifying reason. Such motion shall 
set forth with particularity the grounds of alleged disqualification. 
The Judge may then either rule upon or certify the motion to the 
Secretary, but not both.
    (2) A Judge shall withdraw from any proceeding for any reason deemed 
by the Judge to be disqualifying.
    (c) Powers. Subject to review as provided in this subpart, the 
Judge, in any assigned proceeding, shall have power to:
    (1) Rule upon motions and requests;
    (2) Set the time, place, and manner of a conference and the hearing, 
adjourn the hearing, and change the time, place, and manner of the 
hearing;
    (3) Administer oaths and affirmations;
    (4) Issue subpoenas as authorized by the statute under which the 
proceeding is conducted, requiring the attendance and testimony of 
witnesses and the production of books, contracts, papers, and other 
documentary evidence at the hearing;
    (5) Summon and examine witnesses and receive evidence at the 
hearing;
    (6) Take or order the taking of depositions as authorized under 
these rules;
    (7) Admit or exclude evidence;
    (8) Hear oral argument on facts or law;
    (9) Require each party to provide all other parties and the Judge 
with a copy of any exhibit that the party intends to introduce into 
evidence prior

[[Page 47]]

to any hearing to be conducted by telephone or audio-visual 
telecommunication;
    (10) Require each party to provide all other parties with a copy of 
any document that the party intends to use to examine a deponent prior 
to any deposition to be conducted by telephone or audio-visual 
telecommunication;
    (11) Require that any hearing to be conducted by telephone or audio-
visual telecommunication be conducted at locations at which the parties 
and the Judge are able to transmit and receive documents during the 
hearing;
    (12) Require that any deposition to be conducted by telephone or 
audio-visual telecommunication be conducted at locations at which the 
parties are able to transmit and receive documents during the 
deposition;
    (13) Do all acts and take all measures necessary for the maintenance 
of order, including the exclusion of contumacious counsel or other 
persons; and
    (14) Take all other actions authorized under these rules.
    (d) Who may act in the absence of the Judge. In case of the absence 
of the Judge or the Judge's inability to act, the powers and duties to 
be performed by the Judge under these rules of practice in connection 
with any assigned proceeding may, without abatement of the proceeding 
unless otherwise directed by the Chief Judge, be assigned to any other 
Judge.

[42 FR 743, Jan. 4, 1977, as amended at 60 FR 8456, Feb. 14, 1995; 68 FR 
6340, Feb. 7, 2003]



Sec.  1.145  Appeal to Judicial Officer.

    (a) Filing of petition. Within 30 days after receiving service of 
the Judge's decision, if the decision is a written decision, or within 
30 days after issuance of the Judge's decision, if the decision is an 
oral decision, a party who disagrees with the decision, any part of the 
decision, or any ruling by the Judge or who alleges any deprivation of 
rights, may appeal the decision to the Judicial Officer by filing an 
appeal petition with the Hearing Clerk. As provided in Sec.  
1.141(h)(2), objections regarding evidence or a limitation regarding 
examination or cross-examination or other ruling made before the Judge 
may be relied upon in an appeal. Each issue set forth in the appeal 
petition and the arguments regarding each issue shall be separately 
numbered; shall be plainly and concisely stated; and shall contain 
detailed citations to the record, statutes, regulations, or authorities 
being relied upon in support of each argument. A brief may be filed in 
support of the appeal simultaneously with the appeal petition.
    (b) Response to appeal petition. Within 20 days after the service of 
a copy of an appeal petition and any brief in support thereof, filed by 
a party to the proceeding, any other party may file with the Hearing 
Clerk a response in support of or in opposition to the appeal and in 
such response any relevant issue, not presented in the appeal petition, 
may be raised.
    (c) Transmittal of record. Whenever an appeal of a Judge's decision 
is filed and a response thereto has been filed or time for filing a 
response has expired, the Hearing Clerk shall transmit to the Judicial 
Officer the record of the proceeding. Such record shall include: the 
pleadings; motions and requests filed and rulings thereon; the 
transcript or recording of the testimony taken at the hearing, together 
with the exhibits filed in connection therewith; any documents or papers 
filed in connection with a prehearing conference; such proposed findings 
of fact, conclusions, and orders, and briefs in support thereof, as may 
have been filed in connection with the proceeding; the Judge's decision; 
such exceptions, statements of objections and briefs in support thereof 
as may have been filed in the proceeding; and the appeal petition, and 
such briefs in support thereof and responses thereto as may have been 
filed in the proceeding.
    (d) Oral argument. A party bringing an appeal may request, within 
the prescribed time for filing such appeal, an opportunity for oral 
argument before the Judicial Officer. Within the time allowed for filing 
a response, appellee may file a request in writing for opportunity for 
such an oral argument. Failure to make such request in writing, within 
the prescribed time period, shall be deemed a waiver of oral argument. 
The Judicial Officer may grant, refuse, or limit any request for oral 
argument. Oral argument shall not be transcribed

[[Page 48]]

unless so ordered in advance by the Judicial Officer for good cause 
shown upon request of a party or upon the Judicial Officer's own motion.
    (e) Scope of argument. Argument to be heard on appeal, whether oral 
or on brief, shall be limited to the issues raised in the appeal or in 
the response to the appeal, except that if the Judicial Officer 
determines that additional issues should be argued, the parties shall be 
given reasonable notice of such determination, so as to permit 
preparation of adequate arguments on all issues to be argued.
    (f) Notice of argument; postponement. The Hearing Clerk shall advise 
all parties of the time and place at which oral argument will be heard. 
A request for postponement of the argument must be made by motion filed 
a reasonable amount of time in advance of the date fixed for argument.
    (g) Order of argument. The appellant is entitled to open and 
conclude the argument.
    (h) Submission on briefs. By agreement of the parties, an appeal may 
be submitted for decision on the briefs, but the Judicial Officer may 
direct that the appeal be argued orally.
    (i) Decision of the judicial officer on appeal. As soon as 
practicable after the receipt of the record from the Hearing Clerk, or, 
in case oral argument was had, as soon as practicable thereafter, the 
Judicial Officer, upon the basis of and after due consideration of the 
record and any matter of which official notice is taken, shall rule on 
the appeal. If the Judicial Officer decides that no change or 
modification of the Judge's decision is warranted, the Judicial Officer 
may adopt the Judge's decision as the final order in the proceeding, 
preserving any right of the party bringing the appeal to seek judicial 
review of such decision in the proper forum. A final order issued by the 
Judicial Officer shall be filed with the Hearing Clerk. Such order may 
be regarded by the respondent as final for purposes of judicial review 
without filing a petition for rehearing, reargument, or reconsideration 
of the decision of the Judicial Officer.

[42 FR 743, Jan. 4, 1977, as amended at 60 FR 8456, Feb. 14, 1995; 68 FR 
6341, Feb. 7, 2003]



Sec.  1.146  Petitions for reopening hearing; for rehearing or reargument
of proceeding; or for reconsideration of the decision of the Judicial 
Officer.

    (a) Petition requisite--(1) Filing; service; ruling. A petition for 
reopening the hearing to take further evidence, or for rehearing or 
reargument of the proceeding, or for reconsideration of the decision of 
the Judicial Officer, must be made by petition filed with the Hearing 
Clerk. Every such petition must state specifically the grounds relied 
upon. Any such petition filed prior to the filing of an appeal of the 
Judge's decision pursuant to Sec.  1.145 shall be ruled upon by the 
Judge, and any such petition filed thereafter shall be ruled upon by the 
Judicial Officer.
    (2) Petition to reopen hearing. A petition to reopen a hearing to 
take further evidence may be filed at any time prior to the issuance of 
the decision of the Judicial Officer. Every such petition shall state 
briefly the nature and purpose of the evidence to be adduced, shall show 
that such evidence is not merely cumulative, and shall set forth a good 
reason why such evidence was not adduced at the hearing.
    (3) Petition to rehear or reargue proceeding, or to reconsider the 
decision of the Judicial Officer. A petition to rehear or reargue the 
proceeding or to reconsider the decision of the Judicial Officer shall 
be filed within 10 days after the date of service of such decision upon 
the party filing the petition. Every petition must state specifically 
the matters claimed to have been erroneously decided and alleged errors 
must be briefly stated.
    (b) Procedure for disposition of petitions. Within 20 days following 
the service of any petition provided for in this section, any party to 
the proceeding may file with the Hearing Clerk a reply thereto. As soon 
as practicable thereafter, the Judge or the Judicial Officer, as the 
case may be, shall announce the determination whether to grant or deny 
the petition. The decision of the Judicial Officer shall automatically 
be stayed pending the determination to grant or deny a timely petition. 
Such decision shall not be final for purposes of judicial review until 
the petition is denied or the decision is affirmed or

[[Page 49]]

modified pursuant to the petition and the time for judicial review shall 
begin to run upon the filing of such final action on the petition. In 
the event that any such petition is granted, the applicable rules of 
practice, as set out elsewhere herein, shall be followed. A person 
filing a petition under this section shall be regarded as the moving 
party, although such person shall be referred to as the complainant or 
respondent, depending upon the designation in the original proceeding.



Sec.  1.147  Filing; service; extensions of time; and computation of time.

    (a) Filing; number of copies. Except as otherwise provided in this 
section, all documents or papers required or authorized by the rules in 
this part to be filed with the Hearing Clerk shall be filed in 
quadruplicate: Provided, That where there are more than two parties in 
the proceeding, an additional copy shall be filed for each additional 
party. Any document or paper required or authorized under the rules in 
this part to be filed with the Hearing Clerk shall, during the course of 
an oral hearing, be filed with the Judge.
    (b) Who shall make service. Copies of all such documents or papers 
required or authorized by the rules in this part to be filed with the 
Hearing Clerk shall be served upon the parties by the Hearing Clerk, or 
by some other employee of the Department, or by a U.S. Marshal or deputy 
marshal.
    (c) Service on party other than the Secretary. (1) Any complaint or 
other document initially served on a person to make that person a party 
respondent in a proceeding, proposed decision and motion for adoption 
thereof upon failure to file an answer or other admission of all 
material allegations of fact contained in a complaint, initial decision, 
final decision, appeal petition filed by the Department, or other 
document specifically ordered by the Judge to be served by certified or 
registered mail, shall be deemed to be received by any party to a 
proceeding, other than the Secretary or agent thereof, on the date of 
delivery by certified or registered mail to the last known principal 
place of business of such party, last known principal place of business 
of the attorney or representative of record of such party, or last known 
residence of such party if an individual, Provided that, if any such 
document or paper is sent by certified or registered mail but is 
returned marked by the postal service as unclaimed or refused, it shall 
be deemed to be received by such party on the date of remailing by 
ordinary mail to the same address.
    (2) Any document or paper, other than one specified in paragraph 
(c)(1) of this section or written questions for a deposition as provided 
in Sec.  1.148(d)(2), shall be deemed to be received by any party to a 
proceeding, other than the Secretary or agent thereof, on the date of 
mailing by ordinary mail to the last known principal place of business 
of such party, last known principal place of business of the attorney or 
representative of record of such party, or last known residence of such 
party if an individual.
    (3) Any document or paper served other than by mail, on any party to 
a proceeding, other than the Secretary or agent thereof, shall be deemed 
to be received by such party on the date of:
    (i) Delivery to any responsible individual at, or leaving in a 
conspicuous place at, the last known principal place of business of such 
party, last known principal place of business of the attorney or 
representative of record of such party, or last known residence of such 
party if an individual, or
    (ii) Delivery to such party if an individual, to an officer or 
director of such party if a corporation, or to a member of such party if 
a partnership, at any location.
    (d) Service on another. Any subpoena, written questions for a 
deposition under Sec.  1.148(d)(2), or other document or paper, served 
on any person other than a party to a proceeding, the Secretary or agent 
thereof, shall be deemed to be received by such person on the date of:
    (1) Delivery by certified mail or registered mail to the last known 
principal place of business of such person, last known principal place 
of business of the attorney or representative of record of such person, 
or last known residence of such person if an individual;

[[Page 50]]

    (2) Delivery other than by mail to any responsible individual at, or 
leaving in a conspicuous place at, any such location; or
    (3) Delivery to such party if an individual, to an officer or 
director of such party if a corporation, or to a member of such party if 
a partnership, at any location.
    (e) Proof of service. Any of the following, in the possession of the 
Department, showing such service, shall be deemed to be accurate:
    (1) A certified or registered mail receipt returned by the postal 
service with a signature;
    (2) An official record of the postal service;
    (3) An entry on a docket record or a copy placed in a docket file by 
the Hearing Clerk of the Department or by an employee of the Hearing 
Clerk in the ordinary course of business;
    (4) A certificate of service, which need not be separate from and 
may be incorporated in the document or paper of which it certifies 
service, showing the method, place and date of service in writing and 
signed by an individual with personal knowledge thereof, Provided that 
such certificate must be verified by oath or declaration under penalty 
of perjury if the individual certifying service is not a party to the 
proceeding in which such document or paper is served, an attorney or 
representative of record for such a party, or an official or employee of 
the United States or of a State or political subdivision thereof.
    (f) Extensions of time. The time for the filing of any document or 
paper required or authorized under the rules in this part to be filed 
may be extended by the Judge or the Judicial Officer as provided in 
Sec.  1.143, if, in the judgment of the Judge or the Judicial Officer, 
as the case may be, there is good reason for the extension. In all 
instances in which time permits, notice of the request for extension of 
the time shall be given to the other party with opportunity to submit 
views concerning the request.
    (g) Effective date of filing. Any document or paper required or 
authorized under the rules in this part to be filed shall be deemed to 
be filed at the time when it reaches the Hearing Clerk; or, if 
authorized to be filed with another officer or employee of the 
Department it shall be deemed to be filed at the time when it reaches 
such officer or employee.
    (h) Computation of time. Saturdays, Sundays and Federal holidays 
shall be included in computing the time allowed for the filing of any 
document or paper: Provided, That, when such time expires on a Saturday, 
Sunday, or Federal holiday, such period shall be extended to include the 
next following business day.

[42 FR 743, Jan. 4, 1977, as amended at 55 FR 30674, July 27, 1990; 60 
FR 8456, Feb. 14, 1995; 68 FR 6341, Feb. 7, 2003]



Sec.  1.148  Depositions.

    (a) Motion for taking deposition. Upon the motion of a party to the 
proceeding, the Judge may, at any time after the filing of the 
complaint, order the taking of testimony by deposition. The Motion shall 
be in writing, shall be filed with the Hearing Clerk, and shall set 
forth:
    (1) The name and address of the proposed deponent;
    (2) The name and address of the person (referred to hereafter in 
this section as the ``officer'') qualified under the regulations in this 
part to take depositions, before whom the proposed examination is to be 
made;
    (3) The proposed time and place of the examination, which shall be 
at least 15 days after the date of the mailing of the motion; and
    (4) The reasons why such deposition should be taken, which shall be 
solely for the purpose of eliciting testimony which otherwise might not 
be available at the time of hearing, for uses as provided in paragraph 
(g) of this section.
    (b) Judge's order for taking deposition. (1) If the Judge finds that 
the testimony may not be otherwise available at the hearing, the taking 
of the deposition may be ordered. The order shall be filed with the 
Hearing Clerk and shall state:
    (i) The time of the deposition;
    (ii) The place of the deposition;
    (iii) The manner of the deposition (telephone, audio-visual 
telecommunication, or personal attendance of those who are to 
participate in the deposition);

[[Page 51]]

    (iv) The name of the officer before whom the deposition is to be 
made; and
    (v) The name of the deponent. The officer and the time, place, and 
manner need not be the same as those suggested in the motion for the 
deposition.
    (2) The deposition shall be conducted by telephone unless the Judge 
determines that conducting the deposition by audio-visual 
telecommunication:
    (i) Is necessary to prevent prejudice to a party;
    (ii) Is necessary because of a disability of any individual expected 
to participate in the deposition; or
    (iii) Would cost less than conducting the deposition by telephone. 
If the Judge determines that a deposition conducted by audio-visual 
telecommunication would measurably increase the United States Department 
of Agriculture's cost of conducting the deposition, the deposition shall 
be conducted by personal attendance of any individual who is expected to 
participate in the deposition or by telephone.
    (3) If the deposition is not conducted by telephone, the deposition 
shall be conducted by audio-visual telecommunication unless the Judge 
determines that conducting the deposition by personal attendance of any 
individual who is expected to participate in the deposition:
    (i) Is necessary to prevent prejudice to a party;
    (ii) Is necessary because of a disability of any individual expected 
to participate in the deposition; or
    (iii) Would cost less than conducting the deposition by telephone or 
audio-visual telecommunication.
    (c) Qualifications of officer. The deposition shall be made before 
the Judge or before an officer authorized by the law of the United 
States or by the law of the place of the examination to administer 
oaths, or before an officer authorized by the Secretary to administer 
oaths.
    (d) Procedure on examination. (1) The deponent shall be examined 
under oath or affirmation and shall be subject to cross-examination. 
Objections to questions or documents shall be in short form, stating the 
grounds of objections relied upon. The questions proponded, together 
with all objections made (but not including argument or debate), shall 
be recorded verbatim. In lieu of oral examination, parties may transmit 
written questions to the officer prior to the examination and the 
officer shall propound such questions to the deponent.
    (2) The applicant shall arrange for the examination of the witness 
either by oral examination, or by written questions upon agreement of 
the parties or as directed by the Judge. If the examination is conducted 
by means of written questions, copies of the applicant's questions must 
be received by the other party to the proceeding and the officer at 
least 10 days prior to the date set for the examination unless otherwise 
agreed, and any cross questions of a party other than the applicant must 
be received by the applicant and the officer at any time prior to the 
time of the examination.
    (e) Certification by officer. The officer shall certify on the 
deposition that the deponent was duly sworn and that the deposition is a 
true record of the deponent's testimony. The officer shall then securely 
seal the deposition, together with one copy thereof (unless there are 
more than two parties in the proceeding, in which case there should be 
another copy for each additional party), in an envelope and mail the 
same by registered or certified mail to the Hearing Clerk.
    (f) Corrections to the transcript or recording. (1) At any time 
prior to the hearing, any party may file a motion proposing corrections 
to the transcript or recording of the deposition.
    (2) Unless a party files such a motion in the manner prescribed, the 
transcript or recording shall be presumed, except for obvious 
typographical errors, to be a true, correct, and complete transcript or 
recording of the testimony given in the deposition proceeding and to 
contain an accurate description or reference to all exhibits in 
connection therewith, and shall be deemed to be certified correct 
without further procedure.
    (3) At any time prior to use of the deposition in accordance with 
paragraph (g) of this section and after consideration of any objections 
filed thereto, the Judge may issue an order making any corrections in 
the transcript or recording which the Judge finds are

[[Page 52]]

warranted, which corrections shall be entered onto the original 
transcript or recording by the Hearing Clerk (without obscuring the 
original text).
    (g) Use of deposition. A deposition ordered and taken in accordance 
with the provisions of this section may be used in a proceeding under 
these rules if the Judge finds that the evidence is otherwise admissible 
and (1) that the witness is dead; (2) that the witness is unable to 
attend or testify because of age, sickness, infirmity, or imprisonment; 
(3) that the party offering the deposition has endeavored to procure the 
attendance of the witness by subpoena, but has been unable to do so; or 
(4) that such exceptional circumstances exist as to make it desirable, 
in the interests of justice, to allow the deposition to be used. If the 
party upon whose motion the deposition was taken refuses to offer it in 
evidence, any other party may offer the deposition or any part thereof 
in evidence. If only part of a deposition is offered in evidence by a 
party, an adverse party may require the introduction of any other part 
which ought in fairness to be considered with the part introduced, and 
any party may introduce any other parts.

[42 FR 743, Jan. 4, 1977, as amended at 55 FR 30674, July 27, 1990; 60 
FR 8456, Feb. 14, 1995; 68 FR 6341, Feb. 7, 2003]



Sec.  1.149  Subpoenas. \3\
---------------------------------------------------------------------------

    \3\ This section relates only to subpoenas for the stated purpose 
and has no relevance with respect to investigatory subpoenas.
---------------------------------------------------------------------------

    (a) Issuance of subpoenas. The attendance and testimony of witnesses 
and the production of documentary evidence from any place in the United 
States on behalf of any party to the proceeding may be required by 
subpoena at any designated place of hearing if authorized by the statute 
under which the proceeding is conducted. Subpoenas shall be issued by 
the Judge upon a reasonable showing by the applicant of the grounds and 
necessity thereof; and with respect to subpoenas for the production of 
documents, the request shall also show their competency, relevancy, and 
materiality. All requests for subpoenas shall be in writing, unless 
waived by the Judge for good cause shown. Except for good cause shown, 
requests for subpoenas shall be received by the Judge at least 10 days 
prior to the date set for the hearing.
    (b) Service of subpoenas. Subpoenas may be served by any person not 
less than 18 years of age. The party at whose instance a subpoena is 
issued shall be responsible for service thereof. Subpoenas shall be 
served as provided in Sec.  1.147.

[42 FR 743, Jan. 4, 1977, as amended at 55 FR 30674, July 27, 1990; 60 
FR 8457, Feb. 14, 1995; 68 FR 6341, Feb. 7, 2003]



Sec.  1.150  Fees of witnesses.

    Witnesses summoned under these rules of practice shall be paid the 
same fees and mileage that are paid witnesses in the courts of the 
United States, and witnesses whose depositions are taken, and the 
officer taking the same, shall be entitled to the same fees as are paid 
for like services in the courts of the United States. Fees shall be paid 
by the party at whose instance the witness appears or the deposition is 
taken.



Sec.  1.151  Ex parte communications.

    (a) At no stage of the proceeding between its institution and the 
issuance of the final decision shall the Judge or Judicial Officer 
discuss ex parte the merits of the proceeding with any person who is 
connected with the proceeding in an advocative or in an investigative 
capacity, or with any representative of such person: Provided, That 
procedural matters shall not be included within this limitation; and 
Provided further, That the Judge or Judicial Officer may discuss the 
merits of the case with such a person if all parties to the proceeding, 
or their attorneys have been given notice and an opportunity to 
participate. A memorandum of any such discussion shall be included in 
the record.
    (b) No interested person shall make or knowingly cause to be made to 
the Judge or Judicial Officer an ex parte communication relevant to the 
merits of the proceeding.
    (c) If the Judge or the Judicial Officer receives an ex parte 
communication in violation of this section, the one who receives the 
communication shall

[[Page 53]]

place in the public record of the proceeding:
    (1) All such written communications;
    (2) Memoranda stating the substance of all such oral communications; 
and
    (3) All written responses, and memoranda stating the substance of 
all oral responses thereto.
    (d) Upon receipt of a communication knowingly made or knowingly 
caused to be made by a party in violation of this section, the Judge or 
Judicial Officer may, to the extent consistent with the interests of 
justice and the policy of the underlying statute, require the party to 
show cause why his claim or interest in the proceeding should not be 
dismissed, denied, disregarded, or otherwise adversely affected on 
account of such violation.
    (e) To the extent consistent with the interests of justice and the 
policy of the underlying statute, a violation of this section shall be 
sufficient grounds for a decision adverse to the party who knowingly 
commits a violation of this section or who knowingly causes such a 
violation to occur.
    (f) For purposes of this section ex parte communication means an 
oral or written communication not on the public record with respect to 
which reasonable prior notice to all parties is not given, but it shall 
not include requests for status reports on any matter or the proceeding.



Subpart I_Rules of Practice Governing Cease and Desist Proceedings Under 
                  Section 2 of the Capper-Volstead Act

    Authority: 7 U.S.C. 291, 292; 7 CFR 2.35, 2.41.

    Source: 45 FR 6587, Jan. 29, 1980, unless otherwise noted.



Sec.  1.160  Scope and applicability of rules in this part.

    The rules of practice in this part shall be applicable to cease and 
desist proceedings, initiated upon complaint by the Secretary of 
Agriculture, pursuant to section 2 of the Capper-Volstead Act.



Sec.  1.161  Definitions.

    As used in this part, words in the single form shall be deemed to 
import the plural, and vice versa, as the case may require. The 
following terms shall be construed, respectively, to mean:
    Act means the Capper-Volstead Act, approved February 18, 1922, 42 
Stat. 388, 7 U.S.C. 291, 292.
    Association means a cooperative association, a federation of 
cooperatives, or other association of agricultural producers, as defined 
in section 1 of the Act.
    Complainant or Secretary means the Secretary of Agriculture, United 
States Department of Agriculture, or any officer(s) or employee(s) to 
whom authority has heretofore been delegated, or whom authority may 
hereafter be delegated, to act in his or her stead.
    Complaint means a formal complaint instituted by the Secretary of 
Agriculture requiring respondent to show cause why an order should not 
be made directing it to cease and desist from acts of monopolization or 
restraint of trade, which result in undue price enhancement.
    Decision means: (1) the Judge's decision, and includes (i) findings 
and conclusions and the reasons or basis therefor on all material issues 
of fact, law, or discretion, (ii) order, and (iii) rulings on proposed 
findings, conclusions and order submitted by the parties, and (2) the 
decision and order by the Judicial Officer upon an appeal of the Judge's 
decision.
    Hearing means that part of the proceeding which involves the 
submission of evidence before the Judge for the record in the 
proceeding.
    Hearing Clerk means the Hearing Clerk, United States Department of 
Agriculture, Washington, DC 20250.
    Judge means any Administrative Law Judge appointed pursuant to 5 
U.S.C. 3105 (the Administrative Procedure Act) and assigned to the 
proceeding involved.
    Judicial Officer means an official of the United States Department 
of Agriculture delegated authority by the Secretary, pursuant to the Act 
of April 4, 1940 (7 U.S.C. 450c-450g) and Reorganization Plan No. 2 of 
1953 (5 U.S.C.

[[Page 54]]

App. (1988)), to perform the function involved (Sec.  2.35(a) of this 
chapter), or the Secretary if he or she exercises the authority so 
delegated.
    Respondent means the cooperative associations, or association, 
against whom a complaint has been issued.

[45 FR 6587, Jan. 29, 1980, as amended at 60 FR 8457, Feb. 14, 1995]



Sec.  1.162  Institution of proceedings.

    (a) Filing of information. Any person having information that any 
agricultural association, as defined in the Capper-Volstead Act, is 
engaged in any practice which monopolizes or restrains trade in 
interstate or foreign commerce to such an extent that the price of any 
agricultural product is unduly enhanced by reason thereof, may submit 
such information to the Secretary. Such information shall be in writing 
and shall contain a complete statement of facts detailing the price 
enhancement and the practices alleged.
    (b) Consideration of information. The Secretary shall consider all 
information filed under paragraph (a) of this section, and any other 
information which the Secretary may obtain relating to a violation of 
section 2 of the Act. If the Secretary finds that there is reason to 
believe that any association monopolizes or restrains trade in 
interstate or foreign commerce to such an extent that the price of any 
agricultural product is unduly enhanced thereby the Secretary shall 
cause a complaint to be filed, requiring the association to show cause 
why an order should not be made directing the association to cease and 
desist from such monopolization or restraint of trade. The complaint 
shall be filed with the Hearing Clerk, who shall assign to the 
proceeding a docket number and effect service upon respondent.

[45 FR 6587, Jan. 29, 1980, as amended at 60 FR 8457, Feb. 14, 1995]



Sec.  1.163  The complaint.

    The complaint shall state briefly all allegations of fact which 
constitute a basis for the proceeding, and shall designate a time and 
place for the hearing in the matter, which shall be at least 30 days 
after the service of the complaint upon the respondent.



Sec.  1.164  Answer.

    (a) Filing and service. Within 20 days after service of the 
complaint, or such other time as may be specified therein, the 
respondent shall file with the Hearing Clerk, an answer, signed by the 
respondent or the respondent's attorney. The answer shall be served upon 
the complainant by the Hearing Clerk.
    (b) Contents. The answer shall clearly admit, deny, or offer an 
explanation in response to each of the allegations of the complaint, and 
shall clearly set forth any affirmative defense.
    (c) Default. Failure to file an answer shall constitute an admission 
of the allegations in the complaint, and may be the basis for a decision 
upon the presentation of a prima facie case by the complainant.

[45 FR 6587, Jan. 29, 1980, as amended at 60 FR 8457, Feb. 14, 1995]



Sec.  1.165  Amendments.

    Amendments to the complaint may be made prior to the filing of an 
answer in which case the time for filing the answer shall be extended 20 
days or for other time agreed to by the parties. After the answer is 
filed, amendments to the complaint, or to the answer or other pleading, 
may be made by agreement of the parties or allowed at the discretion of 
the Judge. In case of an amendment which significantly changes the 
issues, the hearing shall, on the request of a party, be postponed or 
adjourned for a reasonable period, if the Judge determines that such 
action is necessary to avoid prejudice to the party.



Sec.  1.166  Consent order.

    At any time, complainant and respondent may agree to the entry of a 
consent order. Such order shall be entered by the Judge (prior to a 
decision) or the Judicial Officer (after a decision by the Judge), and 
become effective on the date specified therein.



Sec.  1.167  Conference.

    (a) Purpose. Upon motion of a party or upon the Judge's own motion, 
the Judge may direct the parties to attend a conference when the Judge 
finds that the proceeding would be expedited by discussions on matters 
of procedure

[[Page 55]]

and/or possible stipulations. The conference may include discussions 
regarding:
    (1) Simplification of the issues;
    (2) Limitation of expert or other witnesses;
    (3) The orderly presentation of evidence; and
    (4) Any other matters that may expedite and aid in the disposition 
of the proceeding.
    (b) Manner of the Conference. (1) The conference shall be conducted 
by telephone or correspondence unless the Judge determines that 
conducting the conference by audio-visual telecommunication:
    (i) Is necessary to prevent prejudice to a party;
    (ii) Is necessary because of a disability of any individual expected 
to participate in the conference; or
    (iii) Would cost less than conducting the conference by telephone or 
correspondence. If the Judge determines that a conference conducted by 
audio-visual telecommunication would measurably increase the United 
States Department of Agriculture's cost of conducting the conference, 
the conference shall be conducted by personal attendance of any 
individual who is expected to participate in the conference, by 
telephone, or by correspondence.
    (2) If the conference is not conducted by telephone or 
correspondence, the conference shall be conducted by audio-visual 
telecommunication unless the Judge determines that conducting the 
conference by personal attendance of any individual who is expected to 
participate in the conference:
    (i) Is necessary to prevent prejudice to a party;
    (ii) Is necessary because of a disability of any individual expected 
to participate in the conference; or
    (iii) Would cost less than conducting the conference by audio-visual 
telecommunication.

[60 FR 8457, Feb. 14, 1995]



Sec.  1.168  Procedure for hearing.

    (a) Time and place. The oral hearing shall be held at such time and 
place as specified in the complaint, and not less than 30 days after 
service thereof. The time and place of the hearing may be changed for 
good cause, by the Judge, upon motion of either complainant or 
respondent.
    (b) Manner of hearing. (1) The Judge shall file with the Hearing 
Clerk a notice stating whether the hearing will be conducted by 
telephone, audio-visual telecommunication, or personal attendance of any 
individual expected to attend the hearing and the Judge's determination 
regarding the manner of hearing shall be made in accordance with 
paragraphs (b)(3) and (b)(4) of this section. If any change in the 
manner of the hearing is made, the Judge shall file with the Hearing 
Clerk a notice of the change, which notice shall be served on the 
parties, unless it is made during the course of an oral hearing and made 
part of the transcript or recording, or actual notice is given to the 
parties.
    (2)(i) Any party may move that the hearing be conducted by telephone 
or personal attendance of any individual expected to attend the hearing 
rather than by audio-visual telecommunication. Any motion that the 
hearing be conducted by telephone or personal attendance of any 
individual expected to attend the hearing must be accompanied by a 
memorandum in support of the motion stating the basis for the motion and 
the circumstances that require the hearing to be conducted other than by 
audio-visual telecommunication.
    (ii) Within 10 days after the Judge issues a notice stating the 
manner in which the hearing is to be conducted, any party may move that 
the Judge reconsider the manner in which the hearing is to be conducted. 
Any motion for reconsideration must be accompanied by a memorandum in 
support of the motion stating the basis for the motion and the 
circumstances that require the hearing to be conducted other than in 
accordance with the Judges's notice.
    (3) The hearing shall be conducted by audio-visual telecommunication 
unless the Judge determines that conducting the hearing by personal 
attendance of any individual who is expected to participate in the 
hearing:
    (i) Is necessary to prevent prejudice to a party;
    (ii) Is necessary because of a disability of any individual expected 
to participate in the hearing; or

[[Page 56]]

    (iii) Would cost less than conducting the hearing by audio-visual 
telecommunication. If the Judge determines that a hearing conducted by 
audio-visual telecommunication would measurably increase the United 
States Department of Agriculture's cost of conducting the hearing, the 
hearing shall be conducted by personal attendance of any individual who 
is expected to participate in the hearing or by telephone.
    (4) The Judge may, in his or her sole discretion or in response to a 
motion by a party to the proceeding, conduct the hearing by telephone if 
the Judge finds that a hearing conducted by telephone:
    (i) Would provide a full and fair evidentiary hearing;
    (ii) Would not prejudice any party; and
    (iii) Would cost less than conducting the hearing by audio-visual 
telecommunication or personal attendance of any individual who is 
expected to participate in the hearing.
    (c) Appearances. The parties may appear in person or by counsel or 
by other representative. Persons who appear as counsel or in a 
representative capacity must conform to the standards of ethical conduct 
required of practitioners before the courts of the United States.
    (d) Order of proceeding. Except as otherwise may be agreed by the 
parties and approved by the Judge, the complainant shall proceed first 
at the hearing.
    (e) Failure to appear. If respondent, after being duly notified, 
fails to appear at the hearing, and no good cause for such failure is 
established, complainant shall present a prime facie case on the matters 
denied in the answer.
    (f) Written statements of direct testimony. (1) Except as provided 
in paragraph (f)(2) of this section, each party must exchange with all 
other parties a written narrative verified statement of the oral direct 
testimony that the party will provide at any hearing to be conducted by 
telephone; the direct testimony of each employee or agent of the party 
that the party will call to provide oral direct testimony at any hearing 
to be conducted by telephone; and the direct testimony of each expert 
witness that the party will call to provide oral direct testimony at any 
hearing to be conducted by telephone. The written direct testimony of 
witnesses shall be exchanged by the parties at least 10 days prior to 
the hearing. The oral direct testimony provided by a witness at a 
hearing conducted by telephone will be limited to the presentation of 
the written direct testimony, unless the Judge finds that oral direct 
testimony which is supplemental to the written direct testimony would 
further the public interest and would not constitute surprise.
    (2) The parties shall not be required to exchange testimony in 
accordance with this paragraph if the hearing is scheduled to begin less 
than 20 days after the Judge's notice stating the time of the hearing.
    (g) Evidence. (1) The testimony of witnesses at the hearing shall be 
upon oath or affirmation, transcribed or recorded verbatim, and subject 
to cross-examination. Evidence which is immaterial, irrelevant, or 
unduly repetitious, or which is not of the sort upon which responsible 
persons are accustomed to rely, shall be excluded insofar as 
practicable.
    (2) Objections. If a party objects to the admission of any evidence 
or to the limitation of the scope of any examination or cross-
examination, the party shall briefly state the grounds of such 
objections, whereupon an automatic exception will follow if the 
objection is overruled by the Judge. The ruling of the Judge on any 
objection shall be part of the transcript or recording. Only objections 
made before the Judge may subsequently be relied upon in the proceeding.
    (3) Official records or documents. An official record or document, 
if admissible for any purpose, shall be admissible in evidence without 
the production of the person who made or prepared the same, and shall be 
prima facie evidence of the relevant facts stated therein. Such record 
or document shall be evidenced by an official publication thereof, or by 
a copy certified by a person having legal authority to make such 
certification.
    (4) Exhibits. Unless the Judge finds that the furnishing of multiple 
copies

[[Page 57]]

is impracticable, four copies of each exhibit shall be filed with the 
Judge unless the Judge finds that a greater or lesser number is 
desirable. A true copy of an exhibit may be substituted for the 
original.
    (5) Official notice. Official notice shall be taken of such matters 
as are judicially noticed by the courts of the United States and of any 
other matter of technical, scientific, or commercial fact of established 
character: Provided, That the opposing party shall be given adequate 
opportunity to show that such facts are erroneously noticed.
    (6) Offer of proof. Whenever evidence is deleted from the record, 
the party offering such evidence may make an offer of proof, which shall 
be included in the transcript or recording. The offer of proof shall 
consist of a brief statement describing the evidence excluded. If the 
evidence consists of a brief oral statement or of an exhibit, it shall 
be inserted into the transcript or recording in toto. In such event, it 
shall be considered a part of the transcript or recording and record if 
the Judicial Officer decides that the Judge's ruling in excluding the 
evidence was erroneous and prejudicial. The Judge shall not allow the 
insertion of such excluded evidence in toto if the taking of such 
evidence will consume considerable time at the hearing. In the latter 
event, if the Judicial Officer decides that the Judge's ruling excluding 
the evidence was both prejudicial and erroneous, the hearing may be 
reopened to permit the taking of such evidence.
    (7) Affidavits. Affidavits may be submitted into evidence, in lieu 
of witness testimony, only to the extent, and in the manner agreed upon 
by the parties.
    (h) Transcript or recording. (1) Hearings to be conducted by 
telephone shall be recorded verbatim by electronic recording device. 
Hearings conducted by audio-visual telecommunication or the personal 
attendance of any individual who is expected to participate in the 
hearing shall be transcribed, unless the Judge finds that recording the 
hearing verbatim would expedite the proceeding and the Judge orders the 
hearing to be recorded verbatim. The Judge shall certify that to the 
best of his or her knowledge and belief any recording made pursuant to 
this paragraph with exhibits that were accepted into evidence is the 
record of the hearing.
    (2) If a hearing is recorded verbatim, a party requests the 
transcript of a hearing or part of a hearing, and the Judge determines 
that the disposition of the proceeding would be expedited by a 
transcript of the hearing or part of a hearing, the Judge shall order 
the verbatim transcription of the recording as requested by the party.
    (3) Recordings or transcripts of hearings shall be made available to 
any person at actual cost of duplication.

[45 FR 6587, Jan. 29, 1980, as amended at 60 FR 8457, Feb. 14, 1995]



Sec.  1.169  Post-hearing procedure and decision.

    (a) Corrections to transcript or recording. (1) At any time, but not 
later than the time fixed for filing proposed findings of fact, 
conclusions and order, or briefs, as the case may be, any party may file 
a motion proposing corrections to the transcript or recording.
    (2) Unless a party files such a motion in the manner prescribed, the 
transcript or recording shall be presumed, except for obvious 
typographical errors, to be a true, correct, and complete transcript or 
recording of the testimony given at the hearing and to contain an 
accurate description or reference to all exhibits received in evidence 
and made part of the hearing record.
    (3) At any time prior to the filing of the Judge's decision and 
after consideration of any objections filed as to the transcript or 
recording, the Judge may issue an order making any corrections in the 
transcript or recording which the Judge finds are warranted, which 
corrections shall be entered onto the original transcript or recording 
by the Hearing Clerk (without obscurring the original text).
    (b) Proposed findings of fact, conclusions, order and briefs. The 
parties may file with the Hearing Clerk proposed findings of fact, 
conclusions and orders based solely upon the record and on matters 
subject to official notice, and briefs in support thereof. The Judge 
shall announce at the hearing a definite period of time within which 
these documents may be filed.

[[Page 58]]

    (c) Judge's decision. The Judge, within a reasonable time after the 
termination of the period allowed for the filing of proposed findings of 
fact, conclusions and order, and briefs in support thereof, shall 
prepare, upon the basis of the record and matters officially noticed, 
and shall file with the Hearing Clerk, the Judge's decision, a copy of 
which shall be served by the Hearing Clerk upon each of the parties. 
Such decision shall become final and effective without further 
proceedings 35 days after the date of service thereof upon the 
respondent, unless there is an appeal to the Judicial Officer by a party 
to the proceeding pursuant to Sec.  1.170: Provided, That no decision 
shall be final for purposes of a request for Judicial Review, as 
provided in Sec.  1.175(a), except a final decision of the Judicial 
Officer on appeal.

[45 FR 6587, Jan. 29, 1980, as amended at 60 FR 8458, Feb. 14, 1995]



Sec.  1.170  Appeal to the Judicial Officer.

    (a) Filing of petition. Within 30 days after receiving service of 
the Judge's decision, a party who disagrees with the decision, or any 
part thereof, or any ruling by the Judge or any alleged deprivation of 
rights, may appeal such decision to the Judicial Officer by filing an 
appeal petition with the Hearing Clerk. As provided in Sec.  
1.168(g)(2), objections regarding evidence or a limitation regarding 
examination or cross-examination or other ruling made before the Judge 
may be relied upon in an appeal. Each issue set forth in the petition, 
and the arguments thereon, shall be separately numbered; shall be 
plainly and concisely stated; and shall contain detailed citations to 
the record, statutes, regulations or authorities being relied upon in 
support thereof. A brief may be filed in support of the appeal 
simultaneously with the petition.
    (b) Response to appeal petition. Within 20 days after the service of 
a copy of an appeal petition and any brief in support thereof, filed by 
a party to the proceeding, any other party may file with the Hearing 
Clerk a response in support of or in opposition to the appeal and in 
such response any relevant issue, not presented in the appeal petition, 
may be raised.
    (c) Transmittal of record. Whenever an appeal of a Judge's decision 
is filed and a response thereto has been filed or time for filing a 
response has expired, the Hearing Clerk shall transmit to the Judicial 
Officer the record of the proceeding. Such record shall include: the 
pleadings; motions and requests filed and rulings thereon; the 
transcript or recording of the testimony taken at the hearing, together 
with the exhibits filed in connection therewith; any documents or papers 
filed in connection with a prehearing conference; such proposed findings 
of fact, conclusions, and orders, and briefs in support thereof, as may 
have been filed in connection with the proceeding; the Judge's decision; 
such exceptions, statements of objections and briefs in support thereof 
as may have been filed in the proceeding; and the appeal petition, and 
such briefs in support thereof and responses thereto as may have been 
filed in the proceeding.
    (d) Oral argument. A party bringing an appeal may request, within 
the prescribed time for filing such appeal, an opportunity for oral 
arguments before the Judicial Officer. Within the time allowed for 
filing a response, appellee may file a request in writing for 
opportunity for such an oral argument. Failure to make such request in 
writing, within the prescribed time period, shall be deemed a waiver of 
oral argument. The Judicial Officer may grant, refuse, or limit any 
request for oral argument. Oral argument shall not be transcribed unless 
so ordered in advance by the Judicial Officer for good cause shown upon 
request of a party or upon the Judicial Officer's own motion.
    (e) Scope of argument. Argument to be heard on appeal, whether oral 
or on brief, shall be limited to the issues raised in the appeal or in 
the response to the appeal, except that if the Judicial Officer 
determines that additional issues should be argued, the parties shall be 
given reasonable notice of such determination, so as to permit 
preparation of adequate arguments on all issues to be argued.
    (f) Notice of argument; Postponement. The Hearing Clerk shall advise 
all parties of the time and place at which oral argument will be heard. 
A request for postponement of the argument must be

[[Page 59]]

made by motion filed a reasonable amount of time in advance of the date 
fixed for argument.
    (g) Order of argument. The appellant is entitled to open and 
conclude the argument.
    (h) Submission on briefs. By agreement of the parties, an appeal may 
be submitted for decision on the briefs, but the Judicial Officer may 
direct that the appeal be argued orally.
    (i) Decision of the judicial officer on appeal. As soon as 
practicable after the receipt of the record from the Hearing Clerk, or, 
in case oral argument was had, as soon as practicable thereafter, the 
Judicial Officer, upon the basis of and after due consideration of the 
record and any matter of which official notice is taken, shall rule on 
the appeal. If the Judicial Officer decides that no change or 
modification of the Judge's decision is warranted, the Judicial Officer 
may adopt the Judge's decision as the final order in the proceeding, 
preserving any right of the party bringing the appeal to seek judicial 
review of such decision in the proper forum. A final order issued by the 
Judicial Officer shall be filed with the Hearing Clerk. Such order may 
be regarded by the respondent as final for purposes of a request for 
judicial review as provided in Sec.  1.175(a).

[45 FR 6587, Jan. 29, 1980, as amended at 60 FR 8458, Feb. 14, 1995]



Sec.  1.171  Intervention.

    Intervention under these rules shall not be allowed, except that, in 
the discretion of the Judicial Officer, or the Judge, any person showing 
a substantial interest in the outcome of the proceeding shall be 
permitted to participate in oral or written argument pursuant to 
Sec. Sec.  1.169 and 1.170.

[45 FR 6587, Jan. 29, 1980, as amended at 60 FR 8458, Feb. 14, 1995]



Sec.  1.172  Motions and requests.

    (a) General. All motions and requests shall be filed with the 
Hearing Clerk, and shall be served upon the parties, except those made 
on record during the oral hearing. The Judge shall rule upon all motions 
and requests filed or made prior to the filing of the certification of 
the transcript or recording. Thereafter, the Judicial Officer will rule 
on any motions or requests.
    (b) Motions entertained. Any motion will be entertained except a 
motion to dismiss on the pleadings. All motions and requests concerning 
the complaint must be made within the time allowed for filing an answer.
    (c) Contents. All written motions and requests shall state the 
particular order, ruling, or action desired and the grounds therefor.
    (d) Response to motions in request. Within ten days after service of 
any written motion or request, or within such shorter or longer period 
as may be fixed by the Judge or the Judicial Officer the opposing party 
may file a response to the motion or request.
    (e) Certification to the judicial officer. The submission or 
certification of any motion, request, objection, or other question to 
the Judicial Officer prior to the time when the Judge's certification of 
the transcript is filed with the Hearing Clerk, shall be made by and in 
the discretion of the Judge. The Judge may either rule upon or certify 
the motion, request, objection, or other question to the Judicial 
Officer, but not both.

[45 FR 6587, Jan. 29, 1980, as amended at 60 FR 8458, Feb. 14, 1995]



Sec.  1.173  Judges.

    (a) Assignment. No Judge shall be assigned to serve in any 
proceeding who (1) has any pecuniary interest in any matter or business 
involved in the proceeding, (2) is related within the third degree by 
blood or marriage to any party to the proceeding, or (3) has 
participated in the investigation preceding the institution of the 
proceeding or in determination that it should be instituted or in the 
preparation of the moving paper or in the development of the evidence to 
be introduced therein.
    (b) Disqualification of Judge. (1) Any party to the proceeding may, 
by motion made to the Judge, request that the Judge disqualify himself 
or herself and withdraw from the proceeding. Such motion shall set forth 
with particularity the alleged disqualification. The Judge may then 
either rule upon or certify the motion to the Judicial Officer, but not 
both.

[[Page 60]]

    (2) A Judge will withdraw from any proceeding in which the Judge 
deems himself or herself disqualified for any reason.
    (c) Conduct. At no stage of the proceeding between its institution 
and the issuance of the final decision shall the Judicial Officer or the 
Judge discuss ex parte the merits of the proceeding with any person who 
is connected with the proceeding as an advocate or in an investigative 
capacity, or with any representative of such person: Provided, That 
procedural matters shall not be included within the limitation: and 
Provided further, That the Judicial Officer of Judge may discuss the 
merits of the case with such a person if all parties to the proceeding, 
or their representatives, have been given an opportunity to be present. 
Any memorandum or other communication addressed to the Judicial Officer 
or a Judge, during the pendency of the proceeding, and relating to the 
merits thereof, by or on behalf of any party or any interested person, 
shall be filed with the Hearing Clerk. A copy thereof shall be served 
upon the parties to the proceeding, and, in the discretion of the Judge 
or the Judicial Officer, opportunity may be given to file a reply 
thereto within a specified period.
    (d) Powers. Subject to review by the Judicial Officer as provided 
elsewhere in this part, the Judge, in any proceeding assigned to him or 
her shall have power to:
    (1) Rule upon motions and requests;
    (2) Set the time, place, and manner of any conference, set the 
manner of the hearing, adjourn the hearing, and change the time, place, 
and manner of the hearing;
    (3) Administer oaths and affirmations;
    (4) Examine witnesses and receive relevant evidence;
    (5) Admit or exclude evidence;
    (6) Hear oral argument on facts or law;
    (7) Require each party to provide all other parties and the Judge 
with a copy of any exhibit that the party intends to introduce into 
evidence prior to any hearing to be conducted by telephone or audio-
visual telecommunication;
    (8) Require that any hearing to be conducted by telephone or audio-
visual telecommunication be conducted at locations at which the parties 
and the Judge are able to transmit and receive documents during the 
hearing;
    (9) Do all acts and take all measures necessary for the orderly 
presentation of evidence, maintenance of order, and the efficient 
conduct of the proceeding.
    (e) Who may act in the absence of the Judge. In case of the absence 
of the Judge or upon the Judge's inability to act, the powers and duties 
to be performed by the Judge under these Rules of Practice in connection 
with a proceeding assigned to the Judge may, without abatement of the 
proceeding, be assigned to any other Judge.

[45 FR 6587, Jan. 29, 1980, as amended at 60 FR 8458, Feb. 14, 1995]



Sec.  1.174  Filing; service; extensions of time; and computation of time.

    (a) Filing; Number of Copies. Except as otherwise provided by the 
Judge or the Secretary, all documents or papers required or authorized 
by the rules in this part to be filed with the Hearing Clerk shall be 
filed in quadruplicate: Provided, That, where there are parties to the 
proceeding in addition to complainant and respondent, an additional copy 
shall be filed for each such additional party. Any document or paper, 
required or authorized under the rules in this part to be filed with the 
Hearing Clerk, shall, during the course of an oral hearing, be filed 
with the Judge.
    (b) Service; proof of service. Copies of all such documents or 
papers required or authorized by the rules in this part to be filed with 
the Hearing Clerk, shall be served upon the parties by the Hearing 
Clerk, or by some other employee of the Department, or by a U.S. Marshal 
or his Deputy. Service shall be made either (1) by delivering a copy of 
the document or paper to the individual to be served or to a member of 
the partnership to be served, or to the president, secretary, or other 
executive officer or any director of the corporation or association to 
be served, or to the attorney or agent of record of such individual, 
partnership, corporation, organization, or association; or (2) by 
leaving a copy of the document or paper at the principal office or place 
of

[[Page 61]]

business or residence of such individual, partnership, corporation, 
organization, or association, or of his or its attorney or agent of 
record and mailing by regular mail another copy to each person at such 
address; or (3) by registering or certifying and mailing a copy of the 
document or paper, addressed to such individual, partnership, 
corporation, organization, or association, or to his or its attorney or 
agent of record, at his or its last known residence or principal office 
or place of business: Provided, That if the registered or certified 
document or paper is returned undelivered because the addressee refused 
or failed to accept delivery, the document or paper shall be served by 
remailing it by regular mail. Proof of service hereunder shall be made 
by the certification of the person who actually made the service: 
Provided, That if the service be made by mail, as outlined in paragraph 
(b)(3) of this section proof of service shall be made by the return post 
office receipt, in the case of registered or certified mail, or by the 
certificate of the person who mailed the matter by regular mail. The 
certificate and post office receipt contemplated herein shall be filed 
with the Hearing Clerk, and the fact of filing thereof shall be noted in 
the record of the proceeding.
    (c) Extension of time. The time for the filing of any document or 
paper required or authorized under the rules in this part to be filed 
may be extended by the Judge prior to the filing of the certification of 
the transcript or recording if there is good reason for the extension. 
In all instances in which time permits, notice of the request for 
extension of the time shall be given to the other party with opportunity 
to submit views concerning the request.
    (d) Effective date of filing. Any document or paper required or 
authorized under the rules in this part to be filed shall be deemed to 
be filed at the time when it reaches the Department of Agriculture in 
Washington, D.C.; or, if authorized to be filed with an officer or 
employee of the Department at any place outside the District of 
Columbia, it shall be deemed to be filed at the time when it reaches the 
office of such officer or employee.
    (e) Computation of time. Saturdays, Sundays and Federal holidays 
shall be included in computing the time allowed for the filing of any 
document or paper: Provided, That when such time expires on a Saturday, 
Sunday or Federal holiday, such period shall be extended to include the 
next following business day.

[45 FR 6587, Jan. 29, 1980, as amended at 60 FR 8459, Feb. 14, 1995]



Sec.  1.175  Procedure following entry of cease and desist order.

    (a) Request for judicial review. An association subject to a cease 
and desist order may, within thirty days following the date of the 
order, request the Secretary to institute proceedings for judicial 
review of the order. Such request shall, to the extent practicable, 
identify findings of fact, conclusions of law, and any part of the order 
which the association claims are in error. The Secretary shall, 
thereupon, file in the district in the judicial district in which such 
association has its principal place of business, a certified copy of the 
order and of all records in the proceeding, including the request of the 
association, together with a petition asking that the order be affirmed 
and enforced.
    (b) Enforcement. If an association subject to a cease and desist 
order fails or neglects, within thirty days of the date of the order, or 
at any time thereafter, to obey such order, and has not made a request 
for judicial review as provided above, the Secretary shall file in the 
district court in the judicial district in which such association has 
its principal place of business a certified copy of the order and of all 
records in the proceeding, together with a petition asking that the 
order be enforced.
    (c) Notice. The Secretary shall give notice of the filing of a 
petition for enforcement or review to the Attorney General, and to the 
association, by service of a copy of the petition.

[[Page 62]]



   Subpart J_Procedures Relating to Awards Under the Equal Access to 
            Justice Act in Proceedings Before the Department

    Source: 67 FR 63237, Oct. 11, 2002, unless otherwise noted.

                           General Provisions



Sec.  1.180  Definitions.

    (a) The definitions contained in Sec.  1.132 of this part are 
incorporated into and made applicable to this subpart.
    (b) Adjudicative Officer means an administrative law judge, 
administrative judge, or other person assigned to conduct a proceeding 
covered by EAJA.
    (c) Agency means an organizational unit of the Department whose head 
reports to an official in the Office of the Secretary.
    (d) Agency counsel means the attorney from the Office of the General 
Counsel representing the agency of the Department administering the 
statute involved in the proceeding.
    (e) Days means calendar days.
    (f) Department means the United States Department of Agriculture.



Sec.  1.181  Purpose of these rules.

    The Equal Access to Justice Act, 5 U.S.C. 504 (called ``EAJA'' in 
this subpart), provides for the award of attorney fees and other 
expenses to eligible individuals and entities who are parties to certain 
administrative proceedings (called ``adversary adjudications'') before 
the Department. An eligible party may receive an award when it prevails 
over the Department unless the position of the Department was 
substantially justified or special circumstances make an award unjust. 
Alternatively, an eligible party may receive an award in connection with 
an adversary adjudication arising from an agency action to enforce the 
party's compliance with a statutory or regulatory requirement where the 
demand by the agency is substantially in excess of the decision of the 
adjudicative officer and is unreasonable when compared with such 
decision under the facts and circumstances of the case. The rules in 
this subpart describe the parties eligible for awards and the 
proceedings that are covered. They also explain how to apply for awards, 
and the procedures and standards that the Department will use to make 
awards.



Sec.  1.182  When EAJA applies.

    EAJA applies to any adversary adjudication pending or commenced 
before the Department on or after August 5, 1985, except with respect to 
a proceeding covered under Sec.  1.183(a)(1)(iii) of this part, which is 
effective on or after October 21, 1986. In addition, the provisions of 
Sec.  1.185(b) relating to award for excessive demand apply only to 
adversary adjudications commenced on or after March 29, 1996. Changes in 
maximum rates for attorney fees are effective as of October 11, 2002.



Sec.  1.183  Proceedings covered.

    (a)(1) The rules in this subpart apply to adversary adjudications. 
These are:
    (i) Adjudications required by statute to be conducted by the 
Department under 5 U.S.C. 554 in which the position of the Department or 
any other agency of the United States, or any component of an agency, is 
presented by an attorney or other representative who enters an 
appearance and participates in the proceeding,
    (ii) Appeals of decisions of contracting officers made pursuant to 
section 6 of the Contract Disputes Act of 1978 (41 U.S.C. 605) before 
the Agriculture Board of Contract Appeals as provided in section 8 of 
that Act (41 U.S.C. 607), and
    (iii) Any hearing conducted under chapter 38 of title 31, United 
States Code.
    (2) Any proceeding in which the Department may prescribe a lawful 
present or future rate is not covered by EAJA. Proceedings to grant or 
renew licenses also are excluded, but proceedings to modify, suspend, or 
revoke licenses are covered if they are otherwise ``adversary 
adjudications.'' The proceedings covered include adversary adjudications 
under the following statutory provisions.

Agricultural Marketing Agreement Act of 1937 (7 U.S.C. 608c(15)(A))
Animal Health Protection Act, sections 10414 and 10415 (7 U.S.C. 8313 
and 8314).

[[Page 63]]

Animal Quarantine Laws (21 U.S.C. 104, 117, 122, 127, 134e, and 135a)
Animal Welfare Act (7 U.S.C. 2149)
Archaeological Resources Protection Act (16 U.S.C. 470ff)
Beef Research and Information Act (7 U.S.C. 2912)
Capper-Volstead Act (7 U.S.C. 292)
Cotton Research and Promotion Act (7 U.S.C. 2111)
Egg Products Inspection Act (21 U.S.C. 1047)
Egg Research and Consumer Information Act (7 U.S.C. 2713, 2714(b))
Endangered Species Act (16 U.S.C. 1540(a))
Federal Land Policy and Management Act (43 U.S.C. 1766)
Federal Meat Inspection Act (21 U.S.C. 604, 606, 607(e), 608, 671)
Federal Seed Act (7 U.S.C. 1599)
Horse Protection Act (15 U.S.C. 1823(c), 1825)
Packers and Stockyards Act (7 U.S.C. 193, 204, 213, 218d, 221)
Perishable Agricultural Commodities Act (7 U.S.C. 499c(c), 499d(d), 
499f(c), 499h(a), 499h(b), 499h(c), 499i, 499m(a))
Plant Protection Act (7 U.S.C. 7734, 7735, and 7736)
Potato Research and Promotion Act (7 U.S.C. 2620)
Poultry Products Inspection Act (21 U.S.C. 455, 456, 457(d), 467)
Swine Health Protection Act (7 U.S.C. 3804(b), 3805(a))
Title V of the Agricultural Risk Protection Act of 2000, section 501(a) 
(7 U.S.C. 2279e).
U.S. Cotton Standards Act (7 U.S.C. 51b, 53)
U.S. Grain Standards Act (7 U.S.C. 79(g)(3), 85, 86)
U.S. Warehouse Act (7 U.S.C. 246, 253)
Virus-Serum-Toxin Act (21 U.S.C. 156)
Wheat and Wheat Foods Research and Nutrition Education Act (7 U.S.C. 
3409)

    (b) The failure of the Department to identify a type of proceeding 
as an adversary adjudication shall not preclude the filing of an 
application by a party who believes the proceeding is covered by EAJA; 
whether the proceeding is covered will then be an issue for resolution 
in proceedings on the application.
    (c) If a proceeding includes both matters covered by EAJA and 
matters specifically excluded from coverage, any award made will include 
only fees and expenses related to covered issues.

[67 FR 63237, Oct. 11, 2002, as amended at 67 FR 70674, Nov. 26, 2002]



Sec.  1.184  Eligibility of applicants.

    (a) To be eligible for an award of attorney fees and other expenses 
under EAJA, the applicant must meet one of the following conditions:
    (1) The applicant must be a prevailing party to the adversary 
adjudication for which it seeks an award; or
    (2) The applicant must be a party to an adversary adjudication 
arising from an agency action to enforce the party's compliance with a 
statutory or regulatory requirement in which the demand by the agency 
was substantially in excess of the decision of the adjudicative officer 
and the demand is unreasonable when compared with such decision under 
the facts and circumstances of the case.
    (b) In addition to the criteria set out in paragraph (a) of this 
section, a party seeking an award must be one of the following:
    (1) An individual with a net worth of not more than $2 million;
    (2) The sole owner of an unincorporated business who has a net worth 
of not more than $7 million, including both personal and business 
interests, and not more than 500 employees;
    (3) A charitable or other tax-exempt organization described in 
section 501(c)(3) of the Internal Revenue Code (26 U.S.C. 501(c)(3)) 
with not more than 500 employees;
    (4) A cooperative association as defined in section 15(a) of the 
Agricultural Marketing Act (2 U.S.C. 1141j(a)) with not more than 500 
employees;
    (5) Any other partnership, corporation, association, unit of local 
government, or organization with a net worth of not more than $7 million 
and nor more than 500 employees;
    (6) For purposes only of paragraph (a)(2) of this section, a small 
entity as defined in 5 U.S.C. 601.
    (c) For the purpose of eligibility, the net worth and number of 
employees of an applicant shall be determined as of the date the 
adversary adjudication was initiated: Provided, that for purposes of 
eligibility in proceedings covered by Sec.  1.183(a)(1)(ii) of this 
part, the net worth and number of employees of an applicant shall be 
determined as of the date the applicant filed its appeal under 41 U.S.C. 
606.
    (d) In interpreting the criteria set forth in paragraph (b) of this 
section, the following apply:
    (1) An applicant who owns an unincorporated business will be 
considered as an ``individual'' rather than a ``sole

[[Page 64]]

owner of an unincorporated business'' if the issues on which the 
applicant prevails are related primarily to personal interests rather 
than to business interests.
    (2) The employees of an applicant include all persons who regularly 
perform services for remuneration for the applicant, under the 
applicant's direction and control. Part-time employees shall be included 
on a proportional basis.
    (3) The net worth and number of employees of the applicant and all 
of its affiliates shall be aggregated to determine eligibility. Any 
individual, corporation, or other entity that directly or indirectly 
controls or owns a majority of the voting shares or other interest of 
the applicant, or any corporation or other entity of which the applicant 
directly or indirectly owns or controls a majority of the voting shares 
or other interest, will be considered an affiliate for purposes of this 
subpart, unless the adjudicative officer determines such treatment would 
be unjust and contrary to the purposes of EAJA in light of the actual 
relationship between the affiliated entities. In addition, the 
adjudicative officer may determine that financial relationships of the 
applicant other than those described in this paragraph constitute 
special circumstances that would make an award unjust.
    (4) An applicant that participates in a proceeding primarily on 
behalf of one or more other person or entity that would be ineligible is 
not itself eligible for an award.



Sec.  1.185  Standards for awards.

    (a) Prevailing party. (1) A prevailing applicant may receive an 
award for fees and expenses incurred in connection with a proceeding, or 
in a significant and discrete substantive portion of the proceeding, 
unless the position of the Department was substantially justified. The 
position of the Department includes, in addition to the position taken 
by the Department in the adversary adjudication, the action or failure 
to act by the Department upon which the adversary adjudication is based. 
The burden of proof that an award should not be made to an eligible 
prevailing applicant because the position of the Department was 
substantially justified is on the agency.
    (2) An award to a prevailing applicant will be reduced or denied if 
the applicant has unduly or unreasonably protracted the proceeding or if 
special circumstances make the award sought unjust.
    (b) Excessive demand. (1) If, in an adversary adjudication arising 
from an agency action to enforce a party's compliance with a statutory 
or regulatory requirement, the demand by the agency is substantially in 
excess of the decision of the adjudicative officer and is unreasonable 
when compared with such decision under the facts and circumstances of 
the case, the adjudicative officer shall award to the party the fees and 
other expenses related to defending against the excessive demand, unless 
the party has committed a willful violation of law or otherwise acted in 
bad faith, or special circumstances make an award unjust. Fees and 
expenses awarded under this paragraph shall be paid only as a 
consequence of appropriations provided in advance.
    (2) ``Demand'' means the express demand of the agency which led to 
the adversary adjudication, but does not include a recitation by the 
agency of the maximum statutory penalty:
    (i) In the administrative complaint, or
    (ii) Elsewhere when accompanied by an express demand for a lesser 
amount.



Sec.  1.186  Allowable fees and expenses.

    (a) Awards will be based on rates customarily charged by persons 
engaged in the business of acting as attorneys, agents, and expert 
witnesses, even if the services were made available without charge or at 
reduced rate to the applicant.
    (b) In proceedings commenced on or after the effective date of this 
paragraph, no award for the fee of an attorney or agent under the rules 
in this subpart may exceed $150 per hour. No award to compensate an 
expert witness may exceed the highest rate at which the Department pays 
expert witnesses, which is set out at Sec.  1.150 of this part. However, 
an award also may include the reasonable expenses of the attorney, 
agent, or witness as a separate

[[Page 65]]

item, if the attorney, agent, or witness ordinarily charges clients 
separately for such expenses.
    (c) In determining the reasonableness of the fee sought for an 
attorney, agent, or expert witness, the adjudicative officer shall 
consider the following:
    (1) If the attorney, agent or witness is in private practice, his or 
her customary fee for similar services, or if an employee of the 
applicant, the fully allocated cost of the services;
    (2) The prevailing rate for similar services in the community in 
which the attorney, agent, or witness ordinarily performs services;
    (3) The time actually spent in the representation of the applicant;
    (4) The time reasonably spent in light of the difficulty or 
complexity of the issues in the proceeding; and
    (5) Such other factors as may bear on the value of the services 
provided.
    (d) The reasonable cost of any study, analysis, engineering report, 
test, project or similar matter prepared on behalf of a party may be 
awarded, to the extent that the charge for the service does not exceed 
the prevailing rate for similar services, and the study or other matter 
was necessary for preparation of the applicant's case.

[67 FR 63237, Oct. 11, 2002, as amended at 76 FR 11668, Mar. 3, 2011]



Sec.  1.187  Rulemaking on maximum rates for attorney fees.

    (a) If warranted by an increase in the cost of living or by special 
circumstances (such as limited availability of attorneys qualified to 
handle certain types of proceedings), the Department may adopt 
regulations providing that attorney fees may be awarded at a rate higher 
than $150 per hour in some or all of the types of proceedings covered by 
this part. The Department will conduct any rulemaking proceedings for 
this purpose under the informal rulemaking procedures of the 
Administrative Procedure Act.
    (b) Any person may file with the Department a petition for 
rulemaking to increase the maximum rate for attorney fees in accordance 
with Sec.  1.28 of this part. The petition should identify the rate the 
petitioner believes the Department should establish and the types of 
proceedings in which the rate should be used. It also should explain 
fully the reasons why the higher rate is warranted. The Department will 
respond to the petition within 60 days after it is filed, by initiating 
a rulemaking proceeding, denying the petition, or taking other 
appropriate action.

[67 FR 63237, Oct. 11, 2002, as amended at 76 FR 11668, Mar. 3, 2011]



Sec.  1.188  Awards against other agencies.

    If an applicant is entitled to an award because it prevails over 
another agency of the United States that participates in a proceeding 
before the Department and takes a position that is not substantially 
justified, the award or an appropriate portion of the award shall be 
made against that agency.



Sec.  1.189  Delegations of authority.

    (a) Except as provided in paragraph (b) of this section, the 
Secretary of Agriculture delegates to the Judicial Officer authority to 
take final action on matters pertaining to the Act in proceedings 
covered by these rules. The Secretary by order may delegate authority to 
take final action on matters pertaining to the Act in particular cases 
to other subordinate officials or bodies.
    (b)(1) The Secretary of Agriculture delegates to the Director of the 
National Appeals Division authority to take final actions on matters 
pertaining to the Act for proceedings under 7 CFR part 11.
    (2) With respect to proceedings covered under Sec.  1.183(b)(1)(ii) 
of this part, the Board of Contract Appeals is authorized by statute (41 
U.S.C. 607) to take final action.

[68 FR 27435, May 20, 2003]

                  Information Required From Applicants



Sec.  1.190  Contents of application.

    (a) An application for an award of fees and expenses under EAJA 
shall identify the applicant and the proceeding for which an award is 
sought. Unless the applicant is an individual, the application shall 
state the number

[[Page 66]]

of employees of the applicant and describe briefly the type and purpose 
of its organization or business. The application shall also:
    (1) Show that the applicant has prevailed and identify the position 
of the Department that the applicant alleges was not substantially 
justified and shall briefly state the basis for such allegation; or
    (2) Show that the demand by the Department in the proceeding was 
substantially in excess of, and was unreasonable when compared with, the 
decision in the proceeding.
    (b) The application also shall, as appropriate, include a 
declaration that the applicant is a small entity as defined in 5 U.S.C. 
601 or a statement that the applicant's net worth does not exceed $2 
million (if an individual) or $7 million (for all other applicants, 
including their affiliates). However, an applicant may omit this 
statement if:
    (1) It attaches a copy of a ruling by the Internal Revenue Service 
that it qualifies as an organization described in section 501(c)(3) of 
the Internal Revenue Code (26 U.S.C. 501(c)(3)) or, in the case of a 
tax-exempt organization not required to obtain a ruling from the 
Internal Revenue Service on its exempt status, a statement that 
describes the basis for the applicant's belief that it qualifies under 
such section; or
    (2) It states that it is a cooperative association as defined in 
section 15(a) of the Agricultural Marketing Act (12 U.S.C. 114j(a)).
    (c) The application shall state the amount of fees and expenses for 
which an award is sought.
    (d) The application also may include any other matters that the 
applicant wishes the Department to consider in determining whether, and 
in what amount, an award should be made.
    (e) The application shall be signed by the applicant or an 
authorized officer or attorney of the applicant. It also shall contain 
or be accompanied by a written verification under oath or affirmation 
under penalty of perjury that the information provided in the 
application and all accompanying material is true and complete to the 
best of the signer's information and belief.



Sec.  1.191  Net worth exhibit.

    (a) An applicant, except a qualified tax-exempt organization or 
cooperative association, must provide with its application a detailed 
exhibit showing the net worth of the applicant and any affiliates (as 
defined in Sec.  1.184 of this part) when the proceeding was initiated. 
The exhibit may be in any form convenient to the applicant that provides 
full disclosure of the applicant's and its affiliates' assets and 
liabilities and is sufficient to determine whether the applicant 
qualifies under the standards in this subpart. The adjudicative officer 
may require an applicant to file additional information to determine its 
eligibility for an award.
    (b) Ordinarily, the net worth exhibit will be included in the public 
record of the proceeding. However, an applicant that objects to public 
disclosure of information in any portion of the exhibit and believes 
there are legal grounds for withholding it from disclosure may submit 
that portion of the exhibit directly to the adjudicative officer in a 
sealed envelope labeled ``Confidential Financial Information,'' 
accompanied by a motion to withhold the information from public 
disclosure. The motion shall describe the information sought to be 
withheld and explain, in detail, why it falls within one or more of the 
specific exemptions from mandatory disclosure under the Freedom of 
Information Act, 5 U.S.C. 552(b) (1) through (9). The material in 
question shall be served on counsel representing the agency against 
which the applicant seeks an award, but need not be served on any other 
party to the proceeding. If the adjudicative officer finds that the 
information should not be withheld from disclosure, it shall be placed 
in the public record of the proceeding. Otherwise, any request to 
inspect or copy the exhibit shall be disposed of in accordance with the 
established procedures of the Department under the Freedom of 
Information Act (Sec. Sec.  1.1 through 1.23 of this part).



Sec.  1.192  Documentation of fees and expenses.

    (a) The application shall be accompanied by full documentation of 
the fees and expenses, including the cost of

[[Page 67]]

any study, analysis, engineering report, test, project, or similar 
matter, for which an award is sought.
    (b) The documentation shall include an affidavit from any attorney, 
agent, or expert witness representing or appearing on behalf of the 
party, stating the actual time expended and the rate at which fees and 
other expenses were computed and describing the specific services 
performed.
    (1) The affidavit shall state the services performed. In order to 
establish the hourly rate, the affidavit shall state the hourly rate 
which is billed and paid by the majority of clients during the relevant 
time periods.
    (2) If no hourly rate is paid by the majority of clients because, 
for instance, the attorney or agent represents most clients on a 
contingency basis, the attorney or agent shall provide information about 
two attorneys or agents with similar experience, who perform similar 
work, stating their hourly rate.
    (c) The documentation also shall include a description of any 
expenses for which reimbursement is sought and a statement of the 
amounts paid and payable by the applicant or by any other person or 
entity for the services provided.
    (d) The adjudicative officer may require the applicant to provide 
vouchers, receipts, or other substantiation for any fees or expenses 
claimed, pursuant to Sec.  1.199 of this part.



Sec.  1.193  Time for filing application.

    (a) An application may be filed whenever the applicant has prevailed 
in the proceeding or in a significant and discrete substantive portion 
of the proceeding, but in no case later than 30 days after final 
disposition of the proceeding by the Department.
    (b) For the purposes of this subpart, final disposition means the 
date on which a decision or order disposing of the merits of the 
proceeding or any other complete resolution of the proceeding, such as a 
settlement or voluntary dismissal, become final and unappealable, both 
within the Department and to the courts.
    (c) If review or reconsideration is sought or taken of a decision as 
to which an applicant believes it has prevailed, proceedings for the 
award of fees shall be stayed pending final disposition of the 
underlying controversy. When the United States appeals the underlying 
merits of an adversary adjudication to a court, no decision on an 
application for fees and other expenses in connection with that 
adversary adjudication shall be made until a final and unreviewable 
decision is rendered by the court on the appeal or until the underlying 
merits of the case have been finally determined pursuant to the appeal.

                 Procedures for Considering Applications



Sec.  1.194  Filing and service of documents.

    Any application for an award or other pleading or document related 
to an application shall be filed and served on all parties to the 
proceeding in the same manner as other pleadings in the proceeding 
except as provided in Sec.  1.191 of this part for confidential 
financial information. The provisions relating to filing, service, 
extensions of time, and computation of time contained in Sec.  1.147 of 
this part are incorporated into and made applicable to this subpart, 
except that the statutory 30 day time limit on filing the application as 
set out in Sec.  1.193 of this part may not be extended.



Sec.  1.195  Answer to application.

    (a) Within 30 days after service of an application, agency counsel 
may file an answer. If agency counsel fails to timely answer or settle 
the application, the adjudicative officer, upon a satisfactory showing 
of entitlement by the applicant, may make an award for the applicant's 
allowable fees and expenses.
    (b) If agency counsel and the applicant believe that the issues in 
the fee application can be settled, they may jointly file a statement of 
intent to negotiate a settlement. The filing of this statement shall 
extend the time for filing an answer for an additional 30 days, and 
further extensions may be granted by the adjudicative officer upon 
request by agency counsel and the applicant.
    (c) The answer shall explain in detail any objections to the award 
requested

[[Page 68]]

and identify the facts relied on in support of agency counsel's 
position. If the answer is based on any alleged facts not already in the 
record of the proceeding, agency counsel shall include with the answer 
either supporting affidavits or a request for further proceedings under 
Sec.  1.199 of this part.



Sec.  1.196  Reply.

    Within 15 days after service of an answer, the applicant may file a 
reply. If the reply is based on any alleged facts not already in the 
record of the proceeding, the applicant shall include with the reply 
either supporting affidavits or a request for further proceedings under 
Sec.  1.199 of this part.



Sec.  1.197  Comments by other parties.

    Any party to a proceeding other than the applicant and agency 
counsel may file comments on an application within 30 days after it is 
served or on an answer within 15 days after it is served. A commenting 
party may not participate further in proceedings on the application, 
unless the adjudicative officer determines that the public interest 
requires such participation in order to permit full exploration of 
matters raised in the comments.



Sec.  1.198  Settlement.

    The applicant and agency counsel may agree on a proposed settlement 
of the award before final action on the application, either in 
connection with a settlement of the underlying proceeding, or after the 
underlying proceeding has been concluded. If a prevailing party and 
agency counsel agree on a proposed settlement of an award before an 
application has been filed, the application shall be filed with the 
proposed settlement.



Sec.  1.199  Further proceedings.

    (a) Ordinarily, the determination of an award will be made on the 
basis of the written record. However, on request of either the applicant 
or agency counsel, or on his or her own initiative, the adjudicative 
officer may order further proceedings, such as an informal conference, 
oral argument, additional written submissions or, as to issues other 
than substantial justification (such as the applicant's eligibility or 
substantiation of fees and expenses), pertinent discovery or an 
evidentiary hearing. Such further proceedings shall be held only when 
necessary for full and fair resolution of the issues arising from the 
application, and shall be conducted as promptly as possible. Whether the 
position of the Department was substantially justified shall be 
determined on the basis of the administrative record, as a whole, which 
is made in the adversary adjudication for which fees and other expenses 
are sought.
    (b) A request that the adjudicative officer order further 
proceedings under this section shall identify specifically the 
information sought or the disputed issues, and shall explain 
specifically why the additional proceedings are necessary to resolve the 
issues.
    (c) In the event that an evidentiary hearing is held, it shall be 
conducted pursuant to Sec. Sec.  1.130 through 1.151 of this part, 
except that any hearing in a proceeding covered by Sec.  1.183(a)(1)(ii) 
of this part shall be conducted pursuant to Rules 17 through 25 of the 
Board of Contract Appeals contained in Sec.  24.21 of this title.



Sec.  1.200  Decision.

    The adjudicative officer or Board of Contract Appeals shall issue an 
initial decision on the application as expeditiously as possible after 
completion of proceedings on the application. Whenever possible, the 
decision shall be made by the same administrative judge or panel that 
decided the contract appeal for which fees are sought. The decision 
shall include written findings and conclusions on the applicant's 
eligibility and status as a prevailing party, and an explanation of the 
reasons for any difference between the amount requested and the amount 
awarded. This decision also shall include, if at issue, findings on 
whether the position of the Department was substantially justified, 
whether the applicant unduly protracted the proceedings, or whether 
special circumstances make an award unjust. If the applicant has sought 
an award against more than one agency, the decision shall allocate 
responsibility for payment of any award made among the agencies, and 
shall explain the reasons for the allocation made.

[[Page 69]]



Sec.  1.201  Department review.

    (a) Except with respect to a proceeding covered by Sec.  
1.183(a)(1)(ii) of this part either the applicant or agency counsel may 
seek review of the initial decision on the fee application, in 
accordance with the provisions of Sec. Sec.  1.145(a) and 1.146(a) of 
this part or in accordance with any delegation made pursuant to Sec.  
1.189 of this part. If neither the applicant nor agency counsel seeks 
review, the initial decision on the fee application shall become a final 
decision of the Department 35 days after it is served upon the 
applicant. If review is taken, it will be in accord with the provisions 
of Sec. Sec.  1.145(b) through (i) and 1.146(b) of this part, or
    (b) With respect to a proceeding covered by Sec.  1.183(a)(1)(ii) of 
this part, either party may seek reconsideration of the decision on the 
fee application in accordance with Rule 29 of the Board of Contract 
Appeals contained in Sec.  24.21 of this title. In addition, either 
party may appeal a decision of the Board of Contract Appeals to the 
Court of Appeals for the Federal Circuit in accordance with 41 U.S.C. 
607.



Sec.  1.202  Judicial review.

    Judicial review of final agency decisions on awards may be sought as 
provided in 5 U.S.C. 504(c)(2).



Sec.  1.203  Payment of award.

    An applicant seeking payment of an award shall submit to the head of 
the agency administering the statute involved in the proceeding a copy 
of the final decision of the Department granting the award, accompanied 
by a statement that the applicant will not seek review of the decision 
in the United States courts. The agency will pay the amount awarded to 
the applicant within 60 days, unless judicial review of the award or of 
the underlying decision of the adversary adjudication has been sought by 
the applicant or any other party to the proceeding.



   Subpart K_Appearance of USDA Employees as Witnesses in Judicial or 
                       Administrative Proceedings

    Source: 55 FR 42347, Oct. 19, 1990, unless otherwise noted.



Sec.  1.210  Purpose.

    This subpart sets forth procedures governing the appearance of USDA 
employees as witnesses in order to testify or produce official documents 
in judicial or administrative proceedings when such appearance is in 
their official capacity or arises out of or is related to their 
employment with USDA. These regulations do not apply to appearances by 
USDA employees as witnesses in judicial or administrative proceedings 
which are purely personal or do not arise out of or relate to their 
employment with USDA. This subpart also does not apply to Congressional 
requests or subpoenas for testimony or documents.



Sec.  1.211  Definitions.

    (a) Administrative proceeding means any proceeding pending before 
any federal, state, or local agency and undertaken for the purpose of 
the issuance of any regulations, orders, licenses, permits, or other 
rulings, or the adjudication of any matter, dispute, or controversy.
    (b) Appearance means testimony or production of documents the 
request for which arises out of an employee's official duties with USDA 
or relates to his or her employment with USDA. For the purpose of this 
subpart, an appearance also includes an affidavit, deposition, 
interrogatory, or other required written submission.
    (c) Judicial proceeding means any case or controversy pending before 
any federal, state, or local court.
    (d) Travel expenses means the amount of money paid to a witness for 
reimbursement for transportation, lodging, meals, and other 
miscellaneous expenses in connection with attendance at a judicial or 
administrative proceeding.
    (e) USDA means the United States Department of Agriculture.

[[Page 70]]

    (f) USDA agency means an organizational unit of USDA whose head 
reports to an official within the Office of the Secretary of 
Agriculture.
    (g) Valid summons, subpoena, or other compulsory process means an 
order that is served properly and within the legal authority and the 
jurisdictional boundaries of the court or administrative agency or 
official that has issued it.
    (h) Witness fees means the amount of money paid to a witness as 
compensation for attendance at a judicial or administrative proceeding.



Sec.  1.212  General.

    No USDA employee may provide testimony or produce documents in a 
judicial or administrative proceeding unless authorized in accordance 
with this subpart.



Sec.  1.213  Appearance as a witness on behalf of the United States.

    An employee of USDA may appear as a witness on behalf of the United 
States in any judicial or administrative proceeding without the issuance 
of a summons, subpoena, or other compulsory process. Employees should 
obtain permission for such an appearance from their immediate supervisor 
unless the USDA agency or General Counsel has issued instructions 
providing otherwise.



Sec.  1.214  Appearance as a witness on behalf of a party other 
than the United States where the United States is not a party.

    (a) An employee of USDA served with a valid summons, subpoena, or 
other compulsory process demanding his or her appearance, or otherwise 
requested to appear on behalf of a party other than the United States in 
a judicial or administrative proceeding in which the United States is 
not a party, shall promptly notify the head of his or her USDA agency of 
the existence and nature of the order compelling his or her appearance, 
or of the document requesting his or her attendance. He or she shall 
also specify, if that is known, the nature of the judicial or 
administrative proceeding and the nature of the testimony or documents 
requested.
    (b)(1) An employee of USDA served with a valid summons, subpoena, or 
other compulsory process, or requested to appear as a witness on behalf 
of a party other than the United States in a judicial or administrative 
proceeding in which the United States is not a party, may appear only if 
such appearance has been authorized by the head of his or her USDA 
agency, with the concurrence of the General Counsel, based upon a 
determination that such an appearance is in the interest of USDA.
    (2) An employee of USDA requested to appear as a witness on behalf 
of a party other than the United States in a judicial or administrative 
proceeding in which the United States is not a party, without the 
service of a valid summons, subpoena, or other compulsory process, may 
appear only if such appearance has been authorized by the head of his or 
her USDA agency and approved by the appropriate Assistant Secretary, 
Under Secretary or other general officer, and by the General Counsel, 
based upon a determination that such an appearance is in the interest of 
USDA.
    (c) Unless an appearance is authorized as provided in paragraphs 
(b)(1) or (b)(2) of this section, the employee shall appear at the 
stated time and place (unless advised by the General Counsel or his or 
her designee that the summons, subpoena, or other process was not 
validly issued or served), produce a copy of these regulations and 
respectfully decline to provide any testimony. As appropriate, the 
General Counsel or his or her designee will request the assistance of 
the Department of Justice or of a United States Attorney, in the case of 
a judicial proceeding; or of the official or attorney representing the 
United States, in the case of an administrative proceeding, to represent 
the interests of the employee and USDA.
    (d) If there is any question regarding the validity of a summons, 
subpoena, or other compulsory process, an employee shall contact the 
Office of the General Counsel for advice.
    (e)(1) In determining whether the employee's appearance is in the 
interest of USDA, authorizing officials should consider the following:
    (i) what interest of USDA would be promoted by the employee's 
testimony;

[[Page 71]]

    (ii) whether an appearance would result in an unnecessary 
interference with the duties of the USDA employee;
    (iii) whether an employee's testimony would result in the appearance 
of improperly favoring one litigant over another.
    (2) The considerations listed in paragraph (e)(1) of this section 
are illustrative and not exhaustive.



Sec.  1.215  Subpoenas duces tecum for USDA records in judicial or 
administrative proceedings in which the United States is not a party.

    (a) Subpoenas duces tecum for USDA records in judicial or 
administrative proceedings in which the United States is not a party 
shall be deemed to be requests for records under the Freedom of 
Information Act and shall be handled pursuant to the rules governing 
public disclosure under subpart A of this part.
    (b) Whenever a subpoena duces tecum compelling the production of 
records is served on a USDA employee in a judicial or administrative 
proceeding in which the United States is not a party, the employee, 
after consultation with the General Counsel or his or her designee, 
shall appear in response thereto, respectfully decline to produce the 
records on the grounds that it is prohibited by this section and state 
that the production of the records involved will be handled in 
accordance with subpart A of this part.



Sec.  1.216  Appearance as a witness or production of documents on behalf 
of a party other than the United States where the United States is a party.

    (a) An employee of USDA served with a valid summons, subpoena, or 
other compulsory process demanding his or her appearance, or otherwise 
requested to appear or produce documents on behalf of a party other than 
the United States in a judicial or administrative proceeding in which 
the United States is a party, shall promptly notify the head of his or 
her USDA agency and the General Counsel or his or her designee of the 
existence and nature of the order compelling his or her appearance, or 
of the document requesting his or her appearance. He or she shall also 
specify, if that is known, the nature of the judicial or administrative 
proceeding and the nature of the testimony or documents requested.
    (b)(1) Except as provided in paragraph (b)(2) of this section, an 
employee of USDA only may appear as a witness or produce records on 
behalf of a party other than the United States in a judicial or 
administrative proceeding in which the United States is a party if such 
appearance or production has been ordered by the service on the employee 
of a valid summons, subpoena, or other compulsory process issued by a 
court, administrative agency, or other official authorized to compel his 
or her appearance.
    (2) An employee requested to appear as a witness or produce records 
on behalf of a party other than the United States in a judicial or 
administrative proceeding in which the United States is a party, without 
being served a valid summons, subpoena, or other compulsory process, may 
appear or produce records only if such appearance or production has been 
authorized by a representative of the Department of Justice, the United 
States Attorney, or other counsel who is representing the United States 
in the case of a judicial proceeding; or by the official or attorney 
representing the United States, in the case of an administrative 
proceeding.
    (c) The head of the USDA agency shall consult with the General 
Counsel or his or her designee as to whether there are grounds to oppose 
the employee's attendance or production of documents and, if so, whether 
to seek to quash the summons, subpoena, compulsory process, or to deny 
authorization under paragraph (b)(2) of this section.
    (d) As appropriate, the General Counsel or his or her designee will 
request the assistance of the Department of Justice, a United States 
Attorney, or other counsel representing the United States, in the case 
of a judicial proceeding; or of the official or attorney representing 
the United States, in the case of an administrative proceeding, to 
represent the interest of the employee and USDA.
    (e) If there is any question regarding the validity of a summons, 
subpoena,

[[Page 72]]

or other compulsory process, an employee shall contact the Office of the 
General Counsel for advice.



Sec.  1.217  Witness fees and travel expenses.

    (a) Any employee of USDA who attends a judicial or administrative 
proceeding as a witness in order to testify or produce official 
documents on behalf of the United States is entitled to travel expenses 
in connection with such appearance in accordance with the Agriculture 
Travel Regulations.
    (b) An employee of USDA who attends a judicial or administrative 
proceeding on behalf of the United States is not entitled to receive 
fees for such attendance.
    (c) An employee of USDA who attends a judicial or administrative 
proceeding on behalf of a party other than the United States when such 
appearance is in his or her official capacity or arises out of or 
relates to his or her employment with USDA is entitled to travel 
expenses in accordance with the Agriculture Travel Regulations to the 
extent that such expenses are not paid for by the court, agency, or 
official compelling his or her appearance or by the party on whose 
behalf he or she appears.
    (d) An employee of USDA who attends a judicial or administrative 
proceeding on behalf of a party other than the United States when such 
appearance is in his or her official capacity or arises out of or 
relates to his or her employment with USDA is required to collect the 
authorized fees for such service and remit such fees to his or her USDA 
agency.



Sec.  1.218  Penalty.

    An employee who testifies or produces records in a judicial or 
administrative proceeding in violation of the provisions of this 
regulation shall be subject to disciplinary action.



Sec.  1.219  Delegations.

    (a) Except as provided in paragraphs (b), (c), or (d) of this 
section, the head of a USDA agency may delegate his or her 
responsibilities under this subpart, including the requirement to be 
notified of the receipt of a subpoena as provided in Sec. Sec.  1.214(a) 
and 1.216(a) of this part, to employees of his or her agency as follows:
    (1) In the National office of the agency, to a level no lower than 
two levels below the agency head;
    (2) In a field component of an agency, to a level no lower than the 
official who heads a state office.
    (b) Notwithstanding paragraph (a) of this section, the Chief of the 
Forest Service may delegate his responsibilities under this subpart as 
follows:
    (1) In the National office of the Forest Service, to a level no 
lower than a Deputy Chief of the Forest Service;
    (2) In a field component of the Forest Service, to a level no lower 
than a Regional Forester or Station Director.
    (c) Notwithstanding paragraph (a) of this section, the General 
Counsel may delegate his responsibilities under this subpart as follows:
    (1) In the National office of the Office of the General Counsel, to 
a level no lower than an Assistant General Counsel;
    (2) In the field component of the Office of the General Counsel, to 
Regional Attorneys who may redelegate their responsibilities to 
Associate Regional Attorneys and Assistant Regional Attorneys who report 
to them.
    (d) The responsibilities assigned to heads of agencies and to 
Assistant and Under Secretaries in Sec.  1.214(b)(2) of this part may 
not be redelegated.

[58 FR 62495, Nov. 29, 1993; 58 FR 64353, Dec. 6, 1993]



   Subpart L_Procedures Related to Administrative Hearings Under the 
                Program Fraud Civil Remedies Act of 1986

    Authority: 31 U.S.C. 3801-3812.

    Source: 56 FR 9582, Mar. 7, 1991, unless otherwise noted. Correctly 
designated at 57 FR 3909, Feb. 3, 1992.



Sec.  1.301  Basis, purpose and scope.

    (a) Basis. This subpart implements the Program Fraud Civil Remedies 
Act of 1986, Public Law No. 99-509, Sections 6101-6104, 100 Stat. 1874 
(1986). This statute added 31 U.S.C. 3801-3812. Section 3809 of Title 
31, United States Code, requires the Secretary to promulgate

[[Page 73]]

regulations necessary to implement the provisions of the statute.
    (b) Purpose. This subpart--
    (1) Establishes administrative procedures for imposing civil 
penalties and assessments against persons who make, submit, or present, 
or cause to be made, submitted, or presented, false, fictitious, or 
fraudulent claims or written statements to authorities or to their 
agents, and
    (2) Specifies the hearing and appeal rights of persons subject to 
allegations of liability for such penalties and assessments.
    (c) Scope. The procedures for imposing civil penalties and 
assessments established by this subpart are intended to enhance existing 
administrative enforcement efforts against fraud and to provide an 
additional remedy against false, fictitious, and fraudulent claims and 
statements in the programs administered by this Department.



Sec.  1.302  Definitions.

    (a) Agency means a constituent organizational unit of the USDA.
    (b) Agency Fraud Claims Officer--(AFCO) means an officer or employee 
of an agency who is designated by the head of that agency to receive the 
reports of the investigating official, evaluate evidence, and make a 
recommendation to the reviewing official with respect to the 
determination required under Sec.  1.305 of this part.
    (c) ALJ means an Administrative Law Judge in USDA appointed pursuant 
to 5 U.S.C. 3105 or detailed to the USDA pursuant to 5 U.S.C. 3344.
    (d) Authority means the USDA.
    (e) Benefits means, except as otherwise defined in this subpart, 
anything of value, including but not limited to any advantage, 
preference, privilege, license, permit, favorable decision, ruling, 
status, or loan guarantee.
    (f) Claim means any request, demand, or submission--
    (1) Made to USDA for property, services, or money (including money 
representing grants, loans, insurance, or benefits);
    (2) Made to a recipient of property, services, or money from USDA or 
to a party to a contract with USDA--
    (i) For property or services if the United States--
    (A) Provided such property or services; or
    (B) Provided any portion of the funds for the purchase of such 
property or services; or
    (C) Will reimburse such recipient or party for the purchase of such 
property or services; or
    (ii) For the payment of money (including money representing grants, 
loans, insurance, or benefits) if the United States--
    (A) Provided any portion of the money requested or demanded; or
    (B) Will reimburse such recipient or party for any portion of the 
money paid on such request or demand; or
    (3) Made to USDA which has the effect of decreasing an obligation to 
pay or account for property, services, or money.
    (g) Complaint means the written notice served by the reviewing 
official on the respondent under Sec.  1.307 of this part.
    (h) Days means business days for all periods referred to in these 
regulations of 10 days or less and calendar days for all periods 
referred to in these regulations in excess of 10 days.
    (i) Family means the individual's parents, spouse, siblings, 
children, and grandchildren with respect to an individual making a claim 
or statement for benefits.
    (j) Government means the United States Government.
    (k) Household means a family or one or more individuals occupying a 
single residence.
    (l) Individual means a natural person.
    (m) Investigating official means the Inspector General of USDA or an 
officer or employee of the Office of Inspector General designated by the 
Inspector General and serving in a position for which the rate of basic 
pay is not less than the minimum rate of basic pay for grade GS-16 under 
the General Schedule.
    (n) Judicial officer means an official of USDA delegated authority 
by the Secretary, pursuant to the Act of April 4, 1940 (7 U.S.C. 450c-
450g) and Reorganization Plan No. 2 of 1953, 67 Stat. 633, as amended by 
Public Law No. 97-325 (7 U.S.C. 2201n.), to perform the adjudicating 
function for the Department

[[Page 74]]

under Sec.  2.35 of this title, or the Secretary if he exercises the 
authority so delegated.
    (o) Knows or has reason to know means that a person, with respect to 
a claim or statement--
    (1)(i) Has actual knowledge that the claim or statement is false, 
fictitious, or fraudulent;
    (ii) Acts in deliberate ignorance of the truth or falsity of the 
claim or statement; or
    (iii) Acts in reckless disregard of the truth or falsity of the 
claim or statement; and
    (2) No proof of specific intent to defraud is required.
    (p) Makes means presents, submits, or causes to be made, presented, 
or submitted. As the context requires, ``making'' or ``made'' shall 
likewise include the corresponding forms of such terms.
    (q) Person means any individual, partnership, corporation, 
association, or private organization, and includes the plural of that 
term.
    (r) Representative means an attorney who is a member in good 
standing of the bar of any State, Territory, or possession of the United 
States or of the District of Columbia or the Commonwealth of Puerto 
Rico. This definition is not intended to foreclose pro se appearances. 
An individual may appear for himself or herself, and a corporation or 
other entity may appear by an owner, officer, or employee of the 
corporation or entity.
    (s) Respondent means any person alleged in a complaint issued under 
Sec.  1.308 of this part to be liable for a civil penalty or assessment 
under Sec.  1.303 of this part.
    (t) Reviewing official means an officer or employee of USDA--
    (1) Who is designated by the Secretary to make the determination 
required under Sec.  1.305 of this part;
    (2) Who is serving in a position for which the rate of basic pay is 
not less than the minimum rate of basic pay for grade GS-16 under the 
General Schedule; and
    (3) Who is--
    (i) Not subject to supervision by, or required to report to, the 
investigating official; and
    (ii) Not employed in the organizational unit of USDA in which the 
investigating official is employed.
    (u) Secretary means the Secretary of Agriculture.
    (v) Statement means any representation, certification, affirmation, 
document, record, or accounting or bookkeeping entry made--
    (1) With respect to a claim or to obtain the approval or payment of 
a claim (including relating to eligibility to make a claim); or
    (2) With respect to (including relating to eligibility for)--
    (i) A contract with, or a bid or proposal for a contract with; or
    (ii) A grant, loan, or benefit from, USDA, or any State, political 
subdivision of a State, or other party, if the United States Government 
provides any portion of the money or property under such contract or for 
such grant, loan, or benefit, or if the Government will reimburse such 
State, political subdivision, or party for any portion of the money or 
property under such contract or for such grant, loan, or benefit.
    (w) USDA means the U.S. Department of Agriculture.



Sec.  1.303  Basis for civil penalties and assessments.

    (a) Claims. (1) Except as provided in paragraph (c) of this section, 
any person who makes a claim that the person knows or has reason to 
know--
    (i) Is false, fictitious, or fraudulent;
    (ii) Includes or is supported by any written statement which asserts 
a material fact which is false, fictitious, or fraudulent;
    (iii) Includes or is supported by any written statement that--
    (A) Omits a material fact;
    (B) Is false, fictitious, or fraudulent as a result of such 
omission; and
    (C) Is a statement in which the person making such statement has a 
duty to include such material fact; or
    (iv) Is for payment for the provision of property or services which 
the person has not provided as claimed,shall be subject, in addition to 
any other remedy that may be prescribed by law, to a civil penalty of 
not more than the amount specified at Sec.  3.91(b)(11)(i) of this title 
for each such claim.

[[Page 75]]

    (2) Each voucher, invoice, claim form, or other individual request 
or demand for property, services, food coupons, or money constitutes a 
separate claim.
    (3) A claim shall be considered made to the USDA, recipient, or 
party when such claim is actually made to an agent, fiscal intermediary, 
or other entity, including any State or political subdivision thereof, 
acting for or on behalf of the USDA, recipient, or party.
    (4) Each claim for property, services, food coupons, or money is 
subject to a civil penalty regardless of whether such property, 
services, food coupons, or money is actually delivered or paid.
    (5) If the Government has made payment (including transferred 
property or provided services) on a claim, a person subject to a civil 
penalty under paragraph (a)(1) of this section shall also be subject to 
an assessment of not more than twice the amount of such claim or that 
portion thereof that is determined to be in violation of paragraph 
(a)(1) of this section. Such assessment shall be in lieu of damages 
sustained by the Government because of such claim.
    (b) Statements. (1) Except as provided in paragraph (c) of this 
section, any person who makes a written statement that--
    (i) The person knows or has reason to know--
    (A) Asserts a material fact which is false, fictitious, or 
fraudulent; or
    (B) Is false, fictitious, or fraudulent because it omits a material 
fact that the person making the statement had a duty to include in such 
statement; and
    (ii) Contains or is accompanied by an express certification or 
affirmation of the truthfulness and accuracy of the contents of the 
statement, shall be subject, in addition to any other remedy that may be 
prescribed by law, to a civil penalty of not more than the amount 
specified at Sec.  3.91(b)(11)(ii) of this title for each such 
statement.
    (2) Each written representation, certification, or affirmation 
constitutes a separate statement.
    (3) A statement shall be considered made to the USDA when such 
statement is actually made to an agent, fiscal intermediary, or other 
entity, including any State or political subdivision thereof, acting for 
or on behalf of the USDA.
    (c) Benefits. (1) In the case of any claim or statement made by any 
individual relating to any of the benefits listed in paragraph (c)(2) of 
this section received by such individual, such individual may be held 
liable for penalties and assessments under this section only if such 
claim or statement is made by such individual in making application for 
such benefits with respect to such individual's eligibility to receive 
such benefits.
    (2) For purposes of this paragraph, the term benefits means--
    (i) Benefits under the food stamp program established under the Food 
Stamp Act of 1977 which are intended as food assistance for the personal 
use of the individual who receives the benefits or for a member of the 
individual's family or household (as defined in section 3(h) of the Food 
Stamp Act of 1977);
    (ii) Benefits under the National School Lunch Act;
    (iii) Benefits under any housing assistance program for lower income 
families or elderly or handicapped persons which is administered by the 
Secretary or USDA;
    (iv) Benefits under the special supplemental food program for women, 
infants, and children established under section 17 of the Child 
Nutrition Act of 1966 which are intended for the personal use of the 
individual who receives the benefits or for a member of the individual's 
family or household.
    (d) Intent. No proof of specific intent to defraud is required to 
establish liability under this section.
    (e) More than one person liable. In any case in which it is 
determined that more than one person is liable for making a claim or 
statement under this section, each person may be held liable for a civil 
penalty under this section.
    (f) Joint and several liability. In any case in which it is 
determined that more than one person is liable for making a claim under 
this section on which the government has made payment (including 
transferred property or provided services), an assessment may be imposed 
against any such person or

[[Page 76]]

jointly and severally against any combination of such persons. The 
aggregate amount of the assessments collected with respect to such claim 
shall not exceed twice the portion of such claim determined to be in 
violation of paragraph (a)(1) of this section.

[56 FR 9582, Mar. 7, 1991, as amended at 57 FR 3909, Feb. 3, 1992; 75 FR 
17556, Apr. 7, 2010]



Sec.  1.304  Investigation.

    (a) The investigating official may investigate allegations that a 
person is liable under Sec.  1.303 of this part.
    (b) If an investigating official concludes that a subpoena pursuant 
to the authority conferred by 31 U.S.C. 3804(a) is warranted, the 
investigating officer may issue a subpoena, which shall notify the 
person to whom it is addressed of the authority under which it is issued 
and shall identify the information, documents, reports, answers, 
records, accounts, papers, or data sought.
    (c) The investigating official may designate a person to act on his 
behalf to receive the documents or other materials sought by a subpoena 
issued under paragraph (b) of this section.
    (d) The person receiving such subpoena shall be required to tender 
to the investigating official or the person designated to receive the 
documents a certification that the documents or other materials sought 
have been produced, or that such documents or other materials are not 
available and the reasons therefore, or that such documents or other 
materials, suitably identified, have been withheld based upon the 
assertion of an identified privilege.
    (e) Each agency shall develop criteria for determining which 
allegations that a person is liable under Sec.  1.303 of this part are 
to be referred to the investigating official.
    (f) If the investigating official concludes that an action under the 
Program Fraud Civil Remedies Act may be warranted, the investigating 
official shall submit a report containing findings and conclusions of 
such investigation to the reviewing official.
    (g) Nothing in this section shall preclude or limit an investigating 
official's discretion to refer allegations directly to the Department of 
Justice for suit under the False Claims Act or other civil relief, nor 
preclude or limit such official's discretion to defer or postpone a 
report or referral to the reviewing official in order to avoid 
interference with a criminal investigation or prosecution.
    (h) Nothing in this section modifies any responsibility of an 
investigating official to report violations of criminal law to the 
Attorney General.



Sec.  1.305  Review by the reviewing official.

    (a) Upon receipt of the report of the investigating official, the 
reviewing official may refer the report to the appropriate agency fraud 
claims officer (AFCO) for a recommendation with respect to the 
determination required under this section.
    (b) The AFCO shall evaluate the evidence and make a recommendation 
to the reviewing officer within 45 days of receipt of the report of the 
investigating official.
    (c) The reviewing official is not bound by the recommendation of the 
AFCO, and may accept or reject it.
    (d) If, based on the report of the investigating official under 
Sec.  1.304(f) of this part, the reviewing official determines that 
there is adequate evidence to believe that a person is liable under 
Sec.  1.303 of this part, the reviewing official shall transmit to the 
Attorney General a written notice of the reviewing official's intention 
to issue a complaint under Sec.  1.307 of this part.
    (e) Such notice shall include--
    (1) A statement of the reviewing official's reasons for issuing a 
complaint;
    (2) A statement of the evidence that supports the allegations of 
liability;
    (3) A description of the claims or statements upon which the 
allegations of liability are based;
    (4) An estimate of the amount of money or the value of property, 
services, or other benefits requested or demanded in violation of Sec.  
1.303 of this part;
    (5) A statement of any exculpatory or mitigating circumstances that 
may relate to the claims or statements;
    (6) A statement that there is a reasonable prospect of collecting 
the amount specified in Sec.  1.307(b)(2) of this part and the reasons 
supporting such statement.

[[Page 77]]



Sec.  1.306  Prerequisites for issuing a complaint.

    The reviewing official may issue a complaint under Sec.  1.307 of 
this part only if:
    (a) The Attorney General or an Assistant Attorney General designated 
by the Attorney General approves the issuance of a complaint in a 
written statement as provided in 31 U.S.C. 3803(b)(1);
    (b) In the case of allegations of liability under Sec.  1.303(a) of 
this part with respect to a claim, the reviewing official determines 
with respect to such claim, or a group of related claims submitted at 
the same time, that the amount of money or the value of property or 
services demanded or requested in violation of Sec.  1.303(a) of this 
part does not exceed $150,000; and
    (c) For the purposes of this section, a group of related claims 
submitted at the same time shall include only those claims arising from 
the same transaction (e.g., a single grant, loan, application, or 
contract) that are submitted simultaneously as part of a single request, 
demand, or submission, regardless of the amount of money or the value of 
property or services demanded or requested.
    (d) Nothing in this section shall be construed to limit the 
reviewing official's authority to join in a single complaint against a 
person claims that are unrelated or were not submitted simultaneously, 
regardless of the amount of money or the value of property or services 
demanded or requested.



Sec.  1.307  Complaint.

    (a) On or after the date the Department of Justice approves the 
issuance of a complaint in accordance with 31 U.S.C. 3803(b)(1), the 
reviewing official may serve a complaint on the respondent, as provided 
in Sec.  1.308 of this part.
    (b) The complaint shall state--
    (1) The allegations of liability, including the statutory basis for 
liability, an identification of the claims or statements that are the 
basis for the alleged liability, and the reasons that liability 
allegedly arises from such claims or statements;
    (2) The maximum amount of penalties and assessments for which the 
respondent may be held liable;
    (3) Instructions for requesting a hearing, including a specific 
advice of the respondent's right to request a hearing and to be 
represented by a representative; and
    (4) That failure to file an answer within 30 days of service of the 
complaint may result in the imposition of the penalty and assessment 
sought in the complaint without right to appeal.
    (c) At the same time the reviewing official serves the complaint, he 
or she shall serve the respondent with a copy of these regulations.



Sec.  1.308  Service of complaint and notice of hearing.

    (a) Service of a complaint or notice of hearing shall be made by 
certified or registered mail or by delivery in any manner authorized by 
Rule 4(d) of the Federal Rules of Civil Procedure.
    (b) Proof of service, stating the name and address of the person on 
whom the notice was served, and the manner and date of service, shall be 
made by:
    (1) Affidavit of the individual making service;
    (2) An acknowledged United States Postal Service return receipt 
card; or
    (3) Written acknowledgment by the respondent or his representative.



Sec.  1.309  Answer and request for hearing.

    (a) Within 30 days of the date of receipt or refusal to accept 
service of the complaint, the respondent may file an answer with the 
reviewing official.
    (b) In the answer, the respondent--
    (1) Shall admit or deny each of the allegations of liability made in 
the complaint;
    (2) Shall state any defense upon which the respondent intends to 
rely;
    (3) Shall state the name, address, and telephone number of the 
person authorized to act as the respondent's representative, if any;
    (4) May state any reasons why the respondent contends the penalty 
and assessment should be reduced or modified; and
    (5) May request a hearing.



Sec.  1.310  Default upon failure to file an answer.

    (a) If the respondent does not file an answer within the time 
prescribed in

[[Page 78]]

Sec.  1.309(a) of this part, the reviewing official may refer the 
complaint together with proof of service to the ALJ and request that the 
ALJ issue an order of default imposing the penalties and assessments 
sought in the complaint. An answer must comply in all material respects 
with Sec.  1.309(b) of this part in order to be considered filed within 
the time prescribed in Sec.  1.310(a) of this part.
    (b) Upon the referral of the complaint under paragraph (a) of this 
section, the ALJ shall promptly serve on the respondent, in the manner 
prescribed in Sec.  1.308 of this part, a notice that a decision will be 
issued under this section.
    (c) If the respondent fails to answer, the ALJ shall assume the 
facts alleged in the complaint to be true and, if such facts establish 
liability under Sec.  1.303 of this part, the ALJ shall issue a decision 
imposing the penalties and assessments sought in the complaint, not to 
exceed the maximum amount allowed under the statute.
    (d) A respondent who fails to file a timely answer waives any right 
to a review of the penalty and assessment, unless he can demonstrate 
extraordinary circumstances justifying the failure to file an answer.



Sec.  1.311  Referral of complaint and answer to the ALJ.

    Upon receipt of an answer, the reviewing official shall send to the 
ALJ copies of the complaint, proof of service, and the answer.



Sec.  1.312  Procedure where respondent does not request a hearing.

    (a) If the respondent files an answer with the reviewing official 
within the time period prescribed in Sec.  1.309(a) of this part but 
does not request a hearing, the ALJ, upon receipt of the complaint, 
proof of service, and answer, shall notify the respondent that a 
decision will be issued under this section and shall afford the parties 
30 days in which to submit documentary evidence or other relevant 
written information, including briefs or other written arguments. At the 
end of that period, the ALJ shall issue a decision based upon the 
pleadings and the evidence submitted, or if no evidence has been 
submitted, upon the pleadings. The burden of proof shall be as set forth 
in Sec.  1.329 of this part.
    (b) When a decision is to be issued under this section, the ALJ 
shall have discretion to permit, allow, limit, or otherwise control 
discovery to the extent set forth under Sec. Sec.  1.322 thru 1.324 of 
this part.



Sec.  1.313  Procedure where respondent requests a hearing; 
notice of hearing.

    (a) When the ALJ receives the complaint, proof of service, and an 
answer requesting a hearing, the ALJ shall promptly serve, in accordance 
with Sec.  1.308 of this part, a notice of hearing on all parties.
    (b) Such notice shall include:
    (1) The tentative time and place, and the nature of the hearing;
    (2) The legal authority and jurisdiction under which the hearing is 
to be held;
    (3) The matters of fact and law to be asserted;
    (4) A description of the procedures for the conduct of the hearing;
    (5) The name, address, and telephone number of the representative 
for the USDA and the representative for the respondent, if any; and
    (6) Such other matters as the ALJ deems appropriate.



Sec.  1.314  Parties to the hearing.

    (a) The parties to the hearing shall be the respondent and USDA. The 
proceeding shall be brought in the name of the Secretary.
    (b) Pursuant to 31 U.S.C. 3730(c)(5), a private party plaintiff 
under the False Claims Act may participate in proceedings under this 
subpart to the extent authorized by the provisions of that Act.



Sec.  1.315  Separation of functions.

    (a) Neither the investigating official, the reviewing official, nor 
any employee or agent of the USDA who takes part in investigating, 
preparing, or presenting a particular case may, in such case or in a 
factually related case--
    (1) Conduct the hearing in such case;
    (2) Participate in or advise the ALJ in the decision in such case, 
or participate in or advise in the review of the

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decision in such case by the judicial officer, except as a witness or 
representative in public proceedings; or
    (3) Make the collection of penalties and assessments under Sec.  
1.341 of this part.
    (b) The ALJ shall not be responsible to or subject to the 
supervision or direction of the investigating official or the reviewing 
official.
    (c) Except to the extent limited by paragraph (a) of this section, 
the representative for USDA may be employed in any constituent agency of 
USDA, including the offices of either the investigating official or the 
reviewing official.



Sec.  1.316  Ex parte contacts.

    Except to the extent required for the disposition of ex parte 
matters as authorized by law, the ALJ shall not consult or be consulted 
by any person or party (except employees of the ALJ's office) on any 
matter in issue, unless on notice and opportunity for all parties to 
participate.



Sec.  1.317  Disqualification of reviewing official or ALJ.

    (a) A reviewing official or ALJ in a particular case may disqualify 
himself or herself at any time.
    (b) A party may file with the ALJ a motion for disqualification of a 
reviewing official or an ALJ. Such motion shall be accompanied by an 
affidavit alleging personal bias or other reason for disqualification.
    (c) Such motion and affidavit shall be filed promptly upon the 
party's discovery of reasons requiring disqualification, or such 
objections shall be deemed waived.
    (d) Such affidavit shall state specific facts that support the 
party's belief that personal bias or other reason for disqualification 
exists and the time and circumstances of the party's discovery of such 
facts. It shall be accompanied by a certificate of the representative of 
record that it is made in good faith.
    (e) Upon the filing of such a motion and affidavit, the ALJ shall 
proceed no further in the case until he or she resolves the matter of 
disqualification in accordance with paragraph (f).
    (f)(1) If the ALJ determines that a reviewing official is 
disqualified, the ALJ shall dismiss the complaint without prejudice.
    (2) If the ALJ disqualifies himself or herself, the case shall be 
reassigned promptly to another ALJ.
    (3) If the ALJ denies a motion to disqualify, the authority head may 
determine the matter only as part of his or her review of the initial 
decision upon appeal, if any.



Sec.  1.318  Rights of parties.

    All parties may:
    (a) Be accompanied, represented, and advised by a representative;
    (b) Participate in any prehearing or post-hearing conference held by 
the ALJ;
    (c) Agree to stipulations of fact or law, which shall be made part 
of the record;
    (d) Conduct discovery;
    (e) Make opening and closing statements at the hearing;
    (f) Present evidence relevant to the issues at the hearing;
    (g) Cross examine witnesses;
    (h) Present oral arguments at the hearings; and
    (i) Submit written briefs, proposed findings of fact, and proposed 
conclusions of law after the hearing.



Sec.  1.319  Authority of the ALJ.

    (a) The ALJ shall conduct a fair and impartial hearing, avoid delay, 
maintain order, and assure that a record of the proceedings is made.
    (b) The ALJ may:
    (1) Set and change the date, time, and place of the hearing upon 
reasonable notice to the parties;
    (2) Continue or recess the hearing in whole or part for a reasonable 
period of time;
    (3) Hold conferences to identify or simplify the issues, or to 
consider other matters that may aid in the expeditious disposition of 
the proceeding;
    (4) Administer oaths and affirmations;
    (5) Issue subpoenas requiring the attendance of witnesses and the 
production of documents at depositions or at hearings;
    (6) Rule on motions and other procedural matters;

[[Page 80]]

    (7) Regulate the scope and timing of discovery;
    (8) Regulate the course of the hearing and the conduct of attorneys 
and parties;
    (9) Examine witnesses;
    (10) Receive, rule on, exclude, or limit evidence;
    (11) Upon motion of a party take official notice of facts;
    (12) Upon motion of a party, decide cases, in whole or in part, by 
summary judgment where there is no disputed issue of material fact;
    (13) Conduct any conference, argument, or hearing on motions in 
person or by telephone; and
    (14) Exercise such other authority as is necessary to carry out the 
responsibilities of the ALJ under this subpart.
    (c) The ALJ does not have the authority to decide upon the validity 
of Federal statutes, regulations, or legal opinions.



Sec.  1.320  Prehearing conferences.

    (a) The ALJ may schedule a prehearing conference at a reasonable 
time in advance of the hearing and may schedule additional prehearing 
conferences as appropriate.
    (b) The ALJ may conduct any prehearing conference in person or by 
telephone.
    (c) The ALJ may use prehearing conferences to discuss the following 
matters:
    (1) Simplification of the issues;
    (2) The necessity or desirability of amendments to the pleadings, 
including the need for a more definite statement;
    (3) Stipulations, admissions of fact or as to the contents and 
authenticity of documents;
    (4) Whether the parties can agree to submission of the case on a 
stipulated record;
    (5) Whether a party chooses to waive appearance at an oral hearing 
and to submit only documentary evidence (subject to the objection of 
other parties) and written argument.
    (6) Limitation of the number of witnesses;
    (7) Scheduling dates for the exchange of witness lists and of 
proposed exhibits;
    (8) Discovery;
    (9) The time and place for the hearing; and
    (10) Such other matters as may tend to expedite the fair and just 
disposition of the proceedings.
    (d) The ALJ shall issue an order containing all matters agreed upon 
by the parties or ordered by the ALJ at a prehearing conference.



Sec.  1.321  Disclosure of documents.

    (a) Upon written request to the reviewing official, the respondent 
may review any relevant and material documents, transcripts, records, 
and other materials that relate to the allegations set out in the 
complaint and upon which the findings and conclusions of the 
investigating official under Sec.  1.304(f) of this part are based 
unless such documents are privileged under Federal law. Upon payment of 
fees for duplication, the defendant may obtain copies of such documents.
    (b) Upon written request to the reviewing official, the respondent 
also may obtain a copy of all exculpatory information in the possession 
of the reviewing official or investigating official relating to the 
allegations in the complaint, even if it is contained in a document that 
would otherwise be privileged. If the document would otherwise be 
privileged, only that portion containing exculpatory information must be 
disclosed.
    (c) The notice sent to the Attorney General from the reviewing 
official as described in Sec.  1.305 of this part is not discoverable 
under any circumstances.
    (d) The respondent may file a motion to compel disclosure of the 
documents subject to the provisions of this section. Such a motion may 
be filed with the ALJ following the filing of the answer pursuant to 
Sec.  1.309 of this part.



Sec.  1.322  Discovery.

    (a) The following types of discovery are authorized:
    (1) Requests for production, inspection and photocopying of 
documents;
    (2) Requests for admission of the authenticity of any relevant 
document or the truth of any relevant fact;
    (3) Written interrogatories; and
    (4) Depositions.

[[Page 81]]

    (b) The ALJ shall set the schedule for discovery.
    (c) Requests for production of documents and requests for admission.
    (1) A party may serve requests for production of documents or 
requests for admission on another party.
    (2) If a party served with such requests fails to respond timely, 
the requesting party may file a motion to compel production or deem 
admissions, as appropriate.
    (3) A party served with such a request may file a motion for a 
protective order before the date on which a response to the discovery 
request is due, stating reasons why discovery should be limited or 
should not be required.
    (4) Within 15 days of service of a motion to compel or to deem 
matter admitted or a motion for a protective order, the opposing party 
may file a response.
    (5) The ALJ may grant a motion to compel production or deem matter 
admitted or may deny a motion for a protective order only if he finds 
that--
    (i) The discovery sought is necessary for the expeditious, fair, and 
reasonable consideration of the issues;
    (ii) It is not unduly costly or burdensome;
    (iii) It will not unduly delay the proceeding; and
    (iv) The information sought is not privileged.
    (d) Depositions and written interrogatories. Depositions and written 
interrogatories are permitted only on the order of the ALJ.
    (1) A party seeking to use depositions or written interrogatories 
may file a motion with the ALJ.
    (2) A party and/or the potential deponent may file an opposition to 
the motion or a motion for a protective order within 10 days of service 
of the motion.
    (3) The ALJ may grant a motion allowing the taking of a deposition 
or the use of interrogatories or may deny a motion for a protective 
order only if he finds that the moving party has satisfied the standards 
set forth in paragraph (c)(5) of this section and has shown that the 
information sought cannot be obtained by any other means.
    (4) If the ALJ grants a motion permitting a deposition, he shall 
issue a subpoena, which may also require the witness to produce 
documents. The party seeking to depose shall serve the subpoena in the 
manner prescribed in Sec.  1.308 of this part.
    (5) The party seeking to depose shall provide for the taking of a 
verbatim transcript of the deposition, which it shall make available to 
all other parties for inspection and copying.
    (e) Costs. The costs of discovery shall be borne by the party 
seeking discovery.
    (f) In issuing a protective order, the ALJ may make any order which 
justice requires to protect a party or person from annoyance, 
embarrassment, oppression, or undue burden or expense, including one or 
more of the following:
    (1) That the discovery not be had;
    (2) That the discovery may be had only on specified terms and 
conditions, including a designation of the time or place;
    (3) That the discovery may be had only through a method of discovery 
other than that requested;
    (4) That certain matters not be inquired into, or that the scope of 
discovery be limited to certain matters;
    (5) That discovery be conducted with no one present except persons 
designated by the ALJ;
    (6) That the contents of discovery or evidence be sealed;
    (7) That a deposition after being sealed be opened only by order of 
the ALJ;
    (8) That a trade secret or other confidential research, development, 
commercial information or facts pertaining to any criminal 
investigation, proceeding, or other administrative investigation not be 
disclosed or be disclosed only in a designated way; or
    (9) That the parties simultaneously file specified documents or 
information enclosed in sealed envelopes to be opened as directed by the 
ALJ.
    (g) Exchange of witness lists, statements, and exhibits. Witness 
lists, copies of prior statements of proposed witnesses, and copies of 
proposed hearing exhibits, including copies of any written statements or 
depositions that a party intends to offer in lieu of live testimony in 
accordance with Sec.  1.331(b) of this part, shall be exchanged at least 
15 days in advance of the hearing, or at

[[Page 82]]

such other time as may be set by the ALJ. A witness whose name does not 
appear on the witness list shall not be permitted to testify and no 
exhibit not provided to the opposing party as provided above shall be 
admitted into evidence at the hearing absent a showing of good cause.



Sec.  1.323  Subpoenas for attendance at hearing.

    (a) A party wishing to procure the appearance and testimony at the 
hearing of any individual may request that the ALJ issue a subpoena.
    (b) A subpoena requiring the attendance and testimony of an 
individual may also require the individual to produce documents at such 
hearing.
    (c) A party who desires the issuance of a subpoena shall file with 
the ALJ a written request not less than 15 days before the date fixed 
for the hearing unless otherwise allowed by the ALJ for good cause 
shown. Such request shall specify any documents to be produced and shall 
designate the witnesses whose attendance is sought to be required and 
describe their addresses and locations with sufficient particularity to 
permit such witnesses to be found. The subpoena shall specify the time 
and place at which the witness is to appear and any documents the 
witness is to produce. Such a request may be made ex parte.
    (d) When the ALJ issues a subpoena under this section, the party who 
requested such subpoena shall serve all other parties with notice of the 
names and addresses of the individuals subpoenaed and specify any 
documents required to be produced.
    (e) A subpoena shall be served by delivery, or by registered mail or 
by certified mail in the manner prescribed in Sec.  1.308 of this part. 
A subpoena upon a party or upon an individual under the control of a 
party may be served by first class mail.
    (f) A party or the individual to whom the subpoena is directed may 
file a motion to quash the subpoena within five days of service or on or 
before the time specified in the subpoena for compliance if it is less 
than five days after service.



Sec.  1.324  Fees.

    The party requesting a subpoena shall pay the cost of the fees and 
mileage of any witness subpoenaed in the amounts that would be payable 
to a witness in a proceeding in United States District Court. A check 
for witness fees and mileage shall accompany the subpoena when served, 
except that when a subpoena is issued on behalf of USDA, a check for 
witness fees and mileage need not accompany the subpoena.



Sec.  1.325  Form, filing and service of papers.

    (a) Form. (1) The original and two copies of all papers in a 
proceeding conducted under this subpart shall be filed with the ALJ 
assigned to the case.
    (2) Every pleading and paper filed in the proceeding shall contain a 
caption setting forth the title of the action, the case number assigned 
by the ALJ, and a designation of the paper (e.g., motion to quash 
subpoena).
    (3) Every pleading and paper shall be signed by and shall contain 
the address and telephone number of the representative for the party or 
the person on whose behalf the paper was filed.
    (4) Papers are considered filed when they are mailed. Date of 
mailing may be established by a certificate from the party or his 
representative or by proof that the document was sent by certified or 
registered mail.
    (b) Service. A party filing a document with the ALJ shall, at the 
time of filing, serve a copy of such document on every other party. 
Service upon any party of any document other than the complaint or 
notice of hearing shall be made by delivering or mailing a copy to the 
party's last known address. When a party is represented by a 
representative, service shall be made upon such representative in lieu 
of the actual party.
    (c) Proof of service. A certificate of the person serving the 
document by personal delivery or by mail, setting forth the manner of 
service, shall be proof of service.



Sec.  1.326  Computation of time.

    (a) In computing any period of time under this part or in an order 
issued thereunder, the time begins with the

[[Page 83]]

day following the act, event, or default, and includes the last day of 
the period, unless it is a Saturday, Sunday, or legal holiday observed 
by the Federal Government, in which event it includes the next business 
day.
    (b) When the period of time allowed is ten or fewer calendar days, 
intermediate Saturdays, Sundays, and legal holidays observed by the 
Federal Government shall be excluded from the computation.
    (c) When a document has been served by mail, an additional five days 
will be added to the time permitted for any response.



Sec.  1.327  Motions.

    (a) Motions shall state the relief sought, the authority relied 
upon, and the facts alleged, and shall be filed with the ALJ and served 
on all other parties.
    (b) Except for motions made during a prehearing conference or at the 
hearing, all motions shall be in writing. The ALJ may require that oral 
motions be reduced to writing.
    (c) The ALJ may require written motions to be accompanied by 
supporting memorandums.
    (d) Within 15 days after a written motion is served, or such other 
time as may be fixed by the ALJ, any party may file a response to such 
motion.
    (e) The ALJ may not grant a written motion prior to expiration of 
the time for filing responses thereto, except upon consent of the 
parties or following a hearing, but may overrule or deny such motion 
without awaiting a response.
    (f) The ALJ shall make every reasonable effort to dispose of all 
outstanding motions prior to the beginning of the hearing.



Sec.  1.328  Sanctions.

    (a) The ALJ may sanction a person, including any party or 
representative for:
    (1) Failing to comply with a lawful order, subpoena, or procedure;
    (2) Failing to prosecute or defend an action; or
    (3) Engaging in other misconduct that interferes with the speedy, 
orderly, or fair conduct of the hearing.
    (b) Any such sanction, including but not limited to those listed in 
paragraphs (c), (d), and (e) of this section, shall reasonably relate to 
the severity and nature of the failure or misconduct.
    (c) When a party fails to comply with a subpoena or an order, 
including an order for taking a deposition, the production of evidence 
within the party's control, or a request for admission, the ALJ may:
    (1) Draw an inference in favor of the requesting party with regard 
to the information sought;
    (2) In the case of requests for admission, deem admitted each item 
as to which an admission is requested;
    (3) Prohibit the party failing to comply with such order from 
introducing evidence concerning, or otherwise relying upon testimony 
relating to the information sought;
    (4) Strike any part of the pleadings or other submissions of the 
party failing to comply with such request; or
    (5) Request that the Attorney General petition an appropriate 
district court for an order to enforce a subpoena.
    (d) If a party fails to prosecute or defend an action under this 
subpart commenced by service of a complaint, the ALJ may dismiss the 
action or enter an initial decision imposing penalties and assessments.
    (e) The ALJ may refuse to consider any motion or other action which 
is not filed in a timely fashion.



Sec.  1.329  The hearing and burden of proof.

    (a) The ALJ shall conduct a hearing on the record in order to 
determine whether the respondent is liable for a civil penalty or 
assessment under Sec.  1.303 of this part, and if so, the appropriate 
amount of any such civil penalty or assessment considering any 
aggravating or mitigating factors.
    (b) The USDA shall prove respondent's liability and any aggravating 
factors by a preponderance of the evidence.
    (c) The respondent shall prove any affirmative defenses and any 
mitigating factors by a preponderance of the evidence.

[[Page 84]]

    (d) The hearing shall be open to the public unless otherwise ordered 
by the ALJ for good cause shown.



Sec.  1.330  Location of hearing.

    (a) The hearing may be held--
    (1) In any judicial district of the United States in which the 
respondent resides or transacts business;
    (2) In any judicial district of the United States in which the claim 
or statement in issue was made; or
    (3) In such other place as may be agreed upon by the respondent and 
the ALJ.
    (b) Each party shall have the opportunity to present argument with 
respect to the location of the hearing.
    (c) The ALJ shall issue an order to the parties designating the time 
and the place of the hearing.



Sec.  1.331  Witnesses.

    (a) Except as provided in paragraph (b) of this section, testimony 
at the hearing shall be given orally by witnesses under oath or 
affirmation.
    (b) At the discretion of the ALJ, testimony may be admitted in the 
form of a written statement or deposition. Any such written statement 
must be provided to all other parties along with the last known address 
of such witness, in a manner which allows sufficient time for other 
parties to subpoena such witness for cross-examination at the hearing. 
Prior written statements of witnesses proposed to testify at the hearing 
and deposition transcripts shall be exchanged as provided in Sec.  
1.322(g) of this part.
    (c) The ALJ shall permit the parties to conduct such cross-
examination as may be required for a full and true disclosure of the 
facts.
    (d) A witness may be cross-examined on any matter relevant to the 
proceeding without regard to the scope of his or her direct examination.
    (e) Upon motion of any party, the ALJ shall order witnesses excluded 
so that they cannot hear the testimony of other witnesses. This rule 
does not authorize exclusion of--
    (1) A party who is an individual;
    (2) In the case of a party that is not an individual, an officer or 
employee of the party designated by the representative; or
    (3) An individual whose presence is shown by a party to be essential 
to the presentation of its case, including an individual employed by the 
USDA engaged in assisting the representative for USDA.



Sec.  1.332  Evidence.

    (a) The ALJ shall determine the admissibility of evidence.
    (b) Except as provided herein, the Federal Rules of Evidence are not 
applicable to the hearing, except that the ALJ may in his discretion 
apply the Federal Rules of Evidence in order to assure production of 
credible evidence.
    (c) The ALJ shall exclude irrelevant and immaterial evidence.
    (d) Although relevant, evidence may be excluded if its probative 
value is substantially outweighed by the danger of unfair prejudice, 
confusion of the issues, or by considerations of undue delay or needless 
presentation of cumulative evidence.
    (e) Although relevant, evidence may be excluded if it is privileged 
under Federal law.
    (f) Evidence concerning offers of compromise or settlement shall be 
inadmissible to the extent provided in Rule 408 of the Federal Rules of 
Evidence.
    (g) The ALJ shall permit the parties to introduce rebuttal witnesses 
and evidence.
    (h) All documents and other evidence offered or taken for the record 
shall be open to examination by all parties unless otherwise ordered by 
the ALJ pursuant to Sec.  1.322 of this part.



Sec.  1.333  The record.

    (a) The hearing will be recorded and transcribed. Transcripts may be 
obtained from the reporter by anyone at a cost not to exceed the actual 
cost of duplication.
    (b) The transcript of testimony, exhibits and other evidence 
admitted at the hearing, and all papers and requests filed in the 
proceeding constitute the record for the decision by the ALJ and the 
judicial officer.
    (c) The record may be inspected and copied (upon payment of a 
reasonable fee) by anyone unless otherwise ordered by the ALJ.

[[Page 85]]



Sec.  1.334  Post-hearing briefs.

    The ALJ may require the parties to file post-hearing briefs. In any 
event, any party may file a post-hearing brief. The ALJ shall fix the 
time for filing such briefs, not to exceed 60 days from the date the 
parties receive the transcript of the hearing or, if applicable, the 
stipulated record. Such briefs may be accompanied by proposed findings 
of fact and conclusions of law. The ALJ may permit the parties to file 
reply briefs.



Sec.  1.335  Determining the amount of penalties and assessments.

    (a) In determining an appropriate amount of civil penalties and 
assessments, the ALJ and the judicial officer, upon appeal, should 
evaluate any circumstances that mitigate or aggravate the violation and 
should articulate in their opinions the reasons that support the 
penalties and assessments they impose. Because of the intangible costs 
of fraud, the expense of investigating such conduct, and the need to 
deter others who might be similarly tempted, ordinarily double damages 
and a significant civil penalty should be imposed.
    (b) Although not exhaustive, the following factors are among those 
that may influence the ALJ and the judicial officer in determining the 
amount of penalties and assessments to impose with respect to the 
misconduct (i.e., the false, fictitious, or fraudulent claims or 
statements) charged in the complaint:
    (1) The number of false, fictitious, or fraudulent claims or 
statements;
    (2) The time period over which such claims or statements were made;
    (3) The degree of the respondent's culpability with respect to the 
misconduct;
    (4) The amount of money or the value of the property, services, or 
benefit falsely claimed;
    (5) The value of the Government's actual loss as a result of the 
misconduct, including foreseeable consequential damages and the costs of 
investigation;
    (6) The relationship of the amount imposed as civil penalties to the 
amount of the Government's loss;
    (7) The potential or actual impact of the misconduct upon national 
defense, public health or safety, or public confidence in the management 
of Government programs and operations, including particularly the impact 
on the intended beneficiaries of such programs;
    (8) Whether the respondent has engaged in a pattern of the same or 
similar misconduct;
    (9) Whether the respondent attempted to conceal the misconduct;
    (10) The degree to which the respondent has involved others in the 
misconduct or in concealing it;
    (11) Where the misconduct of employees or agents is imputed to the 
respondent, the extent to which the respondent's practices fostered or 
attempted to preclude such misconduct;
    (12) Whether the respondent cooperated in or obstructed an 
investigation of the misconduct;
    (13) Whether the respondent assisted in identifying and prosecuting 
other wrongdoers;
    (14) The complexity of the program or transaction, and the degree of 
the respondent's sophistication with respect to it, including the extent 
of the respondent's prior participation in the program or in similar 
transactions;
    (15) Whether the respondent has been found, in any criminal, civil, 
or administrative proceeding to have engaged in similar misconduct or to 
have dealt dishonestly with the government of the United States or of a 
State, directly or indirectly; and
    (16) The need to deter the respondent and others from any engaging 
in the same or similar misconduct.
    (c) Nothing in this section shall be construed to limit the ALJ or 
the judicial officer from considering any other factors that in any 
given case may mitigate or aggravate the acts for which penalties and 
assessments are imposed.



Sec.  1.336  Initial decision of the ALJ.

    (a) The ALJ shall issue an initial decision, which shall contain 
findings of fact, conclusions of law, and the amount of any penalties 
and assessments imposed.
    (b) The findings of fact shall include a finding on each of the 
following issues for every claim or statement with respect to which a 
penalty or assessment was proposed:

[[Page 86]]

    (1) Whether any claim or statement identified in the complaint 
violates Sec.  1.303 of this part;
    (2) If the respondent is liable for penalties or assessments, the 
appropriate amount of any such penalties or assessments considering any 
mitigating or aggravating factors described in Sec.  1.335 of this part.
    (c) The ALJ shall serve the initial decision on all parties within 
90 days after the time for submission of post-hearing briefs and reply 
briefs (if permitted) has expired. The ALJ shall include with the 
initial decision a statement describing the right of any respondent 
determined to be liable for a civil penalty or assessment to file notice 
of appeal with the judicial officer. The ALJ may extend the time period 
for serving the initial decision on the parties.
    (d) Unless the initial decision of the ALJ is timely appealed to the 
judicial officer, or a motion for reconsideration of the initial 
decision is timely filed, the initial decision shall constitute the 
final decision of the Secretary and shall be final and binding on the 
parties 30 days after it is issued by the ALJ.



Sec.  1.337  Reconsideration of initial decision.

    (a) Except as provided in paragraph (d) of this section, any party 
may file a motion for reconsideration of the initial decision within 20 
days of receipt of the initial decision. If service was made by mail, 
receipt will be presumed to be five days from the date of mailing in the 
absence of contrary proof.
    (b) Every such motion must set forth the matters claimed to have 
been erroneously decided and the nature of the alleged errors. Such 
motion shall be accompanied by a supporting brief.
    (c) Responses to such motions shall be allowed only upon request of 
the ALJ.
    (d) No party may file a motion for reconsideration of an initial 
decision that has been revised in response to a previous motion for 
reconsideration.
    (e) The ALJ may dispose of a motion for reconsideration by denying 
it or by issuing a revised initial decision.
    (f) If the ALJ denies a motion for reconsideration, the initial 
decision shall constitute the final decision of the authority head and 
shall be final and binding on the parties 30 days after the ALJ denies 
the motion, unless the initial decision is timely appealed to the 
judicial officer in accordance with Sec.  1.338 of this part.
    (g) If the ALJ issues a revised initial decision, that decision 
shall constitute the final decision of the authority head and shall be 
final and binding on the parties 30 days after it is issued, unless it 
is timely appealed to the judicial officer in accordance with Sec.  
1.338 of this part.



Sec.  1.338  Appeal to the judicial officer.

    (a) Any respondent who has filed a timely answer and who is 
determined in an initial decision to be liable for a civil penalty or 
assessment may appeal such decision to the Secretary by filing a notice 
of appeal with the judicial officer in accordance with this section. The 
judicial officer of USDA shall consider all appeals to the Secretary 
under this subpart and render a decision on behalf of the Secretary.
    (b)(1) A notice of appeal may be filed at any time within 30 days 
after the ALJ issues an initial decision. However, if another party 
files a motion for reconsideration under Sec.  1.337 of this part, 
consideration of the appeal shall be stayed automatically pending 
resolution of the motion for reconsideration.
    (2) If a motion for reconsideration is timely filed, a notice of 
appeal may be filed within 30 days after the ALJ denies the motion or 
issues a revised initial decision, whichever applies.
    (c) The judicial officer may extend the initial 30-day period during 
which a notice of appeal may be filed for an additional 30 days if the 
respondent files a request for an extension within the initial 30-day 
period and shows good cause.
    (d) If the respondent timely files a notice of appeal with the 
judicial officer and the time for filing motions for reconsideration 
under Sec.  1.337 of this part has expired, the ALJ will forward the 
record of the proceeding to the judicial officer.

[[Page 87]]

    (e) A notice of appeal shall be accompanied by a written brief 
specifying exceptions to the initial decision and reasons supporting the 
exceptions.
    (f) The representative for USDA may file a brief in opposition to 
exceptions within 30 days of receiving the brief proposing exceptions.
    (g) There is no right to appear personally before the judicial 
officer.
    (h) There is no right to interlocutory appeal of rulings by the ALJ.
    (i) The judicial officer, in reviewing the decision, shall not 
consider any objection that was not raised before the ALJ unless a 
demonstration is made that extraordinary circumstances caused the 
failure to raise the objection.
    (j) If any party demonstrates to the satisfaction of the judicial 
officer that additional evidence not presented to the ALJ is material 
and that there were reasonable grounds for the failure to present such 
evidence to the ALJ, the judicial officer shall remand the matter to the 
ALJ for consideration of such additional evidence.
    (k) The judicial officer may affirm, reduce, reverse, compromise, 
remand or settle any penalty or assessment determined by the ALJ.
    (l) The judicial officer shall promptly serve each party to the 
appeal with a copy of the decision of the judicial officer and a 
statement describing the respondent's right to seek judicial review.
    (m) Unless a petition for review is filed as provided in 31 U.S.C. 
3805 after a respondent has exhausted all administrative remedies under 
this part and within 60 days after the date on which the judicial 
officer serves the respondent with a copy of the judicial officer's 
decision, a determination that a respondent is liable under Sec.  1.303 
of this part is final and is not subject to judicial review.



Sec.  1.339  Stays ordered by the Department of Justice.

    (a) If at any time the Attorney General or an Assistant Attorney 
General designated by the Attorney General transmits to the Secretary a 
written finding that continuation of the administrative process 
described in this subpart with respect to a claim or statement may 
adversely affect any pending or potential criminal or civil action 
related to such claim or statement, the judicial officer shall stay the 
process immediately.
    (b) If the judicial officer stays the administrative process in 
accordance with paragraph (a) of this section, the judicial officer may 
order the process resumed only upon receipt of the written authorization 
of the Attorney General.



Sec.  1.340  Stay pending appeal.

    (a) A decision is stayed automatically pending disposition of a 
motion for reconsideration or of an appeal to the judicial officer.
    (b) The respondent may file with the ALJ a request for stay of the 
effective date of a decision of the judicial officer pending judicial 
review. Such request shall state the grounds upon which respondent 
relies in requesting the stay, together with a copy of the notice(s) of 
appeal filed by respondent seeking review of a decision of the judicial 
officer. The filing of such a request shall automatically stay the 
effective date of the decision of the judicial officer until the ALJ 
rules upon the request.
    (c) The representative for the USDA may file an opposition to 
respondent's request for a stay within 10 days of receipt of the 
request. If the representative for the USDA fails to file such an 
opposition within the allotted time, or indicates that the USDA has no 
objection to the request, the ALJ may grant the stay without requiring 
respondent to give a bond or other security.
    (d) The ALJ may grant a contested request where justice so requires 
and to the extent necessary to prevent irreparable harm but only upon 
the respondent's giving of a bond or other adequate security. The ALJ 
shall rule promptly on a contested request for stay.
    (e) A decision of the ALJ denying respondent's request for a stay 
shall constitute final agency action.



Sec.  1.341  Judicial review.

    Section 3805 of title 31, United States Code, authorizes judicial 
review by an appropriate United States District Court of a final 
decision of the judicial

[[Page 88]]

officer imposing penalties or assessments under this part and specifies 
the procedures for such review.



Sec.  1.342  Collection of civil penalties and assessments.

    Sections 3806 and 3808(b) of title 31, United States Code, authorize 
actions for collection of civil penalties and assessments imposed under 
this subpart and specify the procedures for such actions.



Sec.  1.343  Right to administrative offset.

    The amount of any penalty or assessment which has become final, or 
for which a judgment has been entered under Sec.  1.341 or Sec.  1.342 
of this part, or any amount agreed upon in a settlement under Sec.  
1.345 of this part, may be collected by administrative offset under 31 
U.S.C. 3716, except that an administrative offset may not be made under 
this subsection against a refund of an overpayment of Federal taxes then 
or later owing by the United States to the respondent.



Sec.  1.344  Deposit to Treasury of the United States.

    All amounts collected pursuant to this subpart shall be deposited as 
miscellaneous receipts in the Treasury of the United States.



Sec.  1.345  Settlement.

    (a) A respondent may make offers of compromise of settlement at any 
time.
    (b) The reviewing official has the exclusive authority to compromise 
or settle a case under this subpart at any time after the date on which 
the reviewing official is permitted to issue a complaint and before the 
date on which the ALJ issues a decision.
    (c) The judicial officer has exclusive authority to compromise or 
settle a case under this subpart at any time after the date on which the 
ALJ issues a decision, except during the pendency of any appeal under 
Sec.  1.341 of this part or during the pendency of any action to collect 
penalties and assessments under Sec.  1.342 of this part.
    (d) The Attorney General has exclusive authority to compromise or 
settle a case under this subpart during the pendency of any appeal under 
Sec.  1.341 of this part, or any action to recover penalties and 
assessments under Sec.  1.342 of this part.
    (e) The investigating official may recommend settlement terms to the 
reviewing official, the judicial officer, or the Attorney General, as 
appropriate. The reviewing official may recommend settlement terms to 
the judicial officer, or the Attorney General, as appropriate.
    (f) Any settlement must be in writing.



Sec.  1.346  Limitation.

    The complaint referred to in Sec.  1.307 of this part with respect 
to a claim or statement must be served in the manner specified in Sec.  
1.308 of this part within 6 years after the date on which such claim or 
statement is made.



  Subpart M_Rules of Practice Governing Adjudication of Sourcing Area 
Applications and Formal Review of Sourcing Areas Pursuant to the Forest 
Resources Conservation and Shortage Relief Act of 1990 (16 U.S.C. 620 et 
                                  seq.)

    Authority: 5 U.S.C. 556 and 16 U.S.C. 620 et seq.

    Source: 59 FR 8824, Feb. 24, 1994, unless otherwise noted.



Sec.  1.410  Meaning of words.

    As used in these procedures, words in the singular form shall be 
deemed to import the plural, and vice versa, as the circumstance may 
require.



Sec.  1.411  Definitions.

    As used in these procedures, the terms as defined in the Forest 
Resources Conservation and Shortage Relief Act of 1990, 16 U.S.C. 620 et 
seq. (Act) and in the regulations issued thereunder, shall apply with 
equal force and effect. In addition and except as may be provided 
otherwise in these procedures:
    (a) Applicant or Sourcing area applicant means a person who submits 
a sourcing area application pursuant to these rules, or a person who 
sourcing

[[Page 89]]

area is subject to formal review pursuant to 36 CFR 223.191(e).
    (b) Decision means:
    (1) The Judge's initial decision made in accordance with the 
provisions of 5 U.S.C. 554, 556, 557, and 16 U.S.C. 620 et seq. and 36 
CFR 223.190 and 223.191(e), which includes the Judge's findings and 
conclusions and the reasons or basis therefore on all material issues of 
fact, law or discretion, orders and rulings on proposed findings, 
conclusions and orders submitted by the parties; and
    (2) The decision and order by the Judicial officer upon appeal of 
the Judge's decision.
    (c) Determination is synonymous with decision.
    (d) Hearing means that part of the proceeding which may be requested 
by a party of record, and which involves the submission of additional 
evidence before the Administrative Law Judge for the record in the 
proceeding.
    (e) Hearing Clerk means the Office of the Hearing Clerk, United 
States Department of Agriculture, Washington, D.C. 20250.
    (f) Judge means any Administrative Law Judge Appointed pursuant to 5 
U.S.C. 3105 and assigned to the proceeding involved.
    (g) Judicial Officer means an official of the United States 
Department of Agriculture delegated authority by the Secretary of 
Agriculture, pursuant to the Act of April 4, 1940 (7 U.S.C. 450c-459g) 
and Reorganization Plan No. 2 of 1953 (5 U.S.C. 1988 ed., appendix, p. 
1280), to perform the function involved (7 CFR 235(a)), or the Secretary 
of Agriculture, if the authority so delegated is exercised by the 
Secretary.
    (h) Party of record or Party is a party to the proceeding to 
determine approval or disapproval of a sourcing area application, 
including the proceeding for formal review of a sourcing area. The 
sourcing area applicant and persons who submit written comments on the 
sourcing area application at issue during the 30 calendar day comment 
period, including the Regional Forester, are the parties of record. For 
purposes of a formal review of a sourcing area, the holder of the 
sourcing area that is the subject of the review and persons who submit 
written comments on the sourcing area application at issue during the 30 
calendar day comment period after institution of the formal review, 
including the Regional Forester, are the parties of record.
    (i) Sourcing Area Application means the application by which a 
person applies for a sourcing area or the application by which a 
sourcing area holder applies for a formal review of a sourcing area.



Sec.  1.412  Institution of proceedings.

    (a) Sourcing area applications. The proceeding for determining 
sourcing areas shall be instituted by receipt of a sourcing area 
application by the Office of Administrative Law Judges, pursuant to 36 
CFR 223.190.
    (b) Review of sourcing areas. Informal review of a sourcing area 
precedes institution of a formal review as follows:
    (1) Request by Sourcing area holder. A sourcing area holder who 
wishes to begin a review of a sourcing area shall send a written request 
for a review to the Regional Forester of the region in which the 
manufacturing facility being sourced is located. The request shall state 
the reason for the request.
    (i) Informal review. The Regional Forester shall begin an informal 
review, pursuant to 36 CFR 223.191(e), based on the written request. If 
no agreement is reached in the informal review process, the Regional 
Forester of the region in which the manufacturing facility being sourced 
is located shall transmit to the Office of Administrative Law Judges any 
submissions received during the informal review process, within 5 
working days of the meeting convened during the informal review (36 CFR 
223.191)e)). Agreement is reached when all persons attending the meeting 
convened by the Regional Forester to resolve differences as to the 
proper sourcing area, including the Regional Forester, sign the document 
describing the sourcing area.
    (ii) Formal review. Institution by a sourcing area holder of a 
formal review of the sourcing area occurs if the informal review process 
does not result in agreement among the parties, and the sourcing area 
holder submits a sourcing area application to the Office

[[Page 90]]

of the Administrative Law Judges, pursuant to 36 CFR 223.190, within 10 
working days after the meeting convened by the Regional Forester as part 
of the informal process.
    (2) Initiation of review by agency. If the Forest Service wishes to 
begin a review of a sourcing area, the Regional Forester of the region 
in which the manufacturing facility being sourced is located shall begin 
an informal review, pursuant to 36 CFR 223.191(e). If no agreement is 
reached in the informal review process, the Regional Forester of the 
region in which the manufacturing facility being sourced is located 
shall transmit to the Office of Administrative Law Judges any 
submissions received during the informal review process, within 5 
working days of the meeting convened during the informal review (36 CFR 
223.191(e)). Agreement is reached when all persons attending the meeting 
convened by the Regional Forester to resolve differences as to the 
proper sourcing area, including the Regional Forester, sign the document 
describing the sourcing area. Institution by the Forest Service of a 
formal review of a sourcing area occurs when the Office of 
Administrative Law Judges receives the papers and documents submitted 
during the informal review process.



Sec.  1.413  Submission of a sourcing area application.

    A sourcing area applicant shall send the application to the Office 
of Administrative Law Judges and shall, simultaneously, send a copy of 
the sourcing area application to the Forest Service Regional Forester of 
the region in which the manufacturing facility being sourced is located. 
Where the sourcing area application will cover purchases from more than 
one agency, application is to be made to the agency from which the 
applicant expects to purchase the preponderance of its Federal timber. 
The sourcing area applicant must also send a complete copy of the 
application to each agency concerned. The lead agency shall make the 
decision in consultation with, and upon co-signature of, the other 
agency(ies) concerned. Sourcing area applications must be signed by the 
persons making the request, or in the case of a corporation, by its 
chief executive officer, and must be notarized. The application shall be 
on company letterhead.



Sec.  1.414  Docket number.

    Each proceeding, following its institution, shall be assigned a 
docket number by the Hearing Clerk, and thereafter the proceeding shall 
be referred to by such number. The Hearing Clerk shall notify the 
sourcing area applicant and the Regional Forester to whom the applicant 
submitted a copy of the application of the docket number and the name of 
the Judge to whom the case has been assigned. In a formal review of a 
sourcing area instituted by the Forest Service, the Hearing Clerk shall 
inform the sourcing area holder whose sourcing area is subject to the 
review and the Regional Forester who submitted the comments instituting 
the formal review of the docket number and the name of the Judge to whom 
the case has been assigned.



Sec.  1.415  Notification of proceedings.

    The Regional Forester of the region in which the manufacturing 
facility being sourced is located shall notify prospective parties of 
the sourcing area application and/or the formal review of a sourcing 
area after receipt of the docket number and the name of the Judge to 
whom the proceeding has been assigned, pursuant to Sec.  1.414 of these 
rules. Notification will consist of publication of a notice in 
newspapers of general circulation in the area included in the sourcing 
area application. The Regional Forester shall promptly notify the 
Hearing Clerk of the date of the publication and the notice. Additional 
notification will be made through agency mailing lists. Notification 
shall include the docket number, the name of the Judge to whom the case 
has been assigned and the mailing address of the Judge. In the case of a 
sourcing area review, notification will also state the reason for the 
review.



Sec.  1.416  Comment period.

    Written comments on a sourcing area application or on a formal 
review of a sourcing area shall include the docket number and may be 
submitted to the Judge for 30 calendar days following

[[Page 91]]

publication of the notice. Persons submitting comments shall send a copy 
of the comments to the Regional Forester of the region in which the 
manufacturing facility being sourced is located. All comments must be 
received by the Judge and by the Regional Forester by the 30th day of 
the comment period.



Sec.  1.417  Review period.

    (a) Review of comments. The sourcing area applicant, the sourcing 
area holder whose sourcing area is the subject of a formal review and 
other parties who submitted written comments will be allowed 10 working 
days from the close of the comment period to review the written comments 
at the Regional Forester's office during regular business hours.
    (b) Recommendation to Judge to approve or disapprove a sourcing area 
application. During the 10 working day review period, parties who have 
submitted written comments on an application or on a formal review of a 
sourcing area may submit a written recommendation to the Judge, 
including an analysis of the facts and law as to why the Judge should 
approve or disapprove that application. A sourcing area applicant whose 
sourcing area application is the subject of the proceeding, and a 
sourcing area holder whose sourcing area is the subject of a formal 
review, may also submit a written recommendation to the Judge. The 
recommendation must be postmarked no later than the 10th working day of 
the review period.
    (c) Request for a hearing. The sourcing area applicant, the sourcing 
area holder whose sourcing area is the subject of a formal review and 
persons who submitted written comments, or the attorney of record for a 
party in the proceeding, may review the comments and request a hearing 
within 10 working days after the comment period, pursuant to 36 CFR 
233.190(h)(2). The request must be postmarked no later than the 10th 
working day of the review period. An attorney may file an appearance of 
record prior to the scheduled hearing. The request for a hearing shall 
be filed with the Judge. The hearing is for the purpose of supplementing 
the written record submitted prior to the hearing. The written record 
submitted prior to the hearing consists of papers and documents 
submitted during the 30 calendar day comment period, the 10 working day 
review period, and any motions submitted before the hearing. For 
purposes of a formal review of a sourcing area, the written record also 
consists of the papers and documents submitted during the informal 
review.
    (1) Contents of the notice of hearing. The Judge shall issue a 
notice of hearing regarding a particular sourcing area application or 
regarding formal review of a sourcing area application or regarding 
formal review of a sourcing area to all parties of record for that 
application or formal review. The notice of hearing shall contain a 
reference to the authority under which the sourcing area is proposed or 
formally reviewed; shall define the scope of the hearing; shall contain 
a reference to the sourcing area that is the subject of the hearing; and 
shall state the date, time and place of such hearing; and shall state 
the date, time and place of such hearing; which shall be set with due 
regard for the necessity and convenience of the parties of record or 
their representatives. The Judge shall schedule a hearing no later than 
21 calendar days after the 10 working day period for reviewing written 
comments ends. The Judge may consolidate requests for a hearing 
regarding the same application.
    (2) Giving notice of hearing. The notice of hearing shall be served 
upon the parties of record for the sourcing area application at issue by 
the Hearing Clerk.



Sec.  1.418  Procedure upon no request for hearing.

    If no hearing is requested by a party of record, the Judge shall 
issue an initial decision based on the written record and without 
further procedure or hearing. If no hearing is requested, the written 
record consists of papers and documents submitted during the 30-day 
comment period, the 10-day review period, and includes motions submitted 
before the Judge issues an initial decision. For purposes of a formal 
review of a sourcing area, the written record also consists of the 
papers and documents submitted during the informal review. Copies of the 
decision shall

[[Page 92]]

be served by the Hearing Clerk upon each of the parties of record.



Sec.  1.419  Amendment of a sourcing area application.

    The sourcing area applicant may move to amend the sourcing area 
application with clarifying and technical amendments at any time prior 
to the Judge's initial determination if there is no hearing, or prior to 
the close of the hearing if there is a hearing.



Sec.  1.420  Consent recommendation.

    Any time before the Judge files the decision, the parties of record 
may enter a consent recommendation. Such consent recommendation shall be 
filed with the Hearing Clerk, signed by the parties with appropriate 
space for signature by the Judge. The consent recommendation shall 
contain an admission of the jurisdictional facts, the factual and legal 
basis for the recommended sourcing area, the consent to the issuance of 
the recommended decision as the final decision of the agency without 
further procedure and such other admissions or statements as may be 
recommended by the parties. The Judge shall review the recommendation to 
determine whether such recommendation conforms with the Forest Resources 
Conservation and Shortage Relief Act of 1990 (16 U.S.C. 620, et seq.), 
36 CFR 223.190, 36 CFR 223.191(e) and these procedures. If the 
recommendation conforms to the aforementioned Act, regulations, and 
procedures, the Judge may enter such decision without further procedure, 
unless an error is apparent on the face of the document. If the Judge 
enters the decision, such decision shall have the same force and effect 
as a decision issued after full hearing and shall become final upon 
issuance to become effective in accordance with the terms of the 
decision.



Sec.  1.421  Prehearing conferences and procedures.

    (a) Purpose and scope. (1) Upon motion of a party of record or upon 
the Judge's own motion, the Judge may direct the parties or their 
counsel to attend a conference at any reasonable time, prior to or 
during the course of the hearing, when the Judge finds that the 
proceeding would be expedited by a prehearing conference. Reasonable 
notice of the time and place of the conference shall be given. The Judge 
may order each of the parties to furnish at or subsequent to the 
conference any or all of the following:
    (i) An outline of a party's position;
    (ii) The facts upon which the party will rely;
    (iii) The legal theories upon which the party will rely;
    (iv) Copies of or a list of documents which the party anticipates 
introducing at the hearing; and
    (v) A list of anticipated witnesses who will testify on behalf of 
the party. At the discretion of the party furnishing such list of 
witnesses, the names of the witnesses need not be furnished if they are 
otherwise identified in some meaningful way such as a short statement of 
the type of evidence they will offer.
    (2) The Judge shall not order any of the foregoing procedures that a 
party can show is inappropriate or unwarranted under the circumstances 
of the particular determination.
    (3) At the conference, the following matters shall be considered:
    (i) The simplification of issues;
    (ii) The possibility of obtaining stipulations of facts and of the 
authenticity, accuracy, and admissibility of documents, which will avoid 
unnecessary proof;
    (iii) The limitation of the number of expert or other witnesses;
    (iv) Negotiation, compromise, or settlement of issues;
    (v) The exchange of copies of proposed exhibits;
    (vi) The identification of documents or matters of which official 
notice may be requested;
    (vii) A schedule to be followed by the parties for completion of the 
actions decided at the conference; and
    (viii) Such other matters as may expedite and aid in the disposition 
of the proceeding.
    (b) Reporting. A prehearing conference will not be stenographically 
reported unless so directed by the Judge.
    (c) Action in lieu of personal attendance at a conference. In the 
event the Judge concludes that personal attendance by the Judge and the 
parties or

[[Page 93]]

counsel at a prehearing conference is unwarranted or impracticable, but 
determines that a conference would expedite the proceeding, the Judge 
may conduct such conference by telephone or correspondence.
    (d) Order. Actions taken as a result of a conference shall be 
reduced to an appropriate written order, unless the Judge concludes that 
a stenographic report shall suffice, or if the Judge elects to make a 
statement on the record at the hearing summarizing the actions taken.



Sec.  1.422  Conduct of the hearing.

    (a) Time and place. The hearing shall be held at the time and place 
fixed in the notice of hearing. If any change in the time or place of 
the hearing is made, the Judge shall file with the Hearing Clerk a 
notice of such change, which notice shall be served upon the parties, 
unless it is made during the course of an oral script, or actual notice 
is given to the parties.
    (b) Appearances. The parties may appear in person or by attorney of 
record in the proceeding. Any party who desires to be heard in person 
shall, before proceeding to testify, state his name, address, and 
occupation. If any such person is appearing through counsel, such person 
or such counsel shall, before proceeding to testify or otherwise to 
participate in the hearing, state for the record the authority to act as 
such counsel or representative, and the names, addresses, and 
occupations of such person and such counsel. Any such person or such 
counsel shall give such other information respecting his appearance as 
the Judge may request. Any person who appears as counsel must conform to 
the standards of ethical conduct required of practitioners before the 
courts of the United States.
    (c) Failure to appear. A party of record who, after being duly 
notified, fails to appear at the hearing without good cause, shall be 
deemed to have waived the right to an oral hearing in the proceeding. 
Failure to appear at a hearing shall not be deemed to be a waiver of the 
right to be served with a copy of the Judge's decision.
    (d) Order of proceeding. The Judge shall determine the order in 
which the parties shall proceed.
    (e) Evidence--(1) In general. (i) The testimony of witnesses at a 
hearing shall be on oath or affirmation and shall be subject to cross-
examination. Cross-examination shall be permitted to the extent required 
for a full and true disclosure of the facts. The Judge may require that 
testimony on one issue raised by numerous parties be heard at one time.
    (ii) Upon a finding of good cause, the Judge may order that any 
witness be examined separately and apart from all other witnesses except 
those who may be parties to the proceeding.
    (iii) After a witness has testified on direct examination, any other 
party may request and obtain the production of any statement, or part 
thereof, of such witness in the possession of the party who called the 
witness, which relates to the subject matter as to which the witness has 
testified. Such production shall be made according to the procedures and 
subject to the definitions and limitations prescribed in the Jencks Act 
(18 U.S.C. 3500).
    (iv) Evidence which is immaterial, or unduly repetitious, or which 
is not of the sort upon which responsible persons are accustomed to 
rely, shall be excluded insofar as practicable.
    (2) Objections. (i) If a party objects to the admission of any 
evidence or to the limitation of the scope of any examination or cross-
examination or to any other ruling of the Judge, the party shall state 
briefly the grounds of such objection, whereupon an automatic exception 
will follow if the objection is overruled by the Judge.
    (ii) Only objections made before the Judge may subsequently be 
relied upon in the proceeding.
    (3) Depositions. The deposition of any witness shall be admitted in 
the manner provided in and subject to the provisions of Sec.  1.228 of 
these procedures.
    (4) Exhibits. Unless the Judge finds that the furnishing of copies 
is impracticable, two copies of each exhibit shall be filed with the 
Judge. The party submitting the exhibit shall serve on every other party 
of record a copy of the exhibit, pursuant to Sec.  1.427(c) of these 
procedures. A true copy of an exhibit may be substituted for the 
original.

[[Page 94]]

    (5) Official records or documents. An official government record or 
document or entry therein, if admissible for any purpose, shall be 
admissible in evidence without the production of the person who made or 
prepared the same, and shall be prima facie evidence of the relevant 
facts stated therein. Such record or document shall be evidenced by an 
official publication thereof or a copy certified by a person having 
legal authority to make such certification.
    (6) Official notice. Official notice shall be taken of such matters 
as are judicially noted by the courts of the United States and of any 
other matter of technical, scientific, or commercial fact of established 
character: Provided, That the parties shall be given adequate notice of 
matters so noticed, and shall be given adequate opportunity to show that 
such facts are erroneously noticed.
    (7) Offer of proof. Whenever evidence is excluded by the Judge, the 
party offering such evidence may make an offer of proof, which shall be 
included in the transcript. The offer of proof shall consist of a brief 
statement describing the evidence excluded. If the evidence consists of 
a brief oral statement, it shall be included in the transcript in toto. 
If the evidence consists of an exhibit, it shall be marked for 
identification and inserted in the hearing record.
    (f) Transcript. Hearings shall be recorded and transcribed verbatim. 
Transcripts thereof shall be made available to any person, at actual 
cost of duplication (5 U.S.C. App. 2, section 11).



Sec.  1.423  Post-hearing procedure.

    (a) Corrections to transcript. (1) Within the period of time fixed 
by the Judge, any party may file a motion proposing corrections to the 
transcript.
    (2) Unless a party files such motion in the manner prescribed, the 
transcript shall be presumed, except for obvious typographical errors, 
to be complete.
    (3) As soon as practicable after the close of the hearing and after 
consideration of any timely objections filed as to the transcript, the 
Judge shall issue an order making any corrections to the transcript 
which the Judge finds are warranted, which corrections shall be entered 
onto the original transcript by the Hearing Clerk (without obscuring the 
origianl text).
    (b) Proposed findings of fact, conclusions, order, and brief. Prior 
to the close of the hearing, each party may submit for consideration 
proposed findings of fact, conclusions, order, and brief in support 
thereof. A copy of each such document filed by a party shall be served 
upon each of the other parties.
    (c) Judge's decision. (1) The Judge may, upon motion of any party or 
in his or her own discretion, issue a decision orally at the close of 
the hearing, or within 10 calendar days after the close of the hearing, 
or within 10 calendar days after submission of the record, if no hearing 
is requested.
    (2) If the decision is announced orally, a copy thereof, excerpted 
from the transcript of the record, shall be furnished to the parties by 
the Hearing Clerk. Irrespective of the date such copy is mailed, the 
issuance date of the decision shall be the date the oral decision was 
announced.
    (3) If the decision is in writing, it shall be filed with the 
Hearing Clerk and served upon the parties as provided in Sec.  1.427.
    (4) The Judge's decision shall become effective without further 
proceedings 21 calendar days after the issuance of the decision, if 
announced orally at the hearing, or if the decision is in writing, 21 
calendar days after the date of service thereof upon the respondent, 
unless there is an appeal to the Judicial Officer by a party to the 
proceeding pursuant to Sec.  1.426; Provided, however, that no decision 
shall be final for purposes of judicial review except a final decision 
of the Judicial Officer upon appeal.
    (5) The Judicial Officer shall issue a decision within 10 calendar 
days of the receipt of the response to the appeal.



Sec.  1.424  Motions and requests.

    (a) General. All motions and requests shall be filed with the 
Hearing Clerk, and served upon all the parties except motions and 
requests made on the record during the oral hearing.
    (b) Motions entertained. No dispositive motions, including motions 
to dismiss on the pleadings and motions for summary judgment, shall be 
entertained

[[Page 95]]

unless specifically mentioned herein or allowed in the discretion of the 
Judge.
    (c) Contents. All written motions and requests shall state the 
particular order, ruling, or action desired and the grounds therefore.
    (d) Response to motions and requests. Within 5 days after service of 
any written motion or request, or within such shorter or longer period 
as may be fixed by the Judge, an opposing party may file a response to 
the motion or request. The other party shall have no right to reply to 
the response.



Sec.  1.425  Judges.

    (a) Assignment. No Judge shall be assigned to serve in any 
proceeding who:
    (1) Has any pecuniary interest in any matter or business involved in 
the proceeding;
    (2) Is related within the third degree by blood or marriage to any 
party to the proceeding; or
    (3) Has any conflict of interest which might impair the Judge's 
objectivity in the proceeding.
    (b) Disqualification of Judge. (1) Any party to the proceeding may, 
by motion made to the Judge, request that the Judge withdraw from the 
proceeding because of an alleged disqualifying reason. Such motion shall 
set forth with particularity the grounds of alleged disqualification. 
The Judge may then either rule upon or certify the motion to the 
Secretary, but not both.
    (2) A Judge shall withdraw from any proceeding for any reason deemed 
by the Judge to be disqualifying.
    (c) Powers. Subject to review as provided elsewhere in this part, 
the Judge, in any assigned proceeding shall have power to:
    (1) Rule upon motions and requests;
    (2) Set the time and place of a pre-hearing conference and the 
hearing, adjourn the hearing from time to time, and change the time and 
place of hearing;
    (3) Administer oaths and affirmations;
    (4) Request the presence of and examine witnesses and receive 
relevant evidence at the hearing;
    (5) Take or order the taking of depositions as authorized under 
these rules;
    (6) Admit or exclude evidence;
    (7) Hear oral argument on facts or law,
    (8) Do all acts and take all measures necessary for the maintenance 
of order, including the exclusion of contumacious counsel or other 
persons;
    (9) Request additional information from any party to aid in the 
Judge's determination; and
    (10) Take all other actions authorized under these procedures.
    (d) Who may act in the absence of the Judge. In case of the absence 
of the Judge or the Judge's inability to act, the powers and duties to 
be performed by the Judge under these rules of practice in connection 
with any assigned proceeding may, without abatement of the proceeding 
unless otherwise directed by the Chief Judge, be assigned to any other 
Judge.



Sec.  1.426  Appeal to Judicial Officer.

    (a) Filing of petition. Within 10 calendar days after receiving 
service of the Judge's decision, a party who disagrees with the 
decision, or any part thereof, or any ruling by the Judge or any alleged 
deprivation of rights, may appeal such decision to the Judicial Officer 
by filing an appeal petition with the Hearing Clerk. As provided in 
Sec.  1.422(e)(2), objections regarding evidence or a limitation 
regarding examination or cross-examination or other rulings made before 
the Judge may be relied upon in an appeal. Each issue set forth in the 
petition, and the arguments thereon, shall be separately numbered; shall 
be plainly and concisely stated; and shall contain detailed citations of 
the record, statutes, regulations or authorities being relied upon in 
support thereof. A brief may be filed in support of the appeal 
simultaneously with the petition. A party filing a petition of appeal to 
the Judicial Officer, and any brief in support thereof, shall serve the 
other parties to the proceeding with a copy of the petition and 
supporting brief. The copies of the petition and supporting brief shall 
be served on the parties to the proceeding with a copy of the petition 
and supporting brief. The copies of the petition and supporting brief 
shall be served on the parties to the proceeding on the

[[Page 96]]

same day as the petition and supporting brief are filed with the 
Judicial Officer.
    (b) Response to appeal petition. Within 10 calendar days after the 
service of a copy of an appeal petition and any brief in support 
thereof, filed by a party to the proceeding, any other party may file 
with the Hearing Clerk a response in support of or in opposition to the 
appeal and in such response any relevant issue, not presented in the 
appeal petition, may be raised. A party filing a response to a petition 
of appeal to the Judicial Officer shall serve the other parties to the 
proceeding with a copy of the response. The copies of the response shall 
be served on the parties to the proceeding on the same day as the 
response is filed with the Judicial Officer.
    (c) Transmittal of record. Whenever an appeal of a Judge's decision 
is filed and a response thereto has been filed or time for filing a 
response has expired, the Hearing Clerk shall transmit to the Judicial 
Officer the record of the proceeding. Such record shall include: The 
pleadings; motions and requests filed and rulings thereon; the 
transcript of the testimony taken at the hearing, together with the 
exhibits filed in connection therewith; any documents or papers filed in 
connection with a prehearing conference; such proposed findings of fact, 
conclusions, and orders, and briefs in support thereof, as may have been 
filed in connection with the proceeding; the Judge's decision; such 
exceptions, statements of objections and briefs in support thereof as 
may have been filed in the proceeding; and the appeal petition, and such 
briefs in support thereof and responses thereto as may have been filed 
in the proceeding.
    (d) Decision of the Judicial Officer on appeal. The Judicial 
Officer, upon the basis of and after due consideration of the record and 
any matter of which official notice is taken, shall rule on the appeal 
within 4 months after the institution of the proceeding, pursuant to 16 
U.S.C. 620b(c)(3). If the Judicial Officer decides that no change or 
modification of the Judge's decision is warranted, the Judicial Officer 
may adopt the Judge's decision as the final order in the proceeding, 
preserving any right of the party bringing the appeal to seek judicial 
review of such decision in the proper forum. A final order issued by the 
Judicial Officer shall be filed with the Hearing Clerk. Such order may 
be regarded by a party as final for purposes of judicial review.



Sec.  1.427  Filing; identification of parties of record; service; 
and computation of time.

    (a) Filing; number of copies. Except as otherwise provided in this 
section, all documents or papers required or authorized by the rules in 
this part to be filed with the Hearing Clerk shall be filed in 
duplicate. Any document or paper required or authorized under the rules 
in this part to be filed with the Hearing Clerk shall, during the course 
of an oral hearing, be filed with the Judge.
    (b) Parties of record shall receive a list from the Hearing Clerk of 
the names and addresses of all parties of record immediately after the 
close of the comment period.
    (c) Service; proof of service. (1) Each party of record is 
responsible for serving on every other party and to the Judge all papers 
and documents submitted after the comment period. Service shall be made 
either:
    (i) By delivering a copy of the document or paper to the individual 
to be served or to a member of the partnership to be served, or to the 
president, secretary, or other executive officer or a director of the 
corporation or association to be served, or to the attorney of record 
representing such individual, partnership, corporation, organization, or 
association; or
    (ii) By leaving a copy of the document or paper at the principal 
office or place of business or residence of such individual, 
partnership, corporation, organization, or association, or of the 
attorney or agent of record and mailing by regular mail another copy to 
such person at such address; or
    (iii) By registering or certifying and mailing a copy of the 
document or paper, addressed to such individual, partnership, 
corporation, organization, or association, or to the attorney or agent 
of record, at the last known residence or principal office or place of 
business of such person: Provided, That

[[Page 97]]

if the registered or certified document or paper is returned undelivered 
because the addressee refused or failed to accept delivery, the document 
or paper shall be served by remailing it by regular mail; or
    (iv) By mailing the document or paper by regular mail.
    (2) Proof of service hereunder shall be made by the certificate of 
the person who actually made the service: Provided, that if the service 
is made by mail, as outlined in paragraph (b)(3) of this section, proof 
of service shall be made by the return post-office receipt, in the case 
of registered or certified mail, and if that service is made by regular 
mail, as outlined in paragraphs (b)(3) and (b)(4) of this section, proof 
of service shall be made by the certificate of the person who mailed the 
matter by regular mail. The certificate and post-office receipt 
contemplated herein shall be filed with the Hearing Clerk, and made a 
part of the record of the proceeding. The Judge and the Hearing Clerk 
shall follow the procedures outlined in (c) for service of papers or 
documents signed by the Judge and/or the Hearing Clerk.
    (d) Effective date of filing. Any document or paper required or 
authorized under the rules in this part to be filed shall be deemed to 
be filed at the time when it reaches the Hearing Clerk; or, if 
authorized to be filed with another officer or employee of the 
Department it shall be deemed to be filed at the time when it reaches 
such officer or employee.
    (e) Computations of time. Saturdays, Sundays and Federal holidays 
shall be included in computing the time allowed for the filing of any 
document or paper except as provided in these rules; Provided, that, 
when such time expires on a Saturday, Sunday, or Federal holiday, such 
period shall be extended to include the next following business day.



Sec.  1.428  Depositions.

    (a) Motion for taking deposition. Upon the motion of a party to the 
proceeding, the Judge may, at any time after the filing of the 
submission, order the taking of testimony by deposition. The Motion 
shall be in writing, shall be filed with the Hearing Clerk, and shall 
set forth:
    (1) The name and address of the proposed deponent;
    (2) The name and address of the person (referred to hereafter in 
this section as the ``officer'') qualified under the regulations in this 
part to take depositions, before whom the proposed examination is to be 
made;
    (3) The proposed time and place of the examination; and
    (4) The reasons why such deposition should be taken, which shall be 
solely for the purpose of eliciting testimony which otherwise might not 
be available at the time of the hearing, for uses as provided in 
paragraph (g) of this section.
    (b) Judge's order for taking deposition. (1) If the Judge finds that 
testimony may not be otherwise available at the hearing, the taking of 
the deposition may be ordered. The order shall be served upon the 
parties, and shall state:
    (i) The time and place of the examination;
    (ii) The name of the officer before whom the examination is to be 
made; and
    (iii) The name of the deponent.
    (2) The officer and the time and place need not be the same as those 
suggested in the motion.
    (c) Qualifications of officer. The deposition shall be made before 
the Judge or before an officer authorized by the law of the United 
States or by the law of the place of the examination to administer 
oaths, or before an officer authorized by the Secretary to administer 
oaths.
    (d) Procedure on examinations. (1) The deponent shall be subject to 
cross-examination. Objections to questions or documents shall be in 
short form, stating the grounds of objections relied upon. The questions 
propounded, together with all objections made (but not including 
argument or debate), shall be recorded verbatim. In lieu of oral 
examination, parties may transmit written questions to the officer prior 
to the examination and the officer shall propound such questions to the 
deponent.
    (2) The applicant shall arrange for the examination of the witness 
either

[[Page 98]]

by oral examination, or by written questions upon agreement of the 
parties or as directed by the Judge. If the examination is conducted by 
means of written questions, copies of the questions shall be served upon 
the other party to the proceeding and filed with the officer and the 
other party may serve cross questions and file them with the officer at 
any time prior to the time of the examination.
    (e) Certification by officer. The officer shall certify on the 
deposition that the deponent was duly sworn and that the deposition is a 
true record of the deponent's testimony. The officer shall then securely 
seal the deposition, together with one copy thereof (unless there are 
more than two parties in the proceeding, in which case there should be 
another copy for each additional party), in an envelope and mail the 
same by registered or certified mail to the Hearing Clerk.
    (f) Corrections to the transcript. (1) At any time prior to the 
hearing any party may file a motion proposing corrections to the 
transcript of the deposition.
    (2) Unless a party files such a motion in the manner prescribed, the 
transcript shall be presumed, except for obvious typographical errors, 
to be a true, correct, and complete transcript of the testimony given in 
the deposition proceeding and to contain an accurate description or 
reference to all exhibits in connection therewith, and shall be deemed 
to be certified correct without further procedure.
    (3) At any time prior to use of the deposition in accordance with 
paragraph (g) of this section and after consideration of any objections 
filed thereto, the Judge may issue an order making any corrections in 
the transcript which the Judge finds are warranted, which corrections 
shall be entered onto the original transcript by the Hearing Clerk 
(without obscuring the original text).
    (g) Use of deposition. A deposition ordered and taken in accordance 
with the provisions of this section may be used in a proceeding under 
these rules if the Judge finds that the evidence is otherwise admissible 
and that the witness is dead; that the witness is unable to attend or 
testify because of age, sickness, infirmity, or imprisonment; or that 
such exceptional circumstances exist as to make it desirable, in the 
interests of justice, to allow the deposition to be used. If the party 
upon whose motion the deposition was taken refuses to offer it in 
evidence, any other party may offer the deposition or any thereof in 
evidence. If only part of a deposition is offered in evidence by a 
party, an adverse party may require the introduction of any other part 
which ought in fairness to be considered with the part introduced and 
any party may introduce any other parts.



Sec.  1.429  Ex parte communications.

    (a) At no stage of the proceeding between its institution and 
issuance of the final decision shall an employee of the Department who 
is or may reasonably be expected to be involved in the decisional 
process of the proceeding discuss ex parte the merits of the proceeding 
with any person having an interest in the proceeding, or with any 
representative of such person: Provided, That, procedural matters and 
status reports shall not be included within this limitation; and 
Provided further, That an employee of the Department who is or may be 
involved in the decisional process of the proceeding may discuss the 
merits of the proceeding if all parties of record have been given notice 
and an opportunity to participate. A memorandum of any such discussion 
shall be included in the record.
    (b) No interested person shall make or knowingly cause to be made to 
the Judge an ex parte communication relevant to the merits of the 
proceeding.
    (c) If the Judge reviews an ex parte communication in violation of 
this section, the one who receives the communication shall place in the 
public record of the proceeding:
    (1) All such written communication;
    (2) Memoranda stating the substance of all such oral communications; 
and
    (3) All written responses, and memoranda stating the substance of 
all oral responses thereto.
    (d) Upon receipt of a communication knowingly made or knowingly 
caused to be made by a party in violation of this section, the Judge 
may, to the extent consistent with the interests of

[[Page 99]]

justice and the policy of the underlying statute, require the party to 
show cause why his claim or interest in the proceeding should not be 
dismissed, denied, disregarded, or otherwise adversely affected on 
account of such violation.
    (e) To the extent consistent with the interests of justice and the 
policy of the underlying statute, a violation of this section shall be 
sufficient grounds for a decision adverse to the party who knowingly 
commits a violation of this section or who knowingly causes such a 
violation to occur.
    (f) For purposes of this section ex parte communication means an 
oral or written communication not on the public record with respect to 
which reasonable prior notice to all parties is not given, but it shall 
not include requests for status reports on any matter or the proceeding.



    Subpart N_Policy With Regard to Indemnification of Department of 
                          Agriculture Employees

    Authority: 5 U.S.C. 301.

    Source: 69 FR 28042, May 18, 2004, unless otherwise noted.



Sec.  1.501  Policy on employee indemnification.

    (a) Indemnification, under the context of this section, shall be the 
policy whereby the Department of Agriculture compensates an employee for 
the legal consequences of conduct, taken within the scope of his or her 
employment, giving rise to a verdict, judgment, or other monetary award 
rendered against the employee.
    (b) The Department of Agriculture may indemnify a Department 
employee (which for the purposes of this regulation shall include a 
former employee) for any verdict, judgment, or other monetary award 
rendered against such employee, provided the Secretary or the 
Secretary's designee determines, in his or her discretion, that the 
conduct giving rise to such verdict, judgment, or award was taken within 
the scope of his or her employment with the Department, and such 
indemnification is in the interest of the United States.
    (c) The Department of Agriculture may pay for the settlement or 
compromise of a personal damage claim against a Department employee by 
the payment of available funds, at any time, provided that the Secretary 
or the Secretary's designee determines, in his or her discretion, that 
the alleged conduct giving rise to the personal damage claim was taken 
within the scope of the employee's employment, and such settlement or 
compromise is in the interest of the United States.
    (d) Absent exceptional circumstances, as determined by the Secretary 
or his or her designee, the Department will not entertain a request to 
agree to indemnify or pay for a settlement of a personal damage claim 
before entry of an adverse judgment, verdict, or other monetary award.
    (e) When a Department employee becomes aware that an action has been 
filed against the employee in his or her individual capacity as a result 
of conduct taken within the scope of his or her employment, the employee 
should immediately notify his or her supervisor that such an action is 
pending. The supervisor shall promptly thereafter notify the Office of 
the General Counsel.
    (f) A Department employee may request indemnification to satisfy a 
verdict, judgment, or monetary award entered against the employee or to 
satisfy the requirements of a settlement proposal. The employee shall 
submit a written request, with appropriate documentation that includes a 
copy of the verdict, judgment, award or settlement proposal, as 
appropriate, to the head of his or her employing component, who shall 
thereupon submit it to the General Counsel, in a timely manner, a 
recommended disposition of the request. The Office of the General 
Counsel shall seek the views of the Department of Justice. The Office of 
the General Counsel shall forward the employee's request, the employing 
component's recommendation, and the General Counsel's recommendation, 
along with the time frame in which a decision is needed, to the 
Secretary or his or her designee for decision. The Secretary or his or 
her designee will decide promptly whether to indemnify or pay

[[Page 100]]

for a settlement of a personal damage claim.
    (g) Any payment under this section to indemnify a Department 
employee for a personal damage verdict, judgment, or award or to settle 
a personal damage claim shall be contingent upon the availability of 
appropriated funds of the employing component of the United States 
Department of Agriculture.



            Subpart O_Conditions in FERC Hydropower Licenses

    Authority: 16 U.S.C. 797(e), 811, 823d.

    Source: 80 FR 17181, Mar. 31, 2015, unless otherwise noted.

                           General Provisions



Sec.  1.601  What is the purpose of this subpart, and to what 
license proceedings does it apply?

    (a) Hearing process. (1) The regulations in Sec. Sec.  1.601 through 
1.660 contain rules of practice and procedure applicable to hearings on 
disputed issues of material fact with respect to mandatory conditions 
that the Department of Agriculture, Forest Service (Forest Service) may 
develop for inclusion in a hydropower license issued under subchapter I 
of the Federal Power Act (FPA), 16 U.S.C. 791 et seq. The authority to 
develop these conditions is granted by FPA section 4(e), 16 U.S.C. 
797(e), which authorizes the Secretary of Agriculture to condition 
hydropower licenses issued by the Federal Energy Regulatory Commission 
(FERC).
    (2) The hearing process under this part does not apply to 
recommendations that the Forest Service may submit to FERC under FPA 
section 10(a), 16 U.S.C. 803(a).
    (3) The FPA also grants the Department of Commerce and the 
Department of the Interior the authority to develop mandatory conditions 
and prescriptions for inclusion in a hydropower license. Where the 
Forest Service and either or both of these other Departments develop 
conditions or prescriptions to be included in the same hydropower 
license and where the Departments agree to consolidate the hearings 
under Sec.  1.623:
    (i) A hearing conducted under this subpart will also address 
disputed issues of material fact with respect to any condition or 
prescription developed by one of the other Departments; or
    (ii) A hearing requested under this subpart will be conducted by one 
of the other Departments, pursuant to 43 CFR 45.1 et seq. or 50 CFR 
221.1 et seq., as applicable.
    (4) The regulations in Sec. Sec.  1.601 through 1.660 will be 
construed and applied to each hearing process to achieve a just and 
speedy determination, consistent with adequate consideration of the 
issues involved and the provisions of Sec.  1.660(a).
    (b) Alternatives process. The regulations in Sec. Sec.  1.670 
through 1.674 contain rules of procedure applicable to the submission 
and consideration of alternative conditions under FPA section 33, 16 
U.S.C. 823d. That section allows any party to the license proceeding to 
propose an alternative to a condition deemed necessary by the Forest 
Service under section 4(e).
    (c) Reserved authority. Where the Forest Service has notified or 
notifies FERC that it is reserving its authority to develop one or more 
conditions at a later time, the hearing and alternatives processes under 
this subpart for such conditions will be available if and when the 
Forest Service exercises its reserved authority.
    (d) Applicability. (1) This subpart applies to any hydropower 
license proceeding for which the license had not been issued as of 
November 17, 2005, and for which one or more preliminary conditions have 
been or are filed with FERC before FERC issues the license.
    (2) This subpart also applies to any exercise of the Forest 
Service's reserved authority under paragraph (c) of this section with 
respect to a hydropower license issued before or after November 17, 
2005.



Sec.  1.602  What terms are used in this subpart?

    As used in this subpart:
    ALJ means an administrative law judge appointed under 5 U.S.C. 3105 
and assigned to preside over the hearing process under this subpart.

[[Page 101]]

    Alternative means a condition that a license party other than the 
Forest Service or another Department develops as an alternative to a 
preliminary condition from the Forest Service or another Department, 
under FPA sec. 33, 16 U.S.C. 823d.
    Condition means a condition under FPA sec. 4(e), 16 U.S.C. 797(e), 
for the adequate protection and utilization of a reservation.
    Day means a calendar day.
    Department means the Department of Agriculture, Department of 
Commerce, or Department of the Interior.
    Discovery means a prehearing process for obtaining facts or 
information to assist a party in preparing or presenting its case.
    Ex parte communication means an oral or written communication to the 
ALJ that is made without providing all parties reasonable notice and an 
opportunity to participate.
    FERC means the Federal Energy Regulatory Commission.
    Forest Service means the USDA Forest Service.
    FPA means the Federal Power Act, 16 U.S.C. 791 et seq.
    Hearing Clerk means the Hearing Clerk, OALJ, USDA, 1400 Independence 
Ave., SW., Washington, DC 20250; phone: 202-720-4443, facsimile: 202-
720-9776.
    Intervention means a process by which a person who did not request a 
hearing under Sec.  1.621 can participate as a party to the hearing 
under Sec.  1.622.
    License party means a party to the license proceeding, as that term 
is defined at 18 CFR 385.102(c).
    License proceeding means a proceeding before FERC for issuance of a 
license for a hydroelectric facility under 18 CFR part 4 or 5.
    Material fact means a fact that, if proved, may affect a 
Department's decision whether to affirm, modify, or withdraw any 
condition or prescription.
    Modified condition or prescription means any modified condition or 
prescription filed by a Department with FERC for inclusion in a 
hydropower license.
    NEPA document means an environmental document as defined at 40 CFR 
1508.10 to include an environmental assessment, environmental impact 
statement (EIS), finding of no significant impact, and notice of intent 
to prepare an EIS. Such documents are issued to comply with the 
requirements of the National Environmental Policy Act of 1969, 42 U.S.C. 
4321 et seq., and the CEQ Regulations Implementing the Procedural 
Requirements of NEPA (40 CFR parts 21500-1508).
    NFS means the National Forest System and refers to:
    (1) Federal land managed by the Forest Service; and
    (2) The Deputy Chief of the National Forest System, located in the 
Forest Service's Washington, DC, office.
    Office of Administrative Law Judges (OALJ) is the office within USDA 
in which ALJs conduct hearings under the regulations in this subpart.
    Party means, with respect to USDA's hearing process:
    (1) A license party that has filed a timely request for a hearing 
under:
    (i) Section 1.621; or
    (ii) Either 43 CFR 45.21 or 50 CFR 221.21, with respect to a hearing 
process consolidated under Sec.  1.623;
    (2) A license party that has filed a timely notice of intervention 
and response under:
    (i) Section 1.622; or
    (ii) Either 43 CFR 45.22 or 50 CFR 221.22, with respect to a hearing 
process consolidated under Sec.  1.623;
    (3) The Forest Service; and
    (4) Any other Department that has filed a preliminary condition or 
prescription, with respect to a hearing process consolidated under Sec.  
1.623.
    Person means an individual; a partnership, corporation, association, 
or other legal entity; an unincorporated organization; and any Federal, 
State, Tribal, county, district, territorial, or local government or 
agency.
    Preliminary condition or prescription means any preliminary 
condition or prescription filed by a Department with FERC for potential 
inclusion in a hydropower license.
    Prescription means a fishway prescribed under FPA sec. 18, 16 U.S.C. 
811, to provide for the safe, timely, and effective passage of fish.
    Representative means a person who:

[[Page 102]]

    (1) Is authorized by a party to represent the party in a hearing 
process under this subpart; and
    (2) Has filed an appearance under Sec.  1.610.
    Reservation has the same meaning as the term ``reservations'' in FPA 
sec. 3(2), 16 U.S.C. 796(2).
    Secretary means the Secretary of Agriculture or his or her designee.
    Senior Department employee has the same meaning as the term ``senior 
employee'' in 5 CFR 2637.211(a).
    USDA means the United States Department of Agriculture.
    You refers to a party other than a Department.



Sec.  1.603  How are time periods computed?

    (a) General. Time periods are computed as follows:
    (1) The day of the act or event from which the period begins to run 
is not included.
    (2) The last day of the period is included.
    (i) If that day is a Saturday, Sunday, or Federal holiday, the 
period is extended to the next business day.
    (ii) The last day of the period ends at 5 p.m. at the place where 
the filing or other action is due.
    (3) If the period is less than 7 days, any Saturday, Sunday, or 
Federal holiday that falls within the period is not included.
    (b) Extensions of time. (1) No extension of time can be granted to 
file a request for a hearing under Sec.  1.621, a notice of intervention 
and response under Sec.  1.622, an answer under Sec.  1.625, or any 
document under Sec. Sec.  1.670 through 1.674.
    (2) An extension of time to file any other document under this 
subpart may be granted only upon a showing of good cause.
    (i) To request an extension of time, a party must file a motion 
under Sec.  1.635 stating how much additional time is needed and the 
reasons for the request.
    (ii) The party must file the motion before the applicable time 
period expires, unless the party demonstrates extraordinary 
circumstances that justify a delay in filing.
    (iii) The ALJ may grant the extension only if:
    (A) It would not unduly prejudice other parties; and
    (B) It would not delay the decision under Sec.  1.660.



Sec.  1.604  What deadlines apply to the trial-type hearing 
and alternatives processes?

    (a) The following table summarizes the steps in the trial-type 
hearing process under this subpart and indicates the deadlines generally 
applicable to each step. If the deadlines in this table are in any way 
inconsistent with the deadlines as set by other sections of this subpart 
or by the ALJ, the deadlines as set by those other sections or by the 
ALJ control.

----------------------------------------------------------------------------------------------------------------
             Process step                Process day    Must generally be completed           See section
----------------------------------------------------------------------------------------------------------------
(1) Forest Service files preliminary                0  .............................  1.620.
 condition(s) with FERC.
(2) License party files request for                30  Within 30 days after Forest    1.621(a).
 hearing.                                               Service files preliminary
                                                        condition(s) with FERC.
(3) Any other license party files                  50  Within 20 days after deadline  1.622(a).
 notice of intervention and response.                   for filing requests for
                                                        hearing.
(4) NFS refers case to ALJ office for              85  Within 55 days after deadline  1.626(a).
 hearing and issues referral notice                     for filing requests for
 to parties.                                            hearing.
(5) Parties may meet and agree to               86-91  Before deadline for filing     1.641(a).
 discovery (optional step).                             motions seeking discovery.
(6) ALJ office sends docketing                     90  Within 5 days after effective  1.630.
 notice, and ALJ issues notice                          date of referral notice.
 setting date for initial prehearing
 conference.
(7) Party files motion seeking                     92  Within 7 days after effective  1.641(d).
 discovery from another party.                          date of referral notice.
(8) Other party files objections to                99  Within 7 days after service    1.641(e).
 discovery motion or specific                           of discovery motion.
 portions of discovery requests.
(9) Parties meet to discuss discovery         100-104  Before date set for initial    1.640(d).
 and hearing schedule.                                  prehearing conference.
(10) ALJ conducts initial prehearing              105  On or about 20th day after     1.640(a).
 conference.                                            effective date of referral
                                                        notice.

[[Page 103]]

 
(11) ALJ issues order following                   107  Within 2 days after initial    1.640(g).
 initial prehearing conference.                         prehearing conference.
(12) Party responds to                         120-22  Within 15 days after ALJ's     1.643(c).
 interrogatories from another party                     order authorizing discovery
 as authorized by ALJ.                                  during or following initial
                                                        prehearing conference.
(13) Party responds to requests for            120-22  Within 15 days after ALJ's     1.645(c).
 documents, etc., from another party                    order authorizing discovery
 as authorized by ALJ.                                  during or following initial
                                                        prehearing conference.
(14) Parties complete all discovery,              130  Within 25 days after initial   1.641(i).
 including depositions, as authorized                   prehearing conference.
 by ALJ.
(15) Parties file updated lists of                140  Within 10 days after deadline  1.642(b).
 witnesses and exhibits.                                for completion of discovery.
(16) Parties file written direct                  140  Within 10 days after deadline  1.652(a).
 testimony.                                             for completion of discovery.
(17) Parties complete prehearing                  155  Within 25 days after deadline  1.650(a).
 preparation and ALJ commences                          for completion of discovery.
 hearing.
(18) ALJ closes hearing record.......             160  When ALJ closes hearing......  1.658.
(19) Parties file post-hearing briefs             175  Within 15 days after hearing   1.659(a).
                                                        closes.
(20) ALJ issues decision.............             190  Within 30 days after hearing   1.660(a).
                                                        closes.
----------------------------------------------------------------------------------------------------------------

    (b) The following table summarizes the steps in the alternatives 
process under this subpart and indicates the deadlines generally 
applicable to each step. If the deadlines in this table are in any way 
inconsistent with the deadlines as set by other sections of this 
subpart, the deadlines as set by those other sections control.

----------------------------------------------------------------------------------------------------------------
             Process step                Process day    Must generally be completed           See section
----------------------------------------------------------------------------------------------------------------
(1) Forest Service files preliminary                0  .............................  1.620.
 condition(s) with FERC.
(2) License party files alternative                30  Within 30 days after Forest    1.671(a).
 condition(s).                                          Service files preliminary
                                                        condition(s) with FERC.
(3) ALJ issues decision on any                    190  Within 30 days after hearing   1.660(a).
 hearing request.                                       closes (see previous table).
(4) License party files revised                   210  Within 20 days after ALJ       1.672(a).
 alternative condition(s) if                            issues decision.
 authorized.
(5) Forest Service files modified                 300  Within 60 days after the       1.673(a).
 condition(s) with FERC.                                deadline for filing comments
                                                        on FERC's draft NEPA
                                                        document.
----------------------------------------------------------------------------------------------------------------

                             Hearing Process

                             Representatives



Sec.  1.610  Who may represent a party, and what requirements 
apply to a representative?

    (a) Individuals. A party who is an individual may either represent 
himself or herself in the hearing process under this subpart or 
authorize an attorney to represent him or her.
    (b) Organizations. A party that is an organization or other entity 
may authorize one of the following to represent it:
    (1) An attorney;
    (2) A partner, if the entity is a partnership;
    (3) An officer or agent, if the entity is a corporation, 
association, or unincorporated organization;
    (4) A receiver, administrator, executor, or similar fiduciary, if 
the entity is a receivership, trust, or estate; or
    (5) An elected or appointed official or an employee, if the entity 
is a Federal, State, Tribal, county, district, territorial, or local 
government or component.
    (c) Appearance. An individual representing himself or herself and 
any other representative must file a notice of appearance. The notice 
must:
    (1) Meet the form and content requirements for documents under Sec.  
1.611;
    (2) Include the name and address of the party on whose behalf the 
appearance is made;
    (3) If the representative is an attorney, include a statement that 
he or she is a member in good standing of the bar of the highest court 
of a state, the District of Columbia, or any territory or

[[Page 104]]

commonwealth of the United States (identifying which one); and
    (4) If the representative is not an attorney, include a statement 
explaining his or her authority to represent the entity.
    (d) Lead representative. If a party has more than one 
representative, the ALJ may require the party to designate a lead 
representative for service of documents under Sec.  1.613.
    (e) Disqualification. The ALJ may disqualify any representative for 
misconduct or other good cause.

                       Document Filing and Service



Sec.  1.611  What are the form and content requirements for 
documents under this subpart?

    (a) Form. Each document filed in a case under Sec. Sec.  1.610 
through 1.660 must:
    (1) Measure 8\1/2\ by 11 inches, except that a table, chart, 
diagram, or other attachment may be larger if folded to 8\1/2\ by 11 
inches and attached to the document;
    (2) Be printed on just one side of the page (except that service 
copies may be printed on both sides of the page);
    (3) Be clearly typewritten, printed, or otherwise reproduced by a 
process that yields legible and permanent copies;
    (4) Use 11 point font size or larger;
    (5) Be double-spaced except for footnotes and long quotations, which 
may be single-spaced;
    (6) Have margins of at least 1 inch; and
    (7) Be bound on the left side, if bound.
    (b) Caption. Each document filed under Sec. Sec.  1.610 through 
1.660 must begin with a caption that sets forth:
    (1) The name of the case under Sec. Sec.  1.610 through 1.660 and 
the docket number, if one has been assigned;
    (2) The name and docket number of the license proceeding to which 
the case under Sec. Sec.  1.610 through 1.660 relates; and
    (3) A descriptive title for the document, indicating the party for 
whom it is filed and the nature of the document.
    (c) Signature. The original of each document filed under Sec. Sec.  
1.610 through 1.660 must be signed by the representative of the person 
for whom the document is filed. The signature constitutes a 
certification by the representative that he or she has read the 
document; that to the best of his or her knowledge, information, and 
belief, the statements made in the document are true; and that the 
document is not being filed for the purpose of causing delay.
    (d) Contact information. Below the representative's signature, the 
document must provide the representative's name, mailing address, street 
address (if different), telephone number, facsimile number (if any), and 
electronic mail address (if any).



Sec.  1.612  Where and how must documents be filed?

    (a) Place of filing. Any documents relating to a case under 
Sec. Sec.  1.610 through 1.660 must be filed with the appropriate 
office, as follows:
    (1) Before NFS refers a case for docketing under Sec.  1.626, any 
documents must be filed with NFS by directing them to the ``Deputy 
Chief, NFS.''
    (i) For delivery by regular mail, address to USDA Forest Service, 
Attn: Lands Staff, Mail Stop 1124, 1400 Independence Ave. SW., 
Washington, DC 20250-1124.
    (ii) For delivery by hand or private carrier, deliver to USDA Forest 
Service, Yates Bldg. (4 SO), 201 14th Street SW., Washington, DC (SW. 
corner of 14th Street and Independence Ave. SW.); phone (202) 205-1248; 
facsimile (703) 605-5117. Hand deliverers must obtain an official date-
time-stamp from Lands Staff.
    (2) The Forest Service will notify the parties of the date on which 
NFS refers a case for docketing under Sec.  1.626. After that date, any 
documents must be filed with:
    (i) The Hearing Clerk, if OALJ will be conducting the hearing. The 
Hearing Clerk's address, telephone number, and facsimile number are set 
forth in Sec.  1.602; or
    (ii) The hearings component of or used by another Department, if 
that Department will be conducting the hearing. The name, address, 
telephone number, and facsimile number of the appropriate hearings 
component will be provided in the referral notice from the Forest 
Service.

[[Page 105]]

    (b) Method of filing. (1) A document must be filed with the 
appropriate office under paragraph (a) of this section using one of the 
following methods:
    (i) By hand delivery of the original document and two copies;
    (ii) By sending the original document and two copies by express mail 
or courier service; or
    (iii) By sending the document by facsimile if:
    (A) The document is 20 pages or less, including all attachments;
    (B) The sending facsimile machine confirms that the transmission was 
successful; and
    (C) The original of the document and two copies are sent by regular 
mail on the same day.
    (2) Parties are encouraged, and may be required by the ALJ, to 
supplement any filing by providing the appropriate office with an 
electronic copy of the document on compact disc or other suitable media. 
With respect to any supporting material accompanying a request for 
hearing, a notice of intervention and response, or an answer, the party 
may submit in lieu of an original and two hard copies:
    (i) An original; and
    (ii) One copy on a compact disc or other suitable media.
    (c) Date of filing. A document under this subpart is considered 
filed on the date it is received. However, any document received after 5 
p.m. at the place where the filing is due is considered filed on the 
next regular business day.
    (d) Nonconforming documents. If any document submitted for filing 
under this subpart does not comply with the requirements of this subpart 
or any applicable order, it may be rejected.



Sec.  1.613  What are the requirements for service of documents?

    (a) Filed documents. Any document related to a case under Sec. Sec.  
1.610 through 1.660 must be served at the same time the document is 
delivered or sent for filing. Copies must be served as follows:
    (1) A complete copy of any request for a hearing under Sec.  1.621 
must be delivered or sent to FERC and each license party, using one of 
the methods of service in paragraph (c) of this section or under 18 CFR 
385.2010(f)(3) for license parties that have agreed to receive 
electronic service.
    (2) A complete copy of any notice of intervention and response under 
Sec.  1.622 must be:
    (i) Delivered or sent to FERC, the license applicant, any person who 
has filed a request for hearing under Sec.  1.621, and the Forest 
Service office that submitted the preliminary conditions to FERC, using 
one of the methods of service in paragraph (c) of this section; and
    (ii) Delivered or sent to any other license party using one of the 
methods of service in paragraph (c) of this section or under 18 CFR 
385.2010(f)(3) for license parties that have agreed to receive 
electronic service, or by regular mail.
    (3) A complete copy of any answer or notice under Sec.  1.625 and 
any other document filed by any party to the hearing process must be 
delivered or sent to every other party to the hearing process, using one 
of the methods of service in paragraph (c) of this section.
    (b) Documents issued by the Hearing Clerk or ALJ. A complete copy of 
any notice, order, decision, or other document issued by the Hearing 
Clerk or the ALJ under Sec. Sec.  1.610 through 1.660 must be served on 
each party, using one of the methods of service in paragraph (c) of this 
section.
    (c) Method of service. Unless otherwise agreed to by the parties and 
ordered by the ALJ, service must be accomplished by one of the following 
methods:
    (1) By hand delivery of the document;
    (2) By sending the document by express mail or courier service for 
delivery on the next business day;
    (3) By sending the document by facsimile if:
    (i) The document is 20 pages or less, including all attachments;
    (ii) The sending facsimile machine confirms that the transmission 
was successful; and
    (iii) The document is sent by regular mail on the same day; or
    (4) By sending the document, including all attachments, by 
electronic means if the party to be served has consented to that means 
of service in writing. However, if the serving party learns that the 
document did not reach the party to be served, the serving party must 
re-serve the document by

[[Page 106]]

another method set forth in paragraph (c) of this section (including 
another electronic means, if the party to be served has consented to 
that means in writing).
    (d) Certificate of service. A certificate of service must be 
attached to each document filed under Sec. Sec.  1.610 through 1.660. 
The certificate must be signed by the party's representative and include 
the following information:
    (1) The name, address, and other contact information of each party's 
representative on whom the document was served;
    (2) The means of service, including information indicating 
compliance with paragraph (c)(3) or (c)(4) of this section, if 
applicable; and
    (3) The date of service.

                      Initiation of Hearing Process



Sec.  1.620  What supporting information must the Forest Service 
provide with its preliminary conditions?

    (a) Supporting information. (1) When the Forest Service files its 
preliminary conditions with FERC, it must include a rationale for each 
condition, explaining why the Forest Service deems the condition 
necessary for the adequate protection and utilization of the affected 
NFS lands, and an index to the Forest Service's administrative record 
that identifies all documents relied upon.
    (2) If any of the documents relied upon are not already in the 
license proceeding record, the Forest Service must:
    (i) File them with FERC at the time it files its preliminary 
conditions; and
    (ii) Provide copies to the license applicant.
    (b) Service. The Forest Service will serve copies of its preliminary 
conditions on each license party.



Sec.  1.621  How do I request a hearing?

    (a) General. To request a hearing on disputed issues of material 
fact with respect to any preliminary condition filed by the Forest 
Service, you must:
    (1) Be a license party; and
    (2) File with NFS, at the appropriate address provided in Sec.  
1.612(a)(1), a written request for a hearing:
    (i) For a case under Sec.  1.601(d)(1), within 30 days after the 
Forest Service files a preliminary condition with FERC; or
    (ii) For a case under Sec.  1.601(d)(2), within 60 days after the 
Forest Service files a preliminary condition with FERC.
    (b) Content. Your hearing request must contain:
    (1) A numbered list of the factual issues that you allege are in 
dispute, each stated in a single, concise sentence;
    (2) The following information with respect to each issue:
    (i) The specific factual statements made or relied upon by the 
Forest Service under Sec.  1.620(a) that you dispute;
    (ii) The basis for your opinion that those factual statements are 
unfounded or erroneous; and
    (iii) The basis for your opinion that any factual dispute is 
material.
    (3) With respect to any scientific studies, literature, and other 
documented information supporting your opinions under paragraphs 
(b)(2)(ii) and (b)(2)(iii) of this section, specific citations to the 
information relied upon. If any such document is not already in the 
license proceeding record, you must provide a copy with the request; and
    (4) A statement indicating whether or not you consent to service by 
electronic means under Sec.  1.613(c)(4) and, if so, by what means.
    (c) Witnesses and exhibits. Your hearing request must also list the 
witnesses and exhibits that you intend to present at the hearing, other 
than solely for impeachment purposes.
    (1) For each witness listed, you must provide:
    (i) His or her name, address, telephone number, and qualifications; 
and
    (ii) A brief narrative summary of his or her expected testimony.
    (2) For each exhibit listed, you must specify whether it is in the 
license proceeding record.
    (d) Page limits. (1) For each disputed factual issue, the 
information provided under paragraph (b)(2) of this section may not 
exceed two pages.
    (2) For each witness, the information provided under paragraph 
(c)(1) of this section may not exceed one page.

[[Page 107]]



Sec.  1.622  How do I file a notice of intervention and response?

    (a) General. (1) To intervene as a party to the hearing process, you 
must:
    (i) Be a license party; and
    (ii) File with NFS, at the appropriate address provided in Sec.  
1.612(a)(1), a notice of intervention and a written response to any 
request for a hearing within 20 days after the deadline in Sec.  
1.621(a)(2).
    (2) A notice of intervention and response must be limited to one or 
more of the issues of material fact raised in the hearing request and 
may not raise additional issues.
    (b) Content. In your notice of intervention and response you must 
explain your position with respect to the issues of material fact raised 
in the hearing request under Sec.  1.621(b).
    (1) If you agree with the information provided by the Forest Service 
under Sec.  1.620(a) or by the requester under Sec.  1.621(b), your 
response may refer to the Forest Service's explanation or the 
requester's hearing request for support.
    (2) If you wish to rely on additional information or analysis, your 
response must provide the same level of detail with respect to the 
additional information or analysis as required under Sec.  1.621(b).
    (3) Your notice of intervention and response must also indicate 
whether or not you consent to service by electronic means under Sec.  
1.613(c)(4) and, if so, by what means.
    (c) Witnesses and exhibits. Your response and notice must also list 
the witnesses and exhibits that you intend to present at the hearing, 
other than solely for impeachment purposes.
    (1) For each witness listed, you must provide:
    (i) His or her name, address, telephone number, and qualifications; 
and
    (ii) A brief narrative summary of his or her expected testimony; and
    (2) For each exhibit listed, you must specify whether it is in the 
license proceeding record.
    (d) Page limits. (1) For each disputed factual issue, the 
information provided under paragraph (b) of this section (excluding 
citations to scientific studies, literature, and other documented 
information supporting your opinions) may not exceed two pages.
    (2) For each witness, the information provided under paragraph 
(c)(1) of this section may not exceed one page.



Sec.  1.623  Will hearing requests be consolidated?

    (a) Initial Department coordination. If NFS has received a copy of a 
hearing request, it must contact the other Departments and determine:
    (1) Whether any of the other Departments has also filed a 
preliminary condition or prescription relating to the license with FERC; 
and
    (2) If so, whether the other Department has also received a hearing 
request with respect to the preliminary condition or prescription.
    (b) Decision on consolidation. Where more than one Department has 
received a hearing request, the Departments involved must decide 
jointly:
    (1) Whether the cases should be consolidated for hearing under 
paragraphs (c)(3)(ii) through (iv) of this section; and
    (2) If so, which Department will conduct the hearing on their 
behalf.
    (c) Criteria. Cases will or may be consolidated as follows:
    (1) All hearing requests with respect to any conditions from the 
same Department will be consolidated for hearing.
    (2) All hearing requests with respect to any prescriptions from the 
same Department will be consolidated for hearing.
    (3) All or any portion of the following may be consolidated for 
hearing, if the Departments involved determine that there are common 
issues of material fact or that consolidation is otherwise appropriate:
    (i) Two or more hearing requests with respect to any condition and 
any prescription from the same Department;
    (ii) Two or more hearing requests with respect to conditions from 
different Departments;
    (iii) Two or more hearing requests with respect to prescriptions 
from different Departments; or
    (iv) Two or more hearing requests with respect to any condition from 
one Department and any prescription from another Department.

[[Page 108]]



Sec.  1.624  Can a hearing process be stayed to allow for 
settlement discussions?

    (a) Prior to referral to the ALJ, the hearing requester and the 
Forest Service may by agreement stay the hearing process under this 
subpart for a period not to exceed 120 days to allow for settlement 
discussions, if the stay period and any subsequent hearing process (if 
required) can be accommodated within the time frame established for the 
license proceeding.
    (b) Any stay of the hearing process will not affect the deadline for 
filing a notice of intervention and response, if any, pursuant to Sec.  
1.622(a)(1)(ii).



Sec.  1.625  How will the Forest Service respond to any 
hearing requests?

    (a) General. NFS will determine whether to answer any hearing 
request under Sec.  1.621 on behalf of the Forest Service.
    (b) Content. If NFS answers a hearing request:
    (1) For each of the numbered factual issues listed under Sec.  
1.621(b)(1), NFS's answer must explain the Forest Service's position 
with respect to the issues of material fact raised by the requester, 
including one or more of the following statements as appropriate:
    (i) That the Forest Service is willing to stipulate to the facts as 
alleged by the requester;
    (ii) That the Forest Service believes the issue listed by the 
requester is not a factual issue, explaining the basis for such belief;
    (iii) That the Forest Service believes the issue listed by the 
requester is not material, explaining the basis for such belief; or
    (iv) That the Forest Service agrees that the issue is factual, 
material, and in dispute.
    (2) NFS's answer must also indicate whether the hearing request will 
be consolidated with one or more other hearing requests under Sec.  
1.623 and, if so:
    (i) Identify any other hearing request that will be consolidated 
with this hearing request; and
    (ii) State which Department will conduct the hearing and provide 
contact information for the appropriate Department hearings component.
    (3) If the Forest Service plans to rely on any scientific studies, 
literature, and other documented information that are not already in the 
license proceeding record, a copy of each item must be provided with 
NFS's answer.
    (4) NFS's answer must also indicate whether or not the Forest 
Service consents to service by electronic means under Sec.  1.613(c)(4) 
and, if so, by what means.
    (c) Witnesses and exhibits. NFS's answer must also contain a list of 
the Forest Service's witnesses and exhibits that the Forest Service 
intends to present at the hearing, other than solely for impeachment 
purposes.
    (1) For each witness listed, the Forest Service must provide:
    (i) His or her name, address, telephone number, and qualifications; 
and
    (ii) A brief narrative summary of his or her expected testimony.
    (2) For each exhibit listed, the Forest Service must specify whether 
it is in the license proceeding record.
    (d) Page limits. (1) For each disputed factual issue, the 
information provided under paragraph (b)(1) of this section may not 
exceed two pages.
    (2) For each witness, the information provided under paragraph 
(c)(1) of this section may not exceed one page.
    (e) Notice in lieu of answer. If NFS elects not to answer a hearing 
request:
    (1) The Forest Service is deemed to agree that the issues listed by 
the requester are factual, material, and in dispute;
    (2) The Forest Service may file a list of witnesses and exhibits 
with respect to the request only as provided in Sec.  1.642(b); and
    (3) NFS must include with its case referral under Sec.  1.623 a 
notice in lieu of answer containing the information required by 
paragraph (b)(2) of this section, if the hearing request will be 
consolidated with one or more other hearing requests under Sec.  1.623, 
and the statement required by paragraph (b)(4) of this section.



Sec.  1.626  What will the Forest Service do with any hearing 
requests?

    (a) Case referral. Within 55 days after the deadline in Sec.  
1.621(a)(2) or 35 days after the expiration of any stay period under 
Sec.  1.624, whichever is later, NFS

[[Page 109]]

will refer the case for a hearing as follows:
    (1) If the hearing is to be conducted by USDA, NFS will refer the 
case to the OALJ.
    (2) If the hearing is to be conducted by another Department, NFS 
will refer the case to the hearings component used by that Department.
    (b) Content. The case referral will consist of the following:
    (1) Two copies of any preliminary condition under Sec.  1.620;
    (2) The original and one copy of any hearing request under Sec.  
1.621;
    (3) The original and one copy of any notice of intervention and 
response under Sec.  1.622;
    (4) The original and one copy of any answer or notice in lieu of 
answer under Sec.  1.625; and
    (5) The original and one copy of a referral notice under paragraph 
(c) of this section.
    (c) Notice. At the time NFS refers the case for a hearing, it must 
provide a referral notice that contains the following information:
    (1) The name, address, telephone number, and facsimile number of the 
Department hearings component that will conduct the hearing;
    (2) The name, address, and other contact information for the 
representative of each party to the hearing process;
    (3) An identification of any other hearing request that will be 
consolidated with this hearing request; and
    (4) The effective date of the case referral to the appropriate 
Department hearings component.
    (d) Delivery and service. (1) NFS must refer the case to the 
appropriate Department hearings component by one of the methods 
identified in Sec.  1.612(b)(1)(i) and (b)(1)(ii).
    (2) The Forest Service must serve a copy of the referral notice on 
FERC and each party to the hearing by one of the methods identified in 
Sec.  1.613(c)(1) and (c)(2).



Sec.  1.627  What regulations apply to a case referred for a hearing?

    (a) If NFS refers the case to the OALJ, these regulations will 
continue to apply to the hearing process.
    (b) If NFS refers the case to the Department of Interior's Office of 
Hearing and Appeals, the regulations at 43 CFR 45.1 et seq. will apply 
from that point on.
    (c) If NFS refers the case to the Department of Commerce's 
designated ALJ office, the regulations at 50 CFR 221.1 et seq. will 
apply from that point on.

                 General Provisions Related to Hearings



Sec.  1.630  What will OALJ do with a case referral?

    Within 5 days after the effective date stated in the referral notice 
under Sec.  1.626(c)(4), 43 CFR 45.26(c)(4), or 50 CFR 221.26(c)(4):
    (a) The Hearing Clerk must:
    (1) Docket the case;
    (2) Assign an ALJ to preside over the hearing process and issue a 
decision; and
    (3) Issue a docketing notice that informs the parties of the docket 
number and the ALJ assigned to the case; and
    (b) The ALJ must issue a notice setting the time, place, and method 
for conducting an initial prehearing conference under Sec.  1.640. This 
notice may be combined with the docketing notice under paragraph (a)(3) 
of this section.



Sec.  1.631  What are the powers of the ALJ?

    The ALJ will have all powers necessary to conduct a fair, orderly, 
expeditious, and impartial hearing process relating to Forest Service's 
or other Department's condition or prescription that has been referred 
to the ALJ for hearing, including the powers to:
    (a) Administer oaths and affirmations;
    (b) Issue subpoenas under Sec.  1.647;
    (c) Shorten or enlarge time periods set forth in these regulations, 
except that the deadline in Sec.  1.660(a)(2) can be extended only if 
the ALJ must be replaced under Sec.  1.632 or 1.633;
    (d) Rule on motions;
    (e) Authorize discovery as provided for in Sec. Sec.  1.641 through 
1.647;
    (f) Hold hearings and conferences;
    (g) Regulate the course of hearings;
    (h) Call and question witnesses;
    (i) Exclude any person from a hearing or conference for misconduct 
or other good cause;

[[Page 110]]

    (j) Summarily dispose of any hearing request or issue as to which 
the ALJ determines there is no disputed issue of material fact;
    (k) Issue a decision consistent with Sec.  1.660(b) regarding any 
disputed issue of material fact; and
    (l) Take any other action authorized by law.



Sec.  1.632  What happens if the ALJ becomes unavailable?

    (a) If the ALJ becomes unavailable or otherwise unable to perform 
the duties described in Sec.  1.631, the Hearing Clerk will designate a 
successor.
    (b) If a hearing has commenced and the ALJ cannot proceed with it, a 
successor ALJ may do so. At the request of a party, the successor ALJ 
may recall any witness whose testimony is material and disputed, and who 
is available to testify again without undue burden. The successor ALJ 
may, within his or her discretion, recall any other witness.



Sec.  1.633  Under what circumstances may the ALJ be disqualified?

    (a) The ALJ may withdraw from a case at any time the ALJ deems 
himself or herself disqualified.
    (b) At any time before issuance of the ALJ's decision, any party may 
move that the ALJ disqualify himself or herself for personal bias or 
other valid cause.
    (1) The party must file the motion promptly after discovering facts 
or other reasons allegedly constituting cause for disqualification.
    (2) The party must file with the motion an affidavit or declaration 
setting forth the facts or other reasons in detail.
    (c) The ALJ must rule upon the motion, stating the grounds for the 
ruling.
    (1) If the ALJ concludes that the motion is timely and meritorious, 
he or she must disqualify himself or herself and withdraw from the case.
    (2) If the ALJ does not disqualify himself or herself and withdraw 
from the case, the ALJ must continue with the hearing process and issue 
a decision.



Sec.  1.634  What is the law governing ex parte communications?

    (a) Ex parte communications with the ALJ or his or her staff are 
prohibited in accordance with 5 U.S.C. 554(d).
    (b) This section does not prohibit ex parte inquiries concerning 
case status or procedural requirements, unless the inquiry involves an 
area of controversy in the hearing process.



Sec.  1.635  What are the requirements for motions?

    (a) General. Any party may apply for an order or ruling on any 
matter related to the hearing process by presenting a motion to the ALJ. 
A motion may be presented any time after the Hearing Clerk issues a 
docketing notice under Sec.  1.630.
    (1) A motion made at a hearing may be stated orally on the record, 
unless the ALJ directs that it be reduced to writing.
    (2) Any other motion must:
    (i) Be in writing;
    (ii) Comply with the requirements of Sec. Sec.  1.610 through 1.613 
with respect to form, content, filing, and service; and
    (iii) Not exceed 15 pages, including all supporting arguments.
    (b) Content. (1) Each motion must state clearly and concisely:
    (i) Its purpose and the relief sought;
    (ii) The facts constituting the grounds for the relief sought; and
    (iii) Any applicable statutory or regulatory authority.
    (2) A proposed order must accompany the motion.
    (c) Response. Except as otherwise required by this part, any other 
party may file a response to a written motion within 10 days after 
service of the motion. The response may not exceed 15 pages, including 
all supporting arguments. When a party presents a motion at a hearing, 
any other party may present a response orally on the record.
    (d) Reply. Unless the ALJ orders otherwise, no reply to a response 
may be filed.
    (e) Effect of filing. Unless the ALJ orders otherwise, the filing of 
a motion does not stay the hearing process.
    (f) Ruling. The ALJ will rule on the motion as soon as practicable, 
either orally on the record or in writing. He

[[Page 111]]

or she may summarily deny any dilatory, repetitive, or frivolous motion.

                  Prehearing Conferences and Discovery



Sec.  1.640  What are the requirements for prehearing conferences?

    (a) Initial prehearing conference. The ALJ will conduct an initial 
prehearing conference with the parties at the time specified in the 
notice under Sec.  1.630, on or about the 20th day after the effective 
date stated in the referral notice under Sec.  1.626(c)(4), 43 CFR 
45.26(c)(4), or 50 CFR 221.26(c)(4).
    (1) The initial prehearing conference will be used:
    (i) To identify, narrow, and clarify the disputed issues of material 
fact and exclude issues that do not qualify for review as factual, 
material, and disputed;
    (ii) To consider the parties' motions for discovery under Sec.  
1.641 and to set a deadline for the completion of discovery;
    (iii) To discuss the evidence on which each party intends to rely at 
the hearing;
    (iv) To set deadlines for submission of written testimony under 
Sec.  1.652 and exchange of exhibits to be offered as evidence under 
Sec.  1.654; and
    (v) To set the date, time, and place of the hearing.
    (2) The initial prehearing conference may also be used:
    (i) To discuss limiting and grouping witnesses to avoid duplication;
    (ii) To discuss stipulations of fact and of the content and 
authenticity of documents;
    (iii) To consider requests that the ALJ take official notice of 
public records or other matters;
    (iv) To discuss the submission of written testimony, briefs, or 
other documents in electronic form; and
    (v) To consider any other matters that may aid in the disposition of 
the case.
    (b) Other conferences. The ALJ may in his or her discretion direct 
the parties to attend one or more other prehearing conferences, if 
consistent with the need to complete the hearing process within 90 days. 
Any party may by motion request a conference.
    (c) Notice. The ALJ must give the parties reasonable notice of the 
time and place of any conference. A conference will ordinarily be held 
by telephone, unless the ALJ orders otherwise.
    (d) Preparation. (1) Each party's representative must be fully 
prepared to discuss all issues pertinent to that party that are properly 
before the conference, both procedural and substantive. The 
representative must be authorized to commit the party that he or she 
represents respecting those issues.
    (2) Before the date set for the initial prehearing conference, the 
parties' representatives must make a good faith effort:
    (i) To meet in person, by telephone, or by other appropriate means; 
and
    (ii) To reach agreement on discovery and the schedule of remaining 
steps in the hearing process.
    (e) Failure to attend. Unless the ALJ orders otherwise, a party that 
fails to attend or participate in a conference, after being served with 
reasonable notice of its time and place, waives all objections to any 
agreements reached in the conference and to any consequent orders or 
rulings.
    (f) Scope. During a conference, the ALJ may dispose of any 
procedural matters related to the case.
    (g) Order. Within 2 days after the conclusion of each conference, 
the ALJ must issue an order that recites any agreements reached at the 
conference and any rulings made by the ALJ during or as a result of the 
conference.



Sec.  1.641  How may parties obtain discovery of information 
needed for the case?

    (a) General. By agreement of the parties or with the permission of 
the ALJ, a party may obtain discovery of information to assist the party 
in preparing or presenting its case. Available methods of discovery are:
    (1) Written interrogatories as provided in Sec.  1.643;
    (2) Depositions of witnesses as provided in paragraph (h) of this 
section; and
    (3) Requests for production of designated documents or tangible 
things

[[Page 112]]

or for entry on designated land for inspection or other purposes.
    (b) Criteria. Discovery may occur only as agreed to by the parties 
or as authorized by the ALJ during a prehearing conference or in a 
written order under Sec.  1.640(g). The ALJ may authorize discovery only 
if the party requesting discovery demonstrates:
    (1) That the discovery will not unreasonably delay the hearing 
process;
    (2) That the information sought:
    (i) Will be admissible at the hearing or appears reasonably 
calculated to lead to the discovery of admissible evidence;
    (ii) Is not already in the license proceeding record or otherwise 
obtainable by the party;
    (iii) Is not cumulative or repetitious; and
    (iv) Is not privileged or protected from disclosure by applicable 
law;
    (3) That the scope of the discovery is not unduly burdensome;
    (4) That the method to be used is the least burdensome method 
available;
    (5) That any trade secrets or proprietary information can be 
adequately safeguarded; and
    (6) That the standards for discovery under paragraphs (f) through 
(h) of this section have been met, if applicable.
    (c) Motions. A party may initiate discovery:
    (1) Pursuant to an agreement of the parties; or
    (2) By filing a motion that:
    (i) Briefly describes the proposed method(s), purpose, and scope of 
the discovery;
    (ii) Explains how the discovery meets the criteria in paragraphs 
(b)(1) through (b)(6) of this section; and
    (iii) Attaches a copy of any proposed discovery request (written 
interrogatories, notice of deposition, or request for production of 
designated documents or tangible things or for entry on designated 
land).
    (d) Timing of motions. A party must file any discovery motion under 
paragraph (c)(2) of this section within 7 days after the effective date 
stated in the referral notice under Sec.  1.626(c)(4), 43 CFR 
45.26(c)(4), or 50 CFR 221.26(c)(4).
    (e) Objections. (1) A party must file any objections to a discovery 
motion or to specific portions of a proposed discovery request within 7 
days after service of the motion.
    (2) An objection must explain how, in the objecting party's view, 
the discovery sought does not meet the criteria in paragraphs (b)(1) 
through (6) of this section.
    (f) Materials prepared for hearing. A party generally may not obtain 
discovery of documents and tangible things otherwise discoverable under 
paragraph (b) of this section if they were prepared in anticipation of 
or for the hearing by or for another party's representative (including 
the party's attorney, expert, or consultant).
    (1) If a party wants to discover such materials, it must show:
    (i) That it has substantial need of the materials in preparing its 
own case; and
    (ii) That the party is unable without undue hardship to obtain the 
substantial equivalent of the materials by other means.
    (2) In ordering discovery of such materials when the required 
showing has been made, the ALJ must protect against disclosure of the 
mental impressions, conclusions, opinions, or legal theories of an 
attorney.
    (g) Experts. Unless restricted by the ALJ, a party may discover any 
facts known or opinions held by an expert through the methods set out in 
paragraph (a) of this section concerning any relevant matters that are 
not privileged. Such discovery will be permitted only if:
    (1) The expert is expected to be a witness at the hearing; or
    (2) The expert is relied on by another expert who is expected to be 
a witness at the hearing, and the party shows:
    (i) That it has a compelling need for the information; and
    (ii) That it cannot practicably obtain the information by other 
means.
    (h) Limitations on depositions. (1) A party may depose an expert or 
non-expert witness only if the party shows that the witness:
    (i) Will be unable to attend the hearing because of age, illness, or 
other incapacity; or
    (ii) Is unwilling to attend the hearing voluntarily, and the party 
is unable to compel the witness's attendance at the hearing by subpoena.

[[Page 113]]

    (2) Paragraph (h)(1)(ii) of this section does not apply to any 
person employed by or under contract with the party seeking the 
deposition.
    (3) A party may depose a senior Department employee only if the 
party shows:
    (i) That the employee's testimony is necessary in order to provide 
significant, unprivileged information that is not available from any 
other source or by less burdensome means; and
    (ii) That the deposition would not significantly interfere with the 
employee's ability to perform his or her government duties.
    (4) Unless otherwise stipulated to by the parties or authorized by 
the ALJ upon a showing of extraordinary circumstances, a deposition is 
limited to 1 day of 7 hours.
    (i) Completion of discovery. All discovery must be completed within 
25 days after the initial prehearing conference.



Sec.  1.642  When must a party supplement or amend information 
it has previously provided?

    (a) Discovery. A party must promptly supplement or amend any prior 
response to a discovery request if it learns that the response:
    (1) Was incomplete or incorrect when made; or
    (2) Though complete and correct when made, is now incomplete or 
incorrect in any material respect.
    (b) Witnesses and exhibits. (1) Within 10 days after the date set 
for completion of discovery, each party must file an updated version of 
the list of witnesses and exhibits required under Sec.  1.621(c), Sec.  
1.622(c), or Sec.  1.625(c).
    (2) If a party wishes to include any new witness or exhibit on its 
updated list, it must provide an explanation of why it was not feasible 
for the party to include the witness or exhibit on its list under Sec.  
1.621(c), Sec.  1.622(c), or Sec.  1.625(c).
    (c) Failure to disclose. (1) A party will not be permitted to 
introduce as evidence at the hearing testimony from a witness or other 
information that it failed to disclose under Sec.  1.621(c), Sec.  
1.622(c), or Sec.  1.625(c), or paragraph (a) or (b) of this section.
    (2) Paragraph (c)(1) of this section does not apply if the failure 
to disclose was substantially justified or is harmless.
    (3) A party may object to the admission of evidence under paragraph 
(c)(1) of this section before or during the hearing.
    (4) The ALJ will consider the following in determining whether to 
exclude evidence under paragraphs (c)(1) through (3) of this section:
    (i) The prejudice to the objecting party;
    (ii) The ability of the objecting party to cure any prejudice;
    (iii) The extent to which presentation of the evidence would disrupt 
the orderly and efficient hearing of the case;
    (iv) The importance of the evidence; and
    (v) The reason for the failure to disclose, including any bad faith 
or willfulness regarding the failure.



Sec.  1.643  What are the requirements for written interrogatories?

    (a) Motion; limitation. Except upon agreement of the parties:
    (1) A party wishing to propound interrogatories must file a motion 
under Sec.  1.641(c); and
    (2) A party may propound no more than 25 interrogatories, counting 
discrete subparts as separate interrogatories, unless the ALJ approves a 
higher number upon a showing of good cause.
    (b) ALJ order. The ALJ will issue an order under Sec.  1.641(b) with 
respect to any discovery motion requesting the use of written 
interrogatories. The order will:
    (1) Grant the motion and approve the use of some or all of the 
proposed interrogatories; or
    (2) Deny the motion.
    (c) Answers to interrogatories. Except upon agreement of the 
parties, the party to whom the proposed interrogatories are directed 
must file its answers to any interrogatories approved by the ALJ within 
15 days after issuance of the order under paragraph (b) of this section.
    (1) Each approved interrogatory must be answered separately and 
fully in writing.

[[Page 114]]

    (2) The party or its representative must sign the answers to 
interrogatories under oath or affirmation.
    (d) Access to records. A party's answer to an interrogatory is 
sufficient when:
    (1) The information may be obtained from an examination of records, 
or from a compilation, abstract, or summary based on such records;
    (2) The burden of obtaining the information from the records is 
substantially the same for all parties;
    (3) The answering party specifically identifies the individual 
records from which the requesting party may obtain the information and 
where the records are located; and
    (4) The answering party provides the requesting party with 
reasonable opportunity to examine the records and make a copy, 
compilation, abstract, or summary.



Sec.  1.644  What are the requirements for depositions?

    (a) Motion and notice. Except upon agreement of the parties, a party 
wishing to take a deposition must file a motion under Sec.  1.641(c). 
Any notice of deposition filed with the motion must state:
    (1) The time and place that the deposition is to be taken;
    (2) The name and address of the person before whom the deposition is 
to be taken;
    (3) The name and address of the witness whose deposition is to be 
taken; and
    (4) Any documents or materials that the witness is to produce.
    (b) ALJ order. The ALJ will issue an order under Sec.  1.641(b) with 
respect to any discovery motion requesting the taking of a deposition. 
The order will:
    (1) Grant the motion and approve the taking of the deposition, 
subject to any conditions or restrictions the ALJ may impose; or
    (2) Deny the motion.
    (c) Arrangements. If the parties agree to or the ALJ approves the 
taking of the deposition, the party requesting the deposition must make 
appropriate arrangements for necessary facilities and personnel.
    (1) The deposition will be taken at the time and place agreed to by 
the parties or indicated in the ALJ's order.
    (2) The deposition may be taken before any disinterested person 
authorized to administer oaths in the place where the deposition is to 
be taken.
    (3) Any party that objects to the taking of a deposition because of 
the disqualification of the person before whom it is to be taken must do 
so:
    (i) Before the deposition begins; or
    (ii) As soon as the disqualification becomes known or could have 
been discovered with reasonable diligence.
    (4) A deposition may be taken by telephone conference call, if 
agreed to by the parties or approved in the ALJ's order.
    (d) Testimony. Each witness deposed must be placed under oath or 
affirmation, and the other parties must be given an opportunity for 
cross-examination.
    (e) Representation of witness. The witness being deposed may have 
counsel or another representative present during the deposition.
    (f) Recording and transcript. Except as provided in paragraph (g) of 
this section, the deposition must be stenographically recorded and 
transcribed at the expense of the party that requested the deposition.
    (1) Any other party may obtain a copy of the transcript at its own 
expense.
    (2) Unless waived by the deponent, the deponent will have 3 days 
after receiving the transcript to read and sign it.
    (3) The person before whom the deposition was taken must certify the 
transcript following receipt of the signed transcript from the deponent 
or expiration of the 3-day review period, whichever occurs first.
    (g) Video recording. The testimony at a deposition may be recorded 
on videotape, subject to any conditions or restrictions that the parties 
may agree to or the ALJ may impose, at the expense of the party 
requesting the recording.
    (1) The video recording may be in conjunction with an oral 
examination by telephone conference held under paragraph (c)(4) of this 
section.
    (2) After the deposition has been taken, the person recording the 
deposition must:

[[Page 115]]

    (i) Provide a copy of the videotape to any party that requests it, 
at the requesting party's expense; and
    (ii) Attach to the videotape a statement identifying the case and 
the deponent and certifying the authenticity of the video recording.
    (h) Use of deposition. A deposition may be used at the hearing as 
provided in Sec.  1.653.



Sec.  1.645  What are the requirements for requests for documents 
or tangible things or entry on land?

    (a) Motion. Except upon agreement of the parties, a party wishing to 
request the production of designated documents or tangible things or 
entry on designated land must file a motion under Sec.  1.641(c). A 
request may include any of the following that are in the possession, 
custody, or control of another party:
    (1) The production of designated documents for inspection and 
copying, other than documents that are already in the license proceeding 
record;
    (2) The production of designated tangible things for inspection, 
copying, testing, or sampling; or
    (3) Entry on designated land or other property for inspection and 
measuring, surveying, photographing, testing, or sampling either the 
property or any designated object or operation on the property.
    (b) ALJ order. The ALJ will issue an order under Sec.  1.641(b) with 
respect to any discovery motion requesting the production of documents 
or tangible things or entry on land for inspection, copying, or other 
purposes. The order will:
    (1) Grant the motion and approve the use of some or all of the 
proposed requests; or
    (2) Deny the motion.
    (c) Compliance with order. Except upon agreement of the parties, the 
party to whom any approved request for production is directed must 
permit the approved inspection and other activities within 15 days after 
issuance of the order under paragraph (a) of this section.



Sec.  1.646  What sanctions may the ALJ impose for failure to 
comply with discovery?

    (a) Upon motion of a party, the ALJ may impose sanctions under 
paragraph (b) of this section if any party:
    (1) Fails to comply with an order approving discovery; or
    (2) Fails to supplement or amend a response to discovery under Sec.  
1.642(a).
    (b) The ALJ may impose one or more of the following sanctions:
    (1) Infer that the information, testimony, document, or other 
evidence withheld would have been adverse to the party;
    (2) Order that, for the purposes of the hearing, designated facts 
are established;
    (3) Order that the party not introduce into evidence, or otherwise 
rely on to support its case, any information, testimony, document, or 
other evidence:
    (i) That the party improperly withheld; or
    (ii) That the party obtained from another party in discovery;
    (4) Allow another party to use secondary evidence to show what the 
information, testimony, document, or other evidence withheld would have 
shown; or
    (5) Take other appropriate action to remedy the party's failure to 
comply.



Sec.  1.647  What are the requirements for subpoenas and witness fees?

    (a) Request for subpoena. (1) Except as provided in paragraph (a)(2) 
of this section, any party may request by written motion that the ALJ 
issue a subpoena to the extent authorized by law for the attendance of a 
person, the giving of testimony, or the production of documents or other 
relevant evidence during discovery or for the hearing.
    (2) A party may request a subpoena for a senior Department employee 
only if the party shows:
    (i) That the employee's testimony is necessary in order to provide 
significant, unprivileged information that is not available from any 
other source or by less burdensome means; and
    (ii) That the employee's attendance would not significantly 
interfere with the ability to perform his or her government duties.

[[Page 116]]

    (b) Service. (1) A subpoena may be served by any person who is not a 
party and is 18 years of age or older.
    (2) Service must be made by hand delivering a copy of the subpoena 
to the person named therein.
    (3) The person serving the subpoena must:
    (i) Prepare a certificate of service setting forth:
    (A) The date, time, and manner of service; or
    (B) The reason for any failure of service; and
    (ii) Swear to or affirm the certificate, attach it to a copy of the 
subpoena, and return it to the party on whose behalf the subpoena was 
served.
    (c) Witness fees. (1) A party who subpoenas a witness who is not a 
party must pay him or her the same fees and mileage expenses that are 
paid witnesses in the district courts of the United States.
    (2) A witness who is not a party and who attends a deposition or 
hearing at the request of any party without having been subpoenaed is 
entitled to the same fees and mileage expenses as if he or she had been 
subpoenaed. However, this paragraph does not apply to Federal employees 
who are called as witnesses by the Forest Service or another Department.
    (d) Motion to quash. (1) A person to whom a subpoena is directed may 
request by motion that the ALJ quash or modify the subpoena.
    (2) The motion must be filed:
    (i) Within 5 days after service of the subpoena; or
    (ii) At or before the time specified in the subpoena for compliance, 
if that is less than 5 days after service of the subpoena.
    (3) The ALJ may quash or modify the subpoena if it:
    (i) Is unreasonable;
    (ii) Requires production of information during discovery that is not 
discoverable; or
    (iii) Requires disclosure of irrelevant, privileged, or otherwise 
protected information.
    (e) Enforcement. For good cause shown, the ALJ may apply to the 
appropriate United States District Court for the issuance of an order 
compelling the appearance and testimony of a witness or the production 
of evidence as set forth in a subpoena that has been duly issued and 
served.

                     Hearing, Briefing, and Decision



Sec.  1.650  When and where will the hearing be held?

    (a) Except as provided in paragraph (b) of this section, the hearing 
will be held at the time and place set at the initial prehearing 
conference under Sec.  1.640, generally within 25 days after the date 
set for completion of discovery.
    (b) On motion by a party or on the ALJ's initiative, the ALJ may 
change the date, time, or place of the hearing if he or she finds:
    (1) That there is good cause for the change; and
    (2) That the change will not unduly prejudice the parties and 
witnesses.



Sec.  1.651  What are the parties' rights during the hearing?

    Each party has the following rights during the hearing, as necessary 
to assure full and accurate disclosure of the facts:
    (a) To present testimony and exhibits, consistent with the 
requirements in Sec. Sec.  1.621(c), 1.622(c), 1.625(c), 1.642(b), and 
1.652;
    (b) To make objections, motions, and arguments; and
    (c) To cross-examine witnesses and to conduct re-direct and re-cross 
examination as permitted by the ALJ.



Sec.  1.652  What are the requirements for presenting testimony?

    (a) Written direct testimony. Unless otherwise ordered by the ALJ, 
all direct hearing testimony for each party's initial case must be 
prepared and submitted in written form. The ALJ will determine whether 
rebuttal testimony, if allowed, must be submitted in written form.
    (1) Prepared written testimony must:
    (i) Have line numbers inserted in the left-hand margin of each page;
    (ii) Be authenticated by an affidavit or declaration of the witness;
    (iii) Be filed within 10 days after the date set for completion of 
discovery; and
    (iv) Be offered as an exhibit during the hearing.

[[Page 117]]

    (2) Any witness submitting written testimony must be available for 
cross-examination at the hearing.
    (b) Oral testimony. Oral examination of a witness in a hearing, 
including on cross-examination or redirect, must be conducted under oath 
and in the presence of the ALJ, with an opportunity for all parties to 
question the witness.
    (c) Telephonic testimony. The ALJ may by order allow a witness to 
testify by telephonic conference call.
    (1) The arrangements for the call must let each party listen to and 
speak to the witness and each other within the hearing of the ALJ.
    (2) The ALJ will ensure the full identification of each speaker so 
the reporter can create a proper record.
    (3) The ALJ may issue a subpoena under Sec.  1.647 directing a 
witness to testify by telephonic conference call.



Sec.  1.653  How may a party use a deposition in the hearing?

    (a) In general. Subject to the provisions of this section, a party 
may use in the hearing any part or all of a deposition taken under Sec.  
1.644 against any party who:
    (1) Was present or represented at the taking of the deposition; or
    (2) Had reasonable notice of the taking of the deposition.
    (b) Admissibility. (1) No part of a deposition will be included in 
the hearing record, unless received in evidence by the ALJ.
    (2) The ALJ will exclude from evidence any question and response to 
which an objection:
    (i) Was noted at the taking of the deposition; and
    (ii) Would have been sustained if the witness had been personally 
present and testifying at a hearing.
    (3) If a party offers only part of a deposition in evidence:
    (i) An adverse party may require the party to introduce any other 
part that ought in fairness to be considered with the part introduced; 
and
    (ii) Any other party may introduce any other parts.
    (c) Videotaped deposition. If the deposition was recorded on 
videotape and is admitted into evidence, relevant portions will be 
played during the hearing and transcribed into the record by the 
reporter.



Sec.  1.654  What are the requirements for exhibits, official 
notice, and stipulations?

    (a) General. (1) Except as provided in paragraphs (b) through (d) of 
this section, any material offered in evidence, other than oral 
testimony, must be offered in the form of an exhibit.
    (2) Each exhibit offered by a party must be marked for 
identification.
    (3) Any party who seeks to have an exhibit admitted into evidence 
must provide:
    (i) The original of the exhibit to the reporter, unless the ALJ 
permits the substitution of a copy; and
    (ii) A copy of the exhibit to the ALJ.
    (b) Material not offered. If a document offered as an exhibit 
contains material not offered as evidence:
    (1) The party offering the exhibit must:
    (i) Designate the matter offered as evidence;
    (ii) Segregate and exclude the material not offered in evidence, to 
the extent practicable; and
    (iii) Provide copies of the entire document to the other parties 
appearing at the hearing.
    (2) The ALJ must give the other parties an opportunity to inspect 
the entire document and offer in evidence any other portions of the 
document.
    (c) Official notice. (1) At the request of any party at the hearing, 
the ALJ may take official notice of any matter of which the courts of 
the United States may take judicial notice, including the public records 
of any Department party.
    (2) The ALJ must give the other parties appearing at the hearing an 
opportunity to show the contrary of an officially noticed fact.
    (3) Any party requesting official notice of a fact after the 
conclusion of the hearing must show good cause for its failure to 
request official notice during the hearing.
    (d) Stipulations. (1) The parties may stipulate to any relevant 
facts or to the authenticity of any relevant documents.

[[Page 118]]

    (2) If received in evidence at the hearing, a stipulation is binding 
on the stipulating parties.
    (3) A stipulation may be written or made orally at the hearing.



Sec.  1.655  What evidence is admissible at the hearing?

    (a) General. (1) Subject to the provisions of Sec.  1.642(b), the 
ALJ may admit any written, oral, documentary, or demonstrative evidence 
that is:
    (i) Relevant, reliable, and probative; and
    (ii) Not privileged or unduly repetitious or cumulative.
    (2) The ALJ may exclude evidence if its probative value is 
substantially outweighed by the risk of undue prejudice, confusion of 
the issues, or delay.
    (3) Hearsay evidence is admissible. The ALJ may consider the fact 
that evidence is hearsay when determining its probative value.
    (4) The Federal Rules of Evidence do not directly apply to the 
hearing, but may be used as guidance by the ALJ and the parties in 
interpreting and applying the provisions of this section.
    (b) Objections. Any party objecting to the admission or exclusion of 
evidence must concisely state the grounds. A ruling on every objection 
must appear in the record.



Sec.  1.656  What are the requirements for transcription of the hearing?

    (a) Transcript and reporter's fees. The hearing will be transcribed 
verbatim.
    (1) The Forest Service will secure the services of a reporter and 
pay the reporter's fees to provide an original transcript to the OALJ on 
an expedited basis.
    (2) Each party must pay the reporter for any copies of the 
transcript obtained by that party.
    (b) Transcript corrections. (1) Any party may file a motion 
proposing corrections to the transcript. The motion must be filed within 
5 days after receipt of the transcript, unless the ALJ sets a different 
deadline.
    (2) Unless a party files a timely motion under paragraph (b)(1) of 
this section, the transcript will be presumed to be correct and 
complete, except for obvious typographical errors.
    (3) As soon as practicable after the close of the hearing and after 
consideration of any motions filed under paragraph (b)(1) of this 
section, the ALJ will issue an order making any corrections to the 
transcript that the ALJ finds are warranted.



Sec.  1.657  Who has the burden of persuasion, and what standard of 
proof applies?

    (a) Any party who has filed a request for a hearing has the burden 
of persuasion with respect to the issues of material fact raised by that 
party.
    (b) The standard of proof is a preponderance of the evidence.



Sec.  1.658  When will the hearing record close?

    (a) The hearing record will close when the ALJ closes the hearing, 
unless he or she directs otherwise.
    (b) Evidence may not be added after the hearing record is closed, 
but the transcript may be corrected under Sec.  1.656(b).



Sec.  1.659  What are the requirements for post-hearing briefs?

    (a) General. (1) Each party may file a post-hearing brief within 15 
days after the close of the hearing.
    (2) A party may file a reply brief only if requested by the ALJ. The 
deadline for filing a reply brief, if any, will be set by the ALJ.
    (3) The ALJ may limit the length of the briefs to be filed under 
this section.
    (b) Content. (1) An initial brief must include:
    (i) A concise statement of the case;
    (ii) A separate section containing proposed findings regarding the 
issues of material fact, with supporting citations to the hearing 
record;
    (iii) Arguments in support of the party's position; and
    (iv) Any other matter required by the ALJ.
    (2) A reply brief, if requested by the ALJ, must be limited to any 
issues identified by the ALJ.
    (c) Form. (1) An exhibit admitted in evidence or marked for 
identification in the record may not be reproduced in the brief.

[[Page 119]]

    (i) Such an exhibit may be reproduced, within reasonable limits, in 
an appendix to the brief.
    (ii) Any pertinent analysis of an exhibit may be included in a 
brief.
    (2) If a brief exceeds 20 pages, it must contain:
    (i) A table of contents and of points made, with page references; 
and
    (ii) An alphabetical list of citations to legal authority, with page 
references.



Sec.  1.660  What are the requirements for the ALJ's decision?

    (a) Timing. The ALJ must issue a decision within the shorter of the 
following time periods:
    (1) 30 days after the close of the hearing under Sec.  1.658; or
    (2) 120 days after the effective date stated in the referral notice 
under Sec.  1.626(c)(4), 43 CFR 45.26(c)(4), or 50 CFR 221.26(c)(4).
    (b) Content. (1) The decision must contain:
    (i) Findings of fact on all disputed issues of material fact;
    (ii) Conclusions of law necessary to make the findings of fact (such 
as rulings on materiality and on the admissibility of evidence); and
    (iii) Reasons for the findings and conclusions.
    (2) The ALJ may adopt any of the findings of fact proposed by one or 
more of the parties.
    (3) The decision will not contain conclusions as to whether any 
preliminary condition or prescription should be adopted, modified, or 
rejected, or whether any proposed alternative should be accepted or 
rejected.
    (c) Service. Promptly after issuing his or her decision, the ALJ 
must:
    (1) Serve the decision on each party to the hearing;
    (2) Prepare a list of all documents that constitute the complete 
record for the hearing process (including the decision) and certify that 
the list is complete; and
    (3) Forward to FERC the complete record for the hearing process, 
along with the certified list prepared under paragraph (c)(2) of this 
section, for inclusion in the record for the license proceeding. 
Materials received in electronic form, e.g., as attachments to 
electronic mail, should be transmitted to FERC in electronic form. 
However, for cases in which a settlement was reached prior to a 
decision, the entire record need not be transmitted to FERC. In such 
situations, only the initial pleadings (hearing requests with 
attachments, any notices of intervention and response, answers, and 
referral notice) and any dismissal order of the ALJ need be transmitted.
    (d) Finality. The ALJ's decision under this section with respect to 
the disputed issues of material fact will not be subject to further 
administrative review. To the extent the ALJ's decision forms the basis 
for any condition or prescription subsequently included in the license, 
it may be subject to judicial review under 16 U.S.C. 825l(b).

                          Alternatives Process



Sec.  1.670  How must documents be filed and served under this subpart?

    (a) Filing. (1) A document under this subpart must be filed using 
one of the methods set forth in Sec.  1.612(b).
    (2) A document is considered filed on the date it is received. 
However, any document received after 5 p.m. at the place where the 
filing is due is considered filed on the next regular business day.
    (b) Service. (1) Any document filed under this subpart must be 
served at the same time the document is delivered or sent for filing. A 
complete copy of the document must be delivered or sent to each license 
party and FERC, using:
    (i) One of the methods of service in Sec.  1.613(c); or
    (ii) Regular mail.
    (2) The provisions of Sec.  1.613(d) regarding a certificate of 
service apply to service under this subpart.



Sec.  1.671  How do I propose an alternative?

    (a) General. To propose an alternative condition, you must:
    (1) Be a license party; and
    (2) File a written proposal with NFS, at the appropriate address 
provided in Sec.  1.612(a)(1):
    (i) For a case under Sec.  1.601(d)(1), within 30 days after the 
Forest Service files its preliminary conditions with FERC; or

[[Page 120]]

    (ii) For a case under Sec.  1.601(d)(2), within 60 days after the 
Forest Service files its proposed conditions with FERC.
    (b) Content. Your proposal must include:
    (1) A description of the alternative, in an equivalent level of 
detail to the Forest Service's preliminary condition;
    (2) An explanation of how the alternative will provide for the 
adequate protection and utilization of the reservation;
    (3) An explanation of how the alternative, as compared to the 
preliminary condition, will:
    (i) Cost significantly less to implement; or
    (ii) Result in improved operation of the project works for 
electricity production;
    (4) An explanation of how the alternative will affect:
    (i) Energy supply, distribution, cost, and use;
    (ii) Flood control;
    (iii) Navigation;
    (iv) Water supply;
    (v) Air quality; and
    (vi) Other aspects of environmental quality; and
    (5) Specific citations to any scientific studies, literature, and 
other documented information relied on to support your proposal, 
including any assumptions you are making (e.g., regarding the cost of 
energy or the rate of inflation). If any such document is not already in 
the license proceeding record, you must provide a copy with the 
proposal.



Sec.  1.672  May I file a revised proposed alternative?

    (a) Within 20 days after issuance of the ALJ's decision under Sec.  
1.660, you may file with NFS, at the appropriate address provided in 
Sec.  1.612(a)(1), a revised proposed alternative condition if:
    (1) You previously filed a proposed alternative that met the 
requirements of Sec.  1.671; and
    (2) Your revised proposed alternative is designed to respond to one 
or more findings of fact by the ALJ.
    (b) Your revised proposed alternative must:
    (1) Satisfy the content requirements for a proposed alternative 
under Sec.  1.671(b); and
    (2) Identify the specific ALJ finding(s) to which the revised 
proposed alternative is designed to respond and how the revised proposed 
alternative differs from the original alternative.
    (c) Filing a revised proposed alternative will constitute a 
withdrawal of the previously filed proposed alternative.



Sec.  1.673  When will the Forest Service file its modified condition?

    (a) Except as provided in paragraph (b) of this section, if any 
license party proposes an alternative to a preliminary condition or 
prescription under Sec.  1.671,the Forest Service will do the following 
within 60 days after the deadline for filing comments on FERC's draft 
NEPA document under 18 CFR 5.25(c):
    (1) Analyze under Sec.  1.674 any alternative condition proposed 
under Sec.  1.671 or 1.672; and
    (2) File with FERC:
    (i) Any condition the Forest Service adopts as its modified 
condition; and
    (ii) The Forest Service's analysis of the modified condition and any 
proposed alternative.
    (b) If the Forest Service needs additional time to complete the 
steps set forth in paragraphs (a)(1) and (2) of this section, it will so 
inform FERC within 60 days after the deadline for filing comments on 
FERC's draft NEPA document under 18 CFR 5.25(c).



Sec.  1.674  How will the Forest Service analyze a proposed alternative 
and formulate its modified condition?

    (a) In deciding whether to accept an alternative proposed under 
Sec.  1.671 or Sec.  1.672, the Forest Service must consider evidence 
and supporting material provided by any license party or otherwise 
reasonably available to the Forest Service, including:
    (1) Any evidence on the implementation costs or operational impacts 
for electricity production of the proposed alternative;
    (2) Any comments received on the Forest Service's preliminary 
condition;
    (3) Any ALJ decision on disputed issues of material fact issued 
under

[[Page 121]]

Sec.  1.660 with respect to the preliminary condition;
    (4) Comments received on any draft or final NEPA documents; and
    (5) The license party's proposal under Sec.  1.671 or Sec.  1.672.
    (b) The Forest Service must accept a proposed alternative if the 
Forest Service determines, based on substantial evidence provided by any 
license party or otherwise available to the Forest Service, that the 
alternative:
    (1) Will, as compared to the Forest Service's preliminary condition:
    (i) Cost significantly less to implement; or
    (ii) Result in improved operation of the project works for 
electricity production; and
    (2) Will provide for the adequate protection and utilization of the 
reservation.
    (c) For purposes of paragraphs (a) and (b) of this section, the 
Forest Service will consider evidence and supporting material provided 
by any license party by the deadline for filing comments on FERC's NEPA 
document under 18 CFR 5.25(c).
    (d) When the Forest Service files with FERC the condition that the 
Forest Service adopts as its modified condition under Sec.  1.673(a)(2), 
it must also file:
    (1) A written statement explaining:
    (i) The basis for the adopted condition;
    (ii) If the Forest Service is not accepting any pending alternative, 
its reasons for not doing so; and
    (iii) If any alternative submitted under Sec.  1.671 was 
subsequently withdrawn by the license party, that the alternative was 
withdrawn; and
    (2) Any study, data, and other factual information relied on that is 
not already part of the licensing proceeding record.
    (e) The written statement under paragraph (d)(1) of this section 
must demonstrate that the Forest Service gave equal consideration to the 
effects of the condition adopted and any alternative not accepted on:
    (1) Energy supply, distribution, cost, and use;
    (2) Flood control;
    (3) Navigation;
    (4) Water supply;
    (5) Air quality; and
    (6) Preservation of other aspects of environmental quality.



Sec.  1.675  Has OMB approved the information collection provisions
of this subpart?

    Yes. This subpart contains provisions in Sec. Sec.  1.670 through 
1.674 that would collect information from the public. It therefore 
requires approval by the Office of Management and Budget (OMB) under the 
Paperwork Reduction Act of 1995, 44 U.S.C. 3501 et seq. (PRA). According 
to the PRA, a Federal agency may not conduct or sponsor, and a person is 
not required to respond to, a collection of information unless it 
displays a currently valid OMB control number that indicates OMB 
approval. OMB has reviewed the information collection in this rule and 
approved it under OMB control number 1094-0001.



 Subpart P_Rules of Practice and Procedure Governing Formal Rulemaking 
                 Proceedings Instituted by the Secretary

    Source: 82 FR 51149, Nov. 3, 2017, unless otherwise noted.



Sec.  1.800  Words in the singular form.

    Words in this subpart in the singular form shall be deemed to import 
the plural, and vice versa, as the context may require.



Sec.  1.801  Scope and applicability of this subpart.

    Except for proceedings covered by 7 CFR part 900, and by 7 CFR part 
1200, the rules of practice and procedure in this subpart shall be 
applicable to all formal rulemaking proceedings.



Sec.  1.802  Definitions.

    As used in this subpart:
    Administrator means the Administrator of the Agency administering 
the statute involved, or any officer or employee of the Agency to whom 
authority has heretofore been delegated, or to whom authority may 
hereafter be delegated, to act for the Administrator.
    Department means the U.S. Department of Agriculture.

[[Page 122]]

    Federal Register means the publication provided for by the Federal 
Register Act, approved July 26, 1935 (44 U.S.C. 1501-1511), and acts 
supplementing and amending it.
    Hearing means that part of the proceeding that involves the 
submission of evidence.
    Hearing clerk means the Hearing Clerk, U.S. Department of 
Agriculture, Washington, DC
    Judge means any administrative law Judge appointed pursuant to 5 
U.S.C. 3105 and assigned to conduct the hearing.
    Party means:
    (1) Any employee or contractor of the Department acting in an 
official capacity; or
    (2) A person who intends to cross examine a witness at the hearing 
and has notified the person named in the notice of hearing by specified 
dates of his or her intent to participate in the hearing as a ``party'' 
pursuant to Sec.  1.804.
    Proceeding means a proceeding before the Secretary arising under a 
statute in which the Secretary uses formal rulemaking procedures as set 
forth in this subpart.
    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 for the Secretary.
    Witness means any person who:
    (1) Has notified the person named in the notice of hearing by the 
specified date of his or her intent to participate in the hearing as a 
witness pursuant to Sec.  1.804; and
    (2) Who submits written direct testimony on the proposed regulations 
pursuant to Sec.  1.807; and
    (3) Testifies orally at the hearing.



Sec.  1.803  Institution of proceedings.

    (a) Filing and contents of the notice of hearing. A proceeding under 
this subpart shall be instituted by the Secretary or designee through 
filing the notice of hearing with the hearing clerk.The notice of 
hearing shall state:
    (1) The legal authority under which the rule is proposed.
    (2) The scope and nature of the hearing, including witness 
instructions for testifying, including the means and timing of the 
submission of pre-hearing documents, and scheduling, as necessary.
    (3) The terms or substance of the proposed rule or a description of 
the subjects and issues involved.
    (4) The time and place of such hearing.
    (5) The final date for notification of intent to participate as a 
party or witness in the hearing pursuant to Sec.  1.804.
    (6) The person to whom notification of intent to participate as a 
party or witness is to be provided pursuant to Sec.  1.804, and the 
means by which such notifications are to be provided.
    (7) Any alternative procedures established pursuant to paragraph (d) 
of this section.
    (b) Giving notice of hearing. (1) The Administrator shall give or 
cause to be given notice of hearing in the following manner:
    (i) By publication of the notice of hearing in the Federal Register.
    (ii) By posting of the notice of hearing to the USDA Web site.
    (2) Legal notice of the hearing shall be deemed to be given if 
notice is given in the manner provided by paragraph (b)(1)(i) of this 
section.
    (c) Record of notice. A copy of the notice of hearing published in 
the Federal Register pursuant to paragraph (b)(1)(i) of this section 
shall be filed with the hearing clerk and submitted to the Judge at the 
hearing.
    (d) Alternative procedures. The Administrator may establish 
alternative procedures for the proceeding that are in addition to or in 
lieu of one or more procedures in this subpart, provided that the 
procedures are consistent with 5 U.S.C. 556 and 557. The alternative 
procedures must be described in the notice of hearing, as required in 
paragraph (a)(7) of this section.



Sec.  1.804  Notification by interested persons.

    (a) Any person desiring to participate as a party or witness at the 
hearing shall notify the person named in the notice of hearing, as 
prescribed in the notice of hearing, on or before the date specified in 
the notice of hearing. A person may be both a party and a witness.

[[Page 123]]

    (b) The notification must clearly state whether the interested 
person is participating at the hearing as a party, witness, or both.
    (c) If a party or witness will be participating with or through a 
representative or counsel, the notification must so state and provide 
the name of the representative or counsel.
    (d) Persons who fail to comply with this section and any specified 
instructions in the notice of hearing shall be deemed to have waived 
their right to participate in the hearing. Failure to comply with this 
section shall result in the exclusion of any filed written testimony.



Sec.  1.805  Docket number.

    Each proceeding, immediately following its institution, shall be 
assigned a docket number by the hearing clerk and thereafter the 
proceeding may be referred to by such number.



Sec.  1.806  Judge.

    (a) Assignment. No Judge who has any pecuniary interest in the 
outcome of a proceeding shall serve as Judge in such proceeding.
    (b) Power of Judge. Subject to review by the Secretary, as provided 
elsewhere in this subpart, the Judge in any proceeding shall have power 
to:
    (1) Rule upon motions and requests;
    (2) Change the time and place of hearings, and adjourn the hearing 
from time to time or from place to place;
    (3) Administer oaths and affirmations and take affidavits;
    (4) Examine and cross-examine witnesses and receive evidence;
    (5) Admit or exclude evidence;
    (6) Hear oral argument on facts or law; and
    (7) Do all acts and take all measures necessary for the maintenance 
of order at the hearings and the efficient conduct of the proceeding.
    (c) Who may act in absence of the Judge. In case of the absence of 
the Judge or that Judge's inability to act, the powers and duties to be 
performed by the Judge under this subpart in connection with a 
proceeding may, without abatement of the proceeding unless otherwise 
ordered by the Secretary, be assigned to any other Judge.
    (d) Disqualification of Judge. The Judge may at any time withdraw as 
Judge in a proceeding if such Judge deems himself or herself to be 
disqualified. Upon the filing by an interested person in good faith of a 
timely and sufficient affidavit of personal bias or disqualification of 
a Judge, the Secretary shall determine the matter as a part of the 
record and decision in the proceeding, after making such investigation 
or holding such hearings, or both, as the Secretary may deem appropriate 
in the circumstances.



Sec.  1.807  Direct testimony submitted as written documents.

    Any person desiring to participate as a witness at the hearing shall 
submit direct testimony as written documents as prescribed by the 
following:
    (a) Direct testimony by a witness, including accompanying exhibits, 
must be submitted as specified in the notice of the hearing pursuant to 
Sec.  1.803. Exhibits constituting part of such direct testimony, 
referred to in the direct testimony and made a part thereof must be 
attached to the direct testimony. Direct testimony submitted with 
exhibits must state the issue(s) to which the exhibit relates; if no 
such statement is made, the Judge, at the hearing, shall determine the 
relevance of the exhibit to the issues published in the Federal 
Register.
    (b) The direct testimony submitted shall contain:
    (1) A concise statement of the witness' interest in the proceeding 
and his or her position regarding the issues presented. If the direct 
testimony is presented by a witness who is not a party, the witness 
shall state the witness' relationship to the party on behalf of whom the 
testimony is proffered; and
    (2) Facts that are relevant and material.
    (c) Copies of all direct testimony, including accompanying exhibits, 
must be submitted as prescribed by the notice of hearing.
    (d) Upon receipt, direct testimony shall be assigned a number and 
stamped with that number and the docket number.

[[Page 124]]



Sec.  1.808  Motions and requests.

    (a) General. (1) Parties shall file all motions and requests with 
the hearing clerk except that those made during the course of the 
hearing may be filed with the Judge or may be stated orally and made a 
part of the transcript.
    (2) Except as provided in Sec.  1.816(b), such motions and requests 
shall be addressed to, and ruled on by, the Judge if made prior to 
certification of the transcript pursuant to Sec.  1.811 or by the 
Secretary if made thereafter.
    (b) Certification to Secretary. The Judge may, in his or her 
discretion, submit or certify to the Secretary for decision any motion, 
request, objection, or other question addressed to the Judge.



Sec.  1.809  Conduct of the hearing.

    (a) Time and place. The hearing shall be held at the time and place 
established in the notice of hearing. If the Judge subsequently changes 
the time or place, the Judge shall file a notice of such changes with 
the hearing clerk, and the Administrator shall give or cause to be given 
notice in the Federal Register in the same manner as provided in Sec.  
1.803. If the change in time or place of hearing is made less than five 
days prior to the date previously established for the hearing, the 
Judge, either in addition to, or in lieu of, causing the notice of the 
change to be given, shall announce the change at the time and place 
previously established for the hearing.
    (b) Appearances--(1) Right to appear. Any interested person shall be 
given an opportunity to appear, as a witness, with or without, 
authorized counsel or representative, and to be heard with respect to 
matters relevant and material to the proceeding, provided that such 
interested person complies with Sec. Sec.  1.804, 1.807, and any 
alternative procedures included in the hearing notice pursuant to Sec.  
1.803. In addition to compliance with any witness instructions set forth 
in the notice of hearing, any witness who desires to be heard in person 
at any hearing shall, before proceeding to testify do so under oath or 
affirmation.
    (2) Appearance with or through counsel or representative. (i) A 
witness may appear with counsel or a representative if the witness 
identifies the counsel or representative in the notification submitted 
pursuant to Sec.  1.804.
    (ii) The counsel or representative shall, before proceeding with the 
witness testimony, state for the record the authority to act as such 
counsel or representative, and the names, addresses, and occupations of 
such counsel or representative.
    (iii) The witness or his or her counsel or representative shall give 
such other information respecting the witness' appearance as the Judge 
may request.
    (3) Debarment of counsel or representative. (i) Whenever, while a 
proceeding is pending before the Judge, such Judge finds that a person, 
acting as counsel or representative for any party or witness, is guilty 
of unethical or unprofessional conduct, the Judge may order that such 
person be precluded from further acting as counsel or representative in 
such proceeding.
    (ii) Except as provided in paragraph (b)(3)(iii) of this section, an 
appeal to the Secretary may be taken from any such order, but the 
proceeding shall not be delayed or suspended pending disposition of the 
appeal.
    (iii) In case the Judge has ordered that a person be precluded from 
further action as counsel or representative in the proceeding, the Judge 
within a reasonable time thereafter shall submit to the Secretary a 
report of the facts and circumstances surrounding such order and shall 
recommend what action the Secretary should take respecting the 
appearance of such person as counsel or representative in other 
proceedings before the Secretary. Thereafter the Secretary may, after 
notice and an opportunity for hearing, issue such order respecting the 
appearance of such person as counsel or representative in proceedings 
before the Secretary as the Secretary finds to be appropriate.
    (4) Failure to appear. If any interested person, who complied with 
Sec. Sec.  1.804, 1.807, fails to appear at the hearing, that person 
shall be deemed to have waived the right to be heard in the proceeding 
and such failure to appear shall result in the exclusion of that 
person's written testimony.
    (c) Order of procedure. (1) The Judge shall, at the opening of the 
hearing prior to the taking of testimony, note

[[Page 125]]

as part of the record the notice of hearing as published in the Federal 
Register.
    (2) Evidence shall then be received with respect to the matters 
specified in the notice of the hearing in such order as the Judge shall 
announce.
    (d) Evidence--(1) General. The hearing shall be publicly conducted, 
and the testimony given at the hearing shall be reported verbatim.
    (i) Every witness shall, before proceeding to testify, be sworn or 
make an affirmation.
    (ii) When necessary, in order to prevent undue prolongation of the 
hearing, the Judge may:
    (A) Limit the number of times any witness may testify to the same 
matter or the amount of corroborative or cumulative evidence.
    (B) Limit cross examination of a witness by time, scope, or as 
appropriate, provided that the Judge announces the time limit at the 
beginning of the hearing, prior to the taking of testimony.
    (iii) The Judge shall exclude from the record evidence which is 
immaterial, irrelevant, or unduly repetitious, or which is not of the 
sort upon which responsible persons are accustomed to rely.
    (2) Objections. If a party objects to the admission or rejection of 
any evidence or to any other ruling of the Judge during the hearing, 
such party shall state briefly the grounds of such objection, whereupon 
an automatic exception will follow if the objection is overruled by the 
Judge. The ruling of the Judge on any objection shall be a part of the 
transcript. Only objections made before the Judge may subsequently be 
relied upon in the proceeding.
    (3) Upon proper motion, the Judge may accept direct testimony 
submitted pursuant to Sec.  1.807 into evidence without a witness 
reading the direct testimony into evidence. Such direct testimony shall 
become a part of the record subject to exclusion of irrelevant and 
immaterial parts thereof. A party shall be deemed to have waived the 
right to introduce pre-hearing written direct testimony and documents if 
such party fails to present a witness to introduce those documents. The 
witness introducing direct testimony and documents shall do so under 
oath or affirmation and shall:
    (i) State his or her name, address and occupation.
    (ii) State qualifications for introducing the direct testimony. If 
an expert, the witness shall briefly state the scientific or technical 
training which qualifies the witness as an expert.
    (iii) Identify the direct testimony and documents previously 
submitted pursuant to Sec.  1.807 of this subpart.
    (iv) Submit to direct and cross examination determined to be 
necessary and appropriate by the Judge.
    (4) Cross examination. For purposes of this section, the 
Administrator's or his or her representative's interest shall be 
considered adverse to all parties. The Judge may:
    (i) Require the cross-examiner to outline the intended scope of the 
cross examination, which shall generally be limited to the scope of the 
direct testimony.
    (ii) Prohibit parties from cross-examining witnesses unless the 
Judge has determined that the cross-examiner has an adverse interest on 
the facts at issue to the party or witness.
    (iii) Limit the number of times any party or parties having a common 
interest may cross-examine an adverse witness on the same matter.
    (5) Proof and authentication of official records or documents. An 
official record or document, when admissible for any purpose, shall be 
admissible as evidence without the presence of the person who made or 
prepared the same. The Judge shall exercise discretion in determining 
whether an official publication of such record or document shall be 
necessary, or whether a copy would be permissible. If permissible such a 
copy shall be attested to by the person having legal custody of it, and 
accompanied by a certificate that such person has the custody.
    (6) Exhibits. (i) All written statements, documents, charts, 
tabulations, or data offered into evidence at the hearing shall, after 
identification by the witness or his or her counsel or representative 
and upon satisfactory showing of authenticity, relevancy, and 
materiality, be numbered as exhibits and received in evidence and made a 
part of the record.

[[Page 126]]

    (ii) Such exhibits shall be submitted in quadruplicate and in 
documentary form.
    (7) Official notice. (i) Subject to paragraph (d)(7)(ii) of this 
section, official notice at the hearing may be taken of such matters as 
are judicially noticed by the courts of the United States and of any 
other matter of technical, scientific, or commercial fact of established 
character.
    (ii) Interested persons shall be given an adequate period of time, 
at the hearing or subsequent to it, of matters so noticed and shall be 
given adequate opportunity to show that such facts are inaccurate or are 
erroneously noticed.
    (8) Offer of proof. (i) Whenever evidence is excluded from the 
record, the party offering such evidence may make an offer of proof, 
which shall be included in the transcript.
    (ii) The offer of proof shall consist of a brief statement 
describing the evidence to be offered. If the evidence consists of a 
brief oral statement, it shall be inserted into the transcript; if the 
evidence consists of an exhibit(s), it shall be inserted into the record 
for the purpose of an offer of proof. In such event, it shall be 
considered a part of the record if the Secretary determines that the 
Judge's ruling in excluding the evidence was erroneous.
    (iii) The Judge shall not allow the insertion of such evidence in 
toto if the taking of such evidence will consume a considerable length 
of time at the hearing. In such event, if the Secretary determines that 
the Judge erred in excluding the evidence, and that such error was 
substantial, the hearing may be reopened to permit the taking of such 
evidence.



Sec.  1.810  Oral and written arguments.

    (a) Oral argument before the Judge. Oral argument before the Judge 
shall be in the discretion of the Judge. Such argument, when permitted, 
may be limited by the Judge to any extent that the Judge finds necessary 
for the expeditious disposition of the proceeding and shall be made part 
of the transcript.
    (b) Briefs, proposed findings, and conclusions. (1) The Judge shall 
announce at the hearing a reasonable period of time within which 
interested persons may file with the hearing clerk proposed findings and 
conclusions, and written arguments or briefs, based upon the evidence 
received at the hearing, citing, where practicable, the page or pages of 
the transcript of the testimony where such evidence appears.
    (2) Factual material other than that adduced at the hearing or 
subject to official notice shall not be alluded to therein, and, in any 
case, shall not be considered in the formulation of the rule.
    (3) If the person filing a brief desires the Secretary to consider 
any objection made by such person to a ruling of the Judge, as provided 
in Sec.  1.809(d), that person shall include in the brief a concise 
statement concerning each such objection, referring, where practicable, 
to the pertinent pages of the transcript.



Sec.  1.811  Certification of the transcript.

    (a) The Judge shall notify the hearing clerk of the close of a 
hearing and of the time for filing transcript corrections, written 
arguments, briefs, proposed findings, and proposed conclusions.
    (b)(1) After the hearing, the Administrator, shall transmit to the 
hearing clerk an original and three copies of the transcript of the 
testimony and the original and all copies of the exhibits not already on 
file with the hearing clerk.
    (2) The Judge shall attach to the original transcript of the 
testimony a certificate stating that, to the best of the Judge's 
knowledge and belief, the transcript is a true transcript of the 
testimony given at the hearing, except in such particulars as the Judge 
shall specify, and that the exhibits transmitted are all the exhibits as 
introduced at the hearing with such exceptions as the Judge shall 
specify. A copy of such certificate shall be attached to each of the 
copies of the transcript of testimony.
    (3) In accordance with such certificate the hearing clerk shall note 
upon the official record copy, and cause to be noted on other copies of 
the transcript, each correction detailed therein by adding or crossing 
out (but without obscuring the text as originally transcribed) at the 
appropriate place any

[[Page 127]]

words necessary to make the same conform to the correct meaning, as 
certified by the Judge.
    (4) The hearing clerk shall obtain and file certifications to the 
effect that such corrections have been effectuated in copies other than 
the official record copy.



Sec.  1.812  Copies of the transcript.

    (a) During the period in which the proceeding has an active status 
in the Department, a copy of the transcript and exhibits shall be kept 
on file with the hearing clerk where it shall be available for 
examination during official hours of business. Thereafter the transcript 
and exhibits shall be made available by the hearing clerk for 
examination during official hours of business after prior request and 
reasonable notice to the hearing clerk.
    (b) A copy of the transcripts of the hearing shall be made available 
to any person at actual cost of duplication.



Sec.  1.813  Administrator's recommended decision.

    (a) Preparation. As soon as practicable following the termination of 
the period allowed for the filing of written arguments or briefs and 
proposed findings and conclusions the Administrator shall file with the 
hearing clerk a recommended decision.
    (b) Contents. The Administrator's recommended decision shall 
include:
    (1) A preliminary statement containing a description of the history 
of the proceedings, a brief explanation of the material issues of fact, 
law and proposed findings and conclusions about such issues, including 
the reasons or basis for such proposed findings.
    (2) A ruling upon proposed findings or conclusions submitted by 
interested persons.
    (3) An appropriate proposed rule effectuating the Administrator's 
recommendations.
    (c) Exceptions to recommended decision. (1) Immediately following 
the filing of the recommended decision, the Administrator shall give 
notice thereof and opportunity to file exceptions thereto by publication 
in the Federal Register.
    (2) Within the period of time specified in such notice, any 
interested person may file with the hearing clerk exceptions to the 
Administrator's proposed rule and a brief in support of such exceptions.
    (3) Such exceptions shall be in writing, shall refer, where 
practicable, to the related pages of the transcript, and may suggest 
appropriate changes in the proposed rule.
    (d) Omission of recommended decision. The procedure provided in this 
section may be omitted only if the Secretary finds on the basis of the 
record that due and timely execution of the Secretary's functions 
imperatively and unavoidably requires such omission.



Sec.  1.814  Submission to Secretary.

    (a) Upon the expiration of the period allowed for filing exceptions 
or upon request of the Secretary, the hearing clerk shall transmit to 
the Secretary the record of the proceeding.
    (b) Such record shall include:
    (1) All motions and requests filed with the hearing clerk and 
rulings thereon.
    (2) The certified transcript.
    (3) Any proposed findings or conclusions or written arguments or 
briefs that may have been filed.
    (4) The Administrator's recommended decision, if any.
    (5) Filed exceptions.



Sec.  1.815  Decision by the Secretary.

    After due consideration of the record, the Secretary shall render a 
decision. Such decision shall become a part of the record and shall 
include:
    (a) A statement of findings and conclusions, including the reasons 
or basis for such findings, upon all the material issues of fact or law 
presented on the record.
    (b) A ruling upon proposed findings and proposed conclusions not 
previously ruled upon in the record.
    (c) A ruling upon exceptions filed by interested persons.
    (d) Either a denial of the proposal to issue a rule, or, if the 
findings upon the record so warrant, a rule, the provisions of which 
shall be set forth and such rule shall be complete.

[[Page 128]]



Sec.  1.816  Filing, extension of time, effective date of filing, 
and computation of time.

    (a) Number of copies. Except as provided otherwise, all documents or 
papers required or authorized by the foregoing provisions hereof to be 
filed with the hearing clerk shall be filed in quadruplicate. Any 
documents or papers so required or authorized to be filed with the 
hearing clerk shall be filed with the Judge during the course of an oral 
hearing.
    (b) Extension of time. (1) The time for filing of any document or 
paper required or authorized by the foregoing provisions to be filed may 
be extended by the Judge (before the record is so certified by the 
Judge) or by the Administrator (after the record is so certified by the 
Judge but before it is transmitted to the Secretary), or by the 
Secretary (after the record is transmitted to the secretary) upon 
request filed, and if, in the judgment of the Judge, Administrator, or 
the Secretary, as the case may be, there is good reason for the 
extension.
    (2) All rulings made pursuant to this paragraph shall be filed with 
the hearing clerk.
    (c) Effective date of filing. Any document or paper required or 
authorized in this subpart to be filed shall be deemed to be filed at 
the time it is received by the Hearing Clerk.
    (d) Computation of time. (1) Each day, including Saturdays, Sundays, 
and legal public holidays, shall be included in computing the time 
allowed for filing any document or paper.
    (2) That when the time for filing a document or paper expires on a 
Saturday, Sunday, or legal public holiday, the time allowed for filing 
the document or paper shall be extended to include the following 
business day.



Sec.  1.817  Ex parte communications.

    (a) For the purposes of this section, ex parte communication means 
any oral or written communication not on the public record with respect 
to which reasonable prior notice to all interested parties is not given, 
but which shall not include requests for status reports (including 
requests on procedural matters) on a proceeding.
    (b) At no stage of the proceeding following the issuance of a notice 
of hearing and prior to the issuance of the Secretary's decision thereon 
shall an employee of the Department who is or may reasonably be expected 
to be involved in the decision process of the proceeding discuss ex 
parte the merits of the proceeding with any person having an interest in 
the proceeding or with any representative of such person. This 
prohibition does not include communications about:
    (1) Procedural matters and status reports.
    (2) The merits of the proceeding if all parties known to be 
interested in the proceeding have been given notice and an opportunity 
to participate. A memorandum of any such discussion shall be included in 
the record of the proceeding.
    (c) No interested person outside the Department shall make or 
knowingly cause to be made to an employee of the Department who is or 
may reasonably be expected to be involved in the decisional process of 
the proceeding, an ex parte communication relevant to the merits of the 
proceeding except as provided in paragraph (a) of this section.
    (d) If an employee of the Department who is or may reasonably be 
expected to be involved in the decisional process of the proceeding 
receives or makes or knowingly causes to be made a communication 
prohibited by this section, the Department shall place on the public 
record of the proceeding:
    (1) All such written communications;
    (2) Memoranda stating the substance of all such oral communications; 
and
    (3) All written responses, and memoranda, stating the substance of 
all oral responses thereto.
    (e) Upon receipt of a communication knowingly made or knowingly 
caused to be made by a party in violation of this section, the 
Department may, to the extent consistent with the interest of justice 
and the policy of the underlying statute, require the party to show 
cause why his claim or interest in the proceeding should not be 
dismissed, denied, disregarded, or otherwise adversely affected on 
account of such violation.

[[Page 129]]

    (f) This section does not constitute authority to withhold 
information from Congress.



Sec.  1.818  Additional documents to be filed with hearing clerk.

    In addition to the documents or papers required or authorized by the 
foregoing provisions of this subpart to be filed with the hearing clerk, 
the hearing clerk shall receive for filing and shall have custody of all 
papers, reports, records, orders, and other documents which relate to 
the administration of any order and which the Secretary is required to 
issue or to approve.



Sec.  1.819  Hearing before Secretary.

    (a) The Secretary may act in the place and stead of a Judge in any 
proceeding herein. When the Secretary so acts, the hearing clerk shall 
transmit the record to the Secretary at the expiration of the period 
provided for the filing of proposed findings of fact, conclusions, and 
orders, and the Secretary shall then, after due consideration of the 
record, issue the final decision in the proceeding.
    (b) The Secretary may issue a tentative decision in which event the 
parties shall be afforded an opportunity to file exceptions before the 
issuance of the final decision.



PART 1a_LAW ENFORCEMENT AUTHORITIES--Table of Contents



Sec.
1a.1 General statement.
1a.2 Authorization.
1a.3 Persons authorized.
1a.4 Limitations.
1a.5 Responsibility of the Inspector General.

    Authority: Sec. 1337, Pub. L. 97-98; 5 U.S.C. 301; 5 U.S.C. App. I.

    Source: 47 FR 2073, Jan. 14, 1982, unless otherwise noted.



Sec.  1a.1  General statement.

    This part sets forth the rules issued by the Secretary of 
Agriculture to implement section 1337 of Public Law 97-98 relating to:
    (a) Arrests without warrant for certain criminal felony violations;
    (b) Execution of warrants for arrests, searches of premises and 
seizures of evidence; and
    (c) The carrying of firearms by designated officials of the Office 
of Inspector General.



Sec.  1a.2  Authorization.

    Any official of the Office of Inspector General who is designated by 
the Inspector General according to Sec. Sec.  1a.3 and 1a.5 of this part 
and who is engaged in the performance of his/her official duties under 
the authority provided in section 6, or described in section 9, of the 
Inspector General Act of 1978 (5 U.S.C. App.), is authorized to--
    (a) Make an arrest without a warrant for any criminal felony 
violation subject to Sec.  1a.4, if such violation is committed, or if 
the official has probable cause to believe that such violation is being 
committed, in his/her presence;
    (b) Execute and serve a warrant for an arrest, for the search of 
premises, or the seizure of evidence if such warrant is issued under 
authority of the United States upon probable cause to believe that any 
criminal felony violation, subject to Sec.  1a.4, has been committed; 
and
    (c) Carry a firearm.

[50 FR 13759, Apr. 8, 1985]



Sec.  1a.3  Persons authorized.

    Any person who is employed in the Office of Inspector General and 
who is designated by the Inspector General in accordance with and 
subject to Sec.  1a.5 and who conducts investigations of alleged or 
suspected felony criminal violations of statutes administered by the 
Secretary of Agriculture or any agency of the Department of Agriculture 
may exercise the authorities listed in and pursuant to Sec.  1a.2.



Sec.  1a.4  Limitations.

    The powers granted by Sec. Sec.  1a.2(a) and 1a.2(b) shall be 
exercised only when a designated official is engaged in an investigation 
of alleged or suspected felony violations of statutes administered by 
the Secretary of Agriculture or any agency of the Department.

[50 FR 13759, Apr. 8, 1985]

[[Page 130]]



Sec.  1a.5  Responsibility of the Inspector General.

    The Inspector General shall:
    (a) Issue directives conforming to this part governing the exercise 
of the authorities granted by this part. These directives should contain 
the policies and procedures by which the authorities will be exercised 
by designated officials of the Office of Inspector General;
    (b) Establish criteria for qualification by officials of the Office 
of Inspector General who are designated to exercise the authorities 
granted in this part;
    (c) Monitor the implementation and exercise of the authorities 
granted by this part;
    (d) Designate, pursuant to Sec. Sec.  1a.2, 1a.3 and 1a.4, and the 
directives issued under paragraph (a) of this section, and the criteria 
established under paragraph (b) of this section, employees who have 
satisfied all the qualifications set by the Inspector General to 
exercise the authorities granted by Sec.  1a.2; and
    (e) Submit to the Attorney General of the United States the name of 
any employee of the Office of Inspector General designated pursuant to 
paragraph (d) of this section. Any designation not specifically 
disapproved by the Attorney General within 30 days after the date of 
submission shall be deemed approved.



PART 1b_NATIONAL ENVIRONMENTAL POLICY ACT--Table of Contents



Sec.
1b.1 Purpose.
1b.2 Policy.
1b.3 Categorical exclusions.
1b.4 Exclusion of agencies.

    Authority: 5 U.S.C. 301; 42 U.S.C. 4321 et seq.; E.O. 11514, 3 CFR, 
1966-1970 Comp., p. 902, as amended by E.O. 11991, 3 CFR, 1978 Comp., p. 
123; E.O. 12114, 3 CFR, 1980 Comp., p. 356; 40 CFR 1507.3.

    Source: 48 FR 11403, Mar. 18, 1983, unless otherwise noted.



Sec.  1b.1  Purpose.

    (a) This part supplements the regulations for implementation of the 
National Environmental Policy Act (NEPA), for which regulations were 
published by the Council on Environmental Quality (CEQ) in 40 CFR parts 
1500 through 1508. This part incorporates and adopts those regulations.
    (b) This part sets forth Departmental policy concerning NEPA, 
establishes categorical exclusions of actions carried out by the 
Department and its agencies, and sets forth those USDA agencies which 
are excluded from the requirement to prepare procedures implementing 
NEPA.

[48 FR 11403, Mar. 18, 1983, as amended at 60 FR 66481, Dec. 22, 1995]



Sec.  1b.2  Policy.

    (a) All policies and programs of the various USDA agencies shall be 
planned, developed, and implemented so as to achieve the goals and to 
follow the procedures declared by NEPA in order to assure responsible 
stewardship of the environment for present and future generations.
    (b) Each USDA agency is responsible for compliance with this part, 
the regulations of CEQ, and NEPA. Compliance will include the 
preparation and implementation of specific procedures and processes 
relating to the programs and activities of the individual agency, as 
necessary.
    (c) The Under Secretary, Natural Resources and Environment (NR&E), 
is responsible for ensuring that agency implementing procedures are 
consistent with CEQ's NEPA regulations and for coordinating NEPA 
compliance for the Department. The Under Secretary, NR&E, through the 
Agricultural Council on Environmental Quality, will develop the 
necessary processes to be used by the Office of the Secretary in 
reviewing, implementing, and planning its NEPA activities, 
determinations, and policies.
    (d) In connection with the policies and requirements set forth in 
this part, all USDA agencies are responsible for compliance with 
Executive Order 12114, ``Environmental Effects Abroad of Major Federal 
Actions.'' Compliance will include the preparation and implementation of 
specific procedures and processes relative to the programs and 
activities of the individual agencies, as necessary. Agencies shall 
consult with the Department of State; the Council on Environmental 
Quality; and the

[[Page 131]]

Under Secretary, NR&E, prior to placing procedures and processes in 
effect.

[48 FR 11403, Mar. 18, 1983, as amended at 60 FR 66481, Dec. 22, 1995]



Sec.  1b.3  Categorical exclusions.

    (a) The following are categories of activities which have been 
determined not to have a significant individual or cumulative effect on 
the human environment and are excluded from the preparation of 
environmental assessment (EA's) or environmental impact statement 
(EIS's), unless individual agency procedures prescribed otherwise.
    (1) Policy development, planning and implementation which relate to 
routine activities, such as personnel, organizational changes, or 
similar administrative functions;
    (2) Activities which deal solely with the funding of programs, such 
as program budget proposals, disbursements, and transfer or 
reprogramming of funds;
    (3) Inventories, research activities, and studies, such as resource 
inventories and routine data collection when such actions are clearly 
limited in context and intensity;
    (4) Educational and informational programs and activities;
    (5) Civil and criminal law enforcement and investigative activities;
    (6) Activities which are advisory and consultative to other agencies 
and public and private entities, such as legal counselling and 
representation;
    (7) Activities related to trade representation and market 
development activities abroad.
    (b) Agencies will identify in their own procedures the activities 
which normally would not require an environmental assessment or 
environmental impact statement.
    (c) Notwithstanding the exclusions listed in paragraphs (a) of this 
section and Sec.  1b.4, or identified in agency procedures, agency heads 
may determine that circumstances dictate the need for preparation of an 
EA or EIS for a particular action. Agencies shall continue to scrutinize 
their activities to determine continued eligibility for categorical 
exclusion.

[48 FR 11403, Mar. 18, 1983, as amended at 60 FR 66481, Dec. 22, 1995]



Sec.  1b.4  Exclusion of agencies.

    (a) The USDA agencies and agency units listed in paragraph (b) of 
this section conduct programs and activities that have been found to 
have no individual or cumulative effect on the human environment. The 
USDA agencies and agency units listed in paragraph (b) of this section 
are excluded from the requirements of preparing procedures to implement 
NEPA. Actions of USDA agencies and agency units listed in paragraph (b) 
of this section are categorically excluded from the preparation of an EA 
or EIS unless the agency head determines that an action may have a 
significant environmental effect.
    (b)(1) Agricultural Marketing Service
    (2) Economic Research Service
    (3) [Reserved]
    (4) Federal Corp Insurance Corporation
    (5) Food and Consumer Service
    (6) Food Safety and Inspection Service
    (7) Foreign Agricultural Service
    (8) Grain Inspection, Packers and Stockyards Administration
    (9) National Agricultural Library
    (10) National Agricultural Statistics Service
    (11) Office of the General Counsel
    (12) Office of the Inspector General

[60 FR 66481, Dec. 22, 1995, as amended at 76 FR 4802, Jan. 27, 2011]



PART 1c_PROTECTION OF HUMAN SUBJECTS (Eff. until 7-19-18)--Table of Contents



Sec.
1c.101 To what does this policy apply?
1c.102 Definitions.
1c.103 Assuring compliance with this policy--research conducted or 
          supported by any Federal Department or Agency.
1c.104-1c.106 [Reserved]
1c.107 IRB membership.
1c.108 IRB functions and operations.
1c.109 IRB review of research.
1c.110 Expedited review procedures for certain kinds of research 
          involving no more than minimal risk, and for minor changes in 
          approved research.
1c.111 Criteria for IRB approval of research.
1c.112 Review by institution.
1c.113 Suspension or termination of IRB approval of research.
1c.114 Cooperative research.
1c.115 IRB records.

[[Page 132]]

1c.116 General requirements for informed consent.
1c.117 Documentation of informed consent.
1c.118 Applications and proposals lacking definite plans for involvement 
          of human subjects.
1c.119 Research undertaken without the intention of involving human 
          subjects.
1c.120 Evaluation and disposition of applications and proposals for 
          research to be conducted or supported by a Federal Department 
          or Agency.
1c.121 [Reserved]
1c.122 Use of Federal funds.
1c.123 Early termination of research support: Evaluation of applications 
          and proposals.
1c.124 Conditions.

    Authority: 5 U.S.C. 301; 42 U.S.C. 300v-1(b).

    Source: 56 FR 28012, 28018, June 18, 1991, unless otherwise noted.

    Effective Date Note: At 82 FR 7269, Jan. 19, 2017, part 1c is 
revised, the text in effect at 7-19-18 follows the old part.



Sec.  1c.101  To what does this policy apply?

    (a) Except as provided in paragraph (b) of this section, this policy 
applies to all research involving human subjects conducted, supported or 
otherwise subject to regulation by any federal department or agency 
which takes appropriate administrative action to make the policy 
applicable to such research. This includes research conducted by federal 
civilian employees or military personnel, except that each department or 
agency head may adopt such procedural modifications as may be 
appropriate from an administrative standpoint. It also includes research 
conducted, supported, or otherwise subject to regulation by the federal 
government outside the United States.
    (1) Research that is conducted or supported by a Federal department 
or agency, whether or not it is regulated as defined in Sec.  1c.102(e), 
must comply with all sections of this policy.
    (2) Research that is neither conducted nor supported by a Federal 
department or agency but is subject to regulation as defined in Sec.  
1c.102(e) must be reviewed and approved, in compliance with Sec. Sec.  
1c.101, 1c.102, and 1c.107 through 1c.117 of this policy, by an 
institutional review board (IRB) that operates in accordance with the 
pertinent requirements of this policy.
    (b) Unless otherwise required by department or agency heads, 
research activities in which the only involvement of human subjects will 
be in one or more of the following categories are exempt from this 
policy:
    (1) Research conducted in established or commonly accepted 
educational settings, involving normal educational practices, such as 
(i) Research on regular and special education instructional strategies, 
or (ii) research on the effectiveness of or the comparison among 
instructional techniques, curricula, or classroom management methods.
    (2) Research involving the use of educational tests (cognitive, 
diagnostic, aptitude, achievement), survey procedures, interview 
procedures or observation of public behavior, unless:
    (i) Information obtained is recorded in such a manner that human 
subjects can be identified, directly or through identifiers linked to 
the subjects; and
    (ii) Any disclosure of the human subjects' responses outside the 
research could reasonably place the subjects at risk of criminal or 
civil liability or be damaging to the subjects' financial standing, 
employability, or reputation.
    (3) Research involving the use of educational tests (cognitive, 
diagnostic, aptitude, achievement), survey procedures, interview 
procedures, or observation of public behavior that is not exempt under 
paragraph (b)(2) of this section, if:
    (i) The human subjects are elected or appointed public officials or 
candidates for public office; or
    (ii) Federal statute(s) require(s) without exception that the 
confidentiality of the personally identifiable information will be 
maintained throughout the research and thereafter.
    (4) Research, involving the collection or study of existing data, 
documents, records, pathological specimens, or diagnostic specimens, if 
these sources are publicly available or if the information is recorded 
by the investigator in such a manner that subjects cannot be identified, 
directly or through identifiers linked to the subjects.
    (5) Research and demonstration projects which are conducted by or 
subject to the approval of department or agency heads, and which are 
designed

[[Page 133]]

to study, evaluate, or otherwise examine:
    (i) Public benefit or service programs;
    (ii) Procedures for obtaining benefits or services under those 
programs;
    (iii) possible changes in or alternatives to those programs or 
procedures; or
    (iv) Possible changes in methods or levels of payment for benefits 
or services under those programs.
    (6) Taste and food quality evaluation and consumer acceptance 
studies, (i) if wholesome foods without additives are consumed or (ii) 
if a food is consumed that contains a food ingredient at or below the 
level and for a use found to be safe, or agricultural chemical or 
environmental contaminant at or below the level found to be safe, by the 
Food and Drug Administration or approved by the Environmental Protection 
Agency or the Food Safety and Inspection Service of the U.S. Department 
of Agriculture.
    (c) Department or agency heads retain final judgment as to whether a 
particular activity is covered by this policy.
    (d) Department or agency heads may require that specific research 
activities or classes of research activities conducted, supported, or 
otherwise subject to regulation by the department or agency but not 
otherwise covered by this policy, comply with some or all of the 
requirements of this policy.
    (e) Compliance with this policy requires compliance with pertinent 
federal laws or regulations which provide additional protections for 
human subjects.
    (f) This policy does not affect any state or local laws or 
regulations which may otherwise be applicable and which provide 
additional protections for human subjects.
    (g) This policy does not affect any foreign laws or regulations 
which may otherwise be applicable and which provide additional 
protections to human subjects of research.
    (h) When research covered by this policy takes place in foreign 
countries, procedures normally followed in the foreign countries to 
protect human subjects may differ from those set forth in this policy. 
[An example is a foreign institution which complies with guidelines 
consistent with the World Medical Assembly Declaration (Declaration of 
Helsinki amended 1989) issued either by sovereign states or by an 
organization whose function for the protection of human research 
subjects is internationally recognized.] In these circumstances, if a 
department or agency head determines that the procedures prescribed by 
the institution afford protections that are at least equivalent to those 
provided in this policy, the department or agency head may approve the 
substitution of the foreign procedures in lieu of the procedural 
requirements provided in this policy. Except when otherwise required by 
statute, Executive Order, or the department or agency head, notices of 
these actions as they occur will be published in the Federal Register or 
will be otherwise published as provided in department or agency 
procedures.
    (i) Unless otherwise required by law, department or agency heads may 
waive the applicability of some or all of the provisions of this policy 
to specific research activities or classes of research activities 
otherwise covered by this policy. Except when otherwise required by 
statute or Executive Order, the department or agency head shall forward 
advance notices of these actions to the Office for Human Research 
Protections, Department of Health and Human Services (HHS), or any 
successor office, and shall also publish them in the Federal Register or 
in such other manner as provided in department or agency procedures. \1\
---------------------------------------------------------------------------

    \1\ Institutions with HHS-approved assurances on file will abide by 
provisions of title 45 CFR part 46 subparts A-D. Some of the other 
Departments and Agencies have incorporated all provisions of title 45 
CFR part 46 into their policies and procedures as well. However, the 
exemptions at 45 CFR 46.101(b) do not apply to research involving 
prisoners, subpart C. The exemption at 45 CFR 46.101(b)(2), for research 
involving survey or interview procedures or observation of public 
behavior, does not apply to research with children, subpart D, except 
for research involving observations of public behavior when the 
investigator(s) do not participate in the activities being observed.

[56 FR 28012, 28018, June 18, 1991; 56 FR 29756, June 28, 1991, as 
amended at 70 FR 36328, June 23, 2005]

[[Page 134]]



Sec.  1c.102  Definitions.

    (a) Department or agency head means the head of any federal 
department or agency and any other officer or employee of any department 
or agency to whom authority has been delegated.
    (b) Institution means any public or private entity or agency 
(including federal, state, and other agencies).
    (c) Legally authorized representative means an individual or 
judicial or other body authorized under applicable law to consent on 
behalf of a prospective subject to the subject's participation in the 
procedure(s) involved in the research.
    (d) Research means a systematic investigation, including research 
development, testing and evaluation, designed to develop or contribute 
to generalizable knowledge. Activities which meet this definition 
constitute research for purposes of this policy, whether or not they are 
conducted or supported under a program which is considered research for 
other purposes. For example, some demonstration and service programs may 
include research activities.
    (e) Research subject to regulation, and similar terms are intended 
to encompass those research activities for which a federal department or 
agency has specific responsibility for regulating as a research 
activity, (for example, Investigational New Drug requirements 
administered by the Food and Drug Administration). It does not include 
research activities which are incidentally regulated by a federal 
department or agency solely as part of the department's or agency's 
broader responsibility to regulate certain types of activities whether 
research or non-research in nature (for example, Wage and Hour 
requirements administered by the Department of Labor).
    (f) Human subject means a living individual about whom an 
investigator (whether professional or student) conducting research 
obtains:
    (1) Data through intervention or interaction with the individual, or
    (2) Identifiable private information.

Intervention includes both physical procedures by which data are 
gathered (for example, venipuncture) and manipulations of the subject or 
the subject's environment that are performed for research purposes. 
Interaction includes communication or interpersonal contact between 
investigator and subject. ``Private information'' includes information 
about behavior that occurs in a context in which an individual can 
reasonably expect that no observation or recording is taking place, and 
information which has been provided for specific purposes by an 
individual and which the individual can reasonably expect will not be 
made public (for example, a medical record). Private information must be 
individually identifiable (i.e., the identity of the subject is or may 
readily be ascertained by the investigator or associated with the 
information) in order for obtaining the information to constitute 
research involving human subjects.
    (g) IRB means an institutional review board established in accord 
with and for the purposes expressed in this policy.
    (h) IRB approval means the determination of the IRB that the 
research has been reviewed and may be conducted at an institution within 
the constraints set forth by the IRB and by other institutional and 
federal requirements.
    (i) Minimal risk means that the probability and magnitude of harm or 
discomfort anticipated in the research are not greater in and of 
themselves than those ordinarily encountered in daily life or during the 
performance of routine physical or psychological examinations or tests.
    (j) Certification means the official notification by the institution 
to the supporting department or agency, in accordance with the 
requirements of this policy, that a research project or activity 
involving human subjects has been reviewed and approved by an IRB in 
accordance with an approved assurance.



Sec.  1c.103  Assuring compliance with this policy--research conducted or 
supported by any Federal Department or Agency.

    (a) Each institution engaged in research which is covered by this 
policy and which is conducted or supported by a federal department or 
agency shall

[[Page 135]]

provide written assurance satisfactory to the department or agency head 
that it will comply with the requirements set forth in this policy. In 
lieu of requiring submission of an assurance, individual department or 
agency heads shall accept the existence of a current assurance, 
appropriate for the research in question, on file with the Office for 
Human Research Protections, HHS, or any successor office, and approved 
for federalwide use by that office. When the existence of an HHS-
approved assurance is accepted in lieu of requiring submission of an 
assurance, reports (except certification) required by this policy to be 
made to department and agency heads shall also be made to the Office for 
Human Research Protections, HHS, or any successor office.
    (b) Departments and agencies will conduct or support research 
covered by this policy only if the institution has an assurance approved 
as provided in this section, and only if the institution has certified 
to the department or agency head that the research has been reviewed and 
approved by an IRB provided for in the assurance, and will be subject to 
continuing review by the IRB. Assurances applicable to federally 
supported or conducted research shall at a minimum include:
    (1) A statement of principles governing the institution in the 
discharge of its responsibilities for protecting the rights and welfare 
of human subjects of research conducted at or sponsored by the 
institution, regardless of whether the research is subject to federal 
regulation. This may include an appropriate existing code, declaration, 
or statement of ethical principles, or a statement formulated by the 
institution itself. This requirement does not preempt provisions of this 
policy applicable to department- or agency-supported or regulated 
research and need not be applicable to any research exempted or waived 
under Sec.  1c.101 (b) or (i).
    (2) Designation of one or more IRBs established in accordance with 
the requirements of this policy, and for which provisions are made for 
meeting space and sufficient staff to support the IRB's review and 
recordkeeping duties.
    (3) A list of IRB members identified by name; earned degrees; 
representative capacity; indications of experience such as board 
certifications, licenses, etc., sufficient to describe each member's 
chief anticipated contributions to IRB deliberations; and any employment 
or other relationship between each member and the institution; for 
example: full-time employee, part-time employee, member of governing 
panel or board, stockholder, paid or unpaid consultant. Changes in IRB 
membership shall be reported to the department or agency head, unless in 
accord with Sec.  1c.103(a) of this policy, the existence of an HHS-
approved assurance is accepted. In this case, change in IRB membership 
shall be reported to the Office for Human Research Protections, HHS, or 
any successor office.
    (4) Written procedures which the IRB will follow (i) for conducting 
its initial and continuing review of research and for reporting its 
findings and actions to the investigator and the institution; (ii) for 
determining which projects require review more often than annually and 
which projects need verification from sources other than the 
investigators that no material changes have occurred since previous IRB 
review; and (iii) for ensuring prompt reporting to the IRB of proposed 
changes in a research activity, and for ensuring that such changes in 
approved research, during the period for which IRB approval has already 
been given, may not be initiated without IRB review and approval except 
when necessary to eliminate apparent immediate hazards to the subject.
    (5) Written procedures for ensuring prompt reporting to the IRB, 
appropriate institutional officials, and the department or agency head 
of (i) any unanticipated problems involving risks to subjects or others 
or any serious or continuing noncompliance with this policy or the 
requirements or determinations of the IRB and (ii) any suspension or 
termination of IRB approval.
    (c) The assurance shall be executed by an individual authorized to 
act for the institution and to assume on behalf of the institution the 
obligations imposed by this policy and shall be filed

[[Page 136]]

in such form and manner as the department or agency head prescribes.
    (d) The department or agency head will evaluate all assurances 
submitted in accordance with this policy through such officers and 
employees of the department or agency and such experts or consultants 
engaged for this purpose as the department or agency head determines to 
be appropriate. The department or agency head's evaluation will take 
into consideration the adequacy of the proposed IRB in light of the 
anticipated scope of the institution's research activities and the types 
of subject populations likely to be involved, the appropriateness of the 
proposed initial and continuing review procedures in light of the 
probable risks, and the size and complexity of the institution.
    (e) On the basis of this evaluation, the department or agency head 
may approve or disapprove the assurance, or enter into negotiations to 
develop an approvable one. The department or agency head may limit the 
period during which any particular approved assurance or class of 
approved assurances shall remain effective or otherwise condition or 
restrict approval.
    (f) Certification is required when the research is supported by a 
federal department or agency and not otherwise exempted or waived under 
Sec.  1c.101 (b) or (i). An institution with an approved assurance shall 
certify that each application or proposal for research covered by the 
assurance and by Sec.  1c.103 of this Policy has been reviewed and 
approved by the IRB. Such certification must be submitted with the 
application or proposal or by such later date as may be prescribed by 
the department or agency to which the application or proposal is 
submitted. Under no condition shall research covered by Sec.  1c.103 of 
the Policy be supported prior to receipt of the certification that the 
research has been reviewed and approved by the IRB. Institutions without 
an approved assurance covering the research shall certify within 30 days 
after receipt of a request for such a certification from the department 
or agency, that the application or proposal has been approved by the 
IRB. If the certification is not submitted within these time limits, the 
application or proposal may be returned to the institution.

(Approved by the Office of Management and Budget under Control Number 
0990-0260.)

[56 FR 28012, 28018, June 18, 1991; 56 FR 29756, June 28, 1991, as 
amended at 70 FR 36328, June 23, 2005]



Sec. Sec.  1c.104-1c.106  [Reserved]



Sec.  1c.107  IRB membership.

    (a) Each IRB shall have at least five members, with varying 
backgrounds to promote complete and adequate review of research 
activities commonly conducted by the institution. The IRB shall be 
sufficiently qualified through the experience and expertise of its 
members, and the diversity of the members, including consideration of 
race, gender, and cultural backgrounds and sensitivity to such issues as 
community attitudes, to promote respect for its advice and counsel in 
safeguarding the rights and welfare of human subjects. In addition to 
possessing the professional competence necessary to review specific 
research activities, the IRB shall be able to ascertain the 
acceptability of proposed research in terms of institutional commitments 
and regulations, applicable law, and standards of professional conduct 
and practice. The IRB shall therefore include persons knowledgeable in 
these areas. If an IRB regularly reviews research that involves a 
vulnerable category of subjects, such as children, prisoners, pregnant 
women, or handicapped or mentally disabled persons, consideration shall 
be given to the inclusion of one or more individuals who are 
knowledgeable about and experienced in working with these subjects.
    (b) Every nondiscriminatory effort will be made to ensure that no 
IRB consists entirely of men or entirely of women, including the 
institution's consideration of qualified persons of both sexes, so long 
as no selection is made to the IRB on the basis of gender. No IRB may 
consist entirely of members of one profession.
    (c) Each IRB shall include at least one member whose primary 
concerns are in scientific areas and at least one member whose primary 
concerns are in nonscientific areas.

[[Page 137]]

    (d) Each IRB shall include at least one member who is not otherwise 
affiliated with the institution and who is not part of the immediate 
family of a person who is affiliated with the institution.
    (e) No IRB may have a member participate in the IRB's initial or 
continuing review of any project in which the member has a conflicting 
interest, except to provide information requested by the IRB.
    (f) An IRB may, at its discretion, invite individuals with 
competence in special areas to assist in the review of issues which 
require expertise beyond or in addition to that available on the IRB. 
These individuals may not vote with the IRB.



Sec.  1c.108  IRB functions and operations.

    In order to fulfill the requirements of this policy each IRB shall:
    (a) Follow written procedures in the same detail as described in 
Sec.  1c.103(b)(4) and, to the extent required by, Sec.  1c.103(b)(5).
    (b) Except when an expedited review procedure is used (see Sec.  
1c.110), review proposed research at convened meetings at which a 
majority of the members of the IRB are present, including at least one 
member whose primary concerns are in nonscientific areas. In order for 
the research to be approved, it shall receive the approval of a majority 
of those members present at the meeting.



Sec.  1c.109  IRB review of research.

    (a) An IRB shall review and have authority to approve, require 
modifications in (to secure approval), or disapprove all research 
activities covered by this policy.
    (b) An IRB shall require that information given to subjects as part 
of informed consent is in accordance with Sec.  1c.116. The IRB may 
require that information, in addition to that specifically mentioned in 
Sec.  1c.116, be given to the subjects when in the IRB's judgment the 
information would meaningfully add to the protection of the rights and 
welfare of subjects.
    (c) An IRB shall require documentation of informed consent or may 
waive documentation in accordance with Sec.  1c.117.
    (d) An IRB shall notify investigators and the institution in writing 
of its decision to approve or disapprove the proposed research activity, 
or of modifications required to secure IRB approval of the research 
activity. If the IRB decides to disapprove a research activity, it shall 
include in its written notification a statement of the reasons for its 
decision and give the investigator an opportunity to respond in person 
or in writing.
    (e) An IRB shall conduct continuing review of research covered by 
this policy at intervals appropriate to the degree of risk, but not less 
than once per year, and shall have authority to observe or have a third 
party observe the consent process and the research.

(Approved by the Office of Management and Budget under Control Number 
0990-0260)

[56 FR 28012, 28018, June 18, 1991, as amended at 70 FR 36328, June 23, 
2005]



Sec.  1c.110  Expedited review procedures for certain kinds of research 
involving no more than minimal risk, and for minor changes in approved 
research.

    (a) The Secretary, HHS, has established, and published as a Notice 
in the Federal Register, a list of categories of research that may be 
reviewed by the IRB through an expedited review procedure. The list will 
be amended, as appropriate after consultation with other departments and 
agencies, through periodic republication by the Secretary, HHS, in the 
Federal Register. A copy of the list is available from the Office for 
Human Research Protections, HHS, or any successor office.
    (b) An IRB may use the expedited review procedure to review either 
or both of the following:
    (1) Some or all of the research appearing on the list and found by 
the reviewer(s) to involve no more than minimal risk,
    (2) Minor changes in previously approved research during the period 
(of one year or less) for which approval is authorized.

Under an expedited review procedure, the review may be carried out by 
the IRB chairperson or by one or more experienced reviewers designated 
by the chairperson from among members of

[[Page 138]]

the IRB. In reviewing the research, the reviewers may exercise all of 
the authorities of the IRB except that the reviewers may not disapprove 
the research. A research activity may be disapproved only after review 
in accordance with the non-expedited procedure set forth in Sec.  
1c.108(b).
    (c) Each IRB which uses an expedited review procedure shall adopt a 
method for keeping all members advised of research proposals which have 
been approved under the procedure.
    (d) The department or agency head may restrict, suspend, terminate, 
or choose not to authorize an institution's or IRB's use of the 
expedited review procedure.

[56 FR 28012, 28018, June 18, 1991, as amended at 70 FR 36328, June 23, 
2005]



Sec.  1c.111  Criteria for IRB approval of research.

    (a) In order to approve research covered by this policy the IRB 
shall determine that all of the following requirements are satisfied:
    (1) Risks to subjects are minimized: (i) By using procedures which 
are consistent with sound research design and which do not unnecessarily 
expose subjects to risk, and (ii) whenever appropriate, by using 
procedures already being performed on the subjects for diagnostic or 
treatment purposes.
    (2) Risks to subjects are reasonable in relation to anticipated 
benefits, if any, to subjects, and the importance of the knowledge that 
may reasonably be expected to result. In evaluating risks and benefits, 
the IRB should consider only those risks and benefits that may result 
from the research (as distinguished from risks and benefits of therapies 
subjects would receive even if not participating in the research). The 
IRB should not consider possible long-range effects of applying 
knowledge gained in the research (for example, the possible effects of 
the research on public policy) as among those research risks that fall 
within the purview of its responsibility.
    (3) Selection of subjects is equitable. In making this assessment 
the IRB should take into account the purposes of the research and the 
setting in which the research will be conducted and should be 
particularly cognizant of the special problems of research involving 
vulnerable populations, such as children, prisoners, pregnant women, 
mentally disabled persons, or economically or educationally 
disadvantaged persons.
    (4) Informed consent will be sought from each prospective subject or 
the subject's legally authorized representative, in accordance with, and 
to the extent required by Sec.  1c.116.
    (5) Informed consent will be appropriately documented, in accordance 
with, and to the extent required by Sec.  1c.117.
    (6) When appropriate, the research plan makes adequate provision for 
monitoring the data collected to ensure the safety of subjects.
    (7) When appropriate, there are adequate provisions to protect the 
privacy of subjects and to maintain the confidentiality of data.
    (b) When some or all of the subjects are likely to be vulnerable to 
coercion or undue influence, such as children, prisoners, pregnant 
women, mentally disabled persons, or economically or educationally 
disadvantaged persons, additional safeguards have been included in the 
study to protect the rights and welfare of these subjects.



Sec.  1c.112  Review by institution.

    Research covered by this policy that has been approved by an IRB may 
be subject to further appropriate review and approval or disapproval by 
officials of the institution. However, those officials may not approve 
the research if it has not been approved by an IRB.



Sec.  1c.113  Suspension or termination of IRB approval of research.

    An IRB shall have authority to suspend or terminate approval of 
research that is not being conducted in accordance with the IRB's 
requirements or that has been associated with unexpected serious harm to 
subjects. Any suspension or termination of approval shall include a 
statement of the reasons for the IRB's action and shall be reported 
promptly to the investigator,

[[Page 139]]

appropriate institutional officials, and the department or agency head.

(Approved by the Office of Management and Budget under Control Number 
0990-0260)

[56 FR 28012, 28018, June 18, 1991, as amended at 70 FR 36328, June 23, 
2005]



Sec.  1c.114  Cooperative research.

    Cooperative research projects are those projects covered by this 
policy which involve more than one institution. In the conduct of 
cooperative research projects, each institution is responsible for 
safeguarding the rights and welfare of human subjects and for complying 
with this policy. With the approval of the department or agency head, an 
institution participating in a cooperative project may enter into a 
joint review arrangement, rely upon the review of another qualified IRB, 
or make similar arrangements for avoiding duplication of effort.



Sec.  1c.115  IRB records.

    (a) An institution, or when appropriate an IRB, shall prepare and 
maintain adequate documentation of IRB activities, including the 
following:
    (1) Copies of all research proposals reviewed, scientific 
evaluations, if any, that accompany the proposals, approved sample 
consent documents, progress reports submitted by investigators, and 
reports of injuries to subjects.
    (2) Minutes of IRB meetings which shall be in sufficient detail to 
show attendance at the meetings; actions taken by the IRB; the vote on 
these actions including the number of members voting for, against, and 
abstaining; the basis for requiring changes in or disapproving research; 
and a written summary of the discussion of controverted issues and their 
resolution.
    (3) Records of continuing review activities.
    (4) Copies of all correspondence between the IRB and the 
investigators.
    (5) A list of IRB members in the same detail as described is Sec.  
1c.103(b)(3).
    (6) Written procedures for the IRB in the same detail as described 
in Sec. Sec.  1c.103(b)(4) and 1c.103(b)(5).
    (7) Statements of significant new findings provided to subjects, as 
required by Sec.  1c.116(b)(5).
    (b) The records required by this policy shall be retained for at 
least 3 years, and records relating to research which is conducted shall 
be retained for at least 3 years after completion of the research. All 
records shall be accessible for inspection and copying by authorized 
representatives of the department or agency at reasonable times and in a 
reasonable manner.

(Approved by the Office of Management and Budget under Control Number 
0990-0260.)

[56 FR 28012, 28018, June 18, 1991, as amended at 70 FR 36328, June 23, 
2005]



Sec.  1c.116  General requirements for informed consent.

    Except as provided elsewhere in this policy, no investigator may 
involve a human being as a subject in research covered by this policy 
unless the investigator has obtained the legally effective informed 
consent of the subject or the subject's legally authorized 
representative. An investigator shall seek such consent only under 
circumstances that provide the prospective subject or the representative 
sufficient opportunity to consider whether or not to participate and 
that minimize the possibility of coercion or undue influence. The 
information that is given to the subject or the representative shall be 
in language understandable to the subject or the representative. No 
informed consent, whether oral or written, may include any exculpatory 
language through which the subject or the representative is made to 
waive or appear to waive any of the subject's legal rights, or releases 
or appears to release the investigator, the sponsor, the institution or 
its agents from liability for negligence.
    (a) Basic elements of informed consent. Except as provided in 
paragraph (c) or (d) of this section, in seeking informed consent the 
following information shall be provided to each subject:
    (1) A statement that the study involves research, an explanation of 
the purposes of the research and the expected duration of the subject's 
participation, a description of the procedures to be followed, and 
identification of any procedures which are experimental;

[[Page 140]]

    (2) A description of any reasonably foreseeable risks or discomforts 
to the subject;
    (3) A description of any benefits to the subject or to others which 
may reasonably be expected from the research;
    (4) A disclosure of appropriate alternative procedures or courses of 
treatment, if any, that might be advantageous to the subject;
    (5) A statement describing the extent, if any, to which 
confidentiality of records identifying the subject will be maintained;
    (6) For research involving more than minimal risk, an explanation as 
to whether any compensation and an explanation as to whether any medical 
treatments are available if injury occurs and, if so, what they consist 
of, or where further information may be obtained;
    (7) An explanation of whom to contact for answers to pertinent 
questions about the research and research subjects' rights, and whom to 
contact in the event of a research-related injury to the subject; and
    (8) A statement that participation is voluntary, refusal to 
participate will involve no penalty or loss of benefits to which the 
subject is otherwise entitled, and the subject may discontinue 
participation at any time without penalty or loss of benefits to which 
the subject is otherwise entitled.
    (b) Additional elements of informed consent. When appropriate, one 
or more of the following elements of information shall also be provided 
to each subject:
    (1) A statement that the particular treatment or procedure may 
involve risks to the subject (or to the embryo or fetus, if the subject 
is or may become pregnant) which are currently unforeseeable;
    (2) Anticipated circumstances under which the subject's 
participation may be terminated by the investigator without regard to 
the subject's consent;
    (3) Any additional costs to the subject that may result from 
participation in the research;
    (4) The consequences of a subject's decision to withdraw from the 
research and procedures for orderly termination of participation by the 
subject;
    (5) A statement that significant new findings developed during the 
course of the research which may relate to the subject's willingness to 
continue participation will be provided to the subject; and
    (6) The approximate number of subjects involved in the study.
    (c) An IRB may approve a consent procedure which does not include, 
or which alters, some or all of the elements of informed consent set 
forth above, or waive the requirement to obtain informed consent 
provided the IRB finds and documents that:
    (1) The research or demonstration project is to be conducted by or 
subject to the approval of state or local government officials and is 
designed to study, evaluate, or otherwise examine: (i) Public benefit of 
service programs; (ii) procedures for obtaining benefits or services 
under those programs; (iii) possible changes in or alternatives to those 
programs or procedures; or (iv) possible changes in methods or levels of 
payment for benefits or services under those programs; and
    (2) The research could not practicably be carried out without the 
waiver or alteration.
    (d) An IRB may approve a consent procedure which does not include, 
or which alters, some or all of the elements of informed consent set 
forth in this section, or waive the requirements to obtain informed 
consent provided the IRB finds and documents that:
    (1) The research involves no more than minimal risk to the subjects;
    (2) The waiver or alteration will not adversely affect the rights 
and welfare of the subjects;
    (3) The research could not practicably be carried out without the 
waiver or alteration; and
    (4) Whenever appropriate, the subjects will be provided with 
additional pertinent information after participation.
    (e) The informed consent requirements in this policy are not 
intended to preempt any applicable federal, state, or local laws which 
require additional information to be disclosed in order for informed 
consent to be legally effective.
    (f) Nothing in this policy is intended to limit the authority of a 
physician to

[[Page 141]]

provide emergency medical care, to the extent the physician is permitted 
to do so under applicable federal, state, or local law.

(Approved by the Office of Management and Budget under Control Number 
0990-0260)

[56 FR 28012, 28018, June 18, 1991, as amended at 70 FR 36328, June 23, 
2005]



Sec.  1c.117  Documentation of informed consent.

    (a) Except as provided in paragraph (c) of this section, informed 
consent shall be documented by the use of a written consent form 
approved by the IRB and signed by the subject or the subject's legally 
authorized representative. A copy shall be given to the person signing 
the form.
    (b) Except as provided in paragraph (c) of this section, the consent 
form may be either of the following:
    (1) A written consent document that embodies the elements of 
informed consent required by Sec.  1c.116. This form may be read to the 
subject or the subject's legally authorized representative, but in any 
event, the investigator shall give either the subject or the 
representative adequate opportunity to read it before it is signed; or
    (2) A short form written consent document stating that the elements 
of informed consent required by Sec.  1c.116 have been presented orally 
to the subject or the subject's legally authorized representative. When 
this method is used, there shall be a witness to the oral presentation. 
Also, the IRB shall approve a written summary of what is to be said to 
the subject or the representative. Only the short form itself is to be 
signed by the subject or the representative. However, the witness shall 
sign both the short form and a copy of the summary, and the person 
actually obtaining consent shall sign a copy of the summary. A copy of 
the summary shall be given to the subject or the representative, in 
addition to a copy of the short form.
    (c) An IRB may waive the requirement for the investigator to obtain 
a signed consent form for some or all subjects if it finds either:
    (1) That the only record linking the subject and the research would 
be the consent document and the principal risk would be potential harm 
resulting from a breach of confidentiality. Each subject will be asked 
whether the subject wants documentation linking the subject with the 
research, and the subject's wishes will govern; or
    (2) That the research presents no more than minimal risk of harm to 
subjects and involves no procedures for which written consent is 
normally required outside of the research context.
    In cases in which the documentation requirement is waived, the IRB 
may require the investigator to provide subjects with a written 
statement regarding the research.

(Approved by the Office of Management and Budget under Control Number 
0990-0260)

[56 FR 28012, 28018, June 18, 1991, as amended at 70 FR 36328, June 23, 
2005]



Sec.  1c.118  Applications and proposals lacking definite plans 
for involvement of human subjects.

    Certain types of applications for grants, cooperative agreements, or 
contracts are submitted to departments or agencies with the knowledge 
that subjects may be involved within the period of support, but definite 
plans would not normally be set forth in the application or proposal. 
These include activities such as institutional type grants when 
selection of specific projects is the institution's responsibility; 
research training grants in which the activities involving subjects 
remain to be selected; and projects in which human subjects' involvement 
will depend upon completion of instruments, prior animal studies, or 
purification of compounds. These applications need not be reviewed by an 
IRB before an award may be made. However, except for research exempted 
or waived under Sec.  1c.101 (b) or (i), no human subjects may be 
involved in any project supported by these awards until the project has 
been reviewed and approved by the IRB, as provided in this policy, and 
certification submitted, by the institution, to the department or 
agency.



Sec.  1c.119  Research undertaken without the intention of 
involving human subjects.

    In the event research is undertaken without the intention of 
involving human subjects, but it is later proposed to involve human 
subjects in the

[[Page 142]]

research, the research shall first be reviewed and approved by an IRB, 
as provided in this policy, a certification submitted, by the 
institution, to the department or agency, and final approval given to 
the proposed change by the department or agency.



Sec.  1c.120  Evaluation and disposition of applications and proposals 
for research to be conducted or supported by a Federal Department or Agency.

    (a) The department or agency head will evaluate all applications and 
proposals involving human subjects submitted to the department or agency 
through such officers and employees of the department or agency and such 
experts and consultants as the department or agency head determines to 
be appropriate. This evaluation will take into consideration the risks 
to the subjects, the adequacy of protection against these risks, the 
potential benefits of the research to the subjects and others, and the 
importance of the knowledge gained or to be gained.
    (b) On the basis of this evaluation, the department or agency head 
may approve or disapprove the application or proposal, or enter into 
negotiations to develop an approvable one.



Sec.  1c.121  [Reserved]



Sec.  1c.122  Use of Federal funds.

    Federal funds administered by a department or agency may not be 
expended for research involving human subjects unless the requirements 
of this policy have been satisfied.



Sec.  1c.123  Early termination of research support: Evaluation of 
applications and proposals.

    (a) The department or agency head may require that department or 
agency support for any project be terminated or suspended in the manner 
prescribed in applicable program requirements, when the department or 
agency head finds an institution has materially failed to comply with 
the terms of this policy.
    (b) In making decisions about supporting or approving applications 
or proposals covered by this policy the department or agency head may 
take into account, in addition to all other eligibility requirements and 
program criteria, factors such as whether the applicant has been subject 
to a termination or suspension under paragarph (a) of this section and 
whether the applicant or the person or persons who would direct or has 
have directed the scientific and technical aspects of an activity has 
have, in the judgment of the department or agency head, materially 
failed to discharge responsibility for the protection of the rights and 
welfare of human subjects (whether or not the research was subject to 
federal regulation).



Sec.  1c.124  Conditions.

    With respect to any research project or any class of research 
projects the department or agency head may impose additional conditions 
prior to or at the time of approval when in the judgment of the 
department or agency head additional conditions are necessary for the 
protection of human subjects.

    Effective Date Note: At 82 FR 7269, Jan. 19, 2017, part 1c is 
revised, effective July 19, 2018. For the convenience of the user, the 
revised text is set forth as follows:



PART 1c_PROTECTION OF HUMAN SUBJECTS (Eff. 7-19-18)



Sec.  1c.101  To what does this policy apply?

    (a) Except as detailed in Sec.  1c.104, this policy applies to all 
research involving human subjects conducted, supported, or otherwise 
subject to regulation by any Federal department or agency that takes 
appropriate administrative action to make the policy applicable to such 
research. This includes research conducted by Federal civilian employees 
or military personnel, except that each department or agency head may 
adopt such procedural modifications as may be appropriate from an 
administrative standpoint. It also includes research conducted, 
supported, or otherwise subject to regulation by the Federal Government 
outside the United States. Institutions that are engaged in research 
described in this paragraph and institutional review boards (IRBs) 
reviewing research that is subject to this policy must comply with this 
policy.
    (b) [Reserved]
    (c) Department or agency heads retain final judgment as to whether a 
particular activity is covered by this policy and this judgment shall be 
exercised consistent with the ethical principles of the Belmont 
Report.\62\
---------------------------------------------------------------------------

    \62\ The National Commission for the Protection of Human Subjects of 
Biomedical and Behavioral Research.- Belmont Report. Washington, DC: 
U.S. Department of Health and Human Services. 1979.

---------------------------------------------------------------------------

[[Page 143]]

    (d) Department or agency heads may require that specific research 
activities or classes of research activities conducted, supported, or 
otherwise subject to regulation by the Federal department or agency but 
not otherwise covered by this policy comply with some or all of the 
requirements of this policy.
    (e) Compliance with this policy requires compliance with pertinent 
federal laws or regulations that provide additional protections for 
human subjects.
    (f) This policy does not affect any state or local laws or 
regulations (including tribal law passed by the official governing body 
of an American Indian or Alaska Native tribe) that may otherwise be 
applicable and that provide additional protections for human subjects.
    (g) This policy does not affect any foreign laws or regulations that 
may otherwise be applicable and that provide additional protections to 
human subjects of research.
    (h) When research covered by this policy takes place in foreign 
countries, procedures normally followed in the foreign countries to 
protect human subjects may differ from those set forth in this policy. 
In these circumstances, if a department or agency head determines that 
the procedures prescribed by the institution afford protections that are 
at least equivalent to those provided in this policy, the department or 
agency head may approve the substitution of the foreign procedures in 
lieu of the procedural requirements provided in this policy. Except when 
otherwise required by statute, Executive Order, or the department or 
agency head, notices of these actions as they occur will be published in 
the Federal Register or will be otherwise published as provided in 
department or agency procedures.
    (i) Unless otherwise required by law, department or agency heads may 
waive the applicability of some or all of the provisions of this policy 
to specific research activities or classes of research activities 
otherwise covered by this policy, provided the alternative procedures to 
be followed are consistent with the principles of the Belmont 
Report.\63\ Except when otherwise required by statute or Executive 
Order, the department or agency head shall forward advance notices of 
these actions to the Office for Human Research Protections, Department 
of Health and Human Services (HHS), or any successor office, or to the 
equivalent office within the appropriate Federal department or agency, 
and shall also publish them in the Federal Register or in such other 
manner as provided in department or agency procedures. The waiver notice 
must include a statement that identifies the conditions under which the 
waiver will be applied and a justification as to why the waiver is 
appropriate for the research, including how the decision is consistent 
with the principles of the Belmont Report.
---------------------------------------------------------------------------

    \63\ Id.
---------------------------------------------------------------------------

    (j) Federal guidance on the requirements of this policy shall be 
issued only after consultation, for the purpose of harmonization (to the 
extent appropriate), with other Federal departments and agencies that 
have adopted this policy, unless such consultation is not feasible.
    (k) [Reserved]
    (l) Compliance dates and transition provisions:
    (1) For purposes of this section, the pre-2018 Requirements means 
this subpart as published in the 2016 edition of the Code of Federal 
Regulations.
    (2) For purposes of this section, the 2018 Requirements means the 
Federal Policy for the Protection of Human Subjects requirements 
contained in this subpart. The compliance date for Sec.  1c.114(b) 
(cooperative research) of the 2018 Requirements is January 20, 2020.
    (3) Research initially approved by an IRB, for which such review was 
waived pursuant to Sec.  1c.101(i), or for which a determination was 
made that the research was exempt before January 19, 2018, shall comply 
with the pre-2018 Requirements, except that an institution engaged in 
such research on or after January 19, 2018, may instead comply with the 
2018 Requirements if the institution determines that such ongoing 
research will comply with the 2018 Requirements and an IRB documents 
such determination.
    (4) Research initially approved by an IRB, for which such review was 
waived pursuant to Sec.  1c.101(i), or for which a determination was 
made that the research was exempt on or after January 19, 2018, shall 
comply with the 2018 Requirements.
    (m) Severability: Any provision of this part held to be invalid or 
unenforceable by its terms, or as applied to any person or circumstance, 
shall be construed so as to continue to give maximum effect to the 
provision permitted by law, unless such holding shall be one of utter 
invalidity or unenforceability, in which event the provision shall be 
severable from this part and shall not affect the remainder thereof or 
the application of the provision to other persons not similarly situated 
or to other dissimilar circumstances.



Sec.  1c.102  Definitions for purposes of this policy.

    (a) Certification means the official notification by the institution 
to the supporting Federal department or agency component, in accordance 
with the requirements of this policy, that a research project or 
activity involving human subjects has been reviewed

[[Page 144]]

and approved by an IRB in accordance with an approved assurance.
    (b) Clinical trial means a research study in which one or more human 
subjects are prospectively assigned to one or more interventions (which 
may include placebo or other control) to evaluate the effects of the 
interventions on biomedical or behavioral health-related outcomes.
    (c) Department or agency head means the head of any Federal 
department or agency, for example, the Secretary of HHS, and any other 
officer or employee of any Federal department or agency to whom the 
authority provided by these regulations to the department or agency head 
has been delegated.
    (d) Federal department or agency refers to a federal department or 
agency (the department or agency itself rather than its bureaus, offices 
or divisions) that takes appropriate administrative action to make this 
policy applicable to the research involving human subjects it conducts, 
supports, or otherwise regulates (e.g., the U.S. Department of Health 
and Human Services, the U.S. Department of Defense, or the Central 
Intelligence Agency).
    (e)(1) Human subject means a living individual about whom an 
investigator (whether professional or student) conducting research:
    (i) Obtains information or biospecimens through intervention or 
interaction with the individual, and uses, studies, or analyzes the 
information or biospecimens; or (ii) Obtains, uses, studies, analyzes, 
or generates identifiable private information or identifiable 
biospecimens.
    (2) Intervention includes both physical procedures by which 
information or biospecimens are gathered (e.g., venipuncture) and 
manipulations of the subject or the subject's environment that are 
performed for research purposes.
    (3) Interaction includes communication or interpersonal contact 
between investigator and subject.
    (4) Private information includes information about behavior that 
occurs in a context in which an individual can reasonably expect that no 
observation or recording is taking place, and information that has been 
provided for specific purposes by an individual and that the individual 
can reasonably expect will not be made public (e.g., a medical record).
    (5) Identifiable private information is private information for 
which the identity of the subject is or may readily be ascertained by 
the investigator or associated with the information.
    (6) An identifiable biospecimen is a biospecimen for which the 
identity of the subject is or may readily be ascertained by the 
investigator or associated with the biospecimen.
    (7) Federal departments or agencies implementing this policy shall:
    (i) Upon consultation with appropriate experts (including experts in 
data matching and re-identification), reexamine the meaning of 
``identifiable private information,'' as defined in paragraph (e)(5) of 
this section, and ``identifiable biospecimen,'' as defined in paragraph 
(e)(6) of this section. This reexamination shall take place within 1 
year and regularly thereafter (at least every 4 years). This process 
will be conducted by collaboration among the Federal departments and 
agencies implementing this policy. If appropriate and permitted by law, 
such Federal departments and agencies may alter the interpretation of 
these terms, including through the use of guidance.
    (ii) Upon consultation with appropriate experts, assess whether 
there are analytic technologies or techniques that should be considered 
by investigators to generate ``identifiable private information,'' as 
defined in paragraph (e)(5) of this section, or an ``identifiable 
biospecimen,'' as defined in paragraph (e)(6) of this section. This 
assessment shall take place within 1 year and regularly thereafter (at 
least every 4 years). This process will be conducted by collaboration 
among the Federal departments and agencies implementing this policy. Any 
such technologies or techniques will be included on a list of 
technologies or techniques that produce identifiable private information 
or identifiable biospecimens. This list will be published in the Federal 
Register after notice and an opportunity for public comment. The 
Secretary, HHS, shall maintain the list on a publicly accessible Web 
site.
    (f) Institution means any public or private entity, or department or 
agency (including federal, state, and other agencies).
    (g) IRB means an institutional review board established in accord 
with and for the purposes expressed in this policy.
    (h) IRB approval means the determination of the IRB that the 
research has been reviewed and may be conducted at an institution within 
the constraints set forth by the IRB and by other institutional and 
federal requirements.
    (i) Legally authorized representative means an individual or 
judicial or other body authorized under applicable law to consent on 
behalf of a prospective subject to the subject's participation in the 
procedure(s) involved in the research. If there is no applicable law 
addressing this issue, legally authorized representative means an 
individual recognized by institutional policy as acceptable for 
providing consent in the nonresearch context on behalf of the 
prospective subject to the subject's participation in the procedure(s) 
involved in the research.
    (j) Minimal risk means that the probability and magnitude of harm or 
discomfort anticipated in the research are not greater in and of 
themselves than those ordinarily encountered in daily life or during the 
performance

[[Page 145]]

of routine physical or psychological examinations or tests.
    (k) Public health authority means an agency or authority of the 
United States, a state, a territory, a political subdivision of a state 
or territory, an Indian tribe, or a foreign government, or a person or 
entity acting under a grant of authority from or contract with such 
public agency, including the employees or agents of such public agency 
or its contractors or persons or entities to whom it has granted 
authority, that is responsible for public health matters as part of its 
official mandate.
    (l) Research means a systematic investigation, including research 
development, testing, and evaluation, designed to develop or contribute 
to generalizable knowledge. Activities that meet this definition 
constitute research for purposes of this policy, whether or not they are 
conducted or supported under a program that is considered research for 
other purposes. For example, some demonstration and service programs may 
include research activities. For purposes of this part, the following 
activities are deemed not to be research:
    (1) Scholarly and journalistic activities (e.g., oral history, 
journalism, biography, literary criticism, legal research, and 
historical scholarship), including the collection and use of 
information, that focus directly on the specific individuals about whom 
the information is collected.
    (2) Public health surveillance activities, including the collection 
and testing of information or biospecimens, conducted, supported, 
requested, ordered, required, or authorized by a public health 
authority. Such activities are limited to those necessary to allow a 
public health authority to identify, monitor, assess, or investigate 
potential public health signals, onsets of disease outbreaks, or 
conditions of public health importance (including trends, signals, risk 
factors, patterns in diseases, or increases in injuries from using 
consumer products). Such activities include those associated with 
providing timely situational awareness and priority setting during the 
course of an event or crisis that threatens public health (including 
natural or man-made disasters).
    (3) Collection and analysis of information, biospecimens, or records 
by or for a criminal justice agency for activities authorized by law or 
court order solely for criminal justice or criminal investigative 
purposes.
    (4) Authorized operational activities (as determined by each agency) 
in support of intelligence, homeland security, defense, or other 
national security missions.
    (m) Written, or in writing, for purposes of this part, refers to 
writing on a tangible medium (e.g., paper) or in an electronic format.



Sec.  1c.103  Assuring compliance with this policy--research conducted 
          or supported by any Federal department or agency.

    (a) Each institution engaged in research that is covered by this 
policy, with the exception of research eligible for exemption under 
Sec.  1c.104, and that is conducted or supported by a Federal department 
or agency, shall provide written assurance satisfactory to the 
department or agency head that it will comply with the requirements of 
this policy. In lieu of requiring submission of an assurance, individual 
department or agency heads shall accept the existence of a current 
assurance, appropriate for the research in question, on file with the 
Office for Human Research Protections, HHS, or any successor office, and 
approved for Federal-wide use by that office. When the existence of an 
HHS-approved assurance is accepted in lieu of requiring submission of an 
assurance, reports (except certification) required by this policy to be 
made to department and agency heads shall also be made to the Office for 
Human Research Protections, HHS, or any successor office. Federal 
departments and agencies will conduct or support research covered by 
this policy only if the institution has provided an assurance that it 
will comply with the requirements of this policy, as provided in this 
section, and only if the institution has certified to the department or 
agency head that the research has been reviewed and approved by an IRB 
(if such certification is required by Sec.  1c.103(d)).
    (b) The assurance shall be executed by an individual authorized to 
act for the institution and to assume on behalf of the institution the 
obligations imposed by this policy and shall be filed in such form and 
manner as the department or agency head prescribes.
    (c) The department or agency head may limit the period during which 
any assurance shall remain effective or otherwise condition or restrict 
the assurance.
    (d) Certification is required when the research is supported by a 
Federal department or agency and not otherwise waived under Sec.  
1c.101(i) or exempted under Sec.  1c.104. For such research, 
institutions shall certify that each proposed research study covered by 
the assurance and this section has been reviewed and approved by the 
IRB. Such certification must be submitted as prescribed by the Federal 
department or agency component supporting the research. Under no 
condition shall research covered by this section be initiated prior to 
receipt of the certification that the research has been reviewed and 
approved by the IRB.
    (e) For nonexempt research involving human subjects covered by this 
policy (or exempt research for which limited IRB review takes place 
pursuant to Sec.  1c.104(d)(2)(iii), (d)(3)(i)(C), or (d)(7) or (8)) 
that takes place at an institution in which IRB oversight is conducted 
by an IRB that is not operated by

[[Page 146]]

the institution, the institution and the organization operating the IRB 
shall document the institution's reliance on the IRB for oversight of 
the research and the responsibilities that each entity will undertake to 
ensure compliance with the requirements of this policy (e.g., in a 
written agreement between the institution and the IRB, by implementation 
of an institution-wide policy directive providing the allocation of 
responsibilities between the institution and an IRB that is not 
affiliated with the institution, or as set forth in a research 
protocol).

(Approved by the Office of Management and Budget under Control Number 
0990-0260)



Sec.  1c.104  Exempt research.

    (a) Unless otherwise required by law or by department or agency 
heads, research activities in which the only involvement of human 
subjects will be in one or more of the categories in paragraph (d) of 
this section are exempt from the requirements of this policy, except 
that such activities must comply with the requirements of this section 
and as specified in each category.
    (b) Use of the exemption categories for research subject to the 
requirements of subparts B, C, and D: Application of the exemption 
categories to research subject to the requirements of 45 CFR part 46, 
subparts B, C, and D, is as follows:
    (1) Subpart B. Each of the exemptions at this section may be applied 
to research subject to subpart B if the conditions of the exemption are 
met.
    (2) Subpart C. The exemptions at this section do not apply to 
research subject to subpart C, except for research aimed at involving a 
broader subject population that only incidentally includes prisoners.
    (3) Subpart D. The exemptions at paragraphs (d)(1), (4), (5), (6), 
(7), and (8) of this section may be applied to research subject to 
subpart D if the conditions of the exemption are met. Paragraphs 
(d)(2)(i) and (ii) of this section only may apply to research subject to 
subpart D involving educational tests or the observation of public 
behavior when the investigator(s) do not participate in the activities 
being observed. Paragraph (d)(2)(iii) of this section may not be applied 
to research subject to subpart D.
    (c) [Reserved]
    (d) Except as described in paragraph (a) of this section, the 
following categories of human subjects research are exempt from this 
policy:
    (1) Research, conducted in established or commonly accepted 
educational settings, that specifically involves normal educational 
practices that are not likely to adversely impact students' opportunity 
to learn required educational content or the assessment of educators who 
provide instruction. This includes most research on regular and special 
education instructional strategies, and research on the effectiveness of 
or the comparison among instructional techniques, curricula, or 
classroom management methods.
    (2) Research that only includes interactions involving educational 
tests (cognitive, diagnostic, aptitude, achievement), survey procedures, 
interview procedures, or observation of public behavior (including 
visual or auditory recording) if at least one of the following criteria 
is met:
    (i) The information obtained is recorded by the investigator in such 
a manner that the identity of the human subjects cannot readily be 
ascertained, directly or through identifiers linked to the subjects;
    (ii) Any disclosure of the human subjects' responses outside the 
research would not reasonably place the subjects at risk of criminal or 
civil liability or be damaging to the subjects' financial standing, 
employability, educational advancement, or reputation; or
    (iii) The information obtained is recorded by the investigator in 
such a manner that the identity of the human subjects can readily be 
ascertained, directly or through identifiers linked to the subjects, and 
an IRB conducts a limited IRB review to make the determination required 
by Sec.  1c.111(a)(7).
    (3)(i) Research involving benign behavioral interventions in 
conjunction with the collection of information from an adult subject 
through verbal or written responses (including data entry) or 
audiovisual recording if the subject prospectively agrees to the 
intervention and information collection and at least one of the 
following criteria is met:
    (A) The information obtained is recorded by the investigator in such 
a manner that the identity of the human subjects cannot readily be 
ascertained, directly or through identifiers linked to the subjects;
    (B) Any disclosure of the human subjects' responses outside the 
research would not reasonably place the subjects at risk of criminal or 
civil liability or be damaging to the subjects' financial standing, 
employability, educational advancement, or reputation; or
    (C) The information obtained is recorded by the investigator in such 
a manner that the identity of the human subjects can readily be 
ascertained, directly or through identifiers linked to the subjects, and 
an IRB conducts a limited IRB review to make the determination required 
by Sec.  1c.111(a)(7).
    (ii) For the purpose of this provision, benign behavioral 
interventions are brief in duration, harmless, painless, not physically 
invasive, not likely to have a significant adverse lasting impact on the 
subjects, and the investigator has no reason to think the subjects will 
find the interventions offensive or embarrassing. Provided all such 
criteria are met, examples of such benign behavioral

[[Page 147]]

interventions would include having the subjects play an online game, 
having them solve puzzles under various noise conditions, or having them 
decide how to allocate a nominal amount of received cash between 
themselves and someone else.
    (iii) If the research involves deceiving the subjects regarding the 
nature or purposes of the research, this exemption is not applicable 
unless the subject authorizes the deception through a prospective 
agreement to participate in research in circumstances in which the 
subject is informed that he or she will be unaware of or misled 
regarding the nature or purposes of the research.
    (4) Secondary research for which consent is not required: Secondary 
research uses of identifiable private information or identifiable 
biospecimens, if at least one of the following criteria is met:
    (i) The identifiable private information or identifiable 
biospecimens are publicly available;
    (ii) Information, which may include information about biospecimens, 
is recorded by the investigator in such a manner that the identity of 
the human subjects cannot readily be ascertained directly or through 
identifiers linked to the subjects, the investigator does not contact 
the subjects, and the investigator will not re-identify subjects;
    (iii) The research involves only information collection and analysis 
involving the investigator's use of identifiable health information when 
that use is regulated under 45 CFR parts 160 and 164, subparts A and E, 
for the purposes of ``health care operations'' or ``research'' as those 
terms are defined at 45 CFR 164.501 or for ``public health activities 
and purposes'' as described under 45 CFR 164.512(b); or
    (iv) The research is conducted by, or on behalf of, a Federal 
department or agency using government-generated or government-collected 
information obtained for nonresearch activities, if the research 
generates identifiable private information that is or will be maintained 
on information technology that is subject to and in compliance with 
section 208(b) of the E-Government Act of 2002, 44 U.S.C. 3501 note, if 
all of the identifiable private information collected, used, or 
generated as part of the activity will be maintained in systems of 
records subject to the Privacy Act of 1974, 5 U.S.C. 552a, and, if 
applicable, the information used in the research was collected subject 
to the Paperwork Reduction Act of 1995, 44 U.S.C. 3501 et seq.
    (5) Research and demonstration projects that are conducted or 
supported by a Federal department or agency, or otherwise subject to the 
approval of department or agency heads (or the approval of the heads of 
bureaus or other subordinate agencies that have been delegated authority 
to conduct the research and demonstration projects), and that are 
designed to study, evaluate, improve, or otherwise examine public 
benefit or service programs, including procedures for obtaining benefits 
or services under those programs, possible changes in or alternatives to 
those programs or procedures, or possible changes in methods or levels 
of payment for benefits or services under those programs. Such projects 
include, but are not limited to, internal studies by Federal employees, 
and studies under contracts or consulting arrangements, cooperative 
agreements, or grants. Exempt projects also include waivers of otherwise 
mandatory requirements using authorities such as sections 1115 and 1115A 
of the Social Security Act, as amended.
    (i) Each Federal department or agency conducting or supporting the 
research and demonstration projects must establish, on a publicly 
accessible Federal Web site or in such other manner as the department or 
agency head may determine, a list of the research and demonstration 
projects that the Federal department or agency conducts or supports 
under this provision. The research or demonstration project must be 
published on this list prior to commencing the research involving human 
subjects.
    (ii) [Reserved]
    (6) Taste and food quality evaluation and consumer acceptance 
studies:
    (i) If wholesome foods without additives are consumed, or
    (ii) If a food is consumed that contains a food ingredient at or 
below the level and for a use found to be safe, or agricultural chemical 
or environmental contaminant at or below the level found to be safe, by 
the Food and Drug Administration or approved by the Environmental 
Protection Agency or the Food Safety and Inspection Service of the U.S. 
Department of Agriculture.
    (7) Storage or maintenance for secondary research for which broad 
consent is required: Storage or maintenance of identifiable private 
information or identifiable biospecimens for potential secondary 
research use if an IRB conducts a limited IRB review and makes the 
determinations required by Sec.  1c.111(a)(8).
    (8) Secondary research for which broad consent is required: Research 
involving the use of identifiable private information or identifiable 
biospecimens for secondary research use, if the following criteria are 
met:
    (i) Broad consent for the storage, maintenance, and secondary 
research use of the identifiable private information or identifiable 
biospecimens was obtained in accordance with Sec.  1c.116(a)(1) through 
(4), (a)(6), and (d);
    (ii) Documentation of informed consent or waiver of documentation of 
consent was obtained in accordance with Sec.  1c.117;
    (iii) An IRB conducts a limited IRB review and makes the 
determination required by Sec.  1c.111(a)(7) and makes the determination

[[Page 148]]

that the research to be conducted is within the scope of the broad 
consent referenced in paragraph (d)(8)(i) of this section; and (iv) The 
investigator does not include returning individual research results to 
subjects as part of the study plan. This provision does not prevent an 
investigator from abiding by any legal requirements to return individual 
research results.

(Approved by the Office of Management and Budget under Control Number 
0990-0260)



Sec.  1c.105-1c.106  [Reserved]



Sec.  1c.107  IRB membership.

    (a) Each IRB shall have at least five members, with varying 
backgrounds to promote complete and adequate review of research 
activities commonly conducted by the institution. The IRB shall be 
sufficiently qualified through the experience and expertise of its 
members (professional competence), and the diversity of its members, 
including race, gender, and cultural backgrounds and sensitivity to such 
issues as community attitudes, to promote respect for its advice and 
counsel in safeguarding the rights and welfare of human subjects. The 
IRB shall be able to ascertain the acceptability of proposed research in 
terms of institutional commitments (including policies and resources) 
and regulations, applicable law, and standards of professional conduct 
and practice. The IRB shall therefore include persons knowledgeable in 
these areas. If an IRB regularly reviews research that involves a 
category of subjects that is vulnerable to coercion or undue influence, 
such as children, prisoners, individuals with impaired decision-making 
capacity, or economically or educationally disadvantaged persons, 
consideration shall be given to the inclusion of one or more individuals 
who are knowledgeable about and experienced in working with these 
categories of subjects.
    (b) Each IRB shall include at least one member whose primary 
concerns are in scientific areas and at least one member whose primary 
concerns are in nonscientific areas.
    (c) Each IRB shall include at least one member who is not otherwise 
affiliated with the institution and who is not part of the immediate 
family of a person who is affiliated with the institution.
    (d) No IRB may have a member participate in the IRB's initial or 
continuing review of any project in which the member has a conflicting 
interest, except to provide information requested by the IRB.
    (e) An IRB may, in its discretion, invite individuals with 
competence in special areas to assist in the review of issues that 
require expertise beyond or in addition to that available on the IRB. 
These individuals may not vote with the IRB.



Sec.  1c.108  IRB functions and operations.

    (a) In order to fulfill the requirements of this policy each IRB 
shall:
    (1) Have access to meeting space and sufficient staff to support the 
IRB's review and recordkeeping duties;
    (2) Prepare and maintain a current list of the IRB members 
identified by name; earned degrees; representative capacity; indications 
of experience such as board certifications or licenses sufficient to 
describe each member's chief anticipated contributions to IRB 
deliberations; and any employment or other relationship between each 
member and the institution, for example, full-time employee, part-time 
employee, member of governing panel or board, stockholder, paid or 
unpaid consultant;
    (3) Establish and follow written procedures for:
    (i) Conducting its initial and continuing review of research and for 
reporting its findings and actions to the investigator and the 
institution;
    (ii) Determining which projects require review more often than 
annually and which projects need verification from sources other than 
the investigators that no material changes have occurred since previous 
IRB review; and
    (iii) Ensuring prompt reporting to the IRB of proposed changes in a 
research activity, and for ensuring that investigators will conduct the 
research activity in accordance with the terms of the IRB approval until 
any proposed changes have been reviewed and approved by the IRB, except 
when necessary to eliminate apparent immediate hazards to the subject.
    (4) Establish and follow written procedures for ensuring prompt 
reporting to the IRB; appropriate institutional officials; the 
department or agency head; and the Office for Human Research 
Protections, HHS, or any successor office, or the equivalent office 
within the appropriate Federal department or agency of
    (i) Any unanticipated problems involving risks to subjects or others 
or any serious or continuing noncompliance with this policy or the 
requirements or determinations of the IRB; and
    (ii) Any suspension or termination of IRB approval.
    (b) Except when an expedited review procedure is used (as described 
in Sec.  1c.110), an IRB must review proposed research at convened 
meetings at which a majority of the members of the IRB are present, 
including at least one member whose primary concerns are in 
nonscientific areas. In order for the research to be approved, it shall 
receive the approval of a majority of those members present at the 
meeting.

(Approved by the Office of Management and Budget under Control Number 
0990-0260)

[[Page 149]]



Sec.  1c.109  IRB review of research.

    (a) An IRB shall review and have authority to approve, require 
modifications in (to secure approval), or disapprove all research 
activities covered by this policy, including exempt research activities 
under Sec.  1c.104 for which limited IRB review is a condition of 
exemption (under Sec.  1c.104(d)(2)(iii), (d)(3)(i)(C), and (d)(7), and 
(8)).
    (b) An IRB shall require that information given to subjects (or 
legally authorized representatives, when appropriate) as part of 
informed consent is in accordance with Sec.  1c.116. The IRB may require 
that information, in addition to that specifically mentioned in Sec.  
1c.116, be given to the subjects when in the IRB's judgment the 
information would meaningfully add to the protection of the rights and 
welfare of subjects.
    (c) An IRB shall require documentation of informed consent or may 
waive documentation in accordance with Sec.  1c.117.
    (d) An IRB shall notify investigators and the institution in writing 
of its decision to approve or disapprove the proposed research activity, 
or of modifications required to secure IRB approval of the research 
activity. If the IRB decides to disapprove a research activity, it shall 
include in its written notification a statement of the reasons for its 
decision and give the investigator an opportunity to respond in person 
or in writing.
    (e) An IRB shall conduct continuing review of research requiring 
review by the convened IRB at intervals appropriate to the degree of 
risk, not less than once per year, except as described in Sec.  
1c.109(f).
    (f)(1) Unless an IRB determines otherwise, continuing review of 
research is not required in the following circumstances:
    (i) Research eligible for expedited review in accordance with Sec.  
1c.110;
    (ii) Research reviewed by the IRB in accordance with the limited IRB 
review described in Sec.  1c.104(d)(2)(iii), (d)(3)(i)(C), or (d)(7) or 
(8);
    (iii) Research that has progressed to the point that it involves 
only one or both of the following, which are part of the IRB-approved 
study:
    (A) Data analysis, including analysis of identifiable private 
information or identifiable biospecimens, or
    (B) Accessing follow-up clinical data from procedures that subjects 
would undergo as part of clinical care.
    (2) [Reserved.]
    (g) An IRB shall have authority to observe or have a third party 
observe the consent process and the research.

(Approved by the Office of Management and Budget under Control Number 
0990-0260)



Sec.  1c.110  Expedited review procedures for certain kinds of research 
          involving no more than minimal risk, and for minor changes in 
          approved research.

    (a) The Secretary of HHS has established, and published as a Notice 
in the Federal Register, a list of categories of research that may be 
reviewed by the IRB through an expedited review procedure. The Secretary 
will evaluate the list at least every 8 years and amend it, as 
appropriate, after consultation with other federal departments and 
agencies and after publication in the Federal Register for public 
comment. A copy of the list is available from the Office for Human 
Research Protections, HHS, or any successor office.
    (b)(1) An IRB may use the expedited review procedure to review the 
following:
    (i) Some or all of the research appearing on the list described in 
paragraph (a) of this section, unless the reviewer determines that the 
study involves more than minimal risk;
    (ii) Minor changes in previously approved research during the period 
for which approval is authorized; or
    (iii) Research for which limited IRB review is a condition of 
exemption under Sec.  1c.104(d)(2)(iii), (d)(3)(i)(C), and (d)(7) and 
(8).
    (2) Under an expedited review procedure, the review may be carried 
out by the IRB chairperson or by one or more experienced reviewers 
designated by the chairperson from among members of the IRB. In 
reviewing the research, the reviewers may exercise all of the 
authorities of the IRB except that the reviewers may not disapprove the 
research. A research activity may be disapproved only after review in 
accordance with the nonexpedited procedure set forth in Sec.  1c.108(b).
    (c) Each IRB that uses an expedited review procedure shall adopt a 
method for keeping all members advised of research proposals that have 
been approved under the procedure.
    (d) The department or agency head may restrict, suspend, terminate, 
or choose not to authorize an institution's or IRB's use of the 
expedited review procedure.



Sec.  1c.111  Criteria for IRB approval of research.

    (a) In order to approve research covered by this policy the IRB 
shall determine that all of the following requirements are satisfied:
    (1) Risks to subjects are minimized:
    (i) By using procedures that are consistent with sound research 
design and that do not unnecessarily expose subjects to risk, and
    (ii) Whenever appropriate, by using procedures already being 
performed on the subjects for diagnostic or treatment purposes.
    (2) Risks to subjects are reasonable in relation to anticipated 
benefits, if any, to subjects, and the importance of the knowledge

[[Page 150]]

that may reasonably be expected to result. In evaluating risks and 
benefits, the IRB should consider only those risks and benefits that may 
result from the research (as distinguished from risks and benefits of 
therapies subjects would receive even if not participating in the 
research). The IRB should not consider possible long-range effects of 
applying knowledge gained in the research (e.g., the possible effects of 
the research on public policy) as among those research risks that fall 
within the purview of its responsibility.
    (3) Selection of subjects is equitable. In making this assessment 
the IRB should take into account the purposes of the research and the 
setting in which the research will be conducted. The IRB should be 
particularly cognizant of the special problems of research that involves 
a category of subjects who are vulnerable to coercion or undue 
influence, such as children, prisoners, individuals with impaired 
decision-making capacity, or economically or educationally disadvantaged 
persons.
    (4) Informed consent will be sought from each prospective subject or 
the subject's legally authorized representative, in accordance with, and 
to the extent required by, Sec.  1c.116.
    (5) Informed consent will be appropriately documented or 
appropriately waived in accordance with Sec.  1c.117.
    (6) When appropriate, the research plan makes adequate provision for 
monitoring the data collected to ensure the safety of subjects.
    (7) When appropriate, there are adequate provisions to protect the 
privacy of subjects and to maintain the confidentiality of data.
    (i) The Secretary of HHS will, after consultation with the Office of 
Management and Budget's privacy office and other Federal departments and 
agencies that have adopted this policy, issue guidance to assist IRBs in 
assessing what provisions are adequate to protect the privacy of 
subjects and to maintain the confidentiality of data.
    (ii) [Reserved]
    (8) For purposes of conducting the limited IRB review required by 
Sec.  1c.104(d)(7)), the IRB need not make the determinations at 
paragraphs (a)(1) through (7) of this section, and shall make the 
following determinations:
    (i) Broad consent for storage, maintenance, and secondary research 
use of identifiable private information or identifiable biospecimens is 
obtained in accordance with the requirements of Sec.  1c.116(a)(1)-(4), 
(a)(6), and (d);
    (ii) Broad consent is appropriately documented or waiver of 
documentation is appropriate, in accordance with Sec.  1c.117; and
    (iii) If there is a change made for research purposes in the way the 
identifiable private information or identifiable biospecimens are stored 
or maintained, there are adequate provisions to protect the privacy of 
subjects and to maintain the confidentiality of data.
    (b) When some or all of the subjects are likely to be vulnerable to 
coercion or undue influence, such as children, prisoners, individuals 
with impaired decision-making capacity, or economically or educationally 
disadvantaged persons, additional safeguards have been included in the 
study to protect the rights and welfare of these subjects.



Sec.  1c.112  Review by Institution

    Research covered by this policy that has been approved by an IRB may 
be subject to further appropriate review and approval or disapproval by 
officials of the institution. However, those officials may not approve 
the research if it has not been approved by an IRB.



Sec.  1c.113  Suspension or Termination of IRB Approval of Research.

    An IRB shall have authority to suspend or terminate approval of 
research that is not being conducted in accordance with the IRB's 
requirements or that has been associated with unexpected serious harm to 
subjects. Any suspension or termination of approval shall include a 
statement of the reasons for the IRB's action and shall be reported 
promptly to the investigator, appropriate institutional officials, and 
the department or agency head.

(Approved by the Office of Management and Budget under Control Number 
0990-0260)



Sec.  1c.114  Cooperative Research.

    (a) Cooperative research projects are those projects covered by this 
policy that involve more than one institution. In the conduct of 
cooperative research projects, each institution is responsible for 
safeguarding the rights and welfare of human subjects and for complying 
with this policy.
    (b)(1) Any institution located in the United States that is engaged 
in cooperative research must rely upon approval by a single IRB for that 
portion of the research that is conducted in the United States. The 
reviewing IRB will be identified by the Federal department or agency 
supporting or conducting the research or proposed by the lead 
institution subject to the acceptance of the Federal department or 
agency supporting the research.
    (2) The following research is not subject to this provision:
    (i) Cooperative research for which more than single IRB review is 
required by law (including tribal law passed by the official governing 
body of an American Indian or Alaska Native tribe); or
    (ii) Research for which any Federal department or agency supporting 
or conducting the research determines and documents that the use of a 
single IRB is not appropriate for the particular context.

[[Page 151]]

    (c) For research not subject to paragraph (b) of this section, an 
institution participating in a cooperative project may enter into a 
joint review arrangement, rely on the review of another IRB, or make 
similar arrangements for avoiding duplication of effort.



Sec.  1c.115  IRB Records.

    (a) An institution, or when appropriate an IRB, shall prepare and 
maintain adequate documentation of IRB activities, including the 
following:
    (1) Copies of all research proposals reviewed, scientific 
evaluations, if any, that accompany the proposals, approved sample 
consent forms, progress reports submitted by investigators, and reports 
of injuries to subjects.
    (2) Minutes of IRB meetings, which shall be in sufficient detail to 
show attendance at the meetings; actions taken by the IRB; the vote on 
these actions including the number of members voting for, against, and 
abstaining; the basis for requiring changes in or disapproving research; 
and a written summary of the discussion of controverted issues and their 
resolution.
    (3) Records of continuing review activities, including the rationale 
for conducting continuing review of research that otherwise would not 
require continuing review as described in Sec.  1c.109(f)(1).
    (4) Copies of all correspondence between the IRB and the 
investigators.
    (5) A list of IRB members in the same detail as described in Sec.  
1c.108(a)(2).
    (6) Written procedures for the IRB in the same detail as described 
in Sec.  1c.108(a)(3) and (4).
    (7) Statements of significant new findings provided to subjects, as 
required by Sec.  1c.116(c)(5).
    (8) The rationale for an expedited reviewer's determination under 
Sec.  1c.110(b)(1)(i) that research appearing on the expedited review 
list described in Sec.  1c.110(a) is more than minimal risk.
    (9) Documentation specifying the responsibilities that an 
institution and an organization operating an IRB each will undertake to 
ensure compliance with the requirements of this policy, as described in 
Sec.  1c.103(e).
    (b) The records required by this policy shall be retained for at 
least 3 years, and records relating to research that is conducted shall 
be retained for at least 3 years after completion of the research. The 
institution or IRB may maintain the records in printed form, or 
electronically. All records shall be accessible for inspection and 
copying by authorized representatives of the Federal department or 
agency at reasonable times and in a reasonable manner.

(Approved by the Office of Management and Budget under Control Number 
0990-0260)



Sec.  1c.116  General Requirements for Informed Consent.

    (a) General. General requirements for informed consent, whether 
written or oral, are set forth in this paragraph and apply to consent 
obtained in accordance with the requirements set forth in paragraphs (b) 
through (d) of this section. Broad consent may be obtained in lieu of 
informed consent obtained in accordance with paragraphs (b) and (c) of 
this section only with respect to the storage, maintenance, and 
secondary research uses of identifiable private information and 
identifiable biospecimens. Waiver or alteration of consent in research 
involving public benefit and service programs conducted by or subject to 
the approval of state or local officials is described in paragraph (e) 
of this section. General waiver or alteration of informed consent is 
described in paragraph (f) of this section. Except as provided elsewhere 
in this policy:
    (1) Before involving a human subject in research covered by this 
policy, an investigator shall obtain the legally effective informed 
consent of the subject or the subject's legally authorized 
representative.
    (2) An investigator shall seek informed consent only under 
circumstances that provide the prospective subject or the legally 
authorized representative sufficient opportunity to discuss and consider 
whether or not to participate and that minimize the possibility of 
coercion or undue influence.
    (3) The information that is given to the subject or the legally 
authorized representative shall be in language understandable to the 
subject or the legally authorized representative.
    (4) The prospective subject or the legally authorized representative 
must be provided with the information that a reasonable person would 
want to have in order to make an informed decision about whether to 
participate, and an opportunity to discuss that information.
    (5) Except for broad consent obtained in accordance with paragraph 
(d) of this section:
    (i) Informed consent must begin with a concise and focused 
presentation of the key information that is most likely to assist a 
prospective subject or legally authorized representative in 
understanding the reasons why one might or might not want to participate 
in the research. This part of the informed consent must be organized and 
presented in a way that facilitates comprehension.
    (ii) Informed consent as a whole must present information in 
sufficient detail relating to the research, and must be organized and 
presented in a way that does not merely provide lists of isolated facts, 
but rather facilitates the prospective subject's or legally authorized 
representative's understanding of the reasons why one might or might not 
want to participate.

[[Page 152]]

    (6) No informed consent may include any exculpatory language through 
which the subject or the legally authorized representative is made to 
waive or appear to waive any of the subject's legal rights, or releases 
or appears to release the investigator, the sponsor, the institution, or 
its agents from liability for negligence.
    (b) Basic elements of informed consent. Except as provided in 
paragraph (d), (e), or (f) of this section, in seeking informed consent 
the following information shall be provided to each subject or the 
legally authorized representative:
    (1) A statement that the study involves research, an explanation of 
the purposes of the research and the expected duration of the subject's 
participation, a description of the procedures to be followed, and 
identification of any procedures that are experimental;
    (2) A description of any reasonably foreseeable risks or discomforts 
to the subject;
    (3) A description of any benefits to the subject or to others that 
may reasonably be expected from the research;
    (4) A disclosure of appropriate alternative procedures or courses of 
treatment, if any, that might be advantageous to the subject;
    (5) A statement describing the extent, if any, to which 
confidentiality of records identifying the subject will be maintained;
    (6) For research involving more than minimal risk, an explanation as 
to whether any compensation and an explanation as to whether any medical 
treatments are available if injury occurs and, if so, what they consist 
of, or where further information may be obtained;
    (7) An explanation of whom to contact for answers to pertinent 
questions about the research and research subjects' rights, and whom to 
contact in the event of a research-related injury to the subject;
    (8) A statement that participation is voluntary, refusal to 
participate will involve no penalty or loss of benefits to which the 
subject is otherwise entitled, and the subject may discontinue 
participation at any time without penalty or loss of benefits to which 
the subject is otherwise entitled; and
    (9) One of the following statements about any research that involves 
the collection of identifiable private information or identifiable 
biospecimens:
    (i) A statement that identifiers might be removed from the 
identifiable private information or identifiable biospecimens and that, 
after such removal, the information or biospecimens could be used for 
future research studies or distributed to another investigator for 
future research studies without additional informed consent from the 
subject or the legally authorized representative, if this might be a 
possibility; or
    (ii) A statement that the subject's information or biospecimens 
collected as part of the research, even if identifiers are removed, will 
not be used or distributed for future research studies.
    (c) Additional elements of informed consent. Except as provided in 
paragraph (d), (e), or (f) of this section, one or more of the following 
elements of information, when appropriate, shall also be provided to 
each subject or the legally authorized representative:
    (1) A statement that the particular treatment or procedure may 
involve risks to the subject (or to the embryo or fetus, if the subject 
is or may become pregnant) that are currently unforeseeable;
    (2) Anticipated circumstances under which the subject's 
participation may be terminated by the investigator without regard to 
the subject's or the legally authorized representative's consent;
    (3) Any additional costs to the subject that may result from 
participation in the research;
    (4) The consequences of a subject's decision to withdraw from the 
research and procedures for orderly termination of participation by the 
subject;
    (5) A statement that significant new findings developed during the 
course of the research that may relate to the subject's willingness to 
continue participation will be provided to the subject;
    (6) The approximate number of subjects involved in the study;
    (7) A statement that the subject's biospecimens (even if identifiers 
are removed) may be used for commercial profit and whether the subject 
will or will not share in this commercial profit;
    (8) A statement regarding whether clinically relevant research 
results, including individual research results, will be disclosed to 
subjects, and if so, under what conditions; and
    (9) For research involving biospecimens, whether the research will 
(if known) or might include whole genome sequencing (i.e., sequencing of 
a human germline or somatic specimen with the intent to generate the 
genome or exome sequence of that specimen).
    (d) Elements of broad consent for the storage, maintenance, and 
secondary research use of identifiable private information or 
identifiable biospecimens. Broad consent for the storage, maintenance, 
and secondary research use of identifiable private information or 
identifiable biospecimens (collected for either research studies other 
than the proposed research or nonresearch purposes) is permitted as an 
alternative to the informed consent requirements in paragraphs (b) and 
(c) of this section. If the subject or the legally authorized 
representative is asked to provide broad consent, the following shall be 
provided to each subject or the subject's legally authorized 
representative:
    (1) The information required in paragraphs (b)(2), (b)(3), (b)(5), 
and (b)(8) and, when appropriate, (c)(7) and (9) of this section;

[[Page 153]]

    (2) A general description of the types of research that may be 
conducted with the identifiable private information or identifiable 
biospecimens. This description must include sufficient information such 
that a reasonable person would expect that the broad consent would 
permit the types of research conducted;
    (3) A description of the identifiable private information or 
identifiable biospecimens that might be used in research, whether 
sharing of identifiable private information or identifiable biospecimens 
might occur, and the types of institutions or researchers that might 
conduct research with the identifiable private information or 
identifiable biospecimens;
    (4) A description of the period of time that the identifiable 
private information or identifiable biospecimens may be stored and 
maintained (which period of time could be indefinite), and a description 
of the period of time that the identifiable private information or 
identifiable biospecimens may be used for research purposes (which 
period of time could be indefinite);
    (5) Unless the subject or legally authorized representative will be 
provided details about specific research studies, a statement that they 
will not be informed of the details of any specific research studies 
that might be conducted using the subject's identifiable private 
information or identifiable biospecimens, including the purposes of the 
research, and that they might have chosen not to consent to some of 
those specific research studies;
    (6) Unless it is known that clinically relevant research results, 
including individual research results, will be disclosed to the subject 
in all circumstances, a statement that such results may not be disclosed 
to the subject; and
    (7) An explanation of whom to contact for answers to questions about 
the subject's rights and about storage and use of the subject's 
identifiable private information or identifiable biospecimens, and whom 
to contact in the event of a research-related harm.
    (e) Waiver or alteration of consent in research involving public 
benefit and service programs conducted by or subject to the approval of 
state or local officials--(1) Waiver. An IRB may waive the requirement 
to obtain informed consent for research under paragraphs (a) through (c) 
of this section, provided the IRB satisfies the requirements of 
paragraph (e)(3) of this section. If an individual was asked to provide 
broad consent for the storage, maintenance, and secondary research use 
of identifiable private information or identifiable biospecimens in 
accordance with the requirements at paragraph (d) of this section, and 
refused to consent, an IRB cannot waive consent for the storage, 
maintenance, or secondary research use of the identifiable private 
information or identifiable biospecimens.
    (2) Alteration. An IRB may approve a consent procedure that omits 
some, or alters some or all, of the elements of informed consent set 
forth in paragraphs (b) and (c) of this section provided the IRB 
satisfies the requirements of paragraph (e)(3) of this section. An IRB 
may not omit or alter any of the requirements described in paragraph (a) 
of this section. If a broad consent procedure is used, an IRB may not 
omit or alter any of the elements required under paragraph (d) of this 
section.
    (3) Requirements for waiver and alteration. In order for an IRB to 
waive or alter consent as described in this subsection, the IRB must 
find and document that:
    (i) The research or demonstration project is to be conducted by or 
subject to the approval of state or local government officials and is 
designed to study, evaluate, or otherwise examine:
    (A) Public benefit or service programs;
    (B) Procedures for obtaining benefits or services under those 
programs;
    (C) Possible changes in or alternatives to those programs or 
procedures; or
    (D) Possible changes in methods or levels of payment for benefits or 
services under those programs; and
    (ii) The research could not practicably be carried out without the 
waiver or alteration.
    (f) General waiver or alteration of consent--(1) Waiver. An IRB may 
waive the requirement to obtain informed consent for research under 
paragraphs (a) through (c) of this section, provided the IRB satisfies 
the requirements of paragraph (f)(3) of this section. If an individual 
was asked to provide broad consent for the storage, maintenance, and 
secondary research use of identifiable private information or 
identifiable biospecimens in accordance with the requirements at 
paragraph (d) of this section, and refused to consent, an IRB cannot 
waive consent for the storage, maintenance, or secondary research use of 
the identifiable private information or identifiable biospecimens.
    (2) Alteration. An IRB may approve a consent procedure that omits 
some, or alters some or all, of the elements of informed consent set 
forth in paragraphs (b) and (c) of this section provided the IRB 
satisfies the requirements of paragraph (f)(3) of this section. An IRB 
may not omit or alter any of the requirements described in paragraph (a) 
of this section. If a broad consent procedure is used, an IRB may not 
omit or alter any of the elements required under paragraph (d) of this 
section.
    (3) Requirements for waiver and alteration. In order for an IRB to 
waive or alter consent as described in this subsection, the IRB must 
find and document that:
    (i) The research involves no more than minimal risk to the subjects;

[[Page 154]]

    (ii) The research could not practicably be carried out without the 
requested waiver or alteration;
    (iii) If the research involves using identifiable private 
information or identifiable biospecimens, the research could not 
practicably be carried out without using such information or 
biospecimens in an identifiable format;
    (iv) The waiver or alteration will not adversely affect the rights 
and welfare of the subjects; and
    (v) Whenever appropriate, the subjects or legally authorized 
representatives will be provided with additional pertinent information 
after participation.
    (g) Screening, recruiting, or determining eligibility. An IRB may 
approve a research proposal in which an investigator will obtain 
information or biospecimens for the purpose of screening, recruiting, or 
determining the eligibility of prospective subjects without the informed 
consent of the prospective subject or the subject's legally authorized 
representative, if either of the following conditions are met:
    (1) The investigator will obtain information through oral or written 
communication with the prospective subject or legally authorized 
representative, or
    (2) The investigator will obtain identifiable private information or 
identifiable biospecimens by accessing records or stored identifiable 
biospecimens.
    (h) Posting of clinical trial consent form. (1) For each clinical 
trial conducted or supported by a Federal department or agency, one IRB-
approved informed consent form used to enroll subjects must be posted by 
the awardee or the Federal department or agency component conducting the 
trial on a publicly available Federal Web site that will be established 
as a repository for such informed consent forms.
    (2) If the Federal department or agency supporting or conducting the 
clinical trial determines that certain information should not be made 
publicly available on a Federal Web site (e.g. confidential commercial 
information), such Federal department or agency may permit or require 
redactions to the information posted.
    (3) The informed consent form must be posted on the Federal Web site 
after the clinical trial is closed to recruitment, and no later than 60 
days after the last study visit by any subject, as required by the 
protocol.
    (i) Preemption. The informed consent requirements in this policy are 
not intended to preempt any applicable Federal, state, or local laws 
(including tribal laws passed by the official governing body of an 
American Indian or Alaska Native tribe) that require additional 
information to be disclosed in order for informed consent to be legally 
effective.
    (j) Emergency medical care. Nothing in this policy is intended to 
limit the authority of a physician to provide emergency medical care, to 
the extent the physician is permitted to do so under applicable Federal, 
state, or local law (including tribal law passed by the official 
governing body of an American Indian or Alaska Native tribe).

(Approved by the Office of Management and Budget under Control Number 
0990-0260)



Sec.  1c.117  Documentation of informed consent.

    (a) Except as provided in paragraph (c) of this section, informed 
consent shall be documented by the use of a written informed consent 
form approved by the IRB and signed (including in an electronic format) 
by the subject or the subject's legally authorized representative. A 
written copy shall be given to the person signing the informed consent 
form.
    (b) Except as provided in paragraph (c) of this section, the 
informed consent form may be either of the following:
    (1) A written informed consent form that meets the requirements of 
Sec.  1c.116. The investigator shall give either the subject or the 
subject's legally authorized representative adequate opportunity to read 
the informed consent form before it is signed; alternatively, this form 
may be read to the subject or the subject's legally authorized 
representative.
    (2) A short form written informed consent form stating that the 
elements of informed consent required by Sec.  1c.116 have been 
presented orally to the subject or the subject's legally authorized 
representative, and that the key information required by Sec.  
1c.116(a)(5)(i) was presented first to the subject, before other 
information, if any, was provided. The IRB shall approve a written 
summary of what is to be said to the subject or the legally authorized 
representative. When this method is used, there shall be a witness to 
the oral presentation. Only the short form itself is to be signed by the 
subject or the subject's legally authorized representative. However, the 
witness shall sign both the short form and a copy of the summary, and 
the person actually obtaining consent shall sign a copy of the summary. 
A copy of the summary shall be given to the subject or the subject's 
legally authorized representative, in addition to a copy of the short 
form.
    (c)(1) An IRB may waive the requirement for the investigator to 
obtain a signed informed consent form for some or all subjects if it 
finds any of the following:

[[Page 155]]

    (i) That the only record linking the subject and the research would 
be the informed consent form and the principal risk would be potential 
harm resulting from a breach of confidentiality. Each subject (or 
legally authorized representative) will be asked whether the subject 
wants documentation linking the subject with the research, and the 
subject's wishes will govern;
    (ii) That the research presents no more than minimal risk of harm to 
subjects and involves no procedures for which written consent is 
normally required outside of the research context; or
    (iii) If the subjects or legally authorized representatives are 
members of a distinct cultural group or community in which signing forms 
is not the norm, that the research presents no more than minimal risk of 
harm to subjects and provided there is an appropriate alternative 
mechanism for documenting that informed consent was obtained.
    (2) In cases in which the documentation requirement is waived, the 
IRB may require the investigator to provide subjects or legally 
authorized representatives with a written statement regarding the 
research.

(Approved by the Office of Management and Budget under Control Number 
0990-0260)



Sec.  1c.118  Applications and proposals lacking definite plans for 
          involvement of human subjects.

    Certain types of applications for grants, cooperative agreements, or 
contracts are submitted to Federal departments or agencies with the 
knowledge that subjects may be involved within the period of support, 
but definite plans would not normally be set forth in the application or 
proposal. These include activities such as institutional type grants 
when selection of specific projects is the institution's responsibility; 
research training grants in which the activities involving subjects 
remain to be selected; and projects in which human subjects' involvement 
will depend upon completion of instruments, prior animal studies, or 
purification of compounds. Except for research waived under Sec.  
1c.101(i) or exempted under Sec.  1c.104, no human subjects may be 
involved in any project supported by these awards until the project has 
been reviewed and approved by the IRB, as provided in this policy, and 
certification submitted, by the institution, to the Federal department 
or agency component supporting the research.



Sec.  1c.119  Research undertaken without the intention of involving 
          human subjects.

    Except for research waived under Sec.  1c.101(i) or exempted under 
Sec.  1c.104, in the event research is undertaken without the intention 
of involving human subjects, but it is later proposed to involve human 
subjects in the research, the research shall first be reviewed and 
approved by an IRB, as provided in this policy, a certification 
submitted by the institution to the Federal department or agency 
component supporting the research, and final approval given to the 
proposed change by the Federal department or agency component.



Sec.  1c.120  Evaluation and disposition of applications and proposals 
          for research to be conducted or supported by a Federal 
          department or agency.

    (a) The department or agency head will evaluate all applications and 
proposals involving human subjects submitted to the Federal department 
or agency through such officers and employees of the Federal department 
or agency and such experts and consultants as the department or agency 
head determines to be appropriate. This evaluation will take into 
consideration the risks to the subjects, the adequacy of protection 
against these risks, the potential benefits of the research to the 
subjects and others, and the importance of the knowledge gained or to be 
gained.
    (b) On the basis of this evaluation, the department or agency head 
may approve or disapprove the application or proposal, or enter into 
negotiations to develop an approvable one.



Sec.  1c.121  [Reserved]



Sec.  1c.122  Use of Federal funds.

    Federal funds administered by a Federal department or agency may not 
be expended for research involving human subjects unless the 
requirements of this policy have been satisfied.



Sec.  1c.123  Early termination of research support: Evaluation of 
          applications and proposals.

    (a) The department or agency head may require that Federal 
department or agency support for any project be terminated or suspended 
in the manner prescribed in applicable program requirements, when the 
department or agency head finds an institution has materially failed to 
comply with the terms of this policy.
    (b) In making decisions about supporting or approving applications 
or proposals covered by this policy the department or agency head may 
take into account, in addition to all other eligibility requirements and 
program criteria, factors such as whether the applicant has been subject 
to a termination or suspension under paragraph (a) of this section and 
whether the applicant or the person or persons who would direct or has/
have directed the scientific and technical aspects of an activity has/
have, in the judgment of the department or agency head, materially 
failed to discharge responsibility for the protection of the rights and 
welfare of human

[[Page 156]]

subjects (whether or not the research was subject to federal 
regulation).



Sec.  1c.124  Conditions.

    With respect to any research project or any class of research 
projects the department or agency head of either the conducting or the 
supporting Federal department or agency may impose additional conditions 
prior to or at the time of approval when in the judgment of the 
department or agency head additional conditions are necessary for the 
protection of human subjects.



PART 2_DELEGATIONS OF AUTHORITY BY THE SECRETARY OF AGRICULTURE AND GENERAL
OFFICERS OF THE DEPARTMENT--Table of Contents



                            Subpart A_General

Sec.
2.1 Establishment of the Department.
2.2 Authority of the Secretary to prescribe regulations.
2.3 Authority of the Secretary to delegate authority.
2.4 General officers.
2.5 Order in which officers of the Department shall act as Secretary.

     Subpart B_General Delegations of Authority by the Secretary of 
                               Agriculture

2.6 Designation of first assistants.
2.7 Authority to supervise and direct.
2.8 Delegations of authority to agency heads to order that the United 
          States flag be flown at half-staff.
2.9 Additional delegations.
2.10 Limitations.
2.11 New principles and periodic reviews.
2.12 Secretary and general officers not precluded from exercising 
          delegated powers.
2.13 Status of prior delegations.

   Subpart C_Delegations of Authority to the Deputy Secretary, Under 
                 Secretaries, and Assistant Secretaries

2.15 Deputy Secretary.
2.16 Under Secretary for Farm and Foreign Agricultural Services.
2.17 Under Secretary for Rural Development.
2.18 Under Secretary for Food Safety.
2.19 Under Secretary for Food, Nutrition, and Consumer Services.
2.20 Under Secretary for Natural Resources and Environment.
2.21 Under Secretary for Research, Education, and Economics.
2.22 Under Secretary for Marketing and Regulatory Programs.
2.23 Assistant Secretary for Congressional Relations.
2.24 Assistant Secretary for Administration.
2.25 Assistant Secretary for Civil Rights.

Subpart D_Delegations of Authority to Other General Officers and Agency 
                                  Heads

2.27 Office of Administrative Law Judges.
2.28 Chief Financial Officer.
2.29 Chief Economist.
2.30 Director, Office of Budget and Program Analysis.
2.31 General Counsel.
2.33 Inspector General.
2.34 Director, National Appeals Division.
2.35 Judicial Officer.
2.36 Director, Office of Communications.
2.37 Director, Office of Small and Disadvantaged Business Utilization.
2.38 Director, Office of Tribal Relations.

Subpart E [Reserved]

 Subpart F_Delegations of Authority by the Under Secretary for Farm and 
                      Foreign Agricultural Services

2.40 Deputy Under Secretary for Farm and Foreign Agricultural Services.
2.42 Administrator, Farm Service Agency.
2.43 Administrator, Foreign Agricultural Service.
2.44 Administrator, Risk Management Agency and Manager, Federal Crop 
          Insurance Corporation.

  Subpart G_Delegations of Authority by the Under Secretary for Rural 
                               Development

2.45 Deputy Under Secretary for Rural Development.
2.47 Administrator, Rural Utilities Service.
2.48 Administrator, Rural Business-Cooperative Service.
2.49 Administrator, Rural Housing Service.

   Subpart H_Delegations of Authority by the Under Secretary for Food 
                                 Safety

2.51 Deputy Under Secretary for Food Safety.
2.53 Administrator, Food Safety and Inspection Service.

  Subpart I_Delegations of Authority by the Under Secretary for Food, 
                    Nutrition, and Consumer Services

2.55 Deputy Under Secretary for Food, Nutrition, and Consumer Services.

[[Page 157]]

2.57 Administrator, Food and Nutrition Service.

 Subpart J_Delegations of Authority by the Under Secretary for Natural 
                        Resources and Environment

2.59 Deputy Under Secretaries for Natural Resources and Environment.
2.60 Chief, Forest Service.
2.61 Chief, Natural Resources Conservation Service.

Subpart K_Delegations of Authority by the Under Secretary for Research, 
                        Education, and Economics

2.63 Deputy Under Secretary for Research, Education, and Economics.
2.65 Administrator, Agricultural Research Service.
2.66 Director, National Institute of Food and Agriculture.
2.67 Administrator, Economic Research Service.
2.68 Administrator, National Agricultural Statistics Service.
2.69 Director, Office of the Chief Scientist.

        Subpart L_Delegations of Authority by the Chief Economist

2.70 Deputy Chief Economist.
2.71 Director, Office of Risk Assessment and Cost-Benefit Analysis.
2.72 Chairman, World Agricultural Outlook Board.
2.73 Director, Office of Energy Policy and New Uses.
2.74 Director, Climate Change Program Office.
2.75 Director, Office of Environmental Markets.

Subpart M [Reserved]

Subpart N_Delegations of Authority by the Under Secretary for Marketing 
                         and Regulatory Programs

2.77 Deputy Under Secretary for Marketing and Regulatory Programs.
2.79 Administrator, Agricultural Marketing Service.
2.80 Administrator, Animal and Plant Health Inspection Service.
2.81 Administrator, Grain Inspection, Packers and Stockyards 
          Administration.

   Subpart O_Delegations of Authority by the Assistant Secretary for 
                         Congressional Relations

2.83 Deputy Assistant Secretary for Congressional Relations.
2.85 Director, Office of Intergovernmental Affairs.

   Subpart P_Delegations of Authority by the Assistant Secretary for 
                             Administration

2.87 Deputy Assistant Secretary for Administration.
2.89 Chief Information Officer.
2.91 Director, Office of Human Resources Management.
2.93 Director, Office of Procurement and Property Management.
2.94 Director, Office of Advocacy and Outreach.
2.95 Director, Office of Homeland Security and Emergency Coordination.
2.96 Director, Office of Operations.
2.97 Director, Office of the Executive Secretariat.

        Subpart Q_Delegations of Authority by the General Counsel

2.200 Principal Deputy General Counsel.
2.201 Director, Office of Ethics.
2.202 Deputy Director, Office of Ethics.

Subpart R_Delegations of Authority by the Assistant Secretary for Civil 
                                 Rights

2.300 Deputy Assistant Secretary for Civil Rights.

   Subpart S_Delegations of Authority by the Chief Information Officer

2.400 Deputy Chief Information Officer.

    Subpart T_Delegations of Authority by the Chief Financial Officer

2.500 Deputy Chief Financial Officer.

    Authority: 7 U.S.C. 6912(a)(1); 5 U.S.C. 301; Reorganization Plan 
No. 2 of 1953, 3 CFR 1949-1953 Comp., p. 1024.

    Source: 60 FR 56393, Nov. 8, 1995, unless otherwise noted.



                            Subpart A_General



Sec.  2.1  Establishment of the Department.

    The Department of Agriculture was created by the Act of May 15, 
1862, and by the Act of February 9, 1889, it was made an executive 
department in the Federal Government under the supervision and control 
of the Secretary of Agriculture (7 U.S.C. 2201, 2202, 2204).



Sec.  2.2  Authority of the Secretary to prescribe regulations.

    The general authority of the Secretary to prescribe regulations 
governing the work of the Department is based on 5 U.S.C. 301 which 
provides

[[Page 158]]

that the head of an Executive department may prescribe regulations for 
the government of his department, the conduct of its employees, the 
distribution and performance of its business, and the custody, use and 
preservation of its records, papers, and property.



Sec.  2.3  Authority of the Secretary to delegate authority.

    (a) The general authority of the Secretary to make delegations of 
his authority is based on:
    (1) Section 4(a) of Reorganization Plan No. 2 of 1953 (5 U.S.C. 
App.), which provides that the Secretary of Agriculture may from time to 
time make such provisions as he shall deem appropriate authorizing the 
performance by any other officer, or by an agency or employee, of the 
Department of Agriculture of any function of the Secretary, including 
any function transferred to the Secretary by the provisions of this 
reorganization plan; and
    (2) Section 212(a)(1) of the Department of Agriculture 
Reorganization Act of 1994, Pub. L. No. 103-354, 7 U.S.C. 6912(a)(1), 
which provides that the Secretary may delegate to any agency, office, 
officer, or employee of the Department the authority to perform any 
function transferred to the Secretary under 7 U.S.C. 6912(a) or any 
other function vested in the Secretary as of the date of the enactment 
of the Act.
    (b) [Reserved]



Sec.  2.4  General officers

    The work of the Department is under the supervision and control of 
the Secretary who is assisted by the following general officers: The 
Deputy Secretary, the Under Secretary for Farm and Foreign Agricultural 
Services; the Under Secretary for Rural Development; the Under Secretary 
for Food Safety; the Under Secretary for Food, Nutrition, and Consumer 
Services; the Under Secretary for Natural Resources and Environment; the 
Under Secretary for Research, Education, and Economics; the Under 
Secretary for Marketing and Regulatory Programs; the Assistant Secretary 
for Congressional Relations; the Assistant Secretary for Administration; 
the Assistant Secretary for Civil Rights; the Chief Financial Officer; 
the Chief Economist; the Director, Office of Budget and Program 
Analysis; the General Counsel; the Inspector General; the Director, 
National Appeals Division; the Judicial Officer; the Director, Office of 
Communications; the Director, Office of Small and Disadvantaged Business 
Utilization; the Director, Office of Tribal Relations; and the Chief 
Information Officer.

[79 FR 44105, July 30, 2014]



Sec.  2.5  Order in which officers of the Department shall act 
as Secretary.

    (a) Pursuant to Executive Order 13612, ``Providing an Order of 
Succession Within the Department of Agriculture'' (77 FR 31153, May 24, 
2012), during any period in which both the Secretary and the Deputy 
Secretary have died, resigned, or are otherwise unable to perform the 
functions and duties of the office of Secretary, the following officials 
designated in paragraphs (a)(1) through (a)(15) of this section shall 
act as Secretary, in the order in which they are listed. Each official 
shall act only in the event of the death, resignation, or inability to 
perform the functions and duties of Secretary of the immediately 
preceding official:
    (1) Under Secretary of Agriculture for Farm and Foreign Agricultural 
Services.
    (2) Under Secretary of Agriculture for Food, Nutrition, and Consumer 
Services.
    (3) Assistant Secretary of Agriculture for Administration.
    (4) Under Secretary of Agriculture for Research, Education, and 
Economics.
    (5) Under Secretary of Agriculture for Food Safety.
    (6) Under Secretary of Agriculture for Natural Resources and 
Environment.
    (7) Under Secretary of Agriculture for Rural Development.
    (8) Under Secretary of Agriculture for Marketing and Regulatory 
Programs.
    (9) General Counsel of the Department of Agriculture.
    (10) Chief of Staff, Office of the Secretary.
    (11) State Executive Directors of the Farm Service Agency for the 
States of California, Iowa, and Kansas, in order

[[Page 159]]

of seniority fixed by length of unbroken service as State Executive 
Director of that State.
    (12) Regional Administrators of the Food and Nutrition Service for 
the Mountain Plains Regional Office (Denver, Colorado), Midwest Regional 
Office (Chicago, Illinois), and Western Regional Office (San Francisco, 
California), in order of seniority fixed by length of unbroken service 
as Regional Administrator of that Regional Office.
    (13) Chief Financial Officer of the Department of Agriculture.
    (14) Assistant Secretary of Agriculture (Civil Rights).
    (15) Assistant Secretary of Agriculture (Congressional Relations).
    (b) If any two or more individuals designated in paragraphs (a)(11) 
or (a)(12) of this section were sworn in to, or commenced service in, 
their respective offices on the same day, precedence shall be determined 
by the alphabetical order of the State in which the individual serves.
    (c) No individual who is serving in an office listed in paragraphs 
(a)(1) through (a)(15) of this section shall, by virtue of so serving, 
act as Secretary pursuant to this section.
    (d) No individual who is serving in an office listed in paragraphs 
(a)(1) through (a)(15) of this section shall act as Secretary unless 
that individual is otherwise eligible to so serve under the Federal 
Vacancies Reform Act of 1998 (5 U.S.C. 3345, et seq.).
    (e) Notwithstanding the provisions of this section and Executive 
Order 13612, the President retains discretion, to the extent permitted 
by law, to depart from the order of succession in paragraph (a) of this 
section in designating an acting Secretary.

[78 FR 40936, July 9, 2013]



     Subpart B_General Delegations of Authority by the Secretary of 
                               Agriculture



Sec.  2.6  Designation of first assistants.

    (a) Every office within the Department to which appointment is 
required to be made by the President with the advice and consent of the 
Senate (``PAS Office'') may have a First Assistant within the meaning of 
5 U.S.C. 3345-3349d.
    (1) Where there is a position of principal deputy to the PAS Office, 
the principal deputy shall be the First Assistant.
    (2) Where there is only one deputy position to the PAS Office, the 
official in that position shall be the First Assistant.
    (3) Where there is more than one deputy position to the PAS Office, 
and this part establishes which deputy is delegated the authority to 
perform all the duties and exercise all the powers of the PAS Office 
during the absence or unavailability of the PAS official, the deputy 
delegated such authority shall be the First Assistant.
    (4) Where neither paragraph (a)(1), (2), nor (3) of this section is 
applicable to the PAS Office, except as provided in paragraph (b) of 
this section, the Secretary may designate in writing the First Assistant 
position.
    (b) The Inspector General of the Department shall determine any 
arrangements for the temporary performance of the functions and duties 
of the Inspector General when that office is vacant.

[81 FR 45963, July 15, 2016]



Sec.  2.7  Authority to supervise and direct.

    Unless specifically reserved, or otherwise delegated, the 
delegations of authority to each general officer of the Department and 
each agency head contained in this part includes the authority to direct 
and supervise the employees engaged in the conduct of activities under 
such official's jurisdiction, and the authority to take any action, 
execute any document, authorize any expenditure, promulgate any rule, 
regulation, order, or instruction required by or authorized by law and 
deemed by the general officer or agency head to be necessary and proper 
to the discharge of his or her responsibilities. This authority will be 
exercised subject to applicable administrative directives. Unless 
otherwise provided, a general officer or agency head may, subject to his 
or her continuing responsibility for the proper discharge of delegations 
made to him, in this part, delegate and provide for the redelegation of 
his or her authority to appropriate officers and

[[Page 160]]

employees. Subject to the general supervision of the Secretary, agency 
heads who are delegated authority from a general officer, in this part, 
report to and are under the supervision of that general officer.



Sec.  2.8  Delegations of authority to agency heads to order that 
the United States flag be flown at half-staff.

    Pursuant to section 5 of Proclamation 3044, 3 CFR, 1954-1958 Comp., 
p. 4, each general officer and agency head is delegated authority to 
order that the United States flag shall be flown at half-staff on 
buildings and grounds under his or her jurisdiction or control. This 
authority shall be exercised in accordance with directives promulgated 
by the Director, Office of Operations.



Sec.  2.9  Additional delegations.

    The authority granted to a general officer may be exercised in the 
discharge of any additional functions which the Secretary may assign.



Sec.  2.10  Limitations.

    The delegations made in this part shall not be construed to confer 
upon any general officer or agency head the authority of the Secretary 
to prescribe regulations which by law require approval of the President.



Sec.  2.11  New principles and periodic reviews.

    In the exercise of authority delegated by the Secretary, the 
application of new principles of major importance or a departure from 
principles established by the Secretary should be brought to the 
attention of the Secretary. General officers are responsible for 
assuring that periodic reviews are conducted of the activities of the 
agencies assigned to their direction and supervision, as required by 5 
U.S.C. 305.



Sec.  2.12  Secretary and general officers not precluded from exercising
delegated powers.

    No delegation of authority by the Secretary or a general officer 
contained in this part shall preclude the Secretary or general officer 
from exercising any of the authority so delegated.



Sec.  2.13  Status of prior delegations.

    Nothing in this part shall affect the bylaws of the Commodity Credit 
Corporation, the Federal Crop Insurance Corporation, or the Rural 
Telephone Bank. All delegations previously made which are inconsistent 
with delegations made in this part are superseded; however, any 
regulation, order, authorization, expenditure, or other instrument, 
heretofore issued or made pursuant to any delegation of authority shall 
continue in full force and effect unless and until withdrawn or 
superseded pursuant to authority granted in this part.



   Subpart C_Delegations of Authority to the Deputy Secretary, Under 
                 Secretaries, and Assistant Secretaries

    Editorial Note: Nomenclature changes to subpart C of part 2 appear 
at 60 FR 66713, Dec. 26, 1995.



Sec.  2.15  Deputy Secretary.

    The following delegation of authority is made by the Secretary of 
Agriculture to the Deputy Secretary: Perform all of the duties and 
exercise all of the powers and functions which are now or which may 
hereafter be, vested in the Secretary of Agriculture. This delegation is 
subject to the limitation in Sec.  2.10.



Sec.  2.16  Under Secretary for Farm and Foreign Agricultural Services.

    (a) The following delegations of authority are made by the Secretary 
of Agriculture to the Under Secretary for Farm and Foreign Agricultural 
Services:
    (1) Related to Farm Service Agency. (i) Formulate policies and 
administer programs authorized by the Agricultural Adjustment Act of 
1938, as amended (7 U.S.C. 1282 et seq.).
    (ii) Formulate policies and administer programs authorized by the 
Agricultural Act of 1949, as amended (7 U.S.C. 1441 et seq.).
    (iii) Coordinate and prevent duplication of aerial photographic work 
of the Department, including:
    (A) Clearing photography projects;

[[Page 161]]

    (B) Assigning symbols for new aerial photography, maintaining symbol 
records, and furnishing symbol books;
    (C) Recording departmental aerial photography flow and coordinating 
the issuance of aerial photography status maps of latest coverage;
    (D) Promoting interchange of technical information and techniques to 
develop lower costs and better quality;
    (E) Representing the Department on committees, task forces, work 
groups, and other similar groups concerned with aerial photography 
acquisition and reproduction, and serving as liaison with other 
governmental agencies on aerial photography but excluding mapping;
    (F) Providing a Chairperson for the Photography Sales Committee of 
the Department;
    (G) Coordinating development, preparation, and issuance of 
specifications for aerial photography for the Department;
    (H) Coordinating and performing procurement, inspection, and 
application of specifications for USDA aerial photography;
    (I) Providing for liaison with EROS Data Center to support USDA 
programs and research with satellite imagery reproductions; and
    (J) Maintaining library and files of USDA aerial film and retrieving 
and supplying reproductions on request.
    (iv) Administer the Agricultural Conservation Program under title X 
of the Agricultural Act of 1970, as amended (16 U.S.C. 1501 et seq.), 
and under the Soil Conservation and Domestic Allotment Act, as amended 
(16 U.S.C. 590g et seq.).
    (v) Administer the Emergency Conservation Program under the 
Agricultural Credit Act of 1978, as amended (16 U.S.C. 2201 et seq.).
    (vi) Conduct fiscal, accounting and claims functions relating to 
Commodity Credit Corporation (CCC) programs for which the Under 
Secretary for Farm and Foreign Agricultural Services has been delegated 
authority under paragraph (a)(3) of this section and, in conjunction 
with other agencies of the U.S. Government, develop and formulate 
agreements to reschedule amounts due from foreign countries.
    (vii) Conduct assigned activities under the Strategic and Critical 
Materials Stockpiling Act, as amended (50 U.S.C. 98 et seq.).
    (viii) Supervise and direct Farm Service Agency State and county 
offices and delegate functions to be performed by Farm Service Agency 
State and county committees.
    (ix) Administer the dairy indemnity program under the Act of August 
13, 1968, as amended (7 U.S.C. 450j et seq.).
    (x) Administer procurement, processing, handling, distribution, 
disposition, transportation, payment, and related services with respect 
to surplus removal and supply operations which are carried out under 
section 210 of the Agricultural Act of 1956 (7 U.S.C. 1859), the Act of 
August 19, 1958, as amended (7 U.S.C. 1431 note), and section 709 of the 
Food and Agricultural Act of 1965, as amended (7 U.S.C. 1446a-1), except 
as delegated in paragraph (a)(3) of this section and to the Under 
Secretary for Food, Nutrition, and Consumer Services in Sec.  2.19, and 
assist the Under Secretary for Food, Nutrition, and Consumer Services 
and the Assistant Secretary for Marketing and Regulatory Programs in the 
procurement, handling, payment, and related services under section 32 of 
the Act of August 24, 1935, as amended (7 U.S.C. 612c), the Act of June 
28, 1937, as amended (7 U.S.C. 713c), the National School Lunch Act, as 
amended (42 U.S.C. 1751, et seq.), section 8 of the Child Nutrition Act 
of 1966, as amended (42 U.S.C. 1777), section 311 of the Older Americans 
Act of 1965, as amended (42 U.S.C. 3030a), section 4(a) of the 
Agriculture and Consumer Protection Act of 1973, as amended (7 U.S.C. 
612c note), and section 1114 of the Agriculture and Food Act of 1981 (7 
U.S.C. 1431e).
    (xi) [Reserved]
    (xii) Administer the Agricultural Foreign Investment Disclosure Act 
of 1978 (7 U.S.C. 3501 et seq.), except those functions delegated in 
Sec.  2.21(a)(8)(xi).
    (xiii) Administer energy management activities as assigned.
    (xiv) Conduct producer referenda of commodity promotion programs 
under the Beef Research and Information Act, as amended (7 U.S.C. 2901 
et seq.),

[[Page 162]]

and the Agricultural Promotion Programs Act of 1990, as amended (7 
U.S.C. 6001 et seq.).
    (xv) Conduct field operations of diversion programs for fresh fruits 
and vegetables under section 32 of the Act of August 29, 1935.
    (xvi) Administer the U.S. Warehouse Act, as amended (7 U.S.C. 241-
273), and perform compliance examinations for Farm Service Agency 
programs.
    (xvii) [Reserved]
    (xviii) Formulate and carry out the Conservation Reserve Program, 
including the implementation of technical assistance, under the Food 
Security Act of 1985, as amended (16 U.S.C. 1231 et seq.), and the 
functions of the Grassland Reserve Program transferred to the 
Conservation Reserve Program.
    (xix) Carry out functions relating to highly erodible land and 
wetland conservation under sections 1211-1213 and 1221-1223 of the Food 
Security Act of 1985, as amended (16 U.S.C. 3811-3813 and 3821-3823).
    (xx)-(xxii) [Reserved]
    (xxiii) Formulate and administer regulations regarding program 
ineligibility resulting from convictions under Federal or State law of 
planting, cultivating, growing, producing, harvesting, or storing a 
controlled substance, as required under section 1764 of the Food 
Security Act of 1985 (21 U.S.C. 881a).
    (xxiv) [Reserved]
    (xxv) Administer all programs of the Commodity Credit Corporation 
that provide assistance with respect to the production of agricultural 
commodities or the income of producers, including disaster assistance 
and the domestic marketing of such commodities, except as may otherwise 
be reserved by the Secretary of Agriculture, and similar programs 
(including commodity quality development programs) consigned by statute 
to the Secretary of Agriculture unless otherwise delegated.
    (xxvi) Administer the following provisions of the Farm Security and 
Rural Investment Act of 2002 with respect to functions otherwise 
delegated to the Under Secretary for Farm and Foreign Agricultural 
Services:
    (A) The equitable relief provisions of section 1613 (7 U.S.C. 7996).
    (B) The tracking of benefits under section 1614 (7 U.S.C. 7997).
    (xxvii) Formulate and carry out the Grassroots Source Water 
Protection Program authorized by the Food Security Act of 1985, as 
amended (16 U.S.C. 3839bb-2).
    (xxviii) Administer cooperative agreements authorized under 7 U.S.C. 
2204b(b)(4) as follows:
    (A) Administer cooperative agreements with respect to conservation 
programs;
    (B) Administer cooperative agreements, of less than $100,000, with 
nongovernmental organizations or educational institutions related to 
outreach and technical assistance for programs carried out by the Farm 
Service Agency, and, where such cooperative agreements focus on outreach 
activities to beginning, underserved, or veteran producers, coordinate 
with the Assistant Secretary for Administration to reduce potential 
duplication.
    (xxix) Administer the feedstock flexibility program for bioenergy 
producers under section 9010 of the Farm Security and Rural Investment 
Act of 2002 (7 U.S.C. 8110) and the biomass crop assistance program 
under section 9011 of that Act (7 U.S.C. 8111).
    (xxx-(xxxi) [Reserved]
    (xxxii) Implement the authority in section 1241 of the Food Security 
Act of 1985 (16 U.S.C. 3841) to accept and use voluntary contributions 
of non-Federal funds in support of natural resources conservation 
programs under subtitle D of title XII of that Act with respect to 
authorities delegated to the Under Secretary for Farm and Foreign 
Agricultural Services.
    (xxxiii) In coordination with the Assistant Secretary for 
Administration, issue receipts under section 2501A(e) of the Food, 
Agriculture, Conservation, and Trade Act of 1990 (7 U.S.C. 2279-1(e)).
    (xxxiv) Administer the following provisions of the Food, 
Conservation, and Energy Act of 2008, Public Law 110-246:
    (A) [Reserved]
    (B) Section 1609 relating to the tracking of benefits.
    (C)-(D) [Reserved]
    (E) Section 1621 relating to direct reimbursement payments to 
geographically disadvantaged farmers or ranchers.
    (F)-(G) [Reserved]

[[Page 163]]

    (H) Section 14212 relating to the closure or relocation of county or 
field offices of the Farm Service Agency.
    (I) Section 15353(a) relating to information reporting for Commodity 
Credit Corporation transactions.
    (xxxv) Implement the information disclosure authorities of section 
1619(b)(3)(A) of the Food, Conservation, and Energy Act of 2008 (7 
U.S.C. 8791(b)(3)(A)).
    (xxxvi) Administer the following provisions of the Agricultural Act 
of 2014, Public Law 113-79:
    (A) Sections 1401-1410 relating to a margin protection program for 
dairy producers (7 U.S.C. 9051-9060), and section 1431 relating to a 
dairy product donation program (7 U.S.C. 9071).
    (B) Section 1612 relating to the tracking of benefits (7 U.S.C. 
9095).
    (C) Section 12314 relating to the Pima Agriculture Cotton Trust Fund 
(7 U.S.C. 2101 note).
    (D) Section 12315 relating to the Agriculture Wool Apparel 
Manufacturers Trust Fund (7 U.S.C. 7101 note).
    (2) Related to farm credit. (i) Administer the Consolidated Farm and 
Rural Development Act (7 U.S.C. 1921 et seq.), except for the authority 
contained in the following sections:
    (A) [Reserved]
    (B) Section 306 (7 U.S.C. 1926), relating to all programs in that 
section;
    (C) Section 306A (7 U.S.C. 1926a) and section 306B (7 U.S.C. 1926b), 
relating to the emergency community water assistance grant programs, and 
section 306D (7 U.S.C. 1926d), relating to water systems for rural 
Alaskan Native Villages;
    (D) Section 306C (7 U.S.C. 1926c) to administer the water and waste 
facility loans and grants to alleviate health risks;
    (E) Sections 309 (7 U.S.C. 1929) and 309A (7 U.S.C. 1929a), 
regarding assets and programs related to rural development;
    (F) Section 310A (7 U.S.C. 1931), relating to watershed and resource 
conservation and development loans;
    (G) Section 310B (7 U.S.C. 1932), regarding various Rural 
Development programs;
    (H) Section 310C (7 U.S.C. 1933), relating to housing program 
interest rates;
    (I) Section 310G (7 U.S.C. 1936a), relating to the use of rural 
development loans and grants for other purposes, and section 353A (7 
U.S.C. 2001a), relating to the servicing of community facilities loans;
    (J) Section 364 (7 U.S.C. 2006f) and section 365 (7 U.S.C. 2008);
    (K) Administrative provisions of subtitle D of the Consolidated Farm 
and Rural Development Act related to Rural Utilities Service, Rural 
Business-Cooperative Service, and Rural Housing Service activities.
    (L) Section 375 (7 U.S.C. 2008j), relating to the National Sheep 
Industry Improvement Center.
    (M) Sections 379 (7 U.S.C. 2008n) through 379G (7 U.S.C. 2008u) and 
subtitles E through I (7 U.S.C. 2009-2009dd-7) relating to rural 
development programs and activities.
    (ii) Collect, service, and liquidate loans made or insured by the 
Farm Service Agency, or its predecessor agencies.
    (iii) Administer the Rural Rehabilitation Corporation Trust 
Liquidation Act (40 U.S.C. 440 et seq.), and trust, liquidation, and 
other agreements entered into pursuant thereto.
    (iv) [Reserved]
    (v) Administer Farmers Home Administration or any successor agency 
assets conveyed in trust under the Participation Sales Act of 1966 (12 
U.S.C. 1717).
    (vi) Administer the Emergency Loan and Guarantee Programs under 
sections 232, 234, 237, and 253 of the Disaster Relief Act of 1970 (Pub. 
L. No. 91-606), the Disaster Relief Act of 1969 (Pub. L. No. 91-79), 
Pub. L. No. 92-385, approved August 16, 1972, and the Emergency 
Livestock Credit Act of 1974 (Pub. L. No. 93-357), as amended.
    (vii) Administer loans to homestead or desertland entrymen and 
purchasers of land in reclamation projects or to an entryman under the 
desertland law (7 U.S.C. 1006a and 1006b).
    (viii) [Reserved]
    (ix) Service, collect, settle, and liquidate:
    (A) Deferred land purchase obligations of individuals under the 
Wheeler-Case Act of August 11, 1939, as amended (16 U.S.C. 590y), and 
under the item, ``Water Conservation and Utilization

[[Page 164]]

projects'' in the Department of the Interior Appropriation Act, 1940 (53 
Stat. 719), as amended;
    (B) Puerto Rican Hurricane Relief loans under the Act of July 11, 
1956 (70 Stat. 525); and
    (C) Loans made in conformance with section 4 of the Southeast 
Hurricane Disaster Relief Act of 1965 (79 Stat. 1301).
    (x) Administer loans to Indian tribes, tribal corporations, and 
purchasers of highly fractionated land (25 U.S.C. 488-492).
    (xi) Administer the State Agricultural Loan Mediation Program under 
title 5 of the Agricultural Credit Act of 1987 (7 U.S.C. 5101 et seq.)
    (xii) Administer financial assistance programs relating to Economic 
Opportunity Loans to Cooperatives under part A of title III and part D 
of title I and the necessarily related functions in title VI of the 
Economic Opportunity Act of 1964, as amended (42 U.S.C. 2763-2768, 2841-
2855, 2942, 2943(b), 2961), delegated by the Director of the Office of 
Economic Opportunity to the Secretary of Agriculture by documents dated 
October 23, 1964 (29 FR 14764), and June 17, 1968 (33 FR 9850), 
respectively.
    (xiii) Exercise all authority and discretion vested in the Secretary 
by section 331(c) of the Consolidated Farm and Rural Development Act, as 
amended by section 2 of the Farmers Home Administration Improvement Act 
of 1994, Pub. L. 103-248 (7 U.S.C. 1981(c)), including the following:
    (A) Determine, with the concurrence of the General Counsel, which 
actions are to be referred to the Department of Justice for the conduct 
of litigation, and refer such actions to the Department of Justice 
through the General Counsel;
    (B) Determine, with the concurrence of the General Counsel, which 
actions are to be referred to the General Counsel, for the conduct of 
litigation and refer such actions; and
    (C) Enter into contracts with private sector attorneys for the 
conduct of litigation, with the concurrence of the General Counsel, 
after determining that the attorneys will provide competent and cost 
effective representation for the Farm Service Agency.
    (xiv) Administer programs for Apple Loans and Emergency Loans for 
Seed Producers under sections 203(f) and 253, respectively, of the 
Agricultural Risk Protection Act of 2000 (7 U.S.C. 1421 note, Pub. L. 
106-224).
    (xv) Administer evaluations of direct and guaranteed loan programs 
under section 5301 of the Farm security and Rural Investment Act of 2002 
(7 U.S.C. 1922 note).
    (3) Related to foreign agriculture. (i) Coordinate the carrying out 
by Department agencies of their functions involving foreign agricultural 
policies and programs and their operations and activities in foreign 
areas. Act as liaison on these matters and functions relating to foreign 
agriculture between the Department of Agriculture and the Department of 
State, the United States Trade Representative, the Trade Policy 
Committee, the Agency for International Development, and other 
departments, agencies, and committees of the U.S. Government, foreign 
governments, the Organization for Economic Cooperation and Development, 
the European Union, the Food and Agriculture Organization of the United 
Nations, the International Bank for Reconstruction and Development, the 
Inter-American Development Bank, the Organization of American States, 
and other public and private U.S. and international organizations, and 
the contracting parties to the General Agreement on Tariffs and Trade 
(GATT) and the World Trade Organization (WTO).
    (ii) Administer Departmental programs concerned with development of 
foreign markets for agricultural products of the United States except 
functions relating to export marketing operations under section 32 of 
the Act of August 23, 1935, as amended (7 U.S.C. 612c), delegated to the 
Assistant Secretary for Marketing and Regulatory Programs, and 
utilization research delegated to the Under Secretary for Research, 
Education, and Economics.
    (iii) Conduct studies of worldwide production, trade, marketing, 
prices, consumption, and other factors affecting exports and imports of 
U.S. agricultural commodities; obtain information on methods used by 
other countries to move farm commodities in world trade

[[Page 165]]

on a competitive basis for use in the development of programs of this 
Department; provide information to domestic producers, the agricultural 
trade, the public and other interests; and promote normal commercial 
markets abroad. This delegation excludes basic and long-range analyses 
of world conditions and developments affecting supply, demand, and trade 
in farm products and general economic analyses of the international 
financial and monetary aspects of agricultural affairs as assigned to 
the Under Secretary for Research, Education, and Economics.
    (iv) Conduct functions of the Department relating to GATT, WTO, the 
Trade Expansion Act of 1962 (19 U.S.C. 1801 et seq.), the Trade Act of 
1974 (19 U.S.C. 2101 et seq.), the Trade Agreements Act of 1979 (19 
U.S.C. 2501 et seq.), the Omnibus Trade and Competition Act of 1988 (19 
U.S.C. 2901 et seq.), the provisions of subtitle B of title III of the 
North American Free Trade Agreement Implementation Act, and other 
legislation affecting international agricultural trade including the 
programs designed to reduce foreign tariffs and other trade barriers.
    (v) Maintain a worldwide agricultural intelligence and reporting 
system, including provision for foreign agricultural representation 
abroad to protect and promote U.S. agricultural interests, and to 
acquire information on demand, competition, marketing, and distribution 
of U.S. agricultural commodities abroad pursuant to title VI of the 
Agricultural Act of 1954, as amended (7 U.S.C. 1761-1768).
    (vi) Exercise the Department's functions with respect to the 
International Coffee Agreement or any such future agreement.
    (vii) Administer functions of the Department relating to import 
controls, except those functions reserved to the Secretary in paragraph 
(b) of this section and those relating to section 8e of the Agricultural 
Act of 1938 (7 U.S.C. 608e-1), as assigned to the Assistant Secretary 
for Marketing and Regulatory Programs. These include:
    (A) Functions under section 22 of the Agricultural Adjustment Act of 
1933, as amended (7 U.S.C. 624);
    (B) General note 15(c) to the Harmonized Tariff Schedule of the 
United States (19 U.S.C. 1202);
    (C) Requests for emergency relief from duty-free imports of 
perishable products filed with the Department of Agriculture under 
section 213(f) of the Caribbean Basin Recovery Act of 1983 (19 U.S.C. 
2703(f));
    (D) Section 404 of the Trade and Tariff Act of 1984 (19 U.S.C. 2112 
note);
    (E) Section 204(d) of the Andean Trade Preference Act (19 U.S.C. 
3203(d));
    (F) Functions under sections 309 and 316 of the North American Free 
Trade Agreement Implementation Act (19 U.S.C. 3358 and 3381);
    (G) Section 301(a) of the United States-Canada Free Trade Agreement 
Implementation Act (19 U.S.C. 2112 note); and
    (H) Section 204 of the Agricultural Act of 1956, as amended (7 
U.S.C. 1854).
    (viii) Represent the Department on the Interdepartmental Committee 
for Export Control and to conduct departmental activities to carry out 
the provisions of the Export Administration Act of 1969, as amended (50 
U.S.C. App. 2401 et seq.), except as reserved to the Secretary under 
paragraph (b)(2) of this section.
    (ix) Exercise the Department's responsibilities in connection with 
international negotiations of the Grains Trade Convention and in the 
administration of such Convention.
    (x) Plan and carry out programs and activities under the foreign 
market promotion authority of: The Wheat Research and Promotion Act (7 
U.S.C. 1292 note); the Cotton Research and Promotion Act (7 U.S.C. 2101-
2118); the Potato Research and Promotion Act (7 U.S.C. 2611-2627); the 
Egg Research and Consumer Information Act of 1974 (7 U.S.C. 2701-2718); 
the Beef Research and Information Act, as amended (7 U.S.C. 2901-2911); 
the Wheat and Wheat Foods Research and Nutrition Education Act (7 U.S.C. 
3401-3417); the Floral Research and Consumer Information Act of 1981 (7 
U.S.C. 4301-4319); subtitle B of title I of the Dairy and Tobacco 
Adjustment Act of 1983 (7 U.S.C. 4501-4514); the Honey Research, 
Promotion, and Consumer Information Act of 1984, as amended (7 U.S.C. 
4601-4613); the Pork

[[Page 166]]

Promotion, Research, and Consumer Information Act of 1985 (7 U.S.C. 
4801-4819); the Watermelon Research and Promotion Act, as amended (7 
U.S.C. 4901-4916); the Pecan Promotion and Research Act of 1990 (7 
U.S.C. 6001-6013); the Mushroom Promotion, Research, and Consumer 
Information Act of 1990 (7 U.S.C. 6101-6112); the Lime Research, 
Promotion, and Consumer Information Act of 1990 (7 U.S.C. 6201-6212); 
the Soybean Promotion, Research, and Consumer Information Act of 1990 (7 
U.S.C. 6301-6311); the Fluid Milk Promotion Act of 1990 (7 U.S.C. 6401-
6417); the Fresh Cut Flowers and Fresh Cut Greens Promotion and Consumer 
Information Act (7 U.S.C. 6801-6814); the Sheep Promotion, Research, and 
Information Act of 1994 (7 U.S.C. 7101-7111); the Commodity Promotion, 
Research, and Information Act of 1996 (7 U.S.C. 7411-7425); the Canola 
and Rapeseed Research, Promotion, and Consumer Information Act (7 U.S.C. 
7441-7452); the National Kiwifruit Research, Promotion, and Consumer 
Information Act (7 U.S.C. 7461-7473); and, the Popcorn Promotion, 
Research, and Consumer Information Act (7 U.S.C. 7481-7491). This 
authority includes determining the programs and activities to be 
undertaken and assuring that they are coordinated with the overall 
departmental programs to develop foreign markets for U.S. agricultural 
products.
    (xi) Formulate policies and administer barter programs under which 
agricultural commodities are exported.
    (xii) Perform functions of the Department in connection with the 
development and implementation of agreements to finance the sale and 
exportation of agricultural commodities under the Food for Peace Act (7 
U.S.C. 1691, 1701 et seq.).
    (xiii) Administer commodity procurement and supply, transportation 
(other than from point of export, except for movement to trust 
territories or possessions), handling, payment, and related services in 
connection with programs under titles II and III of the Food for Peace 
Act (7 U.S.C. 1691, 1701 et seq.), and payment and related services with 
respect to export programs and barter operations.
    (xiv) Coordinate within the Department activities arising under the 
Food for Peace Act (except as delegated to the Under Secretary for 
Research, Education, and Economics in Sec.  2.21(a)(8)), and represent 
the Department in its relationships in such matters with the Department 
of State, any interagency committee on the Food for Peace Act, and other 
departments, agencies and committees of the Government.
    (xv)-(xvi) [Reserved]
    (xvii) Carry out activities relating to the sale, reduction, or 
cancellation of debt, as authorized by title VI of the Agricultural 
Trade and Development Act of 1954, as amended (7 U.S.C. 1738 et seq.).
    (xviii) [Reserved]
    (xix) Determine the agricultural commodities acquired under price 
support programs which are available for export and allocate such 
commodities among the various export programs.
    (xx) Conduct economic analyses pertaining to the foreign sugar 
situation.
    (xxi) Exercise the Department's functions with respect to the 
International Sugar Agreement or any such future agreements.
    (xxii) Exercise the Department's responsibilities with respect to 
tariff-rate quotes for dairy products under chapter 4 of the Harmonized 
Tariff Schedule of the United States (19 U.S.C. 1202).
    (xxiii) Serve as a focal point for handling quality or weight 
discrepancy inquiries from foreign buyers of U.S. agricultural 
commodities to insure that they are investigated and receive a timely 
response and that reports thereof are made to appropriate parties and 
government officials in order that corrective action may be taken.
    (xxiv) Establish and administer regulations relating to foreign 
travel by employees of the Department. Regulations will include, but not 
be limited to, obtaining and controlling passports, obtaining visas, 
coordinating Department of State medical clearances and imposing 
requirements for itineraries and contacting the Foreign Agricultural 
Affairs Officers upon arrival in the Officers' country(ies) of 
responsibility.

[[Page 167]]

    (xxv) Formulate policies and administer programs and activities 
authorized by the Agricultural Trade Act of 1978, as amended (7 U.S.C. 
5601 et seq.).
    (xxvi) Administer the Foreign Service personnel system for the 
Department in accordance with 22 U.S.C. 3922, except as otherwise 
delegated to the Assistant Secretary for Marketing and Regulatory 
Programs in Sec.  2.22(a)(2)(i), but including authority to approve 
joint regulations issued by the Department of State and authority to 
represent the Department of Agriculture in all interagency consultations 
and negotiations with the other foreign affairs agencies with respect to 
joint regulations.
    (xxvii) Establish and maintain U.S. Agricultural Trade Offices, to 
develop, maintain and expand international markets for U.S. agricultural 
commodities in accordance with title IV of Pub. L. No. 95-501 (7 U.S.C. 
1765a-g).
    (xxviii) Administer the programs under section 416(b) of the 
Agricultural Act of 1949, as amended (7 U.S.C. 1431(b)), relating to the 
foreign donation of CCC stocks of agricultural commodities.
    (xxix)-(xxx) [Reserved]
    (xxxi) Administer programs under the Food for Progress Act of 1985 
(7 U.S.C. 1736o).
    (xxxii) Serve as Department adviser on policies, organizational 
arrangements, budgets, and actions to accomplish international 
scientific and technical cooperation in food and agriculture.
    (xxxiii) Administer and direct the Department's programs in 
international development, technical assistance, and training carried 
out under the Foreign Assistance Act, as amended, as requested under 
such act (22 U.S.C. 2151 et seq.).
    (xxxiv) Administer and coordinate assigned Departmental programs in 
international research and scientific and technical cooperation with 
other governmental agencies, land grant universities, international 
organizations, international agricultural research centers, and other 
institutions (7 U.S.C. 1624, 3291).
    (xxxv) Direct and coordinate the Department's participation in 
scientific and technical matters and exchange agreements between the 
United States and other countries.
    (xxxvi) Direct and coordinate the Department's work in international 
organizations and interagency committees concerned with food and 
agricultural development programs (7 U.S.C. 2201-2202).
    (xxxvii) Coordinate policy formulation for USDA international 
science and technology programs concerning international agricultural 
research centers, international organizations, and international 
agricultural research and extension activities (7 U.S.C. 3291).
    (xxxviii) Disseminate, upon request, information on subjects 
connected with agriculture which has been acquired by USDA agencies that 
may be useful to the U.S. private sector in expanding foreign markets 
and investment opportunities through the operation of a Department 
information center, pursuant to 7 U.S.C. 2201.
    (xxxix) Enter into contracts, grants, cooperative agreements, and 
cost reimbursable agreements relating to agricultural research, 
extension, or teaching activities (7 U.S.C. 3318, 3319a).
    (xl) Determine amounts reimbursable for indirect costs under 
international agricultural programs and agreements (7 U.S.C. 3319).
    (xli) Administer the Cochran Fellowship Program (7 U.S.C. 3293).
    (xlii) Determine quantity trigger levels and impose additional 
duties under the special safeguard measures in accordance with U.S. note 
2 to subchapter IV of chapter 99 of the Harmonized Tariff Schedule of 
the United States (19 U.S.C. 1202).
    (xliii) Implement provisions of the Trade Act of 1974 regarding 
adjustment assistance for farmers (19 U.S.C. 2401-2401g).
    (xliv) Implement section 3107 of the Farm Security and Rural 
Investment Act of 2002 (7 U.S.C. 1736o-1).
    (xlv) Implement section 3205 of the Food, Conservation, and Energy 
Act of 2008 (22 U.S.C. 7112 note) regarding the Consultative Group to 
Eliminate the Use of Child Labor and Forced Labor in Imported 
Agricultural Products, in consultation with the Under Secretary for 
Marketing and Regulatory Programs.

[[Page 168]]

    (xlvi) Implement section 3206 of the Food, Conservation, and Energy 
Act of 2008 (7 U.S.C. 1726c) regarding local and regional food aid 
procurement projects.
    (xlvii) Administer the Borlaug International Agricultural Science 
and Technology Fellowship Program (7 U.S.C. 3319j).
    (xlviii) Administer the grant program for agricultural biotechnology 
research and development for developing countries (7 U.S.C. 7631).
    (xlix) Administer the following provisions of the Agricultural Act 
of 2014, Public Law 113-79:
    (A) Section 12314 relating to the Pima Agriculture Cotton Trust Fund 
(7 U.S.C. 2101 note).
    (B) Section 12315 relating to the Agriculture Wool Apparel 
Manufacturers Trust Fund (7 U.S.C. 7101 note).
    (4) Related to risk management. (i) Exercise general supervision of 
the Federal Crop Insurance Corporation.
    (ii) Appoint such officers and employees as may be necessary for the 
transaction of the business of the Federal Crop Insurance Corporation 
and the Risk Management Agency.
    (iii) Conduct pilot programs involving revenue insurance, risk 
management savings accounts, or the use of futures markets to manage 
risk and support farm income.
    (iv) Provide education in management of the financial risks inherent 
in the production and marketing of agricultural commodities.
    (v) Conduct a study and issue a report on the efficacy and accuracy 
of the application of pack factors regarding the measurement of farm-
stored production for purposes of providing policies or plans of 
insurance under the Federal Crop Insurance Act (7 U.S.C. 1501 et seq.).
    (vi) Carry out functions relating to highly erodible land and 
wetland conservation under sections 1211-1213 and 1221-1223 of the Food 
Security Act of 1985, as amended (16 U.S.C. 3811-3813 and 3821-3823).
    (vii) Prepare cropland reports as required by section 11014(c) of 
the Agricultural Act of 2013, Public Law 113-79.
    (viii) Assist the Under Secretary for Research, Education, and 
Economics with implementing section 10016 of the Agricultural Act of 
2014 regarding locally or regionally produced agricultural food products 
(7 U.S.C. 2204h).
    (ix) Administer the Federal Crop Insurance Act (7 U.S.C. 1501, et 
seq.), except for sections 524(a)(1)(B), (a)(3), and (b) (7 U.S.C. 
1524(a)(1)(B), (a)(3), (b)) and 531 (7 U.S.C. 1531).
    (5) Related to committee management. Establish and reestablish 
regional, state, and local advisory committees for activities under his 
or her authority. This authority may not be redelegated.
    (6) Related to defense and emergency preparedness. (i) Administer 
responsibilities and functions assigned under the Defense Production Act 
of 1950 (50 U.S.C. App. 2061 et seq.), and title VI of the Robert T. 
Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5195 et 
seq.), concerning agricultural production; food processing, storage, and 
distribution; distribution of farm equipment and fertilizer; 
rehabilitation and use of food, agricultural, and related agribusiness 
facilities; CCC resources; farm credit and financial assistance; and 
foreign agricultural intelligence and other foreign agricultural 
matters.
    (ii) Administer functions delegated by the President to the 
Secretary under Executive Order 13603, ``National Defense Resources 
Preparedness'' (3 CFR, 2012 Comp., p. 225), and Executive Order 12742, 
``National Security Industrial Responsiveness'' (3 CFR, 1991 Comp., p. 
309), including administration of an Agriculture Priorities and 
Allocations System.
    (7) Related to environmental response. With respect to land and 
facilities under his or her authority, exercise the functions delegated 
to the Secretary by Executive Order 12580, 3 CFR, 1987 Comp., p. 193, 
under the following provisions of the Comprehensive Environmental 
Response, Compensation, and Liability Act of 1980 (``the Act''), as 
amended:
    (i) Sections 104 (a), (b), and (c)(4) of the Act (42 U.S.C. 9604 
(a), (b), and (c)(4)), with respect to removal and remedial actions in 
the event of release or threatened release of a hazardous substance, 
pollutant, or contaminant into the environment;

[[Page 169]]

    (ii) Sections 104(e)-(h) of the Act (42 U.S.C. 9604(e)-(h)), with 
respect to information gathering and access requests and orders; 
compliance with Federal health and safety standards and wage and labor 
standards applicable to covered work; and emergency procurement powers;
    (iii) Section 104(i)(11) of the Act (42 U.S.C. 9604(i)(11)), with 
respect to the reduction of exposure to significant risk to human 
health;
    (iv) Section 104(j) of the Act (42 U.S.C. 9604(j)), with respect to 
the acquisition of real property and interests in real property required 
to conduct a remedial action;
    (v) The first two sentences of section 105(d) of the Act (42 U.S.C. 
9605(d)), with respect to petition for preliminary assessment of a 
release or threatened release;
    (vi) Section 105(f) of the Act (42 U.S.C. 9605(f)), with respect to 
consideration of the availability of qualified minority firms in 
awarding contracts, but excluding that portion of section 105(f) 
pertaining to the annual report to Congress;
    (vii) Section 109 of the Act (42 U.S.C. 9609), with respect to the 
assessment of civil penalties for violations of section 122 of the Act 
(42 U.S.C. 9622), and the granting of awards to individuals providing 
information;
    (viii) Section 111(f) of the Act (42 U.S.C. 9611(f)), with respect 
to the designation of officials who may obligate money in the Hazardous 
Substances Superfund;
    (ix) Section 113(k) of the Act (42 U.S.C. 9613(k)), with respect to 
establishing an administrative record upon which to base the selection 
of a response action and identifying and notifying potentially 
responsible parties;
    (x) Section 116(a) of the Act (42 U.S.C. 9616(a)), with respect to 
preliminary assessment and site inspection of facilities;
    (xi) Sections 117(a) and (c) of the Act (42 U.S.C. 9617(a) and (c)), 
with respect to public participation in the preparation of any plan for 
remedial action and explanation of variances from the final remedial 
action plan for any remedial action or enforcement action, including any 
settlement or consent decree entered into;
    (xii) Section 119 of the Act (42 U.S.C. 9119), with respect to 
indemnifying response action contractors;
    (xiii) Section 121 of the Act (42 U.S.C. 9621), with respect to 
cleanup standards; and
    (xiv) Section 122 of the Act (42 U.S.C. 9622), with respect to 
settlements, but excluding section 122(b)(1) of the Act (42 U.S.C. 
9622(b)(1)), related to mixed funding agreements.
    (8) Related to compliance with environmental laws. With respect to 
facilities and activities under his or her authority, to exercise the 
authority of the Secretary of Agriculture pursuant to section 1-102 
related to compliance with applicable pollution control standards and 
section 1-601 of Executive Order 12088, 3 CFR, 1978 Comp., p. 243, to 
enter into an inter-agency agreement with the United States 
Environmental Protection Agency, or an administrative consent order or a 
consent judgment in an appropriate State, interstate, or local agency, 
containing a plan and schedule to achieve and maintain compliance with 
applicable pollution control standards established pursuant to the 
following:
    (i) Solid Waste Disposal Act, as amended by the Resource 
Conservation and Recovery Act, as further amended by the Hazardous and 
Solid Waste Amendments, and the Federal Facility Compliance Act (42 
U.S.C. 6901 et seq.);
    (ii) Federal Water Pollution Prevention and Control Act, as amended 
(33 U.S.C. 1251 et seq.);
    (iii) Safe Drinking Water Act, as amended (42 U.S.C. 300f et seq.);
    (iv) Clean Air Act, as amended (42 U.S.C. 7401 et seq.);
    (v) Noise Control Act of 1972, as amended (42 U.S.C. 4901 et seq.);
    (vi) Toxic Substances Control Act, as amended (15 U.S.C. 2601 et 
seq.);
    (vii) Federal Insecticide, Fungicide, and Rodenticide Act, as 
amended (7 U.S.C. 136 et seq.); and
    (viii) Comprehensive Environmental Response, Compensation, and 
Liability Act of 1980, as amended by the Superfund Amendments and 
Reauthorization Act of 1986 (42 U.S.C. 9601 et seq.).
    (9) Related to hazardous materials management. (i) Serve on the USDA 
Hazardous Materials Policy Council.

[[Page 170]]

    (ii) Recommend actions and policies that enable USDA agencies under 
his or her authority to comply with the intent, purposes, and standards 
of environmental laws for pollution prevention, control, and abatement.
    (iii) Consult with the United States Environmental Protection Agency 
and other appropriate Federal agencies in developing pollution 
prevention, control, and abatement policies and programs relating to 
agencies under his or her authority.
    (iv) Recommend actions and policies of the loan and grant programs 
under his or her authority concerning compliance with the Asset 
Conservation, Lender Liability, and Deposit Insurance Protection Act of 
1996, Subtitle E of Public Law No. 104-208.
    (10) Carry out prize competition authorities in section 24 of the 
Stevenson-Wydler Technology Innovation Act of 1980 (15 U.S.C. 3719) 
related to functions otherwise delegated to the Under Secretary for Farm 
and Foreign Agricultural Services, except for authorities delegated to 
the Chief Financial Officer in Sec.  2.28(a)(29) and authorities 
reserved to the Secretary in paragraph (b)(4) of this section.
    (b) The following authorities are reserved to the Secretary of 
Agriculture:
    (1) Related to farm service. (i) Appointment of Farm Service Agency 
State committeemen.
    (ii) Final approval of regulations relating to the selection and 
exercise of the functions of committees promulgated under section 8(b) 
of the Soil Conservation and Domestic Allotment Act, as amended (16 
U.S.C. 590h(b)).
    (iii) Final approval of allocations orders issued by the Department 
pursuant to authorities delegated by the President to the Secretary 
under Executive Order 13603, ``National Defense Resources Preparedness'' 
(3 CFR, 2012 Comp., p. 225).
    (2) Related to foreign agriculture. (i) Approving export controls 
with respect to any agricultural commodity, including fats and oils or 
animal hides or skins as provided for in the Export Administration Act 
of 1969, as amended (50 U.S.C. App. 2401 et seq.).
    (ii) Advising the President that imports are having the effect on 
programs or operations of this Department required as a prerequisite for 
the imposition of import controls under section 22 of the Agricultural 
Adjustment Act of 1933, as amended (7 U.S.C. 624a), recommending that 
the President cause an investigation to be made by the Tariff Commission 
of the facts so that a determination can be made whether import 
restrictions should be imposed under that Act, and determining under 
section 204(e) of the Andean Trade Preference Act (19 U.S.C. 3203(e)) 
that there exists a serious injury, or threat thereof and recommending 
to the President whether or not to take action.
    (iii) Determining the agricultural commodities and the quantities 
thereof available for disposition under the Food for Peace Act (7 U.S.C. 
1731).
    (3) Related to risk management. (i) Appointment of those members of 
the Board of Directors of the Federal Crop Insurance Corporation who are 
not already otherwise employed by the Department of Agriculture, and as 
authorized in 7 U.S.C. 1505(a) designating an Under Secretary of 
Agriculture to be a member of the Board in addition to the Under 
Secretary responsible for the Federal crop insurance program who is a 
Board member pursuant to 7 U.S.C. 1505(a).
    (ii) Appointment of the Administrator of the Risk Management Agency 
who also shall serve as the Manager of the Federal Crop Insurance 
Corporation.
    (4) Approval of prize competitions that may result in the award of 
more than $1,000,000 in cash prizes under section 24(m)(4)(B) of the 
Stevenson-Wydler Technology Innovation Act of 1980 (15 U.S.C. 
3719(m)(4)(B)).

[60 FR 56393, Nov. 8, 1995, as amended at 61 FR 25775, May 23, 1996; 61 
FR 37552, July 18, 1996; 62 FR 1031, Jan. 8, 1997; 62 FR 19900, Apr. 24, 
1997; 62 FR 40253, July 28, 1997; 65 FR 12427, Mar. 9, 2000; 68 FR 
27435, May 20, 2003; 71 FR 35491, June 21, 2006; 71 FR 51421, Aug. 30, 
2006; 74 FR 3401, Jan. 21, 2009; 75 FR 43368, July 23, 2010; 78 FR 
40937, July 9, 2013; 79 FR 44106, July 30, 2014; 80 FR 58336, Sept. 29, 
2015]



Sec.  2.17  Under Secretary for Rural Development.

    (a) The following delegations of authority are made by the Secretary 
of Agriculture to the Under Secretary for

[[Page 171]]

Rural Economic and Community Development:
    (1) Provide leadership and coordination within the executive branch 
of a Nationwide Rural Development Program utilizing the services of 
executive branch departments and agencies and the agencies, bureaus, 
offices, and services of the Department of Agriculture in coordination 
with rural development programs of State and local governments (7 U.S.C. 
2204).
    (2) Coordinate activities relative to rural development among 
agencies reporting to the Under Secretary for Rural Economic and 
Community Development and, through appropriate channels, serve as the 
coordinating official for other departmental agencies having primary 
responsibilities for specific titles of the Rural Development Act of 
1972, and allied legislation.
    (3) Administer a national program of economic, social, and 
environmental research and analysis, statistical programs, and 
associated service work related to rural people and the communities in 
which they live including rural industrialization; rural population and 
manpower; local government finance; income development strategies; 
housing; social services and utilization; adjustments to changing 
economic and technical forces; and other related matters.
    (4) Work with Federal agencies in encouraging the creation of rural 
community development organizations.
    (5) Assist other Federal agencies in making rural community 
development organizations aware of the Federal programs available to 
them.
    (6) Advise rural community development organizations of the 
availability of Federal assistance programs.
    (7) Advise other Federal agencies of the need for particular Federal 
programs.
    (8) Assist rural community development organizations in making 
contact with Federal agencies whose assistance may be of benefit to 
them.
    (9) Assist other Federal agencies and national organizations in 
developing means for extending their services effectively to rural 
areas.
    (10) Assist other Federal agencies in designating pilot projects in 
rural areas.
    (11) Conduct studies to determine how programs of the Department can 
be brought to bear on the economic development problems of the country 
and assure that local groups are receiving adequate technical assistance 
from Federal agencies or from local and State governments in formulating 
development programs and in carrying out planned development activities.
    (12) Assist other Federal agencies in formulating manpower 
development and training policies.
    (13) Related to committee management. Establish and reestablish 
regional, state, and local advisory committees for activities under his 
or her authority. This authority may not be re-delegated.
    (14) Related to defense and emergency preparedness. Administer 
responsibilities and functions assigned under the Defense Production Act 
of 1950, as amended (50 U.S.C. App. 2061 et seq.), and title VI of the 
Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 
U.S.C. 5195 et seq.), concerning rural development credit and financial 
assistance.
    (15) Related to energy. (i) Provide Department-wide operational 
support and coordination for loan and grant programs to foster and 
encourage the production of fuels from agricultural and forestry 
products or by-products.
    (ii) Participate as a Department representative at conferences, 
meetings and other contacts including liaison with the Department of 
Energy and other government agencies and departments with respect to 
implementation of established Department energy policy.
    (iii) Serve as Co-Chairperson of the Energy Coordinating Committee 
of the Department.
    (16) Collect, service, and liquidate loans made, insured, or 
guaranteed by the Rural Utilities Service, the Rural Housing Service, 
the Rural Business-Cooperative Service, or their predecessor agencies.
    (17) [Reserved]
    (18) With respect to land and facilities under his or her authority, 
exercise the functions delegated to the Secretary by Executive Order 
12580, 3 CFR, 1987 Comp., p. 193, under the following

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provisions of the Comprehensive Environmental Response, Compensation, 
and Liability Act of 1980 (``the Act''), as amended:
    (i) Sections 104(a), (b), and (c)(4) of the Act (42 U.S.C. 9604(a), 
(b), and (c)(4)), with respect to removal and remedial actions in the 
event of release or threatened release of a hazardous substance, 
pollutant, or contaminant into the environment;
    (ii) Sections 104(e)-(h) of the Act (42 U.S.C. 9604(e)-(h)), with 
respect to information gathering and access requests and orders; 
compliance with Federal health and safety standards and wage and labor 
standards applicable to covered work; and emergency procurement powers;
    (iii) Section 104(i)(11) of the Act (42 U.S.C. 9604(i)(11)), with 
respect to the reduction of exposure to significant risk to human 
health;
    (iv) Section 104(j) of the Act (42 U.S.C. 9604(j)), with respect to 
the acquisition of real property and interests in real property required 
to conduct a remedial action;
    (v) The first two sentences of section 105(d) of the Act (42 U.S.C. 
9605(d)), with respect to petitions for preliminary assessment of a 
release or threatened release;
    (vi) Section 105(f) of the Act (42 U.S.C. 9605(f)), with respect to 
consideration of the availability of qualified minority firms in 
awarding contracts, but excluding that portion of section 105(f) 
pertaining to the annual report to Congress;
    (vii) Section 109 of the Act (42 U.S.C. 9609), with respect to the 
assessment of civil penalties for violations of section 122 of the Act 
(42 U.S.C. 9622), and the granting of awards to individuals providing 
information;
    (viii) Section 111(f) of the Act (42 U.S.C. 9611(f)), with respect 
to the designation of officials who may obligate money in the Hazardous 
Substances Superfund;
    (ix) Section 113(k) of the Act (42 U.S.C. 9613(k)), with respect to 
establishing an administrative record upon which to base the selection 
of a response action and identifying and notifying potentially 
responsible parties;
    (x) Section 116(a) of the Act (42 U.S.C. 9616(a)), with respect to 
preliminary assessment and site inspection of facilities;
    (xi) Sections 117(a) and (c) of the Act (42 U.S.C. 9617(a) and (c)), 
with respect to public participation in the preparation of any plan for 
remedial action and explanation of variances from the final remedial 
action plan for any remedial action or enforcement action, including any 
settlement or consent decree entered into;
    (xii) Section 119 of the Act (42 U.S.C. 9119), with respect to 
indemnifying response action contractors;
    (xiii) Section 121 of the Act (42 U.S.C. 9621), with respect to 
cleanup standards; and
    (xiv) Section 122 of the Act (42 U.S.C. 9622), with respect to 
settlements, but excluding section 122(b)(1) of the Act (42 U.S.C. 
9622(b)(1)), related to mixed funding agreements.
    (19) With respect to facilities and activities under his or her 
authority, to exercise the authority of the Secretary of Agriculture 
pursuant to section 1-102 related to compliance with applicable 
pollution control standards and section 1-601 of Executive Order 12088, 
3 CFR, 1978 Comp., p. 243, to enter into an inter-agency agreement with 
the United States Environmental Protection Agency, or an administrative 
consent order or a consent judgment in an appropriate State, interstate, 
or local agency, containing a plan and schedule to achieve and maintain 
compliance with applicable pollution control standards established 
pursuant to the following:
    (i) Solid Waste Disposal Act, as amended by the Resource 
Conservation and Recovery Act, as further amended by the Hazardous and 
Solid Waste Amendments, and the Federal Facility Compliance Act (42 
U.S.C. 6901 et seq.);
    (ii) Federal Water Pollution Prevention and Control Act, as amended 
(33 U.S.C. 1251 et seq.);
    (iii) Safe Drinking Water Act, as amended (42 U.S.C. 300f et seq.);
    (iv) Clean Air Act, as amended (42 U.S.C. 7401 et seq.);
    (v) Noise Control Act of 1972, as amended (42 U.S.C. 4901 et seq.);
    (vi) Toxic Substances Control Act, as amended (15 U.S.C. 2601 et 
seq.);

[[Page 173]]

    (vii) Federal Insecticide, Fungicide, and Rodenticide Act, as 
amended (7 U.S.C. 136 et seq.); and
    (viii) Comprehensive Environmental Response, Compensation, and 
Liability Act of 1980, as amended by the Superfund Amendments and 
Reauthorization Act of 1986 (42 U.S.C. 9601 et seq.).
    (20) Related to rural utilities service. (i) Administer the Rural 
Electrification Act of 1936, as amended (7 U.S.C. 901 et seq.) except 
for rural economic development loan and grant programs; (7 U.S.C. 940c 
and 950aa et seq.): Provided, however, that the Under Secretary may 
utilize consultants and attorneys for the provision of legal services 
pursuant to 7 U.S.C. 918, with the concurrence of the General Counsel.
    (ii) Administer the Rural Electrification Act of 1938 (7 U.S.C. 903 
note).
    (iii) Designate the chief executive officer of the Rural Telephone 
Bank.
    (iv) Administer the following sections of the Consolidated Farm and 
Rural Development Act (7 U.S.C. 1921, et seq.):
    (A) Section 306 (7 U.S.C. 1926), related to water and waste 
facilities.
    (B) Section 306A (7 U.S.C. 1926a).
    (C) Section 306B (7 U.S.C. 1926b).
    (D) Section 306C (7 U.S.C. 1926c).
    (E) Section 306D (7 U.S.C. 1926d).
    (F) Section 306E (7 U.S.C. 1926e).
    (G) Section 309 (7 U.S.C. 1929) and 309A (7 U.S.C. 1929a), relating 
to assets and programs related to watershed facilities, resource and 
conservation facilities, and water and waste facilities.
    (H) Section 310A (7 U.S.C. 1931), relating to watershed and resource 
conservation and development
    (I) Section 310B(b) (7 U.S.C. 1932(b)).
    (J) [Reserved]
    (K) Administrative Provisions of subtitle D of the consolidated Farm 
and Rural Development act relating to rural utility activities.
    (L) Section 379B (7 U.S.C. 2008p).
    (v) Administer section 8, and those functions with respect to 
repayment of obligations under section 4 of the Watershed Protection and 
Flood Prevention Act (16 U.S.C. 1006a, 1004) and administer the Resource 
Conservation and Development Program to assist in carrying out resource 
conservation and development projects in rural areas under section 32(e) 
of the Bankhead-Jones Farm Tenant Act (7 U.S.C. 1011(e)).
    (vi) Administer the Water and Waste Loan Program (7 U.S.C. 1926-1).
    (vii) Administer the Rural Wastewater Treatment Circuit Rider 
Program (7 U.S.C. 1926 note).
    (viii) Administer the Distance Learning and Medical Link Programs (7 
U.S.C. 950aaa et seq.).
    (ix) Administer Water and Waste Facility Programs and activities (7 
U.S.C. 1926-1).
    (x) [Reserved]
    (xi) In coordination with the Assistant Secretary for 
Administration, issue receipts under section 2501A(e) of the Food, 
Agriculture, Conservation, and Trade Act of 1990 (7 U.S.C. 2279-1(e)).
    (xii) Administer section 6407 of the Farm Security and Rural 
Investment Act of 2002 (7 U.S.C. 8107a), relating to a rural energy 
savings program.
    (xiii) Administer section 6210 of the Agricultural Act of 2014, 
Public Law 113-79, relating to funding of pending rural development loan 
and grant applications.
    (21) Related to rural business-cooperative. (i) Administer the Rural 
Economic Development Loan and Grant Programs under the Rural 
Electrification Act (7 U.S.C. 940c and 950aa et seq.).
    (ii) Administer the following sections of the Consolidated Farm and 
Rural Development Act (7 U.S.C. 1921 et seq.):
    (A) Section 306(a)(110(A) (7 U.S.C. 1926(a)(11)(A)), relating to 
grants for business technical assistance and planning.
    (B) [Reserved]
    (C) Sections 309 (7 U.S.C. 1929) and 309A (7 U.S.C. 1929a), relating 
to assets and programs related to rural development.
    (D) Section 310B (7 U.S.C. 1932), relating to various Rural 
Development programs, except for subsection (b) of that section.
    (E) Section 310H (7 U.S.C. 1936b), relating to an intermediary 
relending program.
    (F) Administrative Provisions of subtitle D of the Consolidated Farm 
and Rural Development Act relating to rural business-cooperative 
activities.
    (G) Section 378 (7 U.S.C. 2008m) relating to the National Rural 
Development Partnership;

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    (H) Section 379E (7 U.S.C. 2008s) relating to the Rural 
Microentrepreneur Assistance Program.
    (I) Section 379F (7 U.S.C. 2000t) relating to the Expansion of 
Employment Opportunities for Individuals with Disabilities in Rural 
Areas Program.
    (J) Section 379G (7 U.S.C. 2008u) relating to Health Care Services.
    (K) Section 382A et seq. (7 U.S.C. 2009aa et seq.) relating to the 
Delta Regional Authority.
    (L) Section 383A et seq. (7 U.S.C. 2009bb et seq.) relating to the 
Northern Great Plains Regional Authority.
    (M) Section 384A et seq. (7 U.S.C. 2009cc et seq.) relating to the 
Rural Business Investment Program;
    (N) Section 385A et seq. (7 U.S.C. 2009dd et seq.) relating to the 
Rural Collaborative Investment Program.
    (iii) Administer Alcohol Fuels Credit Guarantee Program Account 
(Pub. L. 102-341, 106 Stat. 895).
    (iv) [Reserved]
    (v) Administer loan programs in the Appalachian region under 
sections 203 and 204 of the Appalachian Regional Development Act of 1965 
(40 U.S.C. App. 204).
    (vi) Administer section 601 of the Powerplant and Industrial Fuel 
Use Act of 1978 (Pub. L. 95-620).
    (vii) Administer the Drought and Disaster Guaranteed Loan Program 
under section 331 of the Disaster Assistance Act of 1988 (7 U.S.C. 1929a 
note).
    (viii) Administer the Disaster Assistance for Rural Business 
Enterprises Guaranteed Loan Program under section 401 of the Disaster 
Assistance Act of 1989 (7 U.S.C. 1929a note).
    (ix) Administer the Rural Economic Development Demonstration Grant 
Program (7 U.S.C. 2662a).
    (x) Administer the Economically Disadvantaged Rural Community Loan 
Program (7 U.S.C. 6616).
    (xi) Administer the assets of the Alternative Agricultural Research 
and Commercialization Corporation and the funds in the Alternative 
Agricultural Research and Commercialization Fund in accordance with 
section 6201 of the Farm Security and Rural Investment Act of 2000 (note 
to 7 U.S.C. 5901 (repealed)).
    (xii) Administer programs authorized by the Cooperative Marketing 
Act of 1926 (7 U.S.C. 451-457).
    (xiii) Carry out the responsibilities of the Secretary of 
Agriculture relating to the marketing aspects of cooperatives, including 
economic research and analysis, the application of economic research 
findings, technical assistance to existing and developing cooperatives, 
education on cooperatives, and statistical information pertaining to 
cooperatives as authorized by the Agricultural Marketing Act of 1946 (7 
U.S.C. 1621-1627).
    (xiv) Work with institutions and international organizations 
throughout the world on subjects related to the development and 
operation of agricultural cooperatives. Such work may be carried out by:
    (A) Exchanging materials and results with such institutions or 
organizations;
    (B) Engaging in joint or coordinated activities; or
    (C) Stationing representatives at such institutions or organizations 
in foreign countries (7 U.S.C. 3291).
    (xv) Administer in rural areas the process of designation, provision 
of monitoring and oversight, and provision of technical assistance for 
Empowerment Zones and Enterprise Communities pursuant to section 13301 
of Public Law 103-66, Omnibus Budget Reconciliation Act of 1993 (26 
U.S.C. 1391 et seq.)
    (xvi) Work with Federal agencies in encouraging the creation of 
local rural community development organizations. Within a State, assist 
other Federal agencies in developing means for extending their services 
effectively to rural areas and in designating pilot projects in rural 
areas (7 U.S.C. 2204).
    (xvii) Conduct assessments to determine how programs of the 
Department can be brought to bear on the economic development problems 
of a State or local area and assure that local groups are receiving 
adequate and effective technical assistance from Federal agencies or 
from local and State governments in formulating development programs and 
in carrying out planned development activities (7 U.S.C. 2204b).
    (xviii) Develop a process through which State, sub-state and local 
rural

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development needs, goals, objectives, plans, and recommendations can be 
received and assessed on a continuing basis (7 U.S.C. 2204b).
    (xix) Prepare local or area-wide rural development strategies based 
on the needs, goals, objectives, plans and recommendations of local 
communities, sub-state areas and States (7 U.S.C. 2204b).
    (xx) Develop a system of outreach in the State or local area to 
promote rural development and provide for the publication and 
dissemination of information, through multi-media methods, relating to 
rural development. Advise local rural development organizations of 
availability of Federal programs and the type of assistance available, 
and assist in making contact with Federal program (7 U.S.C. 2204; 7 
U.S.C. 2204b).
    (xxi) Administer the Value-Added Agricultural Product Market 
Development Grant program (note to 7 U.S.C. 1621).
    (xxii) Administer the Agriculture Innovation Center Demonstration 
program (note to 7 U.S.C. 1621).
    (xxiii) Administer the renewable energy programs authorized in 
sections 9003, 9004, 9005, 9007, and 9009 of the Farm Security and Rural 
Investment Act of 2002 (7 U.S.C. 8103, 8104, 8105, 8107, and 8109).
    (xxiv) Implement the information disclosure authorities of section 
1619(b)(3)(A) of the Food, Conservation, and Energy Act of 2008 (7 
U.S.C. 8791(b)(3)(A)).
    (xxv) In coordination with the Assistant Secretary for 
Administration, issue receipts under section 2501A(e) of the Food, 
Agriculture, Conservation, and Trade Act of 1990 (7 U.S.C. 2279-1(e)).
    (xxvi) Administer the Healthy Food Financing Initiative under 
section 243 of the Department of Agriculture Reorganization Act of 1994 
(7 U.S.C. 6953).
    (xxvii) Administer section 6209 of the Agricultural Act of 2014 (7 
U.S.C. 2207b), relating to the collection and reporting of program 
metrics.
    (22) Related to rural housing. (i) Administer the following under 
the Consolidated Farm and Rural Development Act (7 U.S.C. 1921 et seq.):
    (A) Section 306 (7 U.S.C. 1926), except with respect to financing 
for water and waste disposal facilities; or loans for rural 
electrification or telephone systems or facilities other than 
hydroelectric generating and related distribution systems and 
supplemental and supporting structures if they are eligible for Rural 
Utilities Service financing; and financing for grazing facilities and 
irrigation and drainage facilities; and subsection 306(a)(11).
    (B) Section 309A (7 U.S.C. 1929a), regarding assets and programs 
relating to community facilities.
    (C) Administrative Provisions of subtitle D of the Consolidated Farm 
and Rural Development Act relating to rural housing activities.
    (D) Section 379 (7 U.S.C. 2008n) relating to the Rural Telework 
program;
    (E) Section 379A (7 U.S.C. 2008o) relating to the Historic Barn 
Preservation program; and
    (F) Section 379C (7 U.S.C. 2008q) relating to the Farm Workers 
Training Grant program.
    (ii) Administer title V of the Housing Act of 1949 (42 U.S.C. 1471 
et seq.), except those functions pertaining to research.
    (iii) [Reserved]
    (iv) Administer the Rural Housing Disaster Program under sections 
232, 234, and 253 of the Disaster Relief Act of 1970 (Pub. L. No. 91-
606).
    (v) Exercise all authority and discretion vested in the Secretary by 
section 510(d) of the Housing Act of 1949, as amended by section 1045 of 
the Stewart B. McKinney Homeless Assistance Amendments Act of 1988, Pub. 
L. 100-628 (42 U.S.C. 1480(d)), including the following:
    (A) Determine, with the concurrence of the General Counsel, which 
actions are to be referred to the Department of Justice for the conduct 
of litigation, and refer such actions to the Department of Justice 
through the General Counsel;
    (B) Determine, with the concurrence of the General Counsel, which 
actions are to be referred to the General Counsel for the conduct of 
litigation and refer such actions; and
    (C) Enter into contracts with private sector attorneys for the 
conduct of litigation, with the concurrence of the General Counsel, 
after determining

[[Page 176]]

that the attorneys will provide competent and cost effective 
representation for the Rural Housing Service and representation by the 
attorney will either accelerate the process by which a family or person 
eligible for assistance under section 502 of the Housing Act of 1949 
will be able to purchase and occupy the housing involved, or preserve 
the quality of the housing involved.
    (vi) Administer the Rural Firefighters and Emergency Personnel Grant 
program (7 U.S.C. 2655).
    (vii) Implement the information disclosure authorities of section 
1619(b)(3)(A) of the Food, Conservation, and Energy Act of 2008 (7 
U.S.C. 8791(b)(3)(A)).
    (viii) In coordination with the Assistant Secretary for 
Administration, issue receipts under section 2501A(e) of the Food, 
Agriculture, Conservation, and Trade Act of 1990 (7 U.S.C. 2279-1(e)).
    (23) Related to hazardous materials management. (i) Serve on the 
USDA Hazardous Materials Policy Council.
    (ii) Recommend actions and policies that enable USDA agencies under 
his or her authority to comply with the intent, purposes, and standards 
of environmental laws for pollution prevention, control, and abatement.
    (iii) Consult with the United States Environmental Protection Agency 
and other appropriate Federal agencies in developing pollution 
prevention, control, and abatement policies and programs relating to 
agencies under his or her authority.
    (iv) Recommend actions and policies of the loan and grant programs 
under his or her authority concerning compliance with the Asset 
Conservation, Lender Liability, and Deposit Insurance Protection Act of 
1996, Subtitle E of Public Law No. 104-208.
    (24)-(25) [Reserved]
    (26) Related cooperative agreements. Enter into cooperative 
agreements with other Federal agencies, State and local governments, and 
any other organizations or individuals to improve the coordination and 
effectiveness of Federal programs, services, and actions affecting rural 
areas, including the establishment and financing of interagency groups, 
as long as the objectives of the agreement will serve the mutual 
interest of the parties in rural development activities (7 U.S.C. 
2204b(b)(4)).
    (27) Exercise the authority in section 10101 of the Disaster Relief 
and Recovery Supplemental Appropriations Act, 2008, Public Law 110-329, 
div. B., regarding the Rural Development Disaster Assistance Fund.
    (28) [Reserved]
    (29) Implement section 14218 of the Food, Conservation, and Energy 
Act of 2008 (7 U.S.C. 6941a).
    (30) Related to biomass research and development.
    Administer section 9008 of FSRIA (7 U.S.C. 8108) with respect to 
biomass research and development, including administration of the 
Biomass Research and Development Board and Biomass Research and 
Development Technical Advisory Committee, and submission of reports to 
Congress, except for the authority delegated to the Under Secretary for 
REE in Sec.  2.21(a)(1)(cci) to carry out the Biomass Research and 
Development Initiative; consult and coordinate, as appropriate, with the 
Under Secretary for REE and other mission areas within the Department as 
deemed necessary in carrying out the authorities delegated herein; and 
serve as the designated point of contact referenced in 7 U.S.C. 8108 for 
the Department, except for purposes of administering the Biomass 
Research and Development Initiative as provided in Sec.  
2.21(a)(1)(cci).
    (31) Carry out prize competition authorities in section 24 of the 
Stevenson-Wydler Technology Innovation Act of 1980 (15 U.S.C. 3719) 
related to functions otherwise delegated to the Under Secretary for 
Rural Development, except for authorities delegated to the Chief 
Financial Officer in Sec.  2.28(a)(29) and authorities reserved to the 
Secretary in paragraph (b)(2) of this section.
    (b) The following authority is reserved to the Secretary of 
Agriculture:
    (1) Related to rural business-cooperative. Submission to the 
Congress of the report required pursuant to section 1469 of Pub. L. No. 
101-624.
    (2) Approval of prize competitions that may result in the award of 
more than $1,000,000 in cash prizes under section 24(m)(4)(B) of the 
Stevenson-

[[Page 177]]

Wydler Technology Innovation Act of 1980 (15 U.S.C. 3719(m)(4)(B)).

[60 FR 56393, Nov. 8, 1995, as amended at 65 FR 12427, Mar. 9, 2000; 66 
FR 31107, June 11, 2001; 68 FR 27436, May 20, 2003; 74 FR 3402, Jan. 21, 
2009; 75 FR 43368, July 23, 2010; 76 FR 52851, Aug. 24, 2011; 78 FR 
40937, July 9, 2013; 79 FR 44106, July 30, 2014; 80 FR 58336, Sept. 29, 
2015]



Sec.  2.18  Under Secretary for Food Safety.

    (a) The following delegations of authority are made by the Secretary 
of Agriculture to the Under Secretary for Food Safety:
    (1) Related to food safety and inspection. (i) Exercise the 
functions of the Secretary of Agriculture contained in the Agricultural 
Marketing Act of 1946, as amended (7 U.S.C. 1621-1627), relating to 
voluntary inspection of poultry and edible products thereof; voluntary 
inspection and certification of technical animal fat; certified products 
for dogs, cats, and other carnivora; voluntary inspection of rabbits and 
edible products thereof; and voluntary inspection and certification of 
edible meat and other products.
    (ii) Exercise the functions of the Secretary of Agriculture 
contained in the following legislation:
    (A) Poultry Products Inspection Act, as amended (21 U.S.C. 451-470, 
472);
    (B) Federal Meat Inspection Act, as amended, and related 
legislation, excluding so much of section 18 as pertains to issuance of 
certificates of condition of live animals intended and offered for 
export (21 U.S.C. 601-613, 615-624, 641-645, 661, 671-680, 683, 691-692, 
694-695);
    (C) Egg Products Inspection Act, except for the Shell Egg 
Surveillance Program, voluntary laboratory analyses of egg products, and 
the Voluntary Egg Grading Program (21 U.S.C. 1031-1056);
    (D) Talmadge-Aiken Act (7 U.S.C. 450) with respect to cooperation 
with States in administration of the Federal Meat Inspection Act and the 
Poultry Products Inspection Act;
    (E) Humane Slaughter Act (7 U.S.C. 1901-1906);
    (F) National Laboratory Accreditation Program (7 U.S.C. 138-138i) 
with respect to laboratories accredited only for pesticide residue 
analysis in meat and poultry products;
    (G) Administer and conduct a Food Safety Research Program (7 U.S.C. 
427); and
    (H) Conduct an education program regarding the availability and 
safety of processes and treatments that eliminate or substantially 
reduce the level of pathogens on meat, meat food products, poultry, and 
poultry products (21 U.S.C. 679b).
    (iii) Coordinate with the Assistant Secretary for Marketing and 
Regulatory Programs the administration of programs relating to human 
pathogen reduction (such as salmonella enteritidis) pursuant to section 
2 of the Act of February 2, 1903, as amended (21 U.S.C. 111), and 
sections 4 and 5 of the Act of May 29, 1884, as amended (21 U.S.C. 120).
    (iv) Enter into contracts, grants, or cooperative agreements to 
further research programs in the agricultural sciences (7 U.S.C. 3318).
    (2) Related to committee management. Establish and reestablish 
regional, State, and local advisory committees for activities under his 
or her authority. This authority may not be redelegated.
    (3) Related to defense and emergency preparedness. Administer 
responsibilities and functions assigned under the Defense Production Act 
of 1950, as amended (50 U.S.C. App. 2061 et seq.), and title VI of the 
Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 
U.S.C. 5195 et seq.), concerning the wholesomeness of meat and poultry 
and products thereof and inspection of eggs and egg products.
    (4) Related to biotechnology. Coordinate the development and 
carrying out by Department agencies of all matters and functions 
pertaining to the Department's regulation of biotechnology as they may 
affect the safety of meat, poultry or egg products.
    (5) Related to environmental response. With respect to land and 
facilities under his or her authority, exercise the functions delegated 
to the Secretary by Executive Order 12580, 3 CFR, 1987 Comp., p. 193, 
under the following provisions of the Comprehensive Environmental 
Response, Compensation, and Liability Act of 1980 (``the Act''), as 
amended:

[[Page 178]]

    (i) Sections 104 (a), (b), and (c)(4) of the Act (42 U.S.C. 9604 
(a), (b), and (c)(4)), with respect to removal and remedial actions in 
the event of release or threatened release of a hazardous substance, 
pollutant, or contaminant into the environment;
    (ii) Sections 104(e)-(h) of the Act (42 U.S.C. 9604(e)-(h)), with 
respect to information gathering and access requests and orders; 
compliance with Federal health and safety standards and wage and labor 
standards applicable to covered work; and emergency procurement powers;
    (iii) Section 104(i)(11) of the Act (42 U.S.C. 9604(i)(11)), with 
respect to the reduction of exposure to significant risk to human 
health;
    (iv) Section 104(j) of the Act (42 U.S.C. 9604(j)), with respect to 
the acquisition of real property and interests in real property required 
to conduct a remedial action;
    (v) The first two sentences of section 105(d) of the Act (42 U.S.C. 
9605(d)), with respect to petitions for preliminary assessment of a 
release or threatened release;
    (vi) Section 105(f) of the Act (42 U.S.C. 9605(f)), with respect to 
consideration of the availability of qualified minority firms in 
awarding contracts, but excluding that portion of section 105(f) 
pertaining to the annual report to Congress;
    (vii) Section 109 of the Act (42 U.S.C. 9609), with respect to the 
assessment of civil penalties for violations of section 122 of the Act 
(42 U.S.C. 9622), and the granting of awards to individuals providing 
information;
    (viii) Section 111(f) of the Act (42 U.S.C. 9611(f)), with respect 
to the designation of officials who may obligate money in the Hazardous 
Substances Superfund;
    (ix) Section 113(k) of the Act (42 U.S.C. 9613(k)), with respect to 
establishing an administrative record upon which to base the selection 
of a response action and identifying and notifying potentially 
responsible parties;
    (x) Section 116(a) of the Act (42 U.S.C. 9616(a)), with respect to 
preliminary assessment and site inspection of facilities;
    (xi) Sections 117(a) and (c) of the Act (42 U.S.C. 9617(a) and (c)), 
with respect to public participation in the preparation of any plan for 
remedial action and explanation of variances from the final remedial 
action plan for any remedial action or enforcement action, including any 
settlement or consent decree entered into;
    (xii) Section 119 of the Act (42 U.S.C. 9119), with respect to 
indemnifying response action contractors;
    (xiii) Section 121 of the Act (42 U.S.C. 9621), with respect to 
cleanup standards; and
    (xiv) Section 122 of the Act (42 U.S.C. 9622), with respect to 
settlements, but excluding section 122(b)(1) of the Act (42 U.S.C. 
9622(b)(1)), related to mixed funding agreements.
    (6) Related to compliance with environmental laws. With respect to 
facilities and activities under his or her authority, to exercise the 
authority of the Secretary of Agriculture pursuant to section 1-102 
related to compliance with applicable pollution control standards and 
section 1-601 of Executive Order 12088, 3 CFR, 1978 Comp., p. 243, to 
enter into an inter-agency agreement with the United States 
Environmental Protection Agency, or an administrative consent order or a 
consent judgment in an appropriate State, interstate, or local agency, 
containing a plan and schedule to achieve and maintain compliance with 
applicable pollution control standards established pursuant to the 
following:
    (i) Solid Waste Disposal Act, as amended by the Resource 
Conservation and Recovery Act, as further amended by the Hazardous and 
Solid Waste Amendments, and the Federal Facility Compliance Act (42 
U.S.C. 6901 et seq.);
    (ii) Federal Water Pollution Prevention and Control Act, as amended 
(33 U.S.C. 1251 et seq.);
    (iii) Safe Drinking Water Act, as amended (42 U.S.C. 300f et seq.);
    (iv) Clean Air Act, as amended (42 U.S.C. 7401 et seq.);
    (v) Noise Control Act of 1972, as amended (42 U.S.C. 4901 et seq.);
    (vi) Toxic Substances Control Act, as amended (15 U.S.C. 2601 et 
seq.);
    (vii) Federal Insecticide, Fungicide, and Rodenticide Act, as 
amended (7 U.S.C. 136 et seq.); and
    (viii) Comprehensive Environmental Response, Compensation, and 
Liability

[[Page 179]]

Act of 1980, as amended by the Superfund Amendments and Reauthorization 
Act of 1986 (42 U.S.C. 9601 et seq.).
    (7) Related to hazardous materials management. (i) Serve on the USDA 
Hazardous Materials Policy Council.
    (ii) Recommend actions and policies that enable the USDA agency 
under his or her authority to comply with the intent, purposes, and 
standards of environmental laws for pollution prevention, control, and 
abatement.
    (iii) Consult with the United States Environmental Protection Agency 
and other appropriate Federal agencies in developing pollution 
prevention, control, and abatement policies and programs relating to 
agencies under his or her authority.
    (iv) Exercise primary responsibility to regulate drug, pesticide, 
and environmental contaminants in food products as covered by the 
Federal Insecticide, Fungicide, and Rodenticide Act, as amended (7 
U.S.C. 136 et seq.), including the Food Quality Protection Act of 1996, 
Public Law 104-170, and the Toxic Substances Control Act, as amended (15 
U.S.C. 2601 et seq.), as implemented by the Food Safety and Inspection 
Service through a Memorandum of Understanding with the United States 
Department of Health and Human Services, Food and Drug Administration, 
and the United States Environmental Protection Agency.
    (8) Carry out prize competition authorities in section 24 of the 
Stevenson-Wydler Technology Innovation Act of 1980 (15 U.S.C. 3719) 
related to functions otherwise delegated to the Under Secretary for Food 
Safety, except for authorities delegated to the Chief Financial Officer 
in Sec.  2.28(a)(29) and authorities reserved to the Secretary in 
paragraph (b)(1) of this section.
    (b) The following authorities are reserved to the Secretary of 
Agriculture:
    (1) Approval of prize competitions that may result in the award of 
more than $1,000,000 in cash prizes under section 24(m)(4)(B) of the 
Stevenson-Wydler Technology Innovation Act of 1980 (15 U.S.C. 
3719(m)(4)(B)).
    (2) [Reserved]

[60 FR 56393, Nov. 8, 1995, as amended at 65 FR 12428, Mar. 9, 2000; 68 
FR 27436, May 20, 2003; 74 FR 3402, Jan. 21, 2009; 80 FR 58337, Sept. 
29, 2015]



Sec.  2.19  Under Secretary for Food, Nutrition, and Consumer Services.

    (a) The following delegations of authority are made by the Secretary 
of Agriculture to the Under Secretary for Food, Nutrition, and Consumer 
Services:
    (1) Related to food and nutrition. (i) Administer the following 
legislation:
    (A) The Food and Nutrition Act of 2008, as amended (7 U.S.C. 2011-
2036), except for section 25, regarding assistance for community food 
projects.
    (B) Richard B. Russell National School Lunch Act, as amended (42 
U.S.C. 1751-1769i), except procurement of agricultural commodities and 
other foods under section 6 thereof.
    (C) Child Nutrition Act of 1966, as amended (42 U.S.C. 1771-1790).
    (D) Sections 933-939 of the Food, Agriculture, Conservation, and 
Trade Act Amendments of 1991 (7 U.S.C. 5930 note).
    (E) Section 301 of the Healthy Meals for Healthy Americans Act of 
1994 (Pub. L. 103-448).
    (F) Section 4402 of the Farm Security and Rural Investment Act of 
2002 (7 U.S.C. 3007).
    (G) Section 4403 of the Farm Security and Rural Investment Act of 
2002 (7 U.S.C. 3171 note).
    (H) Section 4404 of the Farm Security and Rural Investment Act of 
2002 (2 U.S.C. 1161).
    (I) Section 4142 of the Food, Conservation, and Energy Act of 2008 
(Pub. L. 110-246).
    (J) Section 4301 of the Food, Conservation, and Energy Act of 2008 
(42 U.S.C. 1758a).
    (K) Section 4305 of the Food, Conservation, and Energy Act of 2008 
(42 U.S.C. 1755a).
    (L) Section 4307 of the Food, Conservation, and Energy Act of 2008 
(Pub. L. 110-246).
    (ii) Administer those functions relating to the distribution and 
donation of agricultural commodities and products thereof under the 
following legislation:
    (A) Clause (3) of section 416(a) of the Agricultural Act of 1949, as 
amended (7 U.S.C. 1431(a)), except the estimate and announcement of the 
types and varieties of food commodities, and the quantities thereof, to 
become available for distribution thereunder;

[[Page 180]]

    (B) Section 709 of the Food and Agriculture Act of 1965, as amended 
(7 U.S.C. 1446a-1);
    (C) Section 32 of the Act of August 24, 1935, as amended (7 U.S.C. 
612c), as supplemented by the Act of June 28, 1937, as amended (15 
U.S.C. 713c), and related legislation;
    (D) Section 9 of the Act of September 6, 1958, as amended (7 U.S.C. 
1431b);
    (E) Section 210 of the Agricultural Act of 1956 (7 U.S.C. 1859), 
except with respect to donations to Federal penal and correctional 
institutions;
    (F) [Reserved]
    (G) Section 311 of the Older Americans Act of 1965, as amended (42 
U.S.C. 3030a);
    (H) Sections 412 and 413(b) of the Robert T. Stafford Disaster 
Relief and Emergency Assistance Act (42 U.S.C. 5179, 5180(b));
    (I) Sections 4 and 5 of the Agriculture and Consumer Protection Act 
of 1973, as amended (7 U.S.C. 612c note);
    (J) Section 1114 of the Agriculture and Food Act of 1981, as amended 
(7 U.S.C. 1431e);
    (K) Section 1336 of the Agriculture and Food Act of 1981 (Pub. L. 
97-98);
    (L) Emergency Food Assistance Act of 1983 (7 U.S.C. 612c note);
    (M) Sections 3(b)-(i), 3A and 4 of the Commodity Distribution Reform 
Act and WIC Amendments of 1987 (7 U.S.C. 612c note); and
    (N) Section 110 of the Hunger Prevention Act of 1988 (7 U.S.C. 612c 
note).
    (iii) Administer those functions relating to the distribution of 
supplemental nutrition assistance program benefits under section 412 of 
the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 
U.S.C. 5179).
    (iv) In connection with the functions assigned in paragraphs 
(a)(1)(i), (ii) and (iii) of this section, relating to the distribution 
and donation of agricultural commodities and products thereof and 
supplemental nutrition assistance program benefits to eligible 
recipients, authority to determine the requirements for such 
agricultural commodities and products thereof and supplemental nutrition 
assistance program benefits to be so distributed.
    (v) Develop food plans for use in establishing supplemental 
nutrition assistance benefit levels, and assess the nutritional impact 
of Federal food programs.
    (vi) Administer those functions under title IV of the Personal 
Responsibility and Work Opportunity Reconciliation Act of 1996 (8 U.S.C. 
1612) relating to the eligibility of aliens for benefits under the 
domestic food assistance programs.
    (vii) Administer the following provisions of the Agricultural Act of 
2014, Public Law 113-79:
    (A) Section 4004(b), relating to a demonstration project regarding 
the Food Distribution Program on Indian Reservations (7 U.S.C. 2013 
note).
    (B) Section 4031, relating to a Commonwealth of the Northern Mariana 
Islands pilot program regarding the Supplemental Nutrition Assistance 
Program (48 U.S.C. 1841 note).
    (C) Section 4032, relating to annual State reporting on verification 
of Supplemental Nutrition Assistance Program participation (7 U.S.C. 
2036c).
    (D) Section 4033, relating to service of traditional foods in public 
facilities (25 U.S.C. 443d).
    (E) Section 4214, relating to a pilot project for canned, frozen, or 
dried fruits and vegetables as part of the Fresh Fruit and Vegetable 
Program under the Richard B. Russell National School Lunch Act (42 
U.S.C. 1769a note).
    (viii) Administer section 301 of the National Nutrition Monitoring 
and Related Research Act of 1990, relating to the Dietary Guidelines for 
Americans (7 U.S.C. 5341).
    (ix) Implement section 242 of the Department of Agriculture 
Reorganization Act of 1994 (7 U.S.C. 6952), relating to establishment of 
a multiagency task force for the purpose of providing coordination and 
direction for commodity programs.
    (2) Related to consumer advice. (i) Develop and implement USDA 
policy and procedural guidelines for carrying out the Department's 
Consumer Affairs Plan.
    (ii) Advise the Secretary and other policy level officials of the 
Department on consumer affairs policies and programs.

[[Page 181]]

    (iii) Coordinate USDA consumer affairs activities and monitor and 
analyze agency procedures and performance.
    (iv) Represent the Department at conferences, meetings and other 
contacts where consumer affairs issues are discussed, including liaison 
with the White House and other governmental agencies and departments.
    (v) Work with the Office of Budget and Program Analysis and the 
Office of Communications to ensure coordination of USDA consumer affairs 
and public participation programs, policies and information, and to 
prevent duplication of responsibilities.
    (vi) Serve as a consumer ombudsman and communication link between 
consumers and the Department.
    (vii) Approve the designation of agency Consumer Affairs Contacts.
    (3) Related to human nutrition information. (i) Develop techniques 
and equipment to assist consumers in the home and in institutions in 
selecting food that supplies a nutritionally adequate diet.
    (ii) Develop family food plans at different costs for use as 
standards by families of different sizes, sex-age composition, and 
economic levels.
    (iii) Develop suitable and safe preparation and management 
procedures to retain nutritional and eating qualities of food served in 
homes and institutions.
    (iv) Develop materials to aid the public in meeting dietary needs, 
with emphasis on food selection for good nutrition and appropriate cost, 
and food preparation to avoid waste, maximize nutrient retention, 
minimize food safety hazards, and conserve energy.
    (v) Develop food plans for use in establishing food stamp benefit 
levels, and assess the nutritional impact of Federal food programs.
    (vi) Coordinate nutrition education promotion and professional 
education projects within the Department.
    (vii) Analyze data from food consumption surveys in coordination 
with the Under Secretary for Research, Education, and Economics to 
provide a basis for evaluating dietary adequacy.
    (viii) Consult with the Federal and State agencies, the Congress, 
universities, and other public and private organizations and the general 
public regarding household food consumption, individual intake, and 
dietary adequacy, and implications of the survey on public policy 
regarding food and nutrition policies (7 U.S.C. 3171-3175).
    (ix) In conjunction with the Department of Health and Human 
Services, administer section 4403 of the Food, Conservation, and Energy 
Act of 2008 (7 U.S.C. 5311a).
    (x) Enter into contracts, grants, and cooperative agreements in 
accordance with section 1472 of the National Agricultural Research, 
Extension, and Teaching Policy Act of 1977 (7 U.S.C. 3318).
    (4) Related to committee management. Establish and reestablish 
regional, State, and local advisory committees for activities under his 
or her authority. This authority may not be redelegated.
    (5) Related to defense and emergency preparedness. Administer 
responsibilities and functions assigned under the Defense Production Act 
of 1950, as amended (50 U.S.C. App. 2061 et seq.), and title VI of the 
Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 
U.S.C. 5195 et seq.), concerning food stamp assistance.
    (6) Carry out prize competition authorities in section 24 of the 
Stevenson-Wydler Technology Innovation Act of 1980 (15 U.S.C. 3719) 
related to functions otherwise delegated to the Under Secretary for 
Food, Nutrition, and Consumer Services, except for authorities delegated 
to the Chief Financial Officer in Sec.  2.28(a)(29) and authorities 
reserved to the Secretary in paragraph (b)(2) of this section.
    (b) The following authority is reserved to the Secretary of 
Agriculture:
    (1) Related to food and nutrition. Authority to appoint the members 
of the National Advisory Council on Maternal, Infant, and Fetal 
Nutrition as directed in section 17(k) of the Child Nutrition Act of 
1966, as amended (42 U.S.C. 1786(k)).
    (2) Approval of prize competitions that may result in the award of 
more than $1,000,000 in cash prizes under section 24(m)(4)(B) of the 
Stevenson-

[[Page 182]]

Wydler Technology Innovation Act of 1980 (15 U.S.C. 3719(m)(4)(B)).

[60 FR 56393, Nov. 8, 1995, as amended at 68 FR 27436, May 20, 2003; 74 
FR 3402, Jan. 21, 2009; 79 FR 44107, July 30, 2014; 80 FR 58337, Sept. 
29, 2015]



Sec.  2.20  Under Secretary for Natural Resources and Environment.

    (a) The following delegations of authority are made by the Secretary 
of Agriculture to the Under Secretary for Natural Resources and 
Environment:
    (1) Related to environmental quality. (i) Administer the 
implementation of the National Environmental Policy Act for the United 
States Department of Agriculture (USDA).
    (ii) Represent USDA on Regional Response Teams on hazardous spills 
and oil spills pursuant to the Comprehensive Environmental Response, 
Compensation, and Liability Act, as amended (42 U.S.C. 9601 et seq.), 
the Clean Water Act, as amended (33 U.S.C. 1251 et seq.), the Oil 
Pollution Act (OPA), as amended (33 U.S.C. 2701 et seq.), Executive 
Order 12580, 3 CFR, 1987 Comp., p. 193, Executive Order 12777, 3 CFR, 
1991 Comp., p. 351, and the National Contingency Plan, 40 CFR part 300.
    (iii) Represent USDA in contacts with the United States 
Environmental Protection Agency, the Council on Environmental Quality, 
and other organizations or agencies on matters related to assigned 
responsibilities.
    (iv) Formulate and promulgate USDA policy relating to environmental 
activity and natural resources.
    (v) Provide staff support for the Secretary in the review of 
environmental impact statements.
    (vi) Provide leadership in USDA for general land use activities 
including implementation of Executive Order 11988, Flood Plain 
Management, 3 CFR, 1977 Comp., p. 117, and Executive Order 11990, 
Protection of Wetlands, 3 CFR, 1977 Comp., p. 121.
    (vii) Take such action as may be necessary, including issuance of 
administrative orders, and enter into agreements with any person to 
perform any response action under sections 106(a) and 122 (except 
subsection (b)(1)) of the Comprehensive Environmental Response, 
Compensation, and Liability Act of 1980, as amended (42 U.S.C. 9606(a), 
9622), pursuant to sections 4(c)(3) and 4(d)(3) of Executive Order No. 
12580, as amended by Executive Order No. 13016, to be exercised only 
with the concurrence of the General Counsel.
    (viii) Exercise the functions of the Secretary of Agriculture 
authorized in Title V of the Department of the Interior and Related 
Agencies Appropriations Act of 1998, Pub. L. 105-83, relating to the 
acquisition of the New World Mine and other priority land acquisitions, 
land exchanges, and other activities.
    (ix) Serve on the USDA Hazardous Materials Policy Council.
    (x) Recommend actions and policies that enable agencies under his or 
her authority to comply with the intent, purposes, and standards of 
environmental laws for pollution prevention, control, and abatement.
    (xi) Consult with the United States Environmental Protection Agency 
and other appropriate Federal agencies in developing pollution 
prevention, control, and abatement policies and programs relating to 
agencies under his or her authority.
    (2) Related to forestry. (i) Provide national leadership in 
forestry. (As used here and elsewhere in this section, the term 
``forestry'' encompasses renewable and nonrenewable resources of 
forests, including lands governed by the Alaska National Interest Lands 
Conservation Act, forest-related rangeland, grassland, brushland, 
woodland, and alpine areas including but not limited to recreation, 
range, timber, minerals, watershed, wildlife and fish; natural scenic, 
scientific, cultural, and historic values of forests and related lands; 
and derivative values such as economic strength and social well-being).
    (ii) Protect, manage, and administer the national forests, national 
forest purchase units, national grasslands, and other lands and 
interests in lands administered by the Forest Service, which 
collectively are designated as the National Forest System. This 
delegation covers the acquisition and disposition of lands and interests 
in lands as may be authorized for the protection, management, and 
administration

[[Page 183]]

of the National Forest System, including the authority to approve 
acquisition of land under the Weeks Act of March 1, 1911, as amended (16 
U.S.C. 521), and special forest receipts acts, as follows: (Pub. L. 337, 
74th Cong., 49 Stat. 866, as amended by Pub. L. 310, 78th Cong., 58 
Stat. 227; Pub. L. 505, 75th Cong., 52 Stat. 347, as amended by Pub. L. 
310, 78th Cong., 58 Stat. 227; Pub. L. 634, 75th Cong., 52 Stat. 699, as 
amended by Pub. L. 310, 78th Cong., 58 Stat. 227; Pub. L. 748, 75th 
Cong., 52 Stat. 1205, as amended by Pub. L. 310, 78th Cong., 58 Stat. 
227; Pub. L. 427, 76th Cong., 54 Stat. 46; Pub. L. 589, 76th Cong., 54 
Stat. 297; Pub. L. 591, 76th Cong., 54 Stat. 299; Pub. L. 637, 76th 
Cong., 54 Stat. 402; Pub. L. 781, 84th Cong., 70 Stat. 632).
    (iii) As necessary for administrative purposes, divide into and 
designate as national forests any lands of 3,000 acres or more which are 
acquired under or subject to the Weeks Act of March 1, 1911, as amended, 
and which are contiguous to existing national forest boundaries 
established under the authority of the Weeks Act.
    (iv) Plan and administer wildlife and fish conservation 
rehabilitation and habitat management programs on National Forest System 
lands, pursuant to 16 U.S.C. 670g, 670h, and 670o.
    (v) For the purposes of the National Forest System Drug Control Act 
of 1986 (16 U.S.C. 559b-f), specifically designate certain specially 
trained officers and employees of the Forest Service, not exceeding 500, 
to have authority in the performance of their duties within the 
boundaries of the National Forest System:
    (A) To carry firearms;
    (B) To enforce and conduct investigations of violations of section 
401 of the Controlled Substance Act (21 U.S.C. 841) and other criminal 
violations relating to marijuana and other controlled substances that 
are manufactured, distributed, or dispensed on National Forest System 
lands;
    (C) To make arrests with a warrant or process for misdemeanor 
violations, or without a warrant for violations of such misdemeanors 
that any such officer or employee has probable cause to believe are 
being committed in that employee's presence or view, or for a felony 
with a warrant or without a warrant if that employee has probable cause 
to believe that the person being arrested has committed or is committing 
such a felony;
    (D) To serve warrants and other process issued by a court or officer 
of competent jurisdiction;
    (E) To search, with or without a warrant or process, any person, 
place, or conveyance according to Federal law or rule of law; and
    (F) To seize, with or without warrant or process, any evidentiary 
item according to Federal law or rule of law.
    (vi) Authorize the Forest Service to cooperate with the law 
enforcement officials of any Federal agency, State, or political 
subdivision, in the investigation of violations of, and enforcement of, 
section 401 of the Controlled Substances Act (21 U.S.C. 841), other laws 
and regulations relating to marijuana and other controlled substances, 
and State drug control laws or ordinances, within the boundaries of the 
National Forest System.
    (vii) Administer programs under section 23 of the Federal Highway 
Act (23 U.S.C. 101(a), 120(f), 125(a)-(c), 138, 202(a)-(b), 203, 204(a)-
(h), 205(a)-(d), 211, 317, 402(a)).
    (viii) Exercise the administrative appeal review functions of the 
Secretary of Agriculture for decisions of the Chief of the Forest 
Service pursuant to 36 CFR parts 214, 218 and 219.
    (ix) Conduct, support, and cooperate in investigations, experiments, 
tests, and other activities deemed necessary to obtain, analyze, 
develop, demonstrate, and disseminate scientific information about 
protecting, managing, and utilizing forest and rangeland renewable 
resources in rural, suburban, and urban areas in the United States and 
foreign countries. The activities conducted, supported, or cooperated in 
shall include, but not be limited to: renewable resource management 
research, renewable resource environmental research; renewable resource 
protection research; renewable resource utilization research, and 
renewable resource assessment research (16 U.S.C. 1641-1647).
    (x) Use authorities and means available to disseminate the knowledge 
and

[[Page 184]]

technology developed from forestry research (16 U.S.C. 1645).
    (xi) Coordinate activities with other agencies in USDA, other 
Federal and State agencies, forestry schools, and private entities and 
individuals (16 U.S.C. 1643).
    (xii) Enter into contracts, grants, and cooperative agreements for 
the support of scientific research in forestry activities (7 U.S.C. 
427i(a), 1624; 16 U.S.C. 582a-8, 1643-1645, 1649).
    (xiii) Enter into cooperative research and development agreements 
with industry, universities, and others; institute a cash award program 
to reward scientific, engineering, and technical personnel; award 
royalties to inventors; and retain and use royalty income (15 U.S.C. 
3710a-3710c).
    (xiv) Enter into contracts, grants, or cooperative agreements to 
further research, extension, or teaching programs in the food and 
agricultural sciences (7 U.S.C. 3152, 3318).
    (xv) Enter into cost-reimbursable agreements relating to 
agricultural research, extension, or teaching activities (7 U.S.C. 
3319a).
    (xvi) Administer programs of cooperative forestry assistance in the 
protection, conservation, and multiple resource management of forests 
and related resources in both rural and urban areas and forest lands in 
foreign countries (16 U.S.C. 2101-2114).
    (xvii) Provide assistance to States and other units of government in 
forest resources planning and forestry rural revitalization (7 U.S.C. 
6601, 6611-6617; 16 U.S.C. 2107).
    (xviii) Conduct a program of technology implementation for State 
forestry personnel, private forest landowners and managers, vendors, 
forest operators, public agencies, and individuals (16 U.S.C. 2107).
    (xix) Administer Rural Fire Protection and Control Programs (16 
U.S.C. 2106).
    (xx) Provide technical assistance on forestry technology or the 
implementation of the Conservation Reserve and Softwood Timber Programs 
authorized in sections 1231-1244 and 1254 of the Food Security Act of 
1985 (16 U.S.C. 3831-3844; 7 U.S.C. 1981 note).
    (xxi) Administer forest insect, disease, and other pest management 
programs (16 U.S.C. 2104).
    (xxii) Exercise the custodial functions of the Secretary for lands 
and interests in lands under lease or contract of sale to States and 
local agencies pursuant to title III of the Bankhead-Jones Farm Tenant 
Act and administer reserved and reversionary interests in lands conveyed 
under that Act (7 U.S.C. 1010-1012).
    (xxiii) Under such general program criteria and procedures as may be 
established by the Natural Resources Conservation Service:
    (A) Administer the forestry aspects of the programs listed in 
paragraphs (a)(2)(xxiii)(A)(1), (2) and (3) of this section on the 
National Forest System, rangelands with national forest boundaries, 
adjacent rangelands which are administered under formal agreement, and 
other forest lands;
    (1) The cooperative river basin surveys and investigations program 
(16 U.S.C. 1006);
    (2) The Eleven Authorized Watershed Improvement Programs and 
Emergency Flood Prevention Measures Program under the Flood Control Act 
(33 U.S.C. 701b-1); and
    (3) The Small Watershed Protection Program under the Pilot Watershed 
Protection and Watershed Protection and Flood Prevention Acts (7 U.S.C. 
701a-h; 16 U.S.C. 1001-1009); and
    (B) Exercise responsibility in connection with the forestry aspects 
of the Resource Conservation and Development Program authorized by title 
III of the Bankhead-Jones Farm Tenant Act (7 U.S.C. 1011(e)).
    (xxiv) Provide assistance to the Farm Service Agency in connection 
with the Agricultural Conservation Program, the Naval Stores 
Conservation Program, and the Cropland Conversion Program (16 U.S.C. 
590g-q).
    (xxv) Provide assistance to the Rural Housing Service in connection 
with grants and loans under authority of section 303 of the Consolidated 
Farm and Rural Development Act, 7 U.S.C. 1923; and consultation with the 
Department of Housing and Urban Development under the authority of 40 
U.S.C. 461(e).

[[Page 185]]

    (xxvi) Coordinate mapping work of USDA including:
    (A) Clearing mapping projects to prevent duplication;
    (B) Keeping a record of mapping done by USDA agencies;
    (C) Preparing and submitting required USDA reports;
    (D) Serving as liaison on mapping with the Office of Management and 
Budget, Department of Interior, and other departments and 
establishments;
    (E) Promoting interchange of technical mapping information, 
including techniques which may reduce costs or improve quality; and
    (F) Maintaining the mapping records formerly maintained by the 
Office of Operations.
    (xxvii) Administer the radio frequency licensing work of USDA, 
including:
    (A) Representing USDA on the Interdepartmental Radio Advisory 
Committee and its Frequency Assignment Subcommittee of the National 
Telecommunications and Information Administration, Department of 
Commerce;
    (B) Establishing policies, standards, and procedures for allotting 
and assigning frequencies within USDA and for obtaining effective 
utilization of them;
    (C) Providing licensing action necessary to assign radio frequencies 
for use by the agencies of USDA and maintenance of the records necessary 
in connection therewith;
    (D) Providing inspection of USDA's radio operations to ensure 
compliance with national and international regulations and policies for 
radio frequency use; and
    (xxviii) Represent USDA in all matters relating to responsibilities 
and authorities under the Federal Power Act (16 U.S.C. 791a-823).
    (xxix) Administer the Youth Conservation Corps Act (42 U.S.C. 
precede 2711 note) for USDA.
    (xxx) Establish and operate the Job Corps Civilian Conservation 
Centers on National Forest System lands as authorized by title I, 
sections 106 and 107 of the Economic Opportunity Act of 1964 (42 U.S.C. 
2716-2717), in accordance with the terms of an agreement dated May 11, 
1967, between the Secretary of Agriculture and the Secretary of Labor; 
and administration of other cooperative manpower training and work 
experience programs where the Forest Service serves as host or prime 
sponsor with other Departments of Federal, State, or local governments.
    (xxxi) Administer the Volunteers in the National Forests Act of 1972 
(16 U.S.C. 558a-558d, 558a note).
    (xxxii) Exercise the functions of the Secretary of Agriculture 
authorized in the Alaska National Interest Lands Conservation Act (16 
U.S.C. 3101-3215).
    (xxxiii) Exercise the functions of the Secretary as authorized in 
the Wild and Scenic Rivers Act (16 U.S.C. 1271-1278).
    (xxxiv) Jointly administer gypsy moth eradication activities with 
the Assistant Secretary for Marketing and Regulatory Programs, under the 
authority of section 102 of the Organic Act of 1944, as amended; and the 
Act of April 6, 1937, as amended (7 U.S.C. 147a, 148, 148a-148e); and 
the Talmadge Aiken Act (7 U.S.C. 450), by assuming primary 
responsibility for treating isolated gypsy moth infestations on Federal 
lands, and on State and private lands contiguous to infested Federal 
lands, and any other infestations over 640 acres on State and private 
lands.
    (xxxv) Exercise the functions of the Secretary authorized in the 
Federal Onshore Oil and Gas Leasing Reform Act of 1987 (30 U.S.C. 226 et 
seq.).
    (xxxvi) Administer the Public Lands Corps program (16 U.S.C. 1721 et 
seq.) for USDA consistent with the Department's overall national service 
program.
    (xxxvii) [Reserved]
    (xxxviii) Focusing on countries that could have a substantial impact 
on global warming, provide assistance that promotes sustainable 
development and global environmental stability; share technical, 
managerial, extension, and administrative skills; provide education and 
training opportunities; engage in scientific exchange; and cooperate 
with domestic and international organizations that further international 
programs for the management and protection of forests, rangelands, 
wildlife, fisheries and related natural resources (16 U.S.C. 4501-4505).

[[Page 186]]

    (xxxix) Establish programs with any bureau of the U.S. Department of 
the Interior (DOI) in support of the Service First initiative for the 
purpose of promoting customer service and efficiency including 
delegating to DOI employees those authorities of the U.S. Department of 
Agriculture (USDA) necessary to carry out projects on behalf of USDA (43 
U.S.C. 1703).
    (xl) At the request of the Director, Homeland Security Staff 
(Director), designate law enforcement personnel of the Forest Service to 
assist the Director in providing for the personal security for the 
Secretary and the Deputy Secretary in the National Forest System.
    (xli) Implement the information disclosure authorities of section 
1619(b)(3)(A) of the Food, Conservation, and Energy Act of 2008 (7 
U.S.C. 8791(b)(3)(A)).
    (xlii) Administer a program for providing loans to eligible units of 
local government to finance the purchase of equipment to monitor, 
remove, dispose of, and replace infested trees located under their 
jurisdiction and within the borders of quarantined areas (16 U.S.C. 
2104a).
    (xliii) [Reserved]
    (xliv) Administer the community wood energy program providing grants 
to develop community wood energy plans, acquire or upgrade community 
wood energy systems, and establish or expand biomass consumer 
cooperatives (7 U.S.C. 8113).
    (xlv) Conduct activities that assist the Chief Economist in 
developing guidelines regarding the development of environmental 
services markets.
    (xlvi) Administer the programs authorized by the Healthy Forests 
Restoration Act of 2003 (16 U.S.C. 6501 et seq.), except for the Healthy 
Forests Reserve Program authorized in title V of such act (16 U.S.C. 
6571-6578).
    (xlvii) Administer Good Neighbor contracts and cooperative 
agreements with a State to carry out forest, rangeland, and watershed 
restoration services on National Forest System lands (16 U.S.C. 2113a; 
Pub. L. 106-291, section 331, as amended).
    (xlviii) Utilize the Agriculture Conservation Experienced Services 
(ACES) Program (16 U.S.C. 3851) to provide technical services for 
conservation-related programs and authorities carried out on National 
Forest System lands (16 U.S.C. 3851a).
    (xlix) Administer reimbursements received for fire suppression (42 
U.S.C. 1856e; 42 U.S.C. 1856d(b)).
    (l) Administer the large airtanker and aerial asset lease program 
(16 U.S.C. 551c).
    (li) Provide technical and other assistance with respect to 
eligibility of forest products for the ``USDA Certified Biobased 
Products'' labeling program (7 U.S.C. 8102(g)).
    (3) Related to natural resources conservation. (i) Provide national 
leadership in the conservation, development and productive use of the 
Nation's soil, water, and related resources. Such leadership encompasses 
soil, water, plant, and wildlife conservation; small watershed 
protection and flood prevention; and resource conservation and 
development. Integrated in these programs are erosion control, sediment 
reduction, pollution abatement, land use planning, multiple use, 
improvement of water quality, and several surveying and monitoring 
activities related to environmental improvement. All are designed to 
assure:
    (A) Quality in the natural resource base for sustained use;
    (B) Quality in the environment to provide attractive, convenient, 
and satisfying places to live, work, and play; and
    (C) Quality in the standard of living based on community improvement 
and adequate income.
    (ii) Provide national leadership in and evaluate and coordinate land 
use policy, and administer the Farmland Protection Policy Act (7 U.S.C. 
4201 et seq.), including the Farms for the Future Program authorized by 
sections 1465-1470 of the Food, Agriculture, Conservation, and Trade Act 
of 1990, as amended (7 U.S.C. 4201 note), except as otherwise delegated 
to the Under Secretary for Research, Education, and Economics in Sec.  
2.21(a)(1)(lxii).
    (iii) Administer the basic program of soil and water conservation 
under Pub. L. No. 46, 74th Congress, as amended, and related laws (16 
U.S.C. 590 a-f, i-l, q, q-1; 42 U.S.C. 3271-3274; 7 U.S.C. 2201), 
including:

[[Page 187]]

    (A) Technical and financial assistance to land users in carrying out 
locally adapted soil and water conservation programs primarily through 
soil and water conservation districts in the several States, the 
District of Columbia, the Commonwealth of Puerto Rico, and the 
Commonwealth of the Northern Mariana Islands, American Samoa, Guam, the 
Virgin Islands, and Federally recognized Native American tribes, but 
also to communities, watershed groups, Federal and State agencies, and 
other cooperators. This authority includes such assistance as:
    (1) Comprehensive planning assistance in nonmetropolitan districts;
    (2) Assistance in the field of income-producing recreation on rural 
non-Federal lands;
    (3) Forestry assistance, as part of total technical assistance to 
private land owners and land users when such services are an integral 
part of land management and such services are not available from a State 
agency; and forestry services in connection with windbreaks and shelter 
belts to prevent wind and water erosion of lands;
    (4) Assistance in developing programs relating to natural beauty; 
and
    (5) Assistance to other USDA agencies in connection with the 
administration of their programs, as follows:
    (i) To the Farm Service Agency in the development and technical 
servicing of certain programs, such as the Agricultural Conservation 
Program and other such similar conservation programs;
    (ii) To the Rural Housing Service in connection with their loan and 
land disposition programs;
    (B) Soil Surveys, including:
    (1) Providing leadership for the Federal part of the National 
Cooperative Soil Survey which includes conducting and publishing soil 
surveys;
    (2) Conducting soil surveys for resource planning and development; 
and
    (3) Performing the cartographic services essential to carrying out 
the functions of the Natural Resources Conservation Service, including 
furnishing photographs, mosaics, and maps;
    (C) Conducting and coordinating snow surveys and making water supply 
forecasts pursuant to Reorganization Plan No. IV of 1940 (5 U.S.C. 
App.);
    (D) Operating plant materials centers for the assembly and testing 
of plant species in conservation programs, including the use, 
administration, and disposition of lands under the administration of the 
Natural Resources Conservation Service for such purposes under title III 
of the Bankhead-Jones Farm Tenant Act (7 U.S.C. 1010-1011); and
    (E) Providing leadership in the inventorying and monitoring of soil, 
water, land, and related resources of the Nation.
    (iv) Administer the Watershed Protection and Flood Prevention 
Programs, including:
    (A) The eleven authorized watershed projects authorized under 33 
U.S.C. 702b-1;
    (B) The emergency flood control work under 33 U.S.C. 701b-1;
    (C) The Cooperative River Basin Surveys and Investigations Programs 
under 16 U.S.C. 1006;
    (D) The pilot watershed projects under 16 U.S.C. 590 a-f and 16 
U.S.C. 1001-1009;
    (E) The Watershed Protection and Flood Prevention Program under 16 
U.S.C. 1001-1010, including rehabilitation of water resource structural 
measures constructed under certain Department of Agriculture programs 
under 16 U.S.C. 1012, except for responsibilities assigned to the Under 
Secretary for Rural Development.
    (F) The joint investigations and surveys with the Department of the 
Army under 16 U.S.C. 1009; and
    (G) The Emergency Conservation Program and the Emergency Watershed 
Protection Program under sections 401-405 of the Agricultural Credit Act 
of 1978, 16 U.S.C. 2201-2205, except for the provisions of sections 401 
and 402, 16 U.S.C. 2201-2202, as administered by the Under Secretary for 
Farm and Foreign Agricultural Services.
    (v) Administer the Great Plains Conservation Program and the 
Critical Lands Resources Conservation Program under 16 U.S.C. 590p(b), 
590q and 590q-3.
    (vi) Administer the Resource Conservation and Development Program 
under 16 U.S.C. 590 a-f; 7 U.S.C. 1010-1011; and 16 U.S.C. 3451-3461, 
except for responsibilities assigned to the Under

[[Page 188]]

Secretary for Rural Economic and Community Development.
    (vii) Responsibility for entering into long-term contracts for 
carrying out conservation and environmental measures in watershed areas.
    (viii) Provide national leadership for and administer the Soil and 
Water Resources Conservation Act of 1977 (16 U.S.C. 2001 et seq.).
    (ix) Administer the Rural Clean Water Program and other 
responsibilities assigned under section 35 of the Clean Water Act of 
1977 (33 U.S.C. 1251 et seq.).
    (x) Monitor actions and progress of USDA in complying with Executive 
Order 11988, Flood Plain Management, 3 CFR, 1977 Comp., p. 117, and 
Executive Order 11990, Protection of Wetlands, 3 CFR, 1977 Comp., p. 
121, regarding management of floodplains and protection of wetlands; 
monitor USDA efforts on protection of important agricultural, forest and 
rangelands; and provide staff assistance to the USDA Natural Resources 
and Environment Committee.
    (xi) Administer the search and rescue operations authorized under 7 
U.S.C. 2273.
    (xii) Administer section 202(c) of the Colorado River Basin Salinity 
Control Act, 43 U.S.C. 1592(c), including:
    (A) Identify salt source areas and determine the salt load resulting 
from irrigation and watershed management practices;
    (B) Conduct salinity control studies of irrigated salt source areas;
    (C) Provide technical and financial assistance in the implementation 
of salinity control projects including the development of salinity 
control plans, technical services for application, and certification of 
practice applications;
    (D) Develop plans for implementing measures that will reduce the 
salt load of the Colorado River;
    (E) Develop and implement long-term monitoring and evaluation plans 
to measure and report progress and accomplishments in achieving program 
objectives; and
    (F) Enter into and administer contracts with program participants 
and waive cost-sharing requirements when such cost-sharing requirements 
would result in a failure to proceed with needed on-farm measures.
    (xiii) Except as otherwise delegated, administer natural resources 
conservation authorities, including authorities related to programs of 
the Commodity Credit Corporation that provide assistance with respect to 
natural resources conservation, under Title XII of the Food Security Act 
of 1985 (the Act), as amended (16 U.S.C. 3801 et seq.), including the 
following:
    (A) Technical assistance related to the conservation of highly 
erodible lands and wetlands pursuant to sections 1211-1223 of the Act 
(16 U.S.C. 3811-3823).
    (B) Technical assistance related to the Conservation Reserve Program 
authorized by sections 1231-1235A of the Act (16 U.S.C. 3831-3835a).
    (C) The Wetlands Reserve Program and the Emergency Wetlands Reserve 
Program authorized by sections 1237-1237F of the Act (16 U.S.C. 3837-
3837f) and the Emergency Supplemental Appropriations for Relief from the 
Major, Widespread Flooding in the Midwest Act, Public Law 103-75.
    (D) The Conservation Security Program authorized by sections 1238-
1238C (16 U.S.C. 3838-3838c) and the Conservation Stewardship Program 
authorized by sections 1238D-1238G (16 U.S.C. 3838d-3838g).
    (E) The Farmland Protection Program authorized by sections 1238H-
1238I of the Act (16 U.S.C. 3838h-3838i).
    (F) The Farm Viability Program authorized by section 1238J of the 
Act (16 U.S.C. 3838j).
    (G) The Environmental Easement Program authorized by sections 1239-
1239D of the Act (16 U.S.C. 3839-3839d).
    (H) The Environmental Quality Incentives Program authorized by 
sections 1240-1240I of the Act (16 U.S.C. 3839aa-3839aa-9).
    (I) The conservation of private grazing lands authorized by section 
1240M of the Act (16 U.S.C. 3839bb).
    (J) The Wildlife Habitat Incentives Program authorized by section 
1240N of the Act (16 U.S.C. 3839bb-1).
    (K) The program for soil erosion and sedimentation control in the 
Great Lakes basin authorized by section 1240P of the Act (16 U.S.C. 
3839bb-3).
    (L) The delivery of technical assistance under section 1242 of the 
Act (16 U.S.C. 3842), including the approval of

[[Page 189]]

persons or entities outside of USDA to provide technical services.
    (M) The authority for partnerships and cooperation provided by 
section 1243 of the Act (16 U.S.C. 3843), except for responsibilities 
assigned to the Under Secretary for Farm and Foreign Agricultural 
Services.
    (N) The incentives for certain farmers and ranchers and Indian 
tribes and the protection of certain proprietary information related to 
natural resources conservation programs as provided by section 1244 of 
the Act (16 U.S.C. 3844), except for responsibilities assigned to the 
Under Secretary for Farm and Foreign Agricultural Services.
    (O) The Agriculture Conservation Experienced Services Program 
authorized by section 1252 of the Act (16 U.S.C. 3851).
    (P) The authority under sections 1261-1262 of the Act (16 U.S.C. 
3861-3862) to establish and utilize State Technical Committees.
    (Q) The Grassland Reserve Program under sections 1238N-1238Q of the 
Act (16 U.S.C. 3838n-3838q) in cooperation with the Under Secretary for 
Farm and Foreign Agricultural Services.
    (R) The authority in section 1241 of the Act (16 U.S.C. 3841) to 
accept and use voluntary contributions of non-Federal funds in support 
of natural resources conservation programs under subtitle D of title XII 
of the Act with respect to authorities delegated to the Under Secretary 
for Natural Resources and Environment.
    (S) The Agricultural Conservation Easement Program authorized by 
sections 1265-1265D of the Act (16 U.S.C. 3865-3865d).
    (T) The Regional Conservation Partnership Program authorized by 
sections 1271-1271F (16 U.S.C. 3871-3871f).
    (U) The Voluntary Public Access and Habitat Incentive Program 
authorized by section 1240R of the Act (16 U.S.C. 3839bb-5).
    (V) A wetlands mitigation banking program authorized by section 
1222(k) of the Act (16 U.S.C. 3822(k)).
    (xiv) Approve and transmit to the Congress comprehensive river basin 
reports.
    (xv) Provide representation on the Water Resources Council and river 
basin commissions created by 42 U.S.C. 1962, and on river basin 
interagency committees.
    (xvi) Administer the following provisions of the Farm Security and 
Rural Investment Act of 2002 with respect to functions otherwise 
delegated to the Under Secretary for Natural Resources and Environment:
    (A) The equitable relief provisions of section 1613 (7 U.S.C. 7996).
    (B) The tracking of benefits under section 1614 (7 U.S.C. 7997).
    (xvii) Administer the Water Bank Program under the Water Bank Act 
(16 U.S.C. 1301 et seq.).
    (xviii) Administer the agricultural management assistance provisions 
of section 524(b) of the Federal Crop Insurance Act, as amended (7 
U.S.C. 1524(b)), except for responsibilities assigned to the Under 
Secretary for Farm and Foreign Agricultural Services.
    (xix) Coordinate USDA input and assistance to the Department of 
Commerce and other Federal agencies consistent with section 307 of the 
Coastal Zone Management Act of 1972 (16 U.S.C. 1456), and coordinate 
USDA review of qualifying state and local government coastal management 
plans or programs prepared under such Act and submitted to the Secretary 
of Commerce, consistent with section 306(a) and (c) of such Act (16 
U.S.C. 1455(a) and (c)).
    (xx) Administer the Healthy Forests Reserve Program authorized by 
sections 501-508, Title V of the Healthy Forests Restoration Act of 2003 
(16 U.S.C. 6571-6578).
    (xxi) Implement the information disclosure authorities of section 
1619(b)(3)(A) of the Food, Conservation, and Energy Act of 2008 (7 
U.S.C. 8791(b)(3)(A)).
    (xxii) In coordination with the Assistant Secretary for 
Administration, issue receipts under section 2501A(e) of the Food, 
Agriculture, Conservation, and Trade Act of 1990 (7 U.S.C. 2279-1(e)).
    (xxiii) Authorize employees of the Natural Resources Conservation 
Service to carry and use firearms for personal protection while 
conducting field work in remote locations in the performance of their 
official duties (7 U.S.C. 2274a).

[[Page 190]]

    (xxiv) Conduct activities that assist the Chief Economist in 
developing guidelines regarding the development of environmental 
services markets.
    (xxv) Administer the Terminal Lakes assistance program authorized by 
section 2507 of the Farm Security and Rural Investment Act of 2002 (16 
U.S.C. 3839bb-6).
    (4) Related to committee management. Establish and reestablish 
regional, state, and local advisory committees for activities under his 
or her authority. This authority may not be redelegated.
    (5) Related to defense and emergency preparedness. Administer 
responsibilities and functions assigned under the Defense Production Act 
of 1950, as amended (50 U.S.C. App. 2061 et seq.) and title VI of the 
Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 
U.S.C. 5195 et seq.), relating to agricultural land and water, forests 
and forest products, rural fire defense, and forestry research.
    (6) Related to surface mining control and reclamation. Administer 
responsibilities and functions assigned to the Secretary of Agriculture 
under the Surface Mining Control and Reclamation Act of 1977 (30 U.S.C. 
1201 et seq.).
    (7) Related to environmental response. (i) With respect to land and 
facilities under his or her authority, to exercise the functions 
delegated to the Secretary by Executive Order 12580, 3 CFR, 1987 Comp., 
p. 193, and Executive Order 12777, 3 CFR, 1991 Comp., p. 351, to act as 
Federal trustee for natural resources in accordance with section 107(f) 
of the Comprehensive Environmental Response, Compensation, and Liability 
Act of 1980 (42 U.S.C. 9607(f)), section 311(f)(5) of the Federal Water 
Pollution Control Act (33 U.S.C. 1321(f)(5)), and section 1006(b)(2) of 
the Oil Pollution Act of 1990 (33 U.S.C. 2706(b)(2)).
    (ii) With respect to land and facilities under his or her authority, 
to exercise the functions delegated to the Secretary by Executive Order 
12580, 3 CFR, 1987 Comp., p. 193, under the following provisions of the 
Comprehensive Environmental Response, Compensation, and Liability Act of 
1980 (``the Act''), as amended:
    (A) Sections 104(a), (b), and (c)(4) of the Act (42 U.S.C. 9604(a), 
(b), and (c)(4)), with respect to removal and remedial actions in the 
event of release or threatened release of a hazardous substance, 
pollutant, or contaminant into the environment;
    (B) Sections 104(e)-(h) of the Act (42 U.S.C. 9604(e)-(h)), with 
respect to information gathering and access requests and orders; 
compliance orders; compliance with Federal health and safety standards 
and wage and labor standards applicable to covered work; and emergency 
procurement powers;
    (C) Section 104(i)(11) of the Act (42 U.S.C. 9604(i)(11)), with 
respect to the reduction of exposure to significant risk to human 
health;
    (D) Section 104(j) of the Act (42 U.S.C. 9604(j)), with respect to 
the acquisition of real property and interests in real property required 
to conduct a remedial action;
    (E) The first two sentences of section 105(d) of the Act (42 U.S.C. 
9605(d)), with respect to petitions for preliminary assessment of a 
release or threatened release;
    (F) Section 105(f) of the Act (42 U.S.C. 9605(f)), with respect to 
consideration of the availability of qualified minority firms in 
awarding contracts, but excluding that portion of section 105(f) of the 
Act pertaining to the annual report to Congress;
    (G) Section 109 of the Act (42 U.S.C. 9609), with respect to the 
assessment of civil penalties for violations of section 122 of the Act 
(42 U.S.C. 9622), and the granting of awards to individuals providing 
information;
    (H) Section 111(f) of the Act (42 U.S.C. 9611(f)), with respect to 
the designation of officials who may obligate money in the Hazardous 
Substances Superfund;
    (I) Section 113(g) of the Act (42 U.S.C. 9613(g)), with respect to 
receiving notification of a natural resource trustee's intent to file 
suit;
    (J) Section 113(k) of the Act (42 U.S.C. 9613(k)), with respect to 
establishing an administrative record upon which to base the selection 
of a response action and identifying and notifying potentially 
responsible parties;

[[Page 191]]

    (K) Section 116(a) of the Act (42 U.S.C. 9616(a)), with respect to 
preliminary assessment and site inspection of facilities;
    (L) Section 117(a) and (c) of the Act (42 U.S.C. 9617(a) and (c)), 
with respect to public participation in the preparation of any plan for 
remedial action and explanation of variances from the final remedial 
action plan for any remedial action or enforcement action, including any 
settlement or consent decree entered into;
    (M) Section 119 of the Act (42 U.S.C. 9619), with respect to 
indemnifying response action contractors;
    (N) Section 121 of the Act (42 U.S.C. 9621), with respect to cleanup 
standards; and
    (O) Section 122 of the Act (42 U.S.C. 9622), with respect to 
settlements, but excluding section 122(b)(1) of the Act (42 U.S.C. 
9622(b)(1)), relating to mixed funding agreements.
    (iii) With respect to land and facilities under his or her 
authority, to exercise the authority vested in the Secretary of 
Agriculture to act as the ``Federal Land Manager'' pursuant to the Clean 
Air Act, as amended (42 U.S.C. 7401 et seq.).
    (8) Related to compliance with environmental laws. With respect to 
facilities and activities under his or her authority, to exercise the 
authority of the Secretary of Agriculture pursuant to section 1-102 
related to compliance with applicable pollution control standards and 
section 1-601 of Executive Order 12088, 3 CFR, 1978 Comp., p. 243, to 
enter into an inter-agency agreement with the United States 
Environmental Protection Agency, or an administrative consent order or a 
consent judgment in an appropriate United States District Court with an 
appropriate State, interstate, or local agency, containing a plan and 
schedule to achieve and maintain compliance with applicable pollution 
control standards established pursuant to the following:
    (i) Solid Waste Disposal Act, as amended by the Resource 
Conservation and Recovery Act, the Hazardous and Solid Waste Amendments, 
and the Federal Facility Compliance Act (42 U.S.C. 6901 et seq.);
    (ii) Federal Water Pollution Prevention and Control Act, as amended 
(33 U.S.C. 1251 et seq.);
    (iii) Safe Drinking Water Act, as amended (42 U.S.C. 300f et seq.);
    (iv) Clean Air Act, as amended (42 U.S.C. 7401 et seq.);
    (v) Noise Control Act of 1972, as amended (42 U.S.C. 4901 et seq.);
    (vi) Toxic Substances Control Act, as amended (15 U.S.C. 2601 et 
seq.);
    (vii) Federal Insecticide, Fungicide, and Rodenticide Act, as 
amended (7 U.S.C. 136 et seq.); and
    (viii) Comprehensive Environmental Response, Compensation, and 
Liability Act of 1980, as amended by the Superfund Amendments and 
Reauthorization Act of 1986 (42 U.S.C. 9601 et seq.).
    (9) Related to historic preservation. Administer the implementation 
of the National Historic Preservation Act of 1966, 16 U.S.C. 470 et 
seq., Executive Order 11593, 3 CFR, 1971-1975 Comp., p. 559, and 
regulations of the Advisory Council on Historic preservation, 36 CFR 
part 800, for the Department of Agriculture with authority to name the 
Secretary's designee to the Advisory Council on Historic Preservation.
    (10) Carry out prize competition authorities in section 24 of the 
Stevenson-Wydler Technology Innovation Act of 1980 (15 U.S.C. 3719) 
related to functions otherwise delegated to the Under Secretary for 
Natural Resources and Environment, except for authorities delegated to 
the Chief Financial Officer in Sec.  2.28(a)(29) and authorities 
reserved to the Secretary in paragraph (b)(2) of this section.
    (b) The following authorities are reserved to the Secretary of 
Agriculture:
    (1) Related to natural resource conservation. Designation of new 
project areas in which the resource conservation and development program 
assistance will be provided.
    (2) Approval of prize competitions that may result in the award of 
more than $1,000,000 in cash prizes under section 24(m)(4)(B) of the 
Stevenson-

[[Page 192]]

Wydler Technology Innovation Act of 1980 (15 U.S.C. 3719(m)(4)(B)).

[60 FR 56393, Nov. 8, 1995, as amended at 62 FR 1031, Jan. 8, 1997; 64 
FR 32797, June 18, 1999; 64 FR 34967, June 30, 1999; 65 FR 12428, Mar. 
9, 2000; 67 FR 59135, Sept. 30, 2002; 68 FR 27437, May 20, 2003; 69 FR 
34252, June 21, 2004; 72 FR 36859, July 6, 2007; 74 FR 3403, Jan. 21, 
2009; 75 FR 43368, July 23, 2010; 78 FR 40937, July 9, 2013; 79 FR 
44107, July 30, 2014; 80 FR 58337, Sept. 29, 2015]



Sec.  2.21  Under Secretary for Research, Education, and Economics.

    (a) The following delegations of authority are made by the Secretary 
of Agriculture to the Under Secretary for Research, Education, and 
Economics (who holds the title of Chief Scientist of the Department).
    (1) Related to research, extension, and education. (i) Direct, 
coordinate and provide national leadership and support for research, 
extension and teaching programs in the food and agricultural sciences to 
meet major needs and challenges in development of new food and fiber; 
food and agriculture viability and competitiveness in the global 
economy; enhancing economic opportunities and quality of life for rural 
America; food and agricultural system productivity and development of 
new crops and new uses; the environment and natural resources; or the 
promotion of human health and welfare pursuant to the National 
Agricultural Research, Extension, and Teaching Policy of 1977, as 
amended (7 U.S.C. 3101 et seq.).
    (ii) Provide national leadership and support for research, 
extension, and teaching programs in the food and agricultural sciences 
to carry out sustainable agriculture research and education; a National 
Plant Genetic Resources Program; a national agricultural weather 
information system; and any other provisions pursuant to title XVI of 
the Food, Agriculture, Conservation, and Trade Act of 1990 (Pub. L. 101-
624, 104 Stat. 3703).
    (iii) Coordinate USDA policy and conduct programs relative to the 
Federal Insecticide, Fungicide, and Rodenticide Act, as amended (7 
U.S.C. 136 et seq.) and coordinate the Department's Integrated Pest 
Management Programs and the Pesticide Assessment Program (7 U.S.C. 136-
136y).
    (iv) Carry out research, technology development, technology 
transfer, and demonstration projects related to the economic feasibility 
of the manufacture and commercialization of natural rubber from plants 
containing hydrocarbons (7 U.S.C. 178-178n).
    (v) Conduct research on the control of undesirable species of honey 
bees in cooperation with specific foreign governments (7 U.S.C. 284).
    (vi) Administer the appropriation for the endowment and maintenance 
of colleges for the benefit of agriculture and the mechanical arts (7 
U.S.C. 321-326a).
    (vii) Administer teaching funds authorized by section 22 of the 
Bankhead Jones Act, as amended (7 U.S.C. 329).
    (viii) Administer a Cooperative Agricultural Extension Program in 
accordance with the Smith-Lever Act, as amended (7 U.S.C. 341-349).
    (ix) Cooperate with the States for the purpose of encouraging and 
assisting them in carrying out research related to the problems of 
agriculture in its broadest aspects under the Hatch Act, as amended (7 
U.S.C. 361a-361i).
    (x) Evaluate, assess, and report to congressional agriculture 
committees on the merits of proposals for agricultural research 
facilities in the States, and ensure that each research activity 
conducted by an Agricultural Research Service facility serves a national 
or multistate need (7 U.S.C. 390 et seq.).
    (xi) Conduct research concerning domestic animals and poultry, their 
protection and use, the causes of contagious, infectious, and 
communicable diseases, and the means for the prevention and cure of the 
same (7 U.S.C. 391).
    (xii) Conduct research related to the dairy industry and to the 
dissemination of information for the promotion of the dairy industry (7 
U.S.C. 402).
    (xiii) Conduct research and demonstrations at Mandan, ND, related to 
dairy livestock breeding, growing, and feeding, and other problems 
pertaining to the establishment of the dairy and livestock industries (7 
U.S.C. 421-422).
    (xiv) Conduct research on new uses for cotton and on cotton ginning 
and processing (7 U.S.C. 423-424).
    (xv) Administer and conduct research into the basic problems of 
agriculture in its broadest aspects, including, but

[[Page 193]]

not limited to, production, marketing (other than statistical and 
economic research but including research related to family use of 
resources), distribution, processing, and utilization of plant and 
animal commodities; problems of human nutrition; development of markets 
for agricultural commodities; discovery, introduction, and breeding of 
new crops, plants, and animals, both foreign and native; conservation 
development; and development of efficient use of farm buildings, homes, 
and farm machinery except as otherwise delegated in Sec.  2.22(a)(1)(ii) 
and Sec.  2.79(a)(2) (7 U.S.C. 427, 1621-1627, 1629, 2201, and 2204).
    (xvi) Conduct research on varietal improvement of wheat and feed 
grains to enhance their conservation and environmental qualities (7 
U.S.C. 428b).
    (xvii) [Reserved]
    (xviii) Enter into agreements with and receive funds from any State, 
other political subdivision, organization, or individual for the purpose 
of conducting cooperative research projects (7 U.S.C. 450a).
    (xix) Carry out a program (IR-4 Program) for the collection of 
residue and efficacy data in support of registration or reregistration 
of pesticides for minor agricultural use and for use on specialty crops, 
and to determine tolerances for minor use chemical residues in or on 
agricultural commodities (7 U.S.C. 450i(e)).
    (xx) Administer the Agriculture and Food Research Initiative for 
competitive grants for fundamental and applied research, extension, and 
education to address food and agricultural sciences; administer a 
program of making special grants for research, extension, or education 
activities (7 U.S.C. 450i(b), (c)).
    (xxi)-(xxii) [Reserved]
    (xxiii) Conduct research related to soil and water conservation, 
engineering operations, and methods of cultivation to provide for the 
control and prevention of soil erosion (7 U.S.C. 1010 and 16 U.S.C. 
590a).
    (xxiv) Maintain four regional research laboratories and conduct 
research at such laboratories to develop new scientific, chemical, and 
technical uses and new and extended markets and outlets for farm 
commodities and products and the byproducts thereof (7 U.S.C. 1292).
    (xxv) Conduct a Special Cotton Research Program designed to reduce 
the cost of producing upland cotton in the United States (7 U.S.C. 
1444a(c)).
    (xxvi) [Reserved]
    (xxvii) Conduct research to develop and determine methods for the 
humane slaughter of livestock (7 U.S.C. 1904).
    (xxviii)-(xxix) [Reserved]
    (xxx) Conduct education and extension programs related to nutrition 
education (7 U.S.C. 2027(a)).
    (xxxi) [Reserved]
    (xxxii) Develop and maintain national and international library and 
information systems and networks and facilitate cooperation and 
coordination of the agricultural libraries of colleges, universities, 
USDA, and their closely allied information gathering and dissemination 
units in conjunction with private industry and other research libraries 
(7 U.S.C. 2201, 2204, 3125a, and 3126).
    (xxxiii) Accept gifts and order disbursements from the Treasury for 
carrying out of National Agricultural Library (NAL) functions (7 U.S.C. 
2264-2265).
    (xxxiv) Propagate bee-breeding stock and release bee germplasm to 
the public (7 U.S.C. 283).
    (xxxv) Administer, in cooperation with land-grant colleges and 
universities where applicable, a rural development research and 
extension program, a small farm research and extension program, and a 
rural health and safety education program under the Rural Development 
Act of 1972, as amended (7 U.S.C. 2661-2667).
    (xxxvi) Administer a cooperative extension program under the Farmer-
to-Consumer Direct Marketing Act of 1976 (7 U.S.C. 3004).
    (xxxvii) Coordinate the development and carrying out by Department 
agencies of all matters and functions pertaining to agricultural 
research conducted or funded by the Department involving biotechnology, 
including the development and implementation of guidelines for oversight 
of research activities, acting as liaison on all matters and functions 
pertaining to agricultural research in biotechnology between agencies 
within the Department

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and between the Department and other governmental, educational, or 
private organizations and carrying out any other activities authorized 
by (7 U.S.C. 3121).
    (xxxviii) [Reserved]
    (xxxix) Establish and oversee the National Agricultural Research, 
Extension, Education, and Economics Advisory Board (7 U.S.C. 3123).
    (xl) Provide and distribute information and data about Federal, 
State, local, and other Rural Development Assistance Programs and 
services available to individuals and organizations. To the extent 
possible, NAL shall use telecommunications technology to disseminate 
such information to rural areas (7 U.S.C. 3125b).
    (xli) Assemble and collect food and nutrition educational material, 
including the results of nutrition research, training methods, 
procedures, and other materials related to the purposes of the National 
Agricultural Research, Extension, and Teaching Policy Act of 1977, as 
amended; maintain such information; and provide for the dissemination of 
such information and materials on a regular basis to State educational 
agencies and other interested parties (7 U.S.C. 3126).
    (xlii) [Reserved]
    (xliv) Promote and strengthen higher education in the food and 
agricultural sciences; administer grants to colleges and universities; 
maintain a national food and agricultural education information system; 
conduct programs regarding the evaluation of teaching programs and 
continuing education; administer the National Food and Agricultural 
Sciences Teaching, Extension, and Research Awards Program to recognize 
and promote excellence in teaching, extension, and research in the food 
and agricultural sciences; administer programs relating to secondary 
education and 2-year postsecondary education, including grants to public 
secondary schools, institutions of higher education that award an 
associate's degree, other institutions of higher education, and 
nonprofit organizations; and report to Congress on the distribution of 
funds to carry out such teaching programs (7 U.S.C. 3152).
    (xlv) [Reserved]
    (xlvi) Administer the National Agricultural Science Award for 
research or advanced studies in the food and agricultural sciences (7 
U.S.C. 3153).
    (xlvii) [Reserved]
    (xlviii) Administer a National Food and Human Nutrition Research and 
Extension Program (7 U.S.C. 3171-3173, 3175).
    (xlix) Administer and direct an Animal Health and Disease Research 
Program under the National Agricultural Research, Extension, and 
Teaching Policy Act of 1977, as amended (7 U.S.C. 3191-3201).
    (l) Support continuing agricultural and forestry extension and 
research at 1890 land-grant institutions, including Tuskegee University 
(7 U.S.C. 3221, 3222, 3222d).
    (li) Administer grants to 1890 land-grant colleges, including 
Tuskegee University, through Federal-grant funds to help finance 
research facilities and equipment including agricultural libraries (7 
U.S.C. 3223).
    (lii) Establish and administer competitive grants to Hispanic-
serving Institutions for the purpose of promoting and strengthening the 
ability of Hispanic-serving Institutions to carry out education, applied 
research, and related community development programs (7 U.S.C. 3241).
    (liii) Provide policy direction and coordinate the Department's work 
with national and international institutions and other persons 
throughout the world in the performance of agricultural research, 
extension, teaching, and development activities; administer a program of 
competitive grants for collaborative projects involving Federal 
scientists or scientists from colleges and universities working with 
scientists at international agricultural research centers in other 
nations focusing either on new technologies and programs for increasing 
the production of food and fiber or training scientists and a program of 
competitive grants to colleges and universities to strengthen United 
States economic competitiveness and to promote international market 
development; establish a program in coordination with the Foreign 
Agricultural Service to place interns from United States colleges and 
universities at Foreign Agricultural Service field

[[Page 195]]

offices overseas; and provide a biennial report to the Committee on 
Agriculture of the House of Representatives and the Committee on 
Agriculture, Nutrition, and Forestry of the Senate on efforts of the 
Federal Government to coordinate international agricultural research 
within the Federal Government, and to more effectively link the 
activities of domestic and international agricultural researchers, 
particularly researchers of the Agricultural Research Service (7 U.S.C. 
3291, 3292b).
    (liv) Provide for an agricultural research and development program 
with the United States/Mexico Foundation for Science (7 U.S.C. 3292a).
    (lv) [Reserved]
    (lvi) Enter into contracts, grants, or cooperative agreements to 
further research, extension, or teaching programs in the food and 
agriculture sciences (7 U.S.C. 3318).
    (lvii) Enter into cost-reimbursable agreements with State 
cooperative institutions or other colleges and universities for the 
acquisition of goods or services in support of research, extension, or 
teaching activities in the food and agricultural sciences, including the 
furtherance of library and related information programs (7 U.S.C. 
3319a).
    (lviii) Conduct research and development and implement a program for 
the development of supplemental and alternative crops (7 U.S.C. 3319d).
    (lix) Administer an Aquaculture Assistance Program, involving 
centers, by making grants to eligible institutions for research and 
extension to facilitate or expand production and marketing of 
aquacultural food species and products; making grants to States to 
formulate Aquaculture development plans for the production and marketing 
of aquacultural species and products; and conducting a program of 
research, extension and demonstration at aquacultural demonstration 
centers (7 U.S.C. 3321-22).
    (lx) Administer a Cooperative Rangeland Research Program (7 U.S.C. 
3331-3336).
    (lxi) Conduct a program of basic research on cancer in animals and 
birds (7 U.S.C. 3902).
    (lxii) Design and implement educational programs and distribute 
materials in cooperation with the cooperative extension services of the 
States emphasizing the importance of productive farmland, and designate 
a farmland information center, pursuant to section 1544 of the Farmland 
Protection Policy Act (7 U.S.C. 4205).
    (lxiii) [Reserved]
    (lxiv) Administer programs and conduct projects for research, 
extension, and education on sustainable agriculture (7 U.S.C. 5811-
5813).
    (lxv) Conduct research and cooperative extension programs to 
optimize crop and livestock production potential, integrated resource 
management, and integrated crop management (7 U.S.C. 5821).
    (lxvi) Develop and make available handbooks, technical guides, and 
other educational materials emphasizing sustainable agriculture 
production systems and practices; carry out activities related to a 
national training program for sustainable agriculture (7 U.S.C. 5831, 
5832).
    (lxvii) [Reserved]
    (lxviii) Administer a national research program on genetic resources 
to provide for the collection, preservation, and dissemination of 
genetic material important to American food and agriculture production 
(7 U.S.C. 5841-5844).
    (lxix) Conduct remote-sensing and other weather-related research (7 
U.S.C. 5852).
    (lxx) Establish an Agricultural Weather Office and administer a 
national agricultural weather information system, including a 
competitive grants program for research in atmospheric sciences and 
climatology (7 U.S.C. 5852-5853).
    (lxxi) Administer a research and extension grant program to States 
to administer programs for State agricultural weather information 
systems (7 U.S.C. 5854).
    (lxxii)-(lxxvi) [Reserved]
    (lxxvii) Administer research programs and grants for risk assessment 
research to address concerns about the environmental effects of 
biotechnology (7 U.S.C. 5921).
    (lxxviii) [Reserved]
    (lxxix) Conduct a research initiative known as the Agricultural 
Genome Initiative, and make grants or enter into

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cooperative agreements on a competitive basis to carry out the 
Initiative (7 U.S.C. 5924).
    (lxxx) Administer a competitive high priority research and extension 
grants program in specified subject areas (7 U.S.C. 5925), including 
pollinator activities (7 U.S.C. 5925(g)) not otherwise delegated to the 
Under Secretary for Marketing and Regulatory Programs in Sec.  
2.22(a)(2)(xli); prepare an annual report to Congress regarding 
pollinator issues (7 U.S.C. 5925(g)(5)).
    (lxxxi) [Reserved]
    (lxxxii) Administer competitive grants to support research, 
education, and extension activities regarding organically grown and 
processed agricultural commodities (7 U.S.C. 5925b).
    (lxxxiii) [Reserved]
    (lxxxiv) Formulate and carry out the Veterinary Medicine Loan 
Repayment Act program authorized by the National Veterinary Medical 
Service Act (7 U.S.C. 3151a).
    (lxxxv)-(xc) [Reserved]
    (xci) Administer education programs on Indian reservations and 
tribal jurisdictions (7 U.S.C. 5930).
    (xcii) [Reserved]
    (xciii) Administer a demonstration grants program for support of an 
assistive technology program for farmers with disabilities (7 U.S.C. 
5933).
    (xciv)-(xcvi) [Reserved]
    (xcvii) Administer the Small Business Innovation Development Act of 
1982 for USDA (15 U.S.C. 638(e)-(k)).
    (xcviii) Coordinate Departmental policies under the Toxic Substance 
Control Act (15 U.S.C. 2601-2629).
    (xcix) Provide educational and technical assistance in implementing 
and administering the Conservation Reserve Program authorized in 
sections 1231-1244 of the Food Security Act of 1985 (Pub. L. No. 99-198, 
99 Stat. 1509 (16 U.S.C. 3831-3844)).
    (c) Enter into cooperative research and development agreements with 
industry, universities, and others; institute a cash award program to 
reward scientific, engineering, and technical personnel; award royalties 
to inventors; and retain and use royalty income (15 U.S.C. 3710a-3710c).
    (ci) Coordinate USDA activities delegated under 15 U.S.C. 3710a-
3710c.
    (cii) Conduct educational and demonstrational work in Cooperative 
Farm Forestry Programs (16 U.S.C. 568).
    (ciii) Administer a cooperative forestry program in accordance with 
the McIntire-Stennis Cooperative Forestry Act, and administer a 
competitive forestry, natural resources, and environmental grant program 
(16 U.S.C. 582a-582-8).
    (civ) Establish and administer the Forestry Student Grant Program to 
provide competitive grants to assist the expansion of the professional 
education of forestry, natural resources, and environmental scientists 
(16 U.S.C. 1649).
    (cv) Provide for an expanded and comprehensive extension program for 
forest and rangeland renewable resources (16 U.S.C. 1671-1676).
    (cvi) Provide technical, financial, and educational assistance to 
State foresters and State extension directors on rural forestry 
assistance (16 U.S.C. 2102).
    (cvii) Provide educational assistance to State foresters under the 
Forest Stewardship Program (16 U.S.C. 2103a).
    (cviii) Implement and conduct an educational program to assist the 
development of Urban and Community Forestry Programs (16 U.S.C. 2105).
    (cix) Provide staff support to the Secretary of Agriculture in his 
or her role as permanent Chair for the Joint Subcommittee on Aquaculture 
established by the National Aquaculture Act of 1980 and coordinate 
aquacultural activities within the Department (16 U.S.C. 2805).
    (cx) Perform research, development, and extension activities in 
aquaculture (16 U.S.C. 2804 and 2806).
    (cxi) [Reserved]
    (cxii) Copy and deliver on demand selected articles and other 
materials from the Department's collections by photographic reproduction 
or other means within the permissions, constraints, and limitations of 
sections 106, 107, and 108 of the Copyright Act of October 19, 1976, (17 
U.S.C. 106, 107, and 108).
    (cxiii) Authorize the use of the 4-H Club name and emblem (18 U.S.C. 
707).
    (cxiv) Maintain a National Arboretum for the purposes of research 
and education concerning tree and plant

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life, and order disbursements from the Treasury, in accordance with the 
Act of March 4, 1927 (20 U.S.C. 191 et seq.).
    (cxv) Conduct research on foot-and-mouth disease and other animal 
diseases (21 U.S.C. 113a).
    (cxvi) [Reserved]
    (cxvii) Obtain and furnish Federal excess property to eligible 
recipients for use in the conduct of research and extension programs (40 
U.S.C. 525(c)).
    (cxviii) Conduct research demonstration and promotion activities 
related to farm dwellings and other buildings for the purposes of 
reducing costs and adapting and developing fixtures and appurtenances 
for more efficient and economical farm use (42 U.S.C. 1476(b)).
    (cxix)-(cxx) [Reserved]
    (cxxi) Administer a Cooperative Agricultural Extension Program 
related to agriculture, uses of solar energy with respect to 
agriculture, home economics, and rural energy in the District of 
Columbia (D.C. Code 38-1202.09).
    (cxxii) [Reserved]
    (cxxiii) Exercise the responsibilities of the Secretary under 
regulations dealing with Equal Employment Opportunity in the Cooperative 
Extension Service (part 18 of this title).
    (cxxiv) Represent the Department on the Federal Interagency 
Committee on Education.
    (cxxv) Assure the acquisition, preservation, and accessibility of 
all information concerning food and agriculture by providing leadership 
to and coordination of the acquisition programs and related activities 
of the library and information systems, with the agencies of USDA, other 
Federal departments and agencies, State agricultural experiment 
stations, colleges and universities, and other research institutions and 
organizations.
    (cxxvi) Formulate, write, or prescribe bibliographic and technically 
related standards for the library and information services of USDA (7 
U.S.C. 3125a et seq.).
    (cxxvii) Determine by survey or other appropriate means, the 
information needs of the Department's scientific, professional, 
technical, and administrative staffs, its constituencies, and the 
general public in the areas of food, agriculture, the environment, and 
other related areas.
    (cxxviii) Represent the Department on all library and information 
science matters before Congressional Committees and appropriate 
commissions, and provide representation to the coordinating committees 
of the Federal and State governments concerned with library and 
information science activities.
    (cxxix) Represent the Department in international organizational 
activities and on international technical committees concerned with 
agricultural science, education, and development activities, including 
library and information science activities.
    (cxxx) Prepare and disseminate computer files, indexes and 
abstracts, bibliographies, reviews, and other analytical information 
tools.
    (cxxxi) Arrange for the consolidated purchasing and dissemination of 
printed and automated indexes, abstracts, journals, and other widely 
used information resources and services.
    (cxxxii) Provide assistance and support to professional 
organizations and others concerned with library and information science 
matters and issues.
    (cxxxiii) Pursuant to the authority delegated by the Administrator 
of General Services to the Secretary of Agriculture in 34 FR 6406, 36 FR 
1293, 36 FR 18440, and 38 FR 23838, appoint uniformed armed guards and 
special policemen, make all needful rules and regulations, and annex to 
such rules and regulations such reasonable penalties (not to exceed 
those prescribed in 40 U.S.C. 318(c), as will ensure their enforcement, 
for the protection of persons, property, buildings, and grounds of the 
Arboretum, Washington, DC; the U.S. Meat Animal Research Center, Clay 
Center, NE; the Agricultural Research Center, Beltsville, MD; and the 
Animal Disease Center, Plum Island, NY, over which the United States has 
exclusive or concurrent criminal jurisdiction, in accordance with the 
limitations and requirements of the Federal Property and Administrative 
Services Act of 1949, as amended (40 U.S.C. 471 et seq.), the Act of 
June 1, 1948, as amended (40 U.S.C. 318 et seq.), and the policies, 
procedures, and controls prescribed by the General Services 
Administration. Any rules or regulations promulgated under this 
authority shall be

[[Page 198]]

approved by the Director, Office of Operations, and the General Counsel 
prior to issuance.
    (cxxxiv) Represent the Department on the National Science and 
Technology Council.
    (cxxxv) Administer the Department's Patent Program except as 
delegated to the General Counsel in Sec.  2.31(a)(5).
    (cxxxvi) Review cooperative research and development agreements 
entered into pursuant to 15 U.S.C. 3710a-3710c, with authority to 
disapprove or require the modification of any such agreement.
    (cxxxvii) Establish and administer a 1994 Institutions Endowment 
Fund and to enter into agreements necessary to do this (Section 533(b) 
and (c) of the Equity in Educational Land-Grant Status Act of 1994, 7 
U.S.C. 301 note).
    (cxxxviii) Make grants in equal amounts to 1994 Land-Grant 
Institutions to be used in the same manner as is prescribed for colleges 
under the Act of August 30, 1890 (7 U.S.C. 321 et seq.), and subject to 
the requirements of such Act (Section 534(a) of the Equity in 
Educational Land-Grant Status Act of 1994, 7 U.S.C. 301 note).
    (cxxxix) Make competitive Institutional Capacity Building Grants to 
assist 1994 Land-Grant Institutions with constructing, acquiring, and 
remodeling buildings, laboratories, and other capital facilities 
(including fixtures and equipment) necessary to conduct instructional 
activities more effectively in agriculture and sciences (Section 535 of 
the Equity in Educational Land-Grant Status Act of 1994, 7 U.S.C. 301 
note).
    (cxl) Make competitive grants to 1994 Land-Grant Institutions to 
conduct agricultural research that addresses high priority concerns of 
tribal, national, or multistate significance (Section 536 of the Equity 
in Educational Land-Grant Status Act of 1994, 7 U.S.C. 301 note).
    (cxli) Implement and administer the Community Food Projects Program 
under section 25 of the Food and Nutrition Act of 2008 (7 U.S.C. 2034).
    (cxlii) [Reserved]
    (cxliii) Coordinate the Department of Agriculture summer intern 
program pursuant to section 922 of the Federal Agriculture Improvement 
and Reform Act (7 U.S.C. 2279c).
    (cxliv) Develop and carry out a system to monitor and evaluate 
agricultural research and extension activities conducted or supported by 
the Department that will enable the Secretary to measure the impact and 
effectiveness of research, extension, and education programs according 
to priorities, goals, and mandates established by law. Conduct a 
comprehensive review of state-of-the-art information technology systems 
for use in developing the system (7 U.S.C. 3129).
    (cxlv)-(cxlvi) [Reserved]
    (cliii) Establish procedures that provide for scientific peer review 
of each agricultural research grant administered on a competitive basis, 
and for relevancy and merit review of each agricultural research, 
extension, or education grant administered on a competitive basis, by 
the National Institute of Food and Agriculture (7 U.S.C. 7613(a)).
    (cl) Provide technical assistance to farmers and ranchers under the 
Environmental Quality Incentives Program (16 U.S.C. 3830 et seq.).
    (cli) Ensure that agricultural research conducted by the 
Agricultural Research Service, and agricultural research, extension, or 
education activities administered by the National Institute of Food and 
Agriculture on a competitive basis address a concern that is a priority 
and has national, multistate, or regional significance (7 U.S.C. 7611).
    (clii) Solicit and consider input and recommendations from persons 
who conduct or use agricultural research, extension, or education and, 
after consultation with appropriate subcabinet officials, establish 
priorities for agricultural research, extension, and education 
activities conducted or funded by the Department; promulgate regulations 
concerning implementation of a process for obtaining stakeholder input 
at 1862, 1890, and 1994 Institutions and Hispanic-serving agricultural 
colleges and universities; and ensure that federally supported and 
conducted agricultural research, extension, and education activities are 
accomplished in accord with identified management principles (7 U.S.C. 
7612).
    (cliii) Establish procedures that provide for scientific peer review 
of each

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agricultural research grant administered on a competitive basis, and for 
merit review of each agricultural extension or education grant 
administered, on a competitive basis, by the National Institute of Food 
and Agriculture (7 U.S.C. 7613(a)).
    (cliv) Consider the results of the annual review performed by the 
National Agricultural Research, Extension, Education, and Economics 
Advisory Board regarding the relevance to priorities of the funding of 
all agricultural research, extension, or education activities conducted 
or funded by the Department and the adequacy of funding, when 
formulating each request for proposals, and evaluating proposals, 
involving an agricultural research, extension, or education activity 
funded, on a competitive basis, by the Department; and solicit and 
consider input from persons who conduct or use agricultural research, 
extension, or education regarding the prior year's request for proposals 
for each activity funded on a competitive basis (7 U.S.C. 7613(c)).
    (clv) Establish, in consultation with appropriate subcabinet 
officials, procedures to ensure scientific peer review of all research 
activities conducted by the Department (7 U.S.C. 7613(d)).
    (clvi) Require a procedure to be established by each 1862, 1890, and 
1994 Institution and Hispanic-serving agricultural college and 
university, for merit review of each agricultural research and extension 
activity funded and review of the activity in accordance with the 
procedure (7 U.S.C. 7613(e)).
    (clvii)-(clix) [Reserved]
    (clx) Coordinate the resources of the Department to develop, 
commercialize, and promote the use of biobased products, and enter into 
cooperative agreements with private entities to operate pilot plants and 
other large-scale preparation facilities under which the facilities and 
technical expertise of the Agricultural Research Service may be made 
available (7 U.S.C. 7624).
    (clxi) [Reserved]
    (clxii) Administer competitive grants for integrated, 
multifunctional agricultural research, education, and extension 
activities (7 U.S.C. 7626).
    (clxiii) Administer a coordinated program of research, extension, 
and education to improve the competitiveness, viability, and 
sustainability of small and medium size dairy, livestock, and poultry 
operations (7 U.S.C. 7627).
    (clxiv) Administer grants to consortia of land-grant colleges and 
universities to enhance the ability of the consortia to carry out multi-
State research projects aimed at understanding and combating diseases of 
wheat, triticale, and barley caused by Fusarium graminearum and related 
fungi or Tilletia indica and related fungi (7 U.S.C. 7628).
    (clxv) Operate and administer the Food Animal Residue Avoidance 
Database through contracts, grants, or cooperative agreements with 
appropriate colleges or universities (7 U.S.C. 7642).
    (clxvi) Update on a periodic basis, nutrient composition data and 
report to Congress the method that will be used to update the data and 
the timing of the update (7 U.S.C. 7651).
    (clxvii) Establish and maintain a Food Safety Research Information 
Office at the National Agricultural Library to provide to the research 
community and the general public information on publicly and privately 
funded food safety research initiatives (7 U.S.C. 7654(a)).
    (clxviii) Develop a national program of safe food handling education 
for adults and young people to reduce the risk of food-borne illness (7 
U.S.C. 7655).
    (clxix) Conduct a performance evaluation to determine whether 
federally funded agricultural research, extension, and education 
programs result in public goods that have national or multistate 
significance, including through a contract with one or more entities to 
provide input and recommendations with respect to federally funded 
agricultural research, extension, and education programs (7 U.S.C. 
7671).
    (clxx) [Reserved]
    (clxxi) Take a census of agriculture in 1998 and every fifth year 
thereafter pursuant to the Census of Agriculture Act of 1997, Public Law 
105-113 (7 U.S.C.

[[Page 200]]

2204g); ensure that the census of agriculture documents the number, 
location, and economic contributions of socially disadvantaged farmers 
or ranchers in agricultural production (7 U.S.C. 2279(h)).
    (clxxii) Cooperate with other Federal agencies (including the 
National Science Foundation) in issuing joint requests for proposals, 
awarding grants, and administering grants under any competitive 
agricultural research, education, or extension grant program (7 U.S.C. 
3319b).
    (clxxiii) Administer a program of competitive grants, establish 
education teams, and establish an online clearinghouse of curricula and 
training materials and programs, all for training, education, outreach, 
and technical assistance initiatives for the benefit of beginning 
farmers and ranchers (7 U.S.C. 3319f).
    (clxxiv) Administer agricultural research, education, and extension 
activities (including through competitive grants), using any authority 
available to the Secretary, to reduce the vulnerability of the United 
States food and agricultural system to chemical or biological attack, to 
continue partnerships with institutions of higher education and other 
institutions to help form stable, long-term programs to enhance the 
biosecurity of the United States, to make competitive grants to 
universities and qualified research institutions for research on 
counterbioterrorsims, and to counter or otherwise respond to chemical or 
biological attack (7 U.S.C. 3351).
    (clxxv) Administer a program of competitive grants to colleges and 
universities for expansion and security upgrades to enhance the security 
of agriculture against bioterrorism threats (7 U.S.C. 3352).
    (clxxvi) Administer programs for distance education grants and 
resident instruction grants to eligible institutions in insular areas 
that have demonstrable capacity to carry out teaching and extension 
programs in the food and agricultural sciences (7 U.S.C. 3361-3363).
    (clxxvii) [Reserved]
    (clxxviii) Administer a program of cooperative research (including 
through competitive award of grants and cooperative agreements to 
colleges and universities) and extension projects on carbon cycling in 
soils and plants, the exchange of other greenhouse gases from 
agriculture, and the carbon sequestration benefits of conservation 
practices (7 U.S.C. 6711).
    (clxxix) [Reserved]
    (clxxx) Administer a program of grants to the Girl Scouts of the 
United States of America, the Boy Scouts of America, the National 4-H 
Council, and the National FFA Organization to establish pilot projects 
to expand the programs carried out by the organizations in rural areas 
and small towns (7 U.S.C. 7630).
    (clxxxi) Oversee implementation of the termination of Federal 
schedule A civil service appointments of State agricultural extension 
employees at land-grant colleges and universities (section 7220 of Pub. 
L. 107-171).
    (clxxxii) Administer a program of grants to the Food and 
Agricultural Policy Research Institute (section 10805 of Pub. L. 107-
171).
    (clxxxiii) Administer grants to assist the land-grant university in 
the District of Columbia to acquire, alter, or repair facilities or 
relevant equipment necessary for conducting agricultural research (7 
U.S.C. 3222b-1).
    (clxxxiv) Administer grants to assist the land-grant colleges and 
universities in insular areas to acquire, alter, or repair facilities or 
relevant equipment necessary for conducting agricultural research; and 
to support tropical and subtropical agricultural research, including 
pest and disease research (7 U.S.C. 3222b-2).
    (clxxxv) Enter into agreements necessary to administer an Hispanic-
Serving Agricultural Colleges and Universities Fund; enter into 
agreements necessary to administer a program of making annual payments 
to Hispanic-serving agricultural colleges and universities; administer 
an institutional capacity-building grants program for Hispanic-serving 
agricultural colleges and universities; administer a competitive grants 
program to fund fundamental and applied research and extension at 
Hispanic-serving agricultural colleges and universities and to award 
competitive grants to Hispanic-serving agricultural colleges and 
universities

[[Page 201]]

to provide for training in the food and agricultural sciences of 
Hispanic agricultural workers and Hispanic youth working in the food and 
agricultural sciences (7 U.S.C. 3243).
    (clxxxvi) Administer the New Era Rural Technology Program to make 
grants for technology development, applied research, and training to aid 
in the development of an agriculture-based renewable energy workforce (7 
U.S.C. 3319e).
    (clxxxvii) Administer a competitive grants program to assist NLGCA 
Institutions in maintaining and expanding capacity to conduct education, 
research, and outreach activities relating to agriculture, renewable 
resources, and other similar disciplines (7 U.S.C. 3319i).
    (clxxxviii) [Reserved]
    (clxxxix) Administer a competitive research and extension grants 
program to improve the farm management knowledge and skills of 
agricultural producers and establish and maintain a national, publicly 
available farm financial management database to support improved farm 
management (7 U.S.C. 5925f).
    (cxc) Administer the Specialty Crop Research Initiative (7 U.S.C. 
7632).
    (cxci) Exchange, sell, or otherwise dispose of animals, animal 
products, plants, and plant products, and use the sale or other proceeds 
to acquire such items or to offset costs related to the maintenance, 
care, or feeding of such items (7 U.S.C. 2241a).
    (cxcii) Establish and administer a pilot program at the Beltsville 
Agricultural Research Center and National Agricultural Library to lease 
nonexcess property (7 U.S.C. 3125a note).
    (cxciii) Lease land at the Grazinglands Research Laboratory at El 
Reno, Oklahoma, pursuant to section 7503 of the Food, Conservation, and 
Energy Act of 2008 (Pub. L. 110-246).
    (cxciv) Administer a competitive research and education grants 
program relating to antibiotics and antibiotic-resistant bacteria (7 
U.S.C. 3202).
    (cxcv) Administer a competitive grants program to establish and 
maintain a Farm and Ranch Stress Assistance Network (7 U.S.C. 5936).
    (cxcvi) [Reserved]
    (cxcvii) Administer a natural products research program (7 U.S.C. 
5937).
    (cxcviii) Administer a Sun Grants Program (7 U.S.C. 8114).
    (cxcix) [Reserved]
    (cc) [Reserved]
    (cci) Administer the Biomass Research and Development Initiative (7 
U.S.C. 8108(e)); consult and coordinate, as appropriate, with the Under 
Secretary for RD and other mission areas of the Department as deemed 
necessary in carrying the authorities delegated herein; serve as the 
designated point of contact referenced in 7 U.S.C. 8108 for the 
Department for purposes of administering the Biomass Research and 
Development Initiative.
    (ccii) Administer a competitive grants program to encourage basic 
and applied research and the development of qualified agricultural 
countermeasures (7 U.S.C. 8921).
    (cciii) Administer a competitive grants program to promote the 
development of teaching programs in agriculture, veterinary medicine, 
and disciplines closely allied to the food and agriculture system to 
increase the number of trained individuals with an expertise in 
agricultural biosecurity (7 U.S.C. 8922).
    (cciv) Administer a program of providing grants to Alaska Native 
serving institutions and Native Hawaiian serving institutions for the 
purpose of promoting and strengthening the ability of those institutions 
to carry out education, applied research, and related community 
development programs (7 U.S.C. 3156).
    (ccv) Administer a competitive grant program for national food 
safety training, education, extension, outreach, and technical 
assistance (7 U.S.C. 7625).
    (ccvi) Administer a food insecurity nutrition incentive program (7 
U.S.C. 7517).
    (ccvii) Administer a food and agriculture service learning grant 
program (7 U.S.C. 7633).
    (ccviii) Administer a veterinary services grant program (7 U.S.C. 
3151b).
    (ccix) Enter into grants, contracts, cooperative agreements, or 
other legal instruments with former Department of Agriculture 
agricultural research facilities (7 U.S.C. 3315(b)).

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    (ccx) Administer a forestry and forestry products research and 
extension initiative (7 U.S.C. 7655b).
    (ccxi) Submit to Congress an annual report describing agricultural 
research, extension, and education activities carried out by the Federal 
Government (7 U.S.C. 7614c(f)).
    (ccxii) Enter into cooperative agreements with institutions of 
higher education regarding the dissemination of agricultural and food 
law research, legal tools, and information (7 U.S.C. 3125a-1).
    (ccxiii) Consult with the Foundation for Food and Agriculture 
Research regarding the identification of existing and proposed Federal 
intramural and extramural research and development programs relating to 
the purposes of the Foundation and the coordination of Foundation 
activities with those programs for the purpose of minimizing duplication 
of existing efforts and avoiding conflicts (7 U.S.C. 5939(d)(1)(B)).
    (2) Related to committee management. Establish or reestablish 
regional, state and local advisory committees for the activities 
authorized. This authority may not be redelegated.
    (3) Related to defense and emergency preparedness. Administer the 
responsibilities and functions assigned under the Defense Production Act 
of 1950, as amended (50 U.S.C. App. 2061 et seq.), and title VI of the 
Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 
U.S.C. 5195 et seq.), concerning scientific and educational programs; 
estimates of supplies of agricultural commodities and evaluation of 
requirements therefor; coordination of damage assessment; food and 
agricultural aspects of economic stabilization, economic research, and 
agricultural statistics; and the coordination of energy programs.
    (4) Related to rural development activities. Provide guidance and 
direction for the accomplishment of activities authorized under Section 
V of the Rural Development Act of 1972, as amended (7 U.S.C. 2661 et 
seq.), for programs under the control of the Under Secretary for 
Research, Education, and Economics, coordinating the policy aspects 
thereof with the Under Secretary for Rural Development.
    (5) Related to environmental response. With respect to land and 
facilities under his or her authority, exercise the functions delegated 
to the Secretary by Executive Order 12580, 3 CFR, 1987 Comp., p. 193, 
under the following provisions of the Comprehensive Environmental 
Response, Compensation, and Liability Act of 1980 (``the Act''), as 
amended:
    (i) Sections 104 (a), (b), and (c)(4) of the Act (42 U.S.C. 9604 
(a), (b), and (c)(4)), with respect to removal and remedial actions in 
the event of release or threatened release of a hazardous substance, 
pollutant, or contaminant into the environment;
    (ii) Sections 104(e)-(h) of the Act (42 U.S.C. 9604(e)-(h)), with 
respect to information gathering and access requests and orders; 
compliance with Federal health and safety standards and wage and labor 
standards applicable to covered work; and emergency procurement powers;
    (iii) Section 104(i)(11) of the Act (42 U.S.C. 9604(i)(11)), with 
respect to the reduction of exposure to significant risk to human 
health;
    (iv) Section 104(j) of the Act (42 U.S.C. 9604(j)), with respect to 
the acquisition of real property and interests in real property required 
to conduct a remedial action;
    (v) The first two sentences of section 105(d) of the Act (42 U.S.C. 
9605(d)), with respect to petitions for preliminary assessment of a 
release or threatened release;
    (vi) Section 105(f) of the Act (42 U.S.C. 9605(f)), with respect to 
consideration of the availability of qualified minority firms in 
awarding contracts, but excluding that portion of section 105(f) 
pertaining to the annual report to Congress;
    (vii) Section 109 of the Act (42 U.S.C. 9609), with respect to the 
assessment of civil penalties for violations of section 122 of the Act 
(42 U.S.C. 9622), and the granting of awards to individuals providing 
information;
    (viii) Section 111(f) of the Act (42 U.S.C. 9611(f)), with respect 
to the designation of officials who may obligate money in the Hazardous 
Substances Superfund;

[[Page 203]]

    (ix) Section 113(k) of the Act (42 U.S.C. 9613(k)), with respect to 
establishing an administrative record upon which to base the selection 
of a response action and identifying and notifying potentially 
responsible parties;
    (x) Section 116(a) of the Act (42 U.S.C. 9616(a)), with respect to 
preliminary assessment and site inspection of facilities;
    (xi) Sections 117 (a) and (c) of the Act (42 U.S.C. 9617 (a) and 
(c)), with respect to public participation in the preparation of any 
plan for remedial action and explanation of variances from the final 
remedial action plan for any remedial action or enforcement action, 
including any settlement or consent decree entered into;
    (xii) Section 119 of the Act (42 U.S.C. 9119), with respect to 
indemnifying response action contractors;
    (xiii) Section 121 of the Act (42 U.S.C. 9621), with respect to 
cleanup standards; and
    (xiv) Section 122 of the Act (42 U.S.C. 9622), with respect to 
settlements, but excluding section 122(b)(1) of the Act (42 U.S.C. 
9622(b)(1)), related to mixed funding agreements.
    (6) Related to compliance with environmental laws. With respect to 
facilities and activities under his or her authority, to exercise the 
authority of the Secretary of Agriculture pursuant to section 1-102 
related to compliance with applicable pollution control standards and 
section 1-601 of Executive Order 12088, 3 CFR, 1978 Comp., p. 243, to 
enter into an inter-agency agreement with the United States 
Environmental Protection Agency, or an administrative consent order or a 
consent judgment in an appropriate State, interstate, or local agency, 
containing a plan and schedule to achieve and maintain compliance with 
applicable pollution control standards established pursuant to the 
following:
    (i) Solid Waste Disposal Act, as amended by the Resource 
Conservation and Recovery Act, as further amended by the Hazardous and 
Solid Waste Amendments, and the Federal Facility Compliance Act (42 
U.S.C. 6901 et seq.);
    (ii) Federal Water Pollution Prevention and Control Act, as amended 
(33 U.S.C. 1251 et seq.);
    (iii) Safe Drinking Water Act, as amended (42 U.S.C. 300f et seq.);
    (iv) Clean Air Act, as amended (42 U.S.C. 7401 et seq.);
    (v) Noise Control Act of 1972, as amended (42 U.S.C. 4901 et seq.);
    (vi) Toxic Substances Control Act, as amended (15 U.S.C. 2601 et 
seq.);
    (vii) Federal Insecticide, Fungicide, and Rodenticide Act, as 
amended (7 U.S.C. 136 et seq.); and
    (viii) Comprehensive Environmental Response, Compensation, and 
Liability Act of 1980, as amended by the Superfund Amendments and 
Reauthorization Act of 1986 (42 U.S.C. 9601 et seq.).
    (7) Related to national food and human nutrition research. (i) 
Administer a National Food and Human Nutrition Research Program under 
the National Agricultural Research, Extension, and Teaching Policy Act 
of 1977, as amended. As used herein the term ``research'' includes:
    (A) Research on the nutrient composition of foods and the effects of 
agricultural practices, handling, food processing, and cooking on the 
nutrients they contain;
    (B) Surveillance of the nutritional benefits provided to 
participants in the food programs administered by the Department; and
    (C) Research on the factors affecting food preference and habits (7 
U.S.C. 3171-3173, 3175).
    (ii) The authority in paragraph (a)(7)(i) of this section includes 
the authority to:
    (A) Appraise the nutritive content of the U.S. food supply;
    (B) Develop and make available data on the nutrient composition of 
foods needed by Federal, State, and local agencies administering food 
and nutrition programs, and the general public, to improve the 
nutritional quality of diets;
    (C) Coordinate nutrition education research projects within the 
Department; and
    (D) Maintain data generated on food composition in a National 
Nutrient Data Bank.
    (iii) Conduct, in cooperation with the Department of Health and 
Human Services, the National Nutrition Monitoring and Related Research 
Program.

[[Page 204]]

Included in this delegation is the authority to:
    (A) Design and carry out periodic nationwide food consumption 
surveys to measure household food consumption;
    (B) Design and carry out a continuous, longitudinal individual 
intake survey of the United States population and special high-risk 
groups; and
    (C) Design and carry out methodological research studies to develop 
improved procedures for collecting household and individual food intake 
consumption data;
    (iv) [Reserved]
    (v) Co-chair with the Assistant Secretary for Health, Department of 
Health and Human Services, the Interagency Board for Nutrition 
Monitoring and Related Research for the development and coordination of 
a Ten-Year Comprehensive Plan as required by Pub. L. No. 101-445, 7 
U.S.C. 5301 et seq.
    (8) Related to economic research and statistical reporting. (i) 
Conduct economic research on matters of importance to cooperatives as 
authorized by the Agricultural Marketing Act of 1946 (7 U.S.C. 1621-
1627).
    (ii) Conduct economic and social science research and analyses 
relating to:
    (A) Food and agriculture situation and outlook;
    (B) The production, marketing, and distribution of food and fiber 
products (excluding forest and forest products), including studies of 
the performance of the food and agricultural sector of the economy in 
meeting needs and wants of consumers;
    (C) Basic and long-range, worldwide, economic analyses and research 
on supply, demand, and trade in food and fiber products and the effects 
on the U.S. food and agriculture system, including general economic 
analyses of the international financial and monetary aspects of 
agricultural affairs;
    (D) Natural resources, including studies of the use and management 
of land and water resources, the quality of these resources, resource 
institutions, and watershed and river basin development problems; and
    (E) Rural people and communities, as authorized by title II of the 
Agricultural Marketing Act of 1946, as amended (7 U.S.C. 1621-1627), and 
the Act of June 29, 1935, as amended (7 U.S.C. 427).
    (iii) [Reserved]
    (iv) Prepare crop and livestock estimates and administer reporting 
programs, including estimates of production, supply, price, and other 
aspects of the U.S. agricultural economy, collection of statistics, 
conduct of enumerative and objective measurement surveys, construction 
and maintenance of sampling frames, and related activities. Prepare 
reports of the Agricultural Statistics Board covering official state and 
national estimates (7 U.S.C. 476, 951, and 2204).
    (v) Take such security precautions as are necessary to prevent 
disclosure of crop or livestock report information prior to the 
scheduled issuance time approved in advance by the Secretary of 
Agriculture and take such actions as are necessary to avoid disclosure 
of confidential data or information supplied by any person, firm, 
partnership, corporation, or association (18 U.S.C. 1902, 1903, and 
2072).
    (vi) Improve statistics in the Department; maintain liaison with OMB 
and other Federal agencies for coordination of statistical methods and 
techniques.
    (vii) Investigate and make findings as to the effect upon the 
production of food and upon the agricultural economy of any proposed 
action pending before the Administrator of the Environmental Protection 
Agency for presentation in the public interest, before said 
Administrator, other agencies, or before the courts.
    (viii) Review economic data and analyses used in speeches by 
Department personnel and in materials prepared for release through the 
press, radio, and television.
    (ix) Coordinate all economic analysis and review all decisions 
involving substantial economic policy implications.
    (x) Cooperate and work with national and international institutions 
and other persons throughout the world in the performance of 
agricultural research and extension activities to promote and support 
the development of a viable and sustainable global and agricultural 
system. Such work may be carried out by:

[[Page 205]]

    (A) Exchanging research materials and results with the institutions 
or persons;
    (B) Engaging in joint or coordinated research;
    (C) Entering into cooperative arrangements with Departments and 
Ministries of Agriculture in other nations to conduct research, 
extension; and education activities (limited to arrangements either 
involving no exchange of funds or involving disbursements by the agency 
to the institutions of other nations), and then reporting these 
arrangements to the Secretary of Agriculture;
    (D) Stationing representatives at such institutions or organizations 
in foreign countries; or
    (E) Entering into agreements with land-grant colleges and 
universities, other organizations, institutions, or individuals with 
comparable goals, and with the concurrence of the Foreign Agricultural 
Service, USDA, international organizations (limited to agreements either 
involving no exchange of funds or involving disbursements by the agency 
to the cooperator), and then reporting these agreements to the Secretary 
of Agriculture (7 U.S.C. 3291(a)).
    (xi) [Reserved]
    (xii) Enter into contracts, grants, or cooperative agreements to 
further research and statistical reporting programs in the food and 
agricultural sciences (7 U.S.C. 3318).
    (xiii) Enter into cost-reimbursable agreements relating to 
agricultural research and statistical reporting (7 U.S.C. 3319a).
    (xiv) Conduct surveys and analysis and publish reports relating to 
organic production, handling, distribution, retail, and trend studies 
(including consumer purchasing patterns); develop surveys and report 
statistical analysis on organically produced agricultural products (7 
U.S.C. 5925c).
    (xv) Assist the Under Secretary for Marketing and Regulatory 
Programs with respect to Dairy Product Mandatory Reporting (7 U.S.C. 
1637-1637b).
    (xvi) Include in each issuance of projections of net farm income an 
estimate of the net farm income earned by commercial producers in the 
United States that will in addition show the estimate of net farm income 
attributable to commercial producers of livestock, loan commodities, and 
agricultural commodities other than loan commodities (7 U.S.C. 7998).
    (xvii) Ensure that studies carried out by the Economic Research 
Service document the number, location, and economic contributions of 
socially disadvantaged farmers or ranchers in agricultural production (7 
U.S.C. 2279(h)).
    (xviii) Coordinate implementation of section 10016 of the 
Agricultural Act of 2014 regarding locally or regionally produced 
agricultural food products (7 U.S.C. 2204h).
    (9) Related to immigration. Serve as the designee of the Secretary 
pursuant to Section 212(e) of the Immigration and Nationality Act, as 
amended, 8 U.S.C. 1182(e) and 22 CFR 41.63(2)(3).
    (10) Related to hazardous materials management. (i) Serve on the 
USDA Hazardous Materials Policy Council.
    (ii) Recommend actions and policies that enable USDA agencies under 
his or her authority to comply with the intent, purposes, and standards 
of environmental laws for pollution prevention, control, and abatement.
    (iii) Consult with the United States Environmental Protection Agency 
and other appropriate Federal agencies in developing pollution 
prevention, control, and abatement policies and programs relating to 
agencies under his or her authority.
    (11) Related to scientific integrity. (i) Provide to the Secretary 
information on topics that can benefit from scientific input to ensure 
informed decision-making at the highest levels of Government.
    (ii) Facilitate the coordination and collaboration within the 
Department on high priority science issues that will benefit from intra-
Departmental collaboration, including coordinating the assessment of the 
relevance, quality, performance, and impact of the Department's efforts 
in science.
    (iii) Build partnerships within the scientific community by serving 
as a point of contact for interactions with other agencies of science, 
universities, and other external members of the scientific community for 
the purpose of leveraging and promoting relationships

[[Page 206]]

to explore common scientific interests and shared goals.
    (iv) Develop mechanisms to address scientific integrity within the 
Department.
    (v) Serve as Chair of the USDA Science Council.
    (12) Related to coordination of agricultural research, education, 
and extension programs and activities. Coordinate the agricultural 
research, education, and extension activities of the Department pursuant 
to sections 251(c)(2) and 251(d)(2) of the Department of Agriculture 
Reorganization Act of 1994 (7 U.S.C. 6971(c)(2), (d)(2)).
    (13) Carry out prize competition authorities in section 24 of the 
Stevenson-Wydler Technology Innovation Act of 1980 (15 U.S.C. 3719) 
related to functions otherwise delegated to the Under Secretary for 
Research, Education, and Economics, except for authorities delegated to 
the Chief Financial Officer in Sec.  2.28(a)(29) and authorities 
reserved to the Secretary in paragraph (b)(3) of this section.
    (b) The following authorities are reserved to the Secretary of 
Agriculture:
    (1) Related to science and education.
    (i)-(iii) [Reserved]
    (iv) Final concurrence in Equal Employment Opportunity Programs 
within the cooperative extension programs submitted under part 18 of 
this title.
    (2) Related to economic research and statistical reporting.
    (i) Final approval and issuance of the crop and livestock reports.
    (ii) Final action on rules and regulations for the agricultural 
statistics board.
    (3) Approval of prize competitions that may result in the award of 
more than $1,000,000 in cash prizes under section 24(m)(4)(B) of the 
Stevenson-Wydler Technology Innovation Act of 1980 (15 U.S.C. 
3719(m)(4)(B)).

[60 FR 56393, Nov. 8, 1995]

    Editorial Note: For Federal Register citations affecting Sec.  2.21, 
see the List of CFR Sections Affected, which appears in the Finding Aids 
section of the printed volume and at www.fdsys.gov.



Sec.  2.22  Under Secretary for Marketing and Regulatory Programs.

    (a) The following delegations of authority are made by the Secretary 
to the Under Secretary for Marketing and Regulatory Programs:
    (1) Related to agricultural marketing. (i) Exercise the functions of 
the Secretary of Agriculture contained in the Agricultural Marketing Act 
of 1946, as amended (7 U.S.C. 1621-1627b), including payments to State 
Departments of Agriculture in connection with cooperative marketing 
service projects under section 204(b) (7 U.S.C. 1623(b)), but excepting 
matters otherwise assigned.
    (ii) Conduct marketing efficiency research and development 
activities directly applicable to the conduct of the Wholesale Market 
Development Program, specifically:
    (A) Studies of facilities and methods used in physical distribution 
of food and other farm products;
    (B) Studies designed to improve handling of all agricultural 
products as they are moved from farms to consumers; and
    (C) Application of presently available scientific knowledge to the 
solution of practical problems encountered in the marketing of 
agricultural products (7 U.S.C. 1621-1627b).
    (iii) Exercise the functions of the Secretary of Agriculture 
relating to the transportation activities contained in section 203(j) of 
the Agricultural Marketing Act of 1946 (7 U.S.C. 1622(j)) as amended, 
but excepting matters otherwise assigned.
    (iv) Administer transportation activities under section 201 of the 
Agricultural Adjustment Act of 1938 (7 U.S.C. 1291).
    (v) Apply results of economic research and operations analysis to 
evaluate transportation issues and to recommend revisions of current 
procedures.
    (vi) Serve as the focal point for all Department transportation 
matters including development of policies and strategies.
    (vii) Cooperate with other Departmental agencies in the development 
and recommendation of policies for inland transportation of USDA and 
CCC-owned commodities in connection with USDA programs.
    (viii) Exercise the functions of the Secretary of Agriculture with 
respect to the following legislation:

[[Page 207]]

    (A) U.S. Cotton Standards Act (7 U.S.C. 51-65);
    (B) Cotton futures provisions of the Internal Revenue Code of 1954 
(26 U.S.C. 4854, 4862-4865, 4876, and 7263);
    (C) Cotton Statistics and Estimates Act, as amended (7 U.S.C. 471-
476), except as otherwise assigned;
    (D) Naval Stores Act (7 U.S.C. 91-99);
    (E) Tobacco Inspection Act (7 U.S.C. 511-511q);
    (F) Wool Standard Act (7 U.S.C. 415b-415d);
    (G) Agricultural Marketing Agreement Act of 1937, as amended (7 
U.S.C. 601, 602, 608a-608e, 610, 612, 614, 624, 671-674);
    (H) Cotton Research and Promotion Act (7 U.S.C. 2101-2118), except 
as delegated to the Under Secretary for Farm and Foreign Agricultural 
Services in Sec.  2.16(a)(3)(x);
    (I) Export Apple and Pear Act (7 U.S.C. 581-590);
    (J) Export Grape and Plum Act (7 U.S.C. 591-599);
    (K) Titles I, II, IV, and V of the Federal Seed Act, as amended (7 
U.S.C. 1551-1575, 1591-1611);
    (L) Perishable Agricultural Commodities Act (7 U.S.C. 499a-499s);
    (M) Produce Agency Act (7 U.S.C. 491-497);
    (N) Tobacco Seed and Plant Exportation Act (7 U.S.C. 516-517);
    (O) Tobacco Statistics Act (7 U.S.C. 501-508);
    (P) Section 401(a) of the Organic Act of 1944 (7 U.S.C. 415e);
    (Q) Agricultural Fair Practices Act (7 U.S.C. 2301-2306);
    (R) Wheat Research and Promotion Act (7 U.S.C. 1292 note), except as 
delegated to the Under Secretary for Farm and Foreign Agricultural 
Services in Sec.  2.16(a)(3)(x);
    (S) Plant Variety Protection Act (7 U.S.C. 2321-2331, 2351-2357, 
2371-2372, 2401-2404, 2421-2427, 2441-2443, 2461-2463, 2481-2486, 2501-
2504, 2531-2532, 2541-2545, 2561-2569, 2581-2583), except as delegated 
to the Judicial Officer;
    (T) Subtitle B of title I and section 301(4) of the Dairy and 
Tobacco Adjustment Act of 1983 (7 U.S.C. 4501-4513, 4514(4)), except as 
delegated to the Under Secretary for Farm and Foreign Agricultural 
Services in Sec.  2.16(a)(3)(x);
    (U) Potato Research and Promotion Act (7 U.S.C. 2611-2627), except 
as delegated to the Under Secretary for Farm and Foreign Agricultural 
Services in Sec.  2.16(a)(3)(x);
    (V) [Reserved]
    (W) Egg Research and Consumer Information Act (7 U.S.C. 2701-2718), 
except as delegated to the Under Secretary for Farm and Foreign 
Agricultural Services in Sec.  2.16(a)(3)(x);
    (X) Beef Research and Information Act, as amended (7 U.S.C. 2901-
2918), except as delegated to the Under Secretary for Farm and Foreign 
Agricultural Services in Sec. Sec.  2.16(a)(1)(xiv) and (a)(3)(x);
    (Y) Wheat and Wheat Foods Research and Nutrition Education Act (7 
U.S.C. 3401-3417), except as delegated to the Under Secretary for Farm 
and Foreign Agricultural Services in
    Sec.  2.16(a)(3)(x);
    (Z) Egg Products Inspection Act relating to the Shell Egg 
Surveillance Program, voluntary laboratory analyses of egg products, and 
the Voluntary Egg Grading Program (21 U.S.C. 1031-1056);
    (AA) Section 32 of the Act of August 24, 1935 (7 U.S.C. 612c), as 
supplemented by the Act of June 28, 1937 (15 U.S.C. 713c), and related 
legislation, except functions which are otherwise assigned relating to 
the domestic distribution and donation of agricultural commodities and 
products thereof following the procurement thereof;
    (BB) Procurement of agricultural commodities and other foods under 
section 6 of the National School Lunch Act of 1946, as amended (42 
U.S.C. 1755);
    (CC) In carrying out the procurement functions in paragraphs 
(a)(1)(viii)(AA) and (BB) of this section, the Assistant Secretary for 
Marketing and Regulatory Programs shall, to the extent practicable, use 
the commodity procurement, handling, payment and related services of the 
Farm Service Agency;
    (DD) Act of May 23, 1980, regarding inspection of dairy products for 
export (21 U.S.C. 693);
    (EE) The Pork Promotion, Research and Consumer Information Act of 
1985 (7 U.S.C. 4801-4819), except as delegated to the Under Secretary 
for Farm and

[[Page 208]]

Foreign Agricultural Services in Sec.  2.16(a)(3)(x);
    (FF) The Watermelon Research and Promotion Act (7 U.S.C. 4901-4916), 
except as delegated to the Under Secretary for Farm and Foreign 
Agricultural Services in Sec.  2.16(a)(3)(x);
    (GG) The Honey Research, Promotion, and Consumer Information Act (7 
U.S.C. 4601-4612), except as delegated to the Under Secretary for Farm 
and Foreign Agricultural Services in Sec.  2.16(a)(3)(x);
    (HH) Subtitles B and C of the Dairy Production Stabilization Act of 
1983, as amended (7 U.S.C. 4501-4513, 4531-4538);
    (II) The Floral Research and Consumer Information Act (7 U.S.C. 
4301-4319), except as delegated to the Under Secretary for Farm and 
Foreign Agricultural Services in Sec.  2.16(a)(3)(x);
    (JJ) Section 213 of the Tobacco Adjustment Act of 1983, as amended 
(7 U.S.C. 511r);
    (KK) National Laboratory Accreditation Program (7 U.S.C. 138-138i) 
with respect to laboratories accredited for pesticide residue analysis 
in fruits and vegetables and other agricultural commodities, except 
those laboratories analyzing only meat and poultry products;
    (LL) Pecan Promotion and Research Act of 1990 (7 U.S.C. 6001-6013), 
except as delegated to the Under Secretary for Farm and Foreign 
Agricultural Services in Sec.  2.16(a)(3)(x);
    (MM) Mushroom Promotion, Research, and Consumer Information Act of 
1990 (7 U.S.C. 6101-6112), except as delegated to the Under Secretary 
for Farm and Foreign Agricultural Services in Sec.  2.16(a)(3)(x);
    (NN) Lime Research, Promotion, Research, and Consumer Information 
Act of 1990 (7 U.S.C. 6201-6212), except as delegated to the Under 
Secretary for Farm and Foreign Agricultural Services in Sec.  
2.16(a)(3)(x);
    (OO) Soybean Promotion, Research, and Consumer Information Act (7 
U.S.C. 6301-6311), except as delegated to the Under Secretary for Farm 
and Foreign Agricultural Services in Sec.  2.16(a)(3)(x);
    (PP) Fluid Milk Promotion Act of 1990 (7 U.S.C. 6401-6417), except 
as delegated to the Under Secretary for Farm and Foreign Agricultural 
Services in Sec.  2.16(a)(3)(x);
    (QQ) Producer Research and Promotion Board Accountability (104 Stat. 
3927);
    (RR) Consistency with International Obligations of the United States 
(7 U.S.C. 2278);
    (SS) Organic Foods Production Act of 1990 (7 U.S.C. 6501-6522), 
provided that the Administrator, Agricultural Marketing Service, will 
enter into agreements, as necessary, with the Administrator, Food Safety 
and Inspection Service, to provide inspection services;
    (TT) Pesticide Recordkeeping (7 U.S.C. 136i-1) with the provision 
that the Administrator, Agricultural Marketing Service, will enter into 
agreements, as necessary, with other Federal agencies;
    (UU) The International Carriage of Perishable Foodstuffs Act (7 
U.S.C. 4401-4406);
    (VV) The Sheep Promotion, Research, and Information Act (7 U.S.C. 
7101-7111), except as delegated to the Under Secretary for Farm and 
Foreign Agricultural Services in Sec.  2.16(a)(3)(x); and
    (WW) The Fresh Cut Flowers and Fresh Cut Greens Promotion and 
Consumer Information Act (7 U.S.C. 6801-6814), except as delegated to 
the Under Secretary for Farm and Foreign Agricultural Services in Sec.  
2.16(a)(3)(x).
    (XX) Commodity Promotion and Evaluation (7 U.S.C. 7401);
    (YY) The Commodity Promotion, Research, and Information Act of 1996 
(7 U.S.C. 7411-7425), except as delegated to the Under Secretary for 
Farm and Foreign Agricultural Services in Sec.  2.16(a)(3)(x);
    (ZZ) The Canola and Rapeseed Research, Promotion, and Consumer 
Information Act (7 U.S.C. 7441-7452), except as delegated to the Under 
Secretary for Farm and Foreign Agricultural Services in Sec.  
2.16(a)(3)(x);
    (AAA) The National Kiwifruit Research, Promotion, and Consumer 
Information Act (7 U.S.C. 7461-7473), except as delegated to the Under 
Secretary for Farm and Foreign Agricultural Services in Sec.  
2.16(a)(3)(x);
    (BBB) The Popcorn Promotion, Research, and Consumer Information Act 
(7 U.S.C. 7481-7491), except as delegated

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to the Under Secretary for Farm and Foreign Agricultural Services in 
Sec.  2.16(a)(3)(x).
    (CCC) Farmers' Market Promotion Program (7 U.S.C. 3005).
    (DDD) National Organic Certification Cost-Share Program (7 U.S.C. 
6523).
    (EEE) Exemption of Certified Organic Products from Assessment (7 
U.S.C. 7401).
    (FFF) Country of Origin Labeling (7 U.S.C. 1638-1638(d)).
    (GGG) Hass Avocado Promotion, Research, and Consumer Information Act 
of 2000 (7 U.S.C. 7801-7813).
    (HHH) Section 7407 of the Farm Security and Rural Investment Act of 
2002 (7 U.S.C. 5925c), with respect to the collection and distribution 
of comprehensive reporting of prices relating to organically produced 
agricultural products.
    (III) Livestock Mandatory Reporting (7 U.S.C. 1635-1636i).
    (JJJ) Section 375 of the Consolidated Farm and Rural Development Act 
(7 U.S.C. 2008j).
    (KKK) Section 101 of the Specialty Crops Competitiveness Act of 2004 
(7 U.S.C. 1621 note).
    (LLL) Section 1502 of the Food, Conservation, and Energy Act of 2008 
(7 U.S.C. 8772).
    (MMM) [Reserved]
    (NNN) Section 10105 of the Food, Conservation, and Energy Act of 
2008 (7 U.S.C. 7655a).
    (OOO) Section 10107 of the Food, Conservation, and Energy Act of 
2008 (7 U.S.C. 1622b).
    (PPP) [Reserved]
    (QQQ) Section 4213(c) of the Agricultural Act of 2014 (7 U.S.C. 
1755b(c)).
    (RRR) Section 12306 of the Agricultural Act of 2014 (7 U.S.C. 
1632c).
    (SSS) Section 506 of the Trade and Development Act of 2000 (7 U.S.C. 
7101 note).
    (ix) Furnish, on request, copies of programs, pamphlets, reports, or 
other publications for missions or programs as may otherwise be 
delegated or assigned to the Assistant Secretary for Marketing and 
Regulatory Programs, and charge user fees therefor, as authorized by 
section 1121 of the Agriculture and Food Act of 1981, as amended by 
section 1769 of the Food Security Act of 1985, 7 U.S.C. 2242a.
    (x) Collect, summarize, and publish data on the production, 
distribution, and stocks of sugar.
    (xi) Administer a program for Dairy Product Mandatory Reporting (7 
U.S.C. 1637-1637b), with the assistance of the Under Secretary for 
Research, Education, and Economics.
    (xii) Assist the Under Secretary for Farm and Foreign Agricultural 
Services with implementing section 3205 of the Food, Conservation, and 
Energy Act of 2008 (22 U.S.C. 7112 note) regarding the Consultative 
Group to Eliminate the Use of Child Labor and Forced Labor in Imported 
Agricultural Products.
    (xiii) Assist the Under Secretary for Research, Education, and 
Economics with implementing section 10016 of the Agricultural Act of 
2014 regarding locally or regionally produced agricultural food products 
(7 U.S.C. 2204h).
    (2) Related to animal and plant health inspection. Exercise the 
functions of the Secretary of Agriculture under the following 
authorities:
    (i) Administer the Foreign Service personnel system for employees of 
the Animal and Plant Health Inspection Service in accordance with 22 
U.S.C. 3922, except that this delegation does not include the authority 
to represent the Department of Agriculture in interagency consultations 
and negotiations with other foreign affairs agencies regarding joint 
regulations, nor the authority to approve joint regulations issued by 
the Department of State relating to administration of the Foreign 
Service;
    (ii) The Terminal Inspection Act, as amended (7 U.S.C. 166);
    (iii) The Honeybee Act, as amended (7 U.S.C. 281-286);
    (iv) Section 18 of the Federal Meat Inspection Act, as amended, as 
it pertains to the issuance of certificates of condition of live animals 
intended and offered for export (21 U.S.C. 618);
    (v) The responsibilities of the United States under the 
International Plant Protection Convention;
    (vi) (Laboratory) Animal Welfare Act, as amended (7 U.S.C. 2131-
2159);
    (vii) Horse Protection Act (15 U.S.C. 1821-1831);
    (viii) 28 Hour Law, as amended (49 U.S.C. 80502);

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    (ix) Export Animal Accommodation Act, as amended (46 U.S.C. 3901-
3902);
    (x) Purebred Animal Duty Free Entry Provisions of Tariff Act of June 
17, 1930, as amended (19 U.S.C. 1202, part 1, Item 100.01);
    (xi) Virus-Serum-Toxin Act (21 U.S.C. 151-159).
    (xii) Conduct diagnostic and related activities necessary to 
prevent, detect, control or eradicate foot-and-mouth disease and other 
foreign animal diseases (21 U.S.C. 113a);
    (xiii) The Agricultural Marketing Act of 1946, sections 203, 205, as 
amended (7 U.S.C. 1622, 1624), with respect to voluntary inspection and 
certification of animal products; inspection, testing, treatment, and 
certification of animals; and a program to investigate and develop 
solutions to the problems resulting from the use of sulfonamides in 
swine;
    (xiv) Talmadge Aiken Act (7 U.S.C. 450) with respect to cooperation 
with States in control and eradication of plant and animal diseases and 
pests;
    (xv) The Federal Noxious Weed Act of 1974, as amended (7 U.S.C. 2801 
note; 2814).
    (xvi) The Endangered Species Act of 1973 (16 U.S.C. 1531-1544);
    (xvii) Executive Order 11987, 3 CFR, 1977 Comp., p. 116;
    (xviii) Section 101(d), Organic Act of 1944 (7 U.S.C. 430);
    (xix) The Swine Health Protection Act, as amended (7 U.S.C. 3801-
3813);
    (xx) Lacey Act Amendments of 1981, as amended (16 U.S.C. 3371-3378);
    (xxi) Title III (and title IV to the extent that it relates to 
activities under title III,) of the Federal Seed Act, as amended (7 
U.S.C. 1581-1610);
    (xxii) Authority to prescribe the amounts of commuted traveltime 
allowances and the circumstances under which such allowances may be paid 
to employees covered by the Act of August 28, 1950 (7 U.S.C. 2260);
    (xxiii) The Act of March 2, 1931 (7 U.S.C. 426-426b);
    (xxiv) The Act of December 22, 1987 (7 U.S.C. 426c);
    (xxv) Authority to work with developed and transitional countries on 
agricultural and related research and extension, with respect to animal 
and plant health, including providing technical assistance, training, 
and advice to persons from such countries engaged in such activities and 
the stationing of scientists of national and international institutions 
in such countries (7 U.S.C. 3291(a)(3));
    (xxvi) Authority to prescribe and collect fees under the Act of 
August 31, 1951, as amended (31 U.S.C. 9701), and sections 2508 and 2509 
of the Food, Agriculture, Conservation, and Trade Act of 1990 (21 U.S.C. 
136, 136a), as amended;
    (xxvii) The provisions of 35 U.S.C. 156;
    (xxviii) Enter into cooperative research and development agreements 
with industry, universities, and others; institute a cash award program 
to reward scientific, engineering, and technical personnel; award 
royalties to inventors; and retain and use royalty income (15 U.S.C. 
3710a-3710c); and
    (xxix) The Alien Species Prevention and Enforcement Act of 1992 (39 
U.S.C. 3015 note).
    (xxx) Sections 901-905 of the Federal Agriculture Improvement and 
Reform Act of 1996 (7 U.S.C. 1901 note).
    (xxxi) Plant Protection Act (Title IV, Pub. L. 106-224, 114 Stat. 
438, 7 U.S.C. 7701-7772).
    (xxxii) Animal Health Protection Act (7 U.S.C. 8301-8317).
    (xxxiii) Section 10504 of the Farm Security and Rural Investment Act 
of 2002 (7 U.S.C. 8318).
    (xxxiv) Title V of the Agricultural Risk Protection Act of 2000 (7 
U.S.C. 2279e and 2279f).
    (xxxv) The responsibilities of the United States related to 
activities of the Office of International des Epizooties.
    (xxxvi) Implement the information disclosure authorities of section 
1619(b)(3)(A) of the Food, Conservation, and Energy Act of 2008 (7 
U.S.C. 8791(b)(3)(A)).
    (xxxvii) Section 7524 of the Food, Conservation, and Energy Act of 
2008 (21 U.S.C. 113a note), except for the suspension, revocation, or 
other impairment of a permit issued under that section.
    (xxxviii) Section 10202 of the Food, Conservation, and Energy Act of 
2008 (7 U.S.C. 7761).
    (xxxix) Section 10204 of the Food, Conservation, and Energy Act of 
2008 (7 U.S.C. 7701 note).

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    (xl) Section 14216 of the Food, Conservation, and Energy Act of 2008 
(Pub. L. 110-246).
    (xli) Section 1672(g)(3) of the Food, Agriculture, Conservation, and 
Trade Act of 1990 (7 U.S.C. 5925(g)(3)) regarding honey bee pest, 
pathogen, health, and population status surveillance.
    (xlii) Section 12309 of the Agricultural Act of 2014 regarding 
produce represented as grown in the United States (19 U.S.C. 1304a).
    (3) Related to grain inspection, packers and stockyards. (i) 
Exercise the authority of the Secretary of Agriculture contained in the 
U.S. Grain Standards Act, as amended (7 U.S.C. 71-87h).
    (ii) Exercise the functions of the Secretary of Agriculture 
contained in the Agricultural Marketing Act of 1946, as amended (7 
U.S.C. 1621-1627), relating to inspection and standardization activities 
relating to grain.
    (iii) Administer the Packers and Stockyards Act, as amended and 
supplemented (7 U.S.C. 181-229).
    (iv) Enforce provisions of the Consumer Credit Protection Act (15 
U.S.C. 1601-1655, 1681-1681t) with respect to any activities subject to 
the Packers and Stockyards Act, 1921, as amended and supplemented.
    (v) Exercise the functions of the Secretary of Agriculture contained 
in section 1324 of the Food Security Act of 1985 (7 U.S.C. 1631).
    (vi) Administer responsibilities and functions assigned to the 
Secretary in section 11006 of the Food, Conservation, and Energy Act of 
2008 (7 U.S.C. 228 note), with respect to the Packers and Stockyards 
Act, 1921.
    (4) Related to committee management. Establish and reestablish 
regional, State, and local advisory committees for activities under his 
or her authority. This authority may not be redelegated.
    (5) Related to defense and emergency preparedness. (i) Administer 
responsibilities and functions assigned under the Defense Production Act 
of 1950, as amended (50 U.S.C. App. 2061 et seq.), and title VI of the 
Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 
U.S.C. 5195 et seq.), concerning protection of livestock, poultry and 
crops and products thereof from biological and chemical warfare; and 
utilization or disposal of livestock and poultry exposed to radiation.
    (ii) Title II, Subtitles B and C, of the Public Health Security and 
Bioterrorism Preparedness and Response Act of 2002 (7 U.S.C. 8401 note, 
8401, 8411).
    (6) Related to biotechnology. Coordinate the development and 
carrying out by Department agencies of all matters and functions 
pertaining to the Department's regulation of biotechnology, and act as 
liaison on all matters and functions pertaining to the regulation of 
biotechnology between agencies within the Department and between the 
Department and governmental and private organizations. Provided, that 
with respect to biotechnology matters affecting egg products, the 
Assistant Secretary shall consult and coordinate activities of 
Department agencies with the Under Secretary for Food Safety.
    (7) Related to environmental response. With respect to land and 
facilities under his or her authority, exercise the functions delegated 
to the Secretary by Executive Order 12580, 3 CFR, 1987 Comp., p. 193, 
under the following provisions of the Comprehensive Environmental 
Response, Compensation, and Liability Act of 1980 (``the Act''), as 
amended:
    (i) Sections 104(a), (b), and (c)(4) of the Act (42 U.S.C. 9604(a), 
(b), and (c)(4)), with respect to removal and remedial actions in the 
event of release or threatened release of a hazardous substance, 
pollutant, or contaminant into the environment;
    (ii) Sections 104(e)-(h) of the Act (42 U.S.C. 9604(e)-(h)), with 
respect to information gathering and access requests and orders; 
compliance with Federal health and safety standards and wage and labor 
standards applicable to covered work; and emergency procurement powers;
    (iii) Section 104(i)(11) of the Act (42 U.S.C. 9604(i)(11)), with 
respect to the reduction of exposure to significant risk to human 
health;
    (iv) Section 104(j) of the Act (42 U.S.C. 9604(j)), with respect to 
the acquisition of real property and interests in real property required 
to conduct a remedial action;
    (v) The first two sentences of section 105(d) of the Act (42 U.S.C. 
9605(d)),

[[Page 212]]

with respect to petitions for preliminary assessment of a release or 
threatened release;
    (vi) Section 105(f) of the Act (42 U.S.C. 9605(f)), with respect to 
consideration of the availability of qualified minority firms in 
awarding contracts, but excluding that portion of section 105(f) 
pertaining to the annual report to Congress;
    (vii) Section 109 of the Act (42 U.S.C. 9609), with respect to the 
assessment of civil penalties for violations of section 122 of the Act 
(42 U.S.C. 9622), and the granting of awards to individuals providing 
information;
    (viii) Section 111(f) of the Act (42 U.S.C. 9611(f)), with respect 
to the designation of officials who may obligate money in the Hazardous 
Substances Superfund;
    (ix) Section 113(k) of the Act (42 U.S.C. 9613(k)), with respect to 
establishing an administrative record upon which to base the selection 
of a response action and identifying and notifying potentially 
responsible parties;
    (x) Section 116(a) of the Act (42 U.S.C. 9616(a)), with respect to 
preliminary assessment and site inspection of facilities;
    (xi) Sections 117(a) and (c) of the Act (42 U.S.C. 9617(a) and (c)), 
with respect to public participation in the preparation of any plan for 
remedial action and explanation of variances from the final remedial 
action plan for any remedial action or enforcement action, including any 
settlement or consent decree entered into;
    (xii) Section 119 of the Act (42 U.S.C. 9119), with respect to 
indemnifying response action contractors;
    (xiii) Section 121 of the Act (42 U.S.C. 9621), with respect to 
cleanup standards; and
    (xiv) Section 122 of the Act (42 U.S.C. 9622), with respect to 
settlements, but excluding section 122(b)(1) of the Act (42 U.S.C. 
9622(b)(1)), related to mixed funding agreements.
    (8) Related to compliance with environmental laws. With respect to 
facilities and activities under his or her authority, to exercise the 
authority of the Secretary of Agriculture pursuant to section 1-102 
related to compliance with applicable pollution control standards and 
section 1-601 of Executive Order 12088, 3 CFR, 1978 Comp., p. 243, to 
enter into an inter-agency agreement with the United States 
Environmental Protection Agency, or an administrative consent order or a 
consent judgment in an appropriate State, interstate, or local agency, 
containing a plan and schedule to achieve and maintain compliance with 
applicable pollution control standards established pursuant to the 
following:
    (i) Solid Waste Disposal Act, as amended by the Resource 
Conservation and Recovery Act, as further amended by the Hazardous and 
Solid Waste Amendments, and the Federal Facility Compliance Act (42 
U.S.C. 6901 et seq.);
    (ii) Federal Water Pollution Prevention and Control Act, as amended 
(33 U.S.C. 1251 et seq.);
    (iii) Safe Drinking Water Act, as amended (42 U.S.C. 300f et seq.);
    (iv) Clean Air Act, as amended (42 U.S.C. 7401 et seq.);
    (v) Noise Control Act of 1972, as amended (42 U.S.C. 4901 et seq.);
    (vi) Toxic Substances Control Act, as amended (15 U.S.C. 2601 et 
seq.);
    (vii) Federal Insecticide, Fungicide, and Rodenticide Act, as 
amended (7 U.S.C. 136 et seq.); and
    (viii) Comprehensive Environmental Response, Compensation, and 
Liability Act of 1980, as amended by the Superfund Amendments and 
Reauthorization Act of 1986 (42 U.S.C. 9601 et seq.).
    (9) Related to the Capper-Volstead Act. Serve as a member of the 
Capper-Volstead Act Committee to identify cases of undue price 
enhancement by associations of producers and issue complaints requiring 
such associations to show cause why an order should not be made 
directing them to cease and desist from monopolization or restraint of 
trade (7 U.S.C. 292).
    (10) Related to hazardous materials management. (i) Serve on the 
USDA Hazardous Materials Policy Council.
    (ii) Recommend actions and policies that enable USDA agencies under 
his or her authority to comply with the intent, purposes, and standards 
of environmental laws for pollution prevention, control, and abatement.
    (iii) Consult with the United States Environmental Protection Agency 
and other appropriate Federal agencies in

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developing pollution prevention, control, and abatement policies and 
programs relating to agencies under his or her authority.
    (11) Carry out prize competition authorities in section 24 of the 
Stevenson-Wydler Technology Innovation Act of 1980 (15 U.S.C. 3719) 
related to functions otherwise delegated to the Under Secretary for 
Marketing and Regulatory Programs, except for authorities delegated to 
the Chief Financial Officer in Sec.  2.28(a)(29) and authorities 
reserved to the Secretary in paragraph (b)(3) of this section.
    (b) The following authorities are reserved to the Secretary of 
Agriculture:
    (1) Relating to agricultural marketing.
    (i) Promulgation, with the Secretary of the Treasury of joint 
regulations under section 402(b) of the Federal Seed Act, as amended (7 
U.S.C. 1592(b)).
    (ii) Appoint members of the National Dairy Promotion and Research 
Board established by section 113(b) of the Dairy and Tobacco Adjustment 
Act of 1983 (7 U.S.C. 4504(b)).
    (iii) Appoint members of the National Processor Advertising and 
Promotion Board established by section 1999H(b)(4) of the Fluid Milk 
Promotion Act of 1990 (7 U.S.C. 6407(b)).
    (iv) Appoint members of the Cotton Board established by section 7(a) 
of the Cotton Research and Promotion Act, as amended (7 U.S.C. 2106(a));
    (v) Appoint members of the Egg Board established by section 8(a) of 
the Egg Research and Consumer Information Act (7 U.S.C. 2707(a));
    (vi) Appoint members of the Floraboard established by section 
1707(1) of the Floral Research and Consumer Information Act (7 U.S.C. 
4306(1));
    (vii) Appoint members of the Honey Board established by section 
7(c)(1) of the Honey Research, Promotion, and Consumer Information Act, 
as amended (7 U.S.C. 4606(c));
    (viii) Appoint members of the Lime Board established by section 
1955(b)(2) of the Lime Research, Promotion, and Consumer Information Act 
of 1990 (7 U.S.C. 6204(b));
    (ix) Appoint members of the Mushroom Council established by section 
1925(b)(1)(B) of the Mushroom Promotion, Research, and Consumer 
Information Act of 1990 (7 U.S.C. 6104(b));
    (x) Appoint members of the Pecan Marketing Board established by 
section 1910(b)(8)(E) of the Pecan Promotion and Research Act of 1990 (7 
U.S.C. 6005(b));
    (xi) Appoint members of the National Potato Promotion Board 
established by section 308(a)(4) of the Potato Research and Promotion 
Act as amended (7 U.S.C. 2617(a));
    (xii) Appoint members of the National Watermelon Promotion Board 
established by section 1647(c) of the Watermelon Research and Promotion 
Act (7 U.S.C. 4906(c));
    (xiii) Appoint members of the PromoFlor Council established by 
section 5(b) of the Fresh Cut Flowers and Fresh Cut Greens Act of 1993 
(7 U.S.C. 6804(b));
    (xiv) Appoint members of the National Kiwifruit Board established by 
section 555(c)(1) of the National Kiwifruit Research, Promotion, and 
Consumer Information Act (7 U.S.C. 7464(c));
    (xv) Appoint members of Popcorn Board established by section 
575(b)(1) of the Popcorn Promotion, Research, and Consumer Information 
Act (7 U.S.C. 7484(b));
    (xvi) Appoint members of the Wheat Industry Council established by 
section 1706(a) of the Wheat and Wheat Foods Research and Nutrition 
Education Act (7 U.S.C. 3405(a));
    (xvii) Appoint members of the Cattlemen's Beef Promotion and 
Research Board established by section 5(1) of the Beef Research and 
Information Act as amended (7 U.S.C. 2904(1));
    (xviii) Appoint members of the National Pork Board established by 
section 1619(a)(1) of the Pork Promotion, Research, and Consumer 
Information Act of 1985 (7 U.S.C. 4808(a));
    (xix) Appoint members of the United Soybean Board established by 
section 1969(b)(1) of the Soybean Promotion, Research, and Consumer 
Information Act (7 U.S.C. 6304(b));
    (xx) Appoint members of the National Sheep Promotion, Research, and 
Information Board established by section 5(b) of the Sheep Promotion, 
Research, and Information Act (7 U.S.C. 7104(b)(1);

[[Page 214]]

    (xxi) Appoint members of the National Canola and Rapeseed Board 
established by section 535(b)(1) of the Canola and Rapeseed Research, 
Promotion, and Consumer Information Act (7 U.S.C. 7444(b));
    (xxii) Appoint members of boards established by section 515(b)(2)(A) 
of the Commodity Promotion, Research, and Information Act of 1996 (7 
U.S.C. 7414(b)).
    (2) Related to animal and plant health inspection. (i) Determination 
that an emergency or extraordinary emergency exists under the Animal 
Health Protection Act (7 U.S.C. 8306, 8316).
    (ii) Determination that an emergency or extraordinary emergency 
exists under the Plant Protection Act (7 U.S.C. 7715, 7772).
    (iii) Approval of requests for apportionment of reserves for the 
control of outbreaks of insects, plant diseases, and animal diseases to 
the extent necessary to meet emergency conditions (31 U.S.C. 1512).
    (iv) The suspension, revocation, or other impairment of a permit 
issued under section 7524 of the Food, Conservation, and Energy Act of 
2008 (21 U.S.C. 113a note).
    (3) Approval of prize competitions that may result in the award of 
more than $1,000,000 in cash prizes under section 24(m)(4)(B) of the 
Stevenson-Wydler Technology Innovation Act of 1980 (15 U.S.C. 
3719(m)(4)(B)).

[60 FR 56393, Nov. 8, 1995, as amended at 61 FR 25776, May 23, 1996; 61 
FR 68541, Dec. 30, 1996; 62 FR 40254, July 28, 1997; 65 FR 12428, Mar. 
9, 2000; 65 FR 49471, Aug. 14, 2000; 68 FR 27439, May 20, 2003; 70 FR 
55706, Sept. 23, 2005; 74 FR 3405, Jan. 21, 2009; 76 FR 4802, Jan. 27, 
2011; 79 FR 44109, July 30, 2014; 80 FR 58337, Sept. 29, 2015]



Sec.  2.23  Assistant Secretary for Congressional Relations.

    (a) The following delegations of authority are made by the Secretary 
of Agriculture to the Assistant Secretary for Congressional Relations:
    (1) Related to congressional affairs. (i) Exercise responsibility 
for coordination of all congressional matters in the Department.
    (ii) Maintain liaison with the Congress and the White House on 
legislative Matters of concern to the Department.
    (2) Related to intergovernmental affairs. (i) Coordinate all 
programs involving intergovernmental affairs including State and local 
government relations and liaison with:
    (A) National Association of State Departments of Agriculture;
    (B) Office of Intergovernmental Relations (Office of Vice 
President);
    (C) Advisory Commission on Intergovernmental Relations;
    (D) Council of State Governments;
    (E) National Governors Conference;
    (F) National Association of Counties;
    (G) National League of Cities;
    (H) International City Managers Association;
    (I) U.S. Conference of Mayors; and
    (J) Such other State and Federal agencies, departments and 
organizations as are necessary in carrying out the responsibilities of 
this office.
    (ii) Maintain oversight of the activities of USDA representatives to 
the 10 Federal Regional councils.
    (iii) Serve as the USDA contact with the Advisory Commission on 
Intergovernmental Relations for implementation of OMB Circular A-85 to 
provide advance notification to state and local governments of proposed 
changes in Department programs that affect such governments.
    (iv) Act as the department representative for Federal executive 
board matters.
    (b) [Reserved]

[60 FR 56393, Nov. 8, 1995, as amended at 68 FR 27439, May 20, 2003; 69 
FR 34252, June 21, 2004; 80 FR 58337, Sept. 29, 2015]

    Editorial Note: At 79 FR 44109, July 30, 2014, Sec.  2.23 was 
amended; however, the amendment could not be incorporated due to 
inaccurate amendatory instruction.



Sec.  2.24  Assistant Secretary for Administration.

    (a) The following delegations of authority are made by the Secretary 
of Agriculture to the Assistant Secretary for Administration:
    (1) [Reserved]
    (2) Related to information technology and information resources.
    (i) [Reserved]

[[Page 215]]

    (ii) Oversee all information technology and information resource 
management activities relating to the programs and operations of the 
Department and component agencies. This oversight includes approving 
information technology investments, monitoring and evaluating the 
performance of those investments and information resource management 
activities, approval of all architectures and components thereto and 
determining whether to continue, modify, or terminate an information 
technology program or project.
    (iii) Provide advice and other assistance to the Secretary and other 
senior management personnel to ensure that information technology is 
acquired and managed for the Department consistent with chapter 35 of 
title 44, United States Code (Coordination of Federal Information 
Policy).
    (iv) Develop, implement, and maintain a sound and integrated 
Department-wide information technology architecture.
    (v) Promote the effective and efficient design and operation of all 
major information resources management processes for the Department, 
including improvements to work processes of the Department.
    (vi) Approve the acquisition or procurement of information 
technology resources by, or on behalf of, any Department agency or 
office.
    (vii) Collaborate with Department procurement personnel with respect 
to information technology acquisition strategy and policy.
    (viii) Designate the Major Information Technology Systems Executive 
in USDA to integrate and unify the management process for the 
Department's major information technology system acquisitions and to 
monitor implementation of the policies and practices set forth in Office 
of Management and Budget (OMB) Circular No. A-109, Major Systems 
Acquisitions, for information technology. This includes the authority 
to:
    (A) Ensure that OMB Circular No. A-109 is effectively implemented 
for information technology systems in the Department and that the 
management objectives of the Circular are realized.
    (B) Review the program management of each major information 
technology system acquisition.
    (C) Approve the appointment of the program manager for each major 
information technology systems acquisition.
    (D) Designate any Departmental information technology acquisition as 
a major system acquisition under OMB Circular No. A-109.
    (ix) On an annual basis:
    (A) Assess Department-wide personnel requirements regarding 
knowledge and skill in information resources management, and the 
adequacy of such requirements, to achieve the performance goals 
established for information resources management.
    (B) Develop strategies and specific plans for hiring, training, and 
professional development at the executive and management level to meet 
personnel information technology personnel requirements.
    (C) Report to the Secretary on progress made in improving 
information resources management capability.
    (x) Designate the senior official to carry out the responsibilities 
of the Department under chapter 35 of title 44, United States Code 
(Coordination of Federal Information Policy), including:
    (A) Ensure that the information policies, principles, standards, 
guidelines, rules and regulations prescribed by OMB are appropriately 
implemented within the Department.
    (B) Review proposed Department reporting and record keeping 
requirements, including those contained in rules and regulations, to 
ensure that they impose the minimum burden upon the public and have 
practical utility for the Department.
    (C) Develop and implement procedures for assessing the burden to the 
public and costs to the Department of information requirements contained 
in proposed legislation affecting Department programs.
    (D) Assist OMB in the performance of its functions assigned under 
the E-Government Act of 2002 (Pub. L. 107-347), including review of 
Department and Agency activities for compliance.
    (E) Assist OMB in the performance of its functions assigned under 
the Paperwork Reduction Act of 1995 (44 U.S.C.

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3501-3520), including review of Department and Agency activities for 
compliance.
    (xi) The Assistant Secretary for Administration is also responsible 
for the following:
    (A) Provide Department-wide guidance and direction in planning, 
developing, documenting, and managing applications software projects in 
accordance with Federal and Department information processing standards, 
procedures, and guidelines.
    (B) Provide Department-wide guidance and direction in all aspects of 
information technology, including: Feasibility studies; economic 
analyses; systems design; acquisition of equipment, software, services, 
and timesharing arrangements; systems installation; systems performance 
and capacity evaluation; information technology investment governance; 
cybersecurity; and privacy. Monitor these activities for agencies' major 
systems development efforts to assure effective and economic use of 
resources and compatibility among systems of various agencies when 
required.
    (C) Manage the Enterprise Data Centers, including setting rates to 
recover the cost of goods and services within approved policy and 
funding levels; and oversee the delivery of Enterprise Data Center goods 
and services, with authority to take actions required by law or 
regulation to perform such services as a Working Capital Fund activity.
    (D) Manage a comprehensive set of end user office automation 
services, including setting rates to recover the cost of goods and 
services within approved policy and funding levels; and oversee the 
delivery of goods and services associated with end user office 
automation services, including desktop computers, enterprise networking 
support, handheld devices, and voice telecommunications, with authority 
to take actions required by law or regulation to perform such services 
as a Working Capital Fund activity.
    (E) Manage the Agricultural Security Operations Center to enable the 
Department to effectively monitor, detect, analyze, protect, report, and 
respond against known cyber vulnerabilities, attacks, and exploitations.
    (F) Manage the Department's Certification and Accreditation process 
to ensure the Department and agencies have successfully conducted 
periodic risk assessments of its systems; grant the authority to operate 
for systems that have successfully completed the Certification and 
Accreditation process; and rescind or suspend the authority to operate 
for systems subject to repeated and/or significant security issues.
    (G) Ensure that OMB Circular No. A-16, Coordination of Geographic 
Information and Related Spatial Data Activities, is effectively 
implemented in the Department and that the management objectives of the 
Circular are realized; and provide Department-wide guidance and 
direction in governing, developing, implementing, and maintaining a 
sound and integrated geospatial architecture.
    (H) Provide technical assistance, coordination, and guidance to 
Department agencies in planning, developing, and carrying out satellite 
remote sensing activities to ensure full consideration and evaluation of 
advanced technology; designate the Executive Secretary for the Remote 
Sensing Coordination Committee; and coordinate administrative, 
management, and budget information relating to the Department's remote 
sensing activities including:
    (1) Inter- and intra-agency meetings, correspondence, and records;
    (2) Budget and management tracking systems; and
    (3) Inter-agency contacts and technology transfer.
    (I) Review and evaluate information technology activities related to 
delegated functions to assure that they conform to all applicable 
Federal and Department information technology management policies, 
plans, standards, procedures, and guidelines.
    (J) Design, develop, implement, and revise systems, processes, work 
methods, and techniques to improve the management and operational 
effectiveness of information resources.
    (K) Administer the Departmental records, forms, reports and 
Directives Management Programs.
    (L) Manage all aspects of the USDA Telecommunications Program 
including planning, development, acquisition,

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and use of equipment and systems for voice, data, and communications, 
excluding the actual procurement of data transmission equipment, 
software, maintenance, and related supplies.
    (M) Manage Departmental telecommunications contracts.
    (N) Provide technical advice throughout the Department.
    (O) Implement a program for applying information resources 
management technology to improve productivity in the Department.
    (P) Plan, develop, install, and operate computer-based systems for 
message exchange, scheduling, computer conferencing, televideo 
technologies, and other applications of office automation technology 
which can be commonly used by multiple Department agencies and offices.
    (Q) Represent the Department in contacts with the Government 
Accountability Office, the General Services Administration, OMB, the 
National Institute of Standards and Technology, and other organizations 
or agencies on matters related to delegated responsibilities.
    (xii) Implement policies established pursuant to paragraphs 
(a)(2)(ii) through (a)(2)(xi) of this section by:
    (A) Disposing of information technology that is acquired by a 
Department agency in violation of procedures or standards for the 
Department Information Systems Technology Architecture.
    (B) Establishing information technology and information resources 
management performance standards for agency Chief Information Officers, 
information resources managers, and project managers to be used in the 
performance appraisal process.
    (C) Approving the selection of agency Chief Information Officers and 
agency major information technology system project managers in 
accordance with OMB policies.
    (D) Providing recommendations to Agency Heads for the removal or 
replacement of information technology project managers, when, in the 
opinion of the Assistant Secretary for Administration, applicable laws 
and policies are being violated, or, when the cost, schedule, or 
performance of an information technology project would indicate 
management deficiencies.
    (E) Withdrawing agencies' authority to obligate funds on Information 
Technology programs or projects if the agency violates the Assistant 
Secretary for Administration policies, standards, or Department 
Information Systems Technology Architecture.
    (F) Requiring agencies to validate and verify major information 
technology systems through the use of an existing contract for such 
purpose designated by the Assistant Secretary for Administration.
    (G) Requiring approval by the Assistant Secretary for Administration 
of any proposed acquisition of information technology (whether through 
the award or modification of a procurement contract, a cooperative or 
other agreement with a non-Federal party, or an interagency agreement) 
to ensure technical conformance to the Department technical 
architecture.
    (H) Providing guidance to USDA regarding implementation of Section 
508 of the Rehabilitation Act, as well as on-going consultative 
assistance regarding information technology accessibility, and reviewing 
progress made toward achieving information technology accessibility for 
USDA employees and individuals with disabilities.
    (xiii) Related to the Privacy Act. Appoint a Department Privacy Act 
Officer; oversee general officers and agency heads in the development 
and implementation of policies issued pursuant to the provisions of the 
Privacy Act, 5 U.S.C. 552a; and provide consultation and guidance 
regarding those policies.
    (xiv) Related to the Freedom of Information Act. Designate the Chief 
Freedom of Information Act Officer for the Department; oversee general 
officers and agency heads in efficient and appropriate compliance with 
the provisions of the Freedom of Information Act (5 U.S.C. 552); monitor 
implementation of 5 U.S.C. 552 throughout the agency and keep the 
Secretary, the General Counsel, and the Attorney General informed 
regarding agency performance in its implementation; recommend to the 
Secretary necessary adjustments to agency practices, policies, 
personnel, and funding to improve implementation of 5 U.S.C. 552; review

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and report to the Attorney General, through the Secretary, as the 
Attorney General may direct; and facilitate public understanding of the 
purposes of the statutory exemptions contained in 5 U.S.C. 552.
    (3) [Reserved]
    (4) Related to human resources management. (i) Formulate and issue 
Department policy, standards, rules, and regulations relating to human 
resources management.
    (ii) Provide human resources management procedural guidance and 
operational instructions.
    (iii) Set standards for human resources data systems.
    (iv) Inspect and evaluate human resources management operations and 
issue instructions or take direct action to insure conformity with 
appropriate laws, Executive Orders, Office of Personnel Management (OPM) 
rules and regulations, and other appropriate rules and regulations.
    (v) Exercise final authority in all human resources matters, 
including individual cases, that involve the jurisdiction of more than 
one General Officer or agency head, or otherwise as deemed appropriate.
    (vi) Receive, review, and recommend action on all requests for the 
Secretary's approval in human resources matters.
    (vii) Authorize and make final decisions on adverse actions, except 
in those cases where the Assistant Secretary for Administration has 
participated.
    (viii) Represent the Department in human resources matters in all 
contacts outside the Department.
    (ix) Exercise specific authorities in the following operational 
matters:
    (A) Waive repayment of training expenses where an employee fails to 
fulfill service agreement.
    (B) Establish or change standards and plans for awards to private 
citizens.
    (C) Execute, change, extend, or renew:
    (1) Labor-Management Agreements.
    (2) Certifications of supervisory/managerial and non-labor union 
employee and professional organizations or associations.
    (D) Represent the Department in contacts with the national offices 
of labor organizations in fulfilling the Department's national 
consultation obligations under 5 U.S.C. 7113.
    (E) Change a position (with no material change in duties) from one 
pay system to another.
    (F) Grant restoration rights, and release employees with 
administrative reemployment rights.
    (G) Authorize any mass dismissals of employees in the Washington, 
DC, metropolitan area.
    (H) Approve ``normal line of promotion'' cases in the excepted 
service where not in accordance with time-in-grade criteria.
    (I) Make the final decision on all classification appeals filed with 
the Department of Agriculture.
    (J) Authorize all employment actions (except nondisciplinary 
separations and LWOP) and classification actions for senior level and 
equivalent positions including Senior Executive Service positions and 
special authority professional and scientific positions responsible for 
carrying out research and development functions.
    (K) Authorize all employment actions (except LWOP) for the following 
positions:
    (1) Schedule C.
    (2) Non-career Senior Executive Service or equivalent.
    (3) Administrative Law Judge.
    (L) Authorize and make final decisions on adverse actions for 
positions in GS-1--15 or equivalent.
    (M) Authorize and make final decisions on adverse actions for 
positions in the career Senior Executive Service or equivalent.
    (N) Approve the details of Department employees to the White House.
    (O) Authorize adverse actions based in whole or in part on an 
allegation of violation of 5 U.S.C. chapter 73, subchapter III, for 
employees in the excepted service.
    (P) Authorize long-term training in programs which require 
Departmentwide competition.
    (Q) Initiate and take adverse action in cases involving a violation 
of the merit system.
    (R) Any other human resources operational matter.

[[Page 219]]

    (x) As used in this section, the term human resources includes:
    (A) Position management.
    (B) Position classification.
    (C) Employment.
    (D) Pay administration.
    (E) Automation of human resources data and systems.
    (F) Hours of duty.
    (G) Performance management.
    (H) Promotions.
    (I) Employee development.
    (J) Incentive Programs.
    (K) Leave.
    (L) Retirement.
    (M) Human resources program management accountability and 
evaluation.
    (N) Social security.
    (O) Life insurance.
    (P) Health benefits.
    (Q) Unemployment compensation.
    (R) Labor management relations.
    (S) Intramanagement consultation.
    (T) [Reserved]
    (U) Discipline.
    (V) Appeals.
    (W) Drug Testing Program.
    (X) Worklife Program.
    (Y) Transit Subsidy Program.
    (xi) Maintain, review, and update Departmental delegations of 
authority.
    (xii) Authorize organizational changes.
    (xiii) Formulate and promulgate departmental organizational 
objectives and policies.
    (xiv) Approve coverage and waiver of individual law enforcement and 
firefighter positions under the special retirement provisions of the 
Civil Service Retirement System and the Federal Employees Retirement 
System.
    (xv) Provide for diversity and inclusion, as follows:
    (A) Establish, direct, and provide policy and oversight for a 
Departmentwide Special Emphasis Program (SEP) including: Women, African 
Americans, Hispanics, Asian/Pacific Islanders, Native Americans, 
Disabled, and Gay/Lesbian/Bisexual/Transgender.
    (B) Provide oversight and support for Departmental SEP recognition 
programs.
    (C) Direct and oversee the Department-wide SEPM Council.
    (D) Administer Federal Equal Opportunity Recruitment Program.
    (xvi) Oversee and manage the Department's administrative grievance 
program.
    (xvii) Make final decisions in those cases where an agency head has 
appealed the recommended decision of a grievance examiner.
    (xviii) Administer the administrative appeals process related to the 
inclusion of positions in the testing designated position listing in the 
Department's Drug-Free Workplace Program and designate the final appeal 
officer for that Program.
    (xix) Formulate and issue Department policy, standards, rules, and 
regulations relating to the Senior Scientific Research Service (7 U.S.C. 
7657).
    (xx) Provide human resources operational services for the following:
    (A) The Secretary of Agriculture.
    (B) The general officers of the Department.
    (C) The offices and agencies reporting to the Assistant Secretary 
for Administration.
    (D) The Office of the Assistant Secretary for Civil Rights.
    (E) Any other offices or agencies of the Department as may be 
agreed.
    (xxi) Redelegate, as appropriate, any authority delegated under 
paragraphs (a)(4)(i) through (a)(4)(xx) to general officers of the 
Department and heads of Departmental agencies.
    (5) Related to small and disadvantaged business utilization. Provide 
general administrative support to the Office of Small and Disadvantaged 
Business Utilization, consistent with the other delegations of authority 
to the Assistant Secretary for Administration in this section.
    (6) Related to procurement and property management. (i) Exercise 
full Departmentwide contracting and procurement authority.
    (ii) Promulgate policies, standards, techniques, and procedures, and 
represent the Department, in the following:
    (A) Acquisition, including, but not limited to, the procurement of 
supplies, services, equipment, and construction.
    (B) Socioeconomic programs relating to contracting.

[[Page 220]]

    (C) Selection, standardization, and simplification of program 
delivery processes utilizing contracts.
    (D) Acquisition, leasing, utilization, value analysis, construction, 
maintenance, and disposition of real and personal property, including 
control of space assignments.
    (E) Motor vehicle and aircraft fleet and other vehicular 
transportation.
    (F) Transportation of things (traffic management).
    (G) Prevention, control, and abatement of pollution with respect to 
Federal facilities and activities under the control of the Department 
(Executive Order 12088, ``Federal Compliance With Pollution Control 
Standards,'' 3 CFR, 1978 Comp., p. 243).
    (H) Implementation of the Uniform Relocation Assistance and Real 
Property Acquisition Policies Act of 1970 (42 U.S.C. 4601, et seq.).
    (I) Development and implementation of sustainable operations actions 
including establishing and achieving greenhouse gas emission reduction 
goals, reducing energy intensity, increasing renewable energy use, 
increasing water efficiency, reducing petroleum use and increasing 
alternative fuel use, increasing recycling and waste diversion, 
preventing pollution, reducing use of toxic chemicals, procuring 
sustainable products and services, achieving sustainable principles for 
new and existing buildings, promoting electronic stewardship, and 
continuing environmental management system use. Maintain liaison with 
the Office of the Federal Environmental Executive, the Council on 
Environmental Quality, the Office of Management and Budget (OMB), the 
Department of Energy, and other Government agencies in these matters.
    (J) Implementation of a program for the Federal procurement of 
biobased products and of a voluntary ``USDA Certified Biobased Product'' 
labeling program (7 U.S.C. 8102).
    (K) Entering into cooperative agreements to further research 
programs in the food and agricultural sciences, related to establishing 
and implementing Federal biobased procurement and voluntary biobased 
labeling programs (7 U.S.C. 3318).
    (L) Implementation of the policies and procedures set forth in OMB 
Circular No. A-76, Performance of Commercial Activities.
    (iii) Exercise the following special authorities:
    (A) Designate the Departmental Debarring Officer to perform the 
functions of 48 CFR part 9, subpart 9.4 related to procurement 
activities, except for commodity acquisitions on behalf of the Commodity 
Credit Corporation (7 CFR part 1407); with authority to redelegate 
suspension and debarment authority for contracts awarded under the 
School Lunch and Surplus Removal Programs (42 U.S.C. 1755 and 7 U.S.C. 
612c).
    (B) Conduct liaison with the Office of the Federal Register (1 CFR 
part 16) including the making of required certifications pursuant to 1 
CFR part 18.
    (C) Maintain custody and permit appropriate use of the official seal 
of the Department.
    (D) Establish policy for the use of the official flags of the 
Secretary and the Department.
    (E) Coordinate collection and disposition of personal property of 
historical significance.
    (F) Make information returns to the Internal Revenue Service as 
prescribed by 26 U.S.C. 6050M and by 26 CFR 1.6050M-1 and such other 
Treasury regulations, guidelines or procedures as may be issued by the 
Internal Revenue Service in accordance with 26 U.S.C. 6050M. This 
includes making such verifications or certifications as may be required 
by 26 CFR 1.6050M-1 and making the election allowed by 26 CFR 1.6050M-
1(d)(5)(1).
    (G) Promulgate regulations for the management of contracting and 
procurement for information technology and telecommunication equipment, 
software, services, maintenance and related supplies.
    (H) Represent the Department in working with the Government 
Accountability Office (GAO), the General Services Administration, OMB, 
and other organizations or agencies on matters related to assigned 
responsibilities.
    (I) Serve as the designated Chief Acquisition Officer for the 
Department

[[Page 221]]

pursuant to section 1702 of title 41, United States Code.
    (iv) Serve as the Acquisition Executive in the Department to 
integrate and unify the management process for the Department's major 
system acquisitions and to monitor implementation of the policies and 
practices set forth in OMB Circular No. A-109, Major Systems 
Acquisitions. This includes the authority to:
    (A) Ensure that OMB Circular No. A-109 is effectively implemented in 
the Department and that the management objectives of the Circular are 
realized.
    (B) Review the program management of each major system acquisition.
    (C) Designate the program manager for each major systems 
acquisition.
    (D) Designate any Departmental acquisition as a major system 
acquisition under OMB Circular No. A-109.
    (v) Pursuant to Executive Order 12931, ``Federal Procurement 
Reform,'' 3 CFR, 1994 Comp., p. 925, and sections 16, 22, and 37 of the 
Office of Federal Procurement Policy Act, as amended, 41 U.S.C. 414, 
418b, and 433, designate the Senior Procurement Executive for the 
Department and delegate responsibility for the following:
    (A) Prescribing and publishing Departmental acquisition policies, 
advisories, regulations, and procedures.
    (B) Taking any necessary actions consistent with policies, 
regulations, and procedures with respect to purchases, contracts, 
leases, agreements, and other transactions.
    (C) Designating contracting officers.
    (D) Establishing clear lines and limitations of contracting 
authority through written delegations of authority.
    (E) Approving any Departmental and component agency procurement 
systems and processes.
    (F) Managing and enhancing career development of the Department's 
acquisition workforce.
    (G) Participating in the development of Governmentwide procurement 
policies, regulations, and standards, and determining specific areas 
where Governmentwide performance standards should be established and 
applied.
    (H) Developing unique Departmental standards as required.
    (I) Overseeing the development of procurement goals, guidelines, and 
innovation.
    (J) Measuring and evaluating procurement office performance against 
stated goals.
    (K) Advising the Secretary whether goals are being achieved.
    (L) Prescribing standards for agency Procurement Executives.
    (M) Redelegating, suspending, or revoking, as appropriate, the 
authority in paragraph (a)(6)(v)(A) of this section to agency 
Procurement Executives or other qualified agency officials with no power 
of further redelegation.
    (N) Redelegating, suspending, or revoking, as appropriate, the 
authorities in paragraphs (a)(6)(v)(B), (C), (D), (F), and (G) of this 
section to agency Procurement Executives or other qualified agency 
officials with the power of further redelegation.
    (vi) Represent the Department in establishing standards for 
acquisition transactions within the electronic data interchange 
environment.
    (vii) Designate the Departmental Task Order Ombudsman pursuant to 41 
U.S.C. 253j.
    (viii) Designate the Departmental Remedy Coordination Official 
pursuant to 41 U.S.C. 255 to determine whether payment to any contractor 
should be reduced or suspended based on substantial evidence that the 
request of the contractor for advance, partial, or progress payment is 
based on fraud.
    (ix) Review and approve exemptions for USDA contracts, subcontracts, 
grants, agreements, and loans from the requirements of the Clean Air 
Act, as amended (42 U.S.C. 7401, et seq.), the Federal Water Pollution 
Control Act, as amended (33 U.S.C. 1251, et seq.), and Executive Order 
11738, ``Providing for Administration of the Clean Air Act and the 
Federal Water Pollution Control Act With Respect to Federal Contracts, 
Grants, or Loans,'' 3 CFR, 1971-1975 Comp., p. 799, when he or she 
determines that the paramount interest of the United States so requires 
as provided in these acts and Executive Order and the regulations of the 
EPA (2 CFR 1532.1140).

[[Page 222]]

    (x) Transfer excess research equipment to eligible educational 
institutions or certain non-profit organizations for the conduct of 
technical and scientific education and research activities under section 
11(i) of the Stevenson-Wydler Technology Innovation Act of 1980 (15 
U.S.C. 3710(i)) (7 CFR part 2812).
    (xi) Promulgate policy and obtain and furnish Federal excess 
personal property in accordance with section 923 of Public Law 104-127 
(7 U.S.C. 2206a), to support research, educational, technical and 
scientific activities or for related programs, to:
    (A) Any 1994 Institutions (as defined in section 532 of the Equity 
in Educational Land-Grant Status Act of 1994 (Pub. L. 103-382; 7 U.S.C. 
301 note)).
    (B) Any Institutions eligible to receive funds under the Act of 
August 30, 1890 (7 U.S.C. 321, et seq.) including Tuskegee University.
    (C) Any Hispanic-serving Institutions (as defined in sections 316(b) 
of the Higher Education Act of 1965 (20 U.S.C. 1059c(b)).
    (xii) Make available to organizations excess or surplus computers or 
other technical equipment of the Department for the purpose of 
distribution to cities, towns, or local government entities in rural 
areas (7 U.S.C. 2206b).
    (xiii) Issue regulations and directives to implement or supplement 
the Federal Acquisition Regulations (48 CFR Chapters 1 and 4).
    (xiv) Issue regulations and directives to implement or supplement 
the Federal Property Management Regulations (41 CFR chapter 101) and the 
Federal Management Regulation (41 CFR chapter 102).
    (xv) Serve as USDA Senior Sustainability Officer under Executive 
Order 13514, ``Federal Leadership in Environmental, Energy, and Economic 
Performance'' (74 FR 52117, Oct. 8, 2009) responsible for developing and 
achieving greenhouse gas emission reduction targets, developing and 
implementing a Strategic Sustainability Performance Plan, achieving 
sustainable practice goals in Executive Order 13423, ``Strengthening 
Federal Environmental, Energy, and Transportation Management,'' 3 CFR, 
2007 Comp., p. 191, and reporting USDA's progress to OMB and the Council 
on Environmental Quality.
    (xvi) Pursuant to the Office of Federal Procurement Policy Act 
(Act), as amended (41 U.S.C. 401, et seq.), designate the Department's 
Advocate for Competition with the responsibility for section 20 of the 
Act (41 U.S.C. 418), including:
    (A) Reviewing the procurement activities of the Department.
    (B) Developing new initiatives to increase full and open 
competition.
    (C) Developing goals and plans and recommending actions to increase 
competition.
    (D) Challenging conditions unnecessarily restricting competition in 
the acquisition of supplies and services.
    (E) Promoting the acquisition of commercial items.
    (F) Designating an Advocate for Competition for each procuring 
activity within the Department.
    (xvii) Related to compliance with environmental laws and sustainable 
operating requirements. (A) Serve as Chair of the USDA Sustainable 
Operations Council.
    (B) Represent USDA in consulting or working with the EPA, the 
Council on Environmental Quality, the Domestic Policy Council, and 
others to develop policies relating to hazardous materials management 
and Federal facilities compliance with applicable pollution control 
laws.
    (C) Monitor, review, evaluate, and oversee hazardous materials 
management program activities and compliance Department-wide.
    (D) Monitor, review, evaluate, and oversee USDA agency expenditures 
for hazardous materials management program accomplishments.
    (E) Represent USDA on the National Response Team and exercise 
responsibility for USDA response efforts for hazardous substance 
releases and oil spills pursuant to the Comprehensive Environmental 
Response, Compensation, and Liability Act of 1980, as amended (42 U.S.C. 
9601, et seq.); the Clean Water Act, as amended (33 U.S.C. 1251, et 
seq.); Oil Pollution Act, as amended (33 U.S.C. 2701, et seq.); 
Executive Order 12580, ``Superfund Implementation,'' 3 CFR, 1987 Comp., 
p. 193; Executive Order 12777, ``Implementation

[[Page 223]]

of section 311 of the Federal Water Pollution Control Act of October 18, 
1972, as amended, and the Oil Pollution Act of 1990,'' 3 CFR, 1991 
Comp., p. 351, and the National Oil and Hazardous Substances Contingency 
Plan, 40 CFR Part 300.
    (F) Approve disbursements from the New World Mine Response and 
Restoration Account, approve the New World Mine Response and Restoration 
Plan, and make quarterly reports to Congress under Sections 502(d) and 
(f) of Title V of the Department of the Interior and Related Agencies 
Appropriations Act of 1998, Public Law 105-83.
    (G) Ensure that the Hazardous Materials Management Program 
Department-wide is accomplished with regard to, and in compliance with, 
Executive Order 12898, ``Federal Actions to Address Environmental 
Justice in Minority Populations and Low-Income Populations,'' 3 CFR, 
1994 Comp. p. 859.
    (H) Take such action as may be necessary, with the affected agency 
head and with the concurrence of the General Counsel, including issuance 
of administrative orders and agreements with any person to perform any 
response action under sections 106(a) and 122 (except subsection (b)(1)) 
of the Comprehensive Environmental Response, Compensation, and Liability 
Act of 1980, as amended (42 U.S.C. 9606(a), 9622), pursuant to sections 
4(c)(3) and 4(d)(3) of Executive Order 12580, ``Superfund 
Implementation,'' 3 CFR, 1987 Comp., p. 193, as amended by Executive 
Order 13016, ``Amendment to Executive Order No. 12580,'' 3 CFR, 1996 
Comp., p. 214.
    (I) Represent USDA on the EPA Brownfields Federal Partnership and 
coordinate USDA support for Brownfields redevelopment and establish 
policy and guidance for the implementation of the June 2003 amendment to 
Executive Order 12580, ``Superfund Implementation,'' 3 CFR, 1987 Comp., 
p. 193 (Executive Order 13308, ``Further Amendment to Executive Order 
12580, As Amended, Superfund Implementation,'' 3 CFR, 2003 Comp., p. 
239).
    (xviii) Related to occupational safety and health. (A) Establish 
Departmentwide safety and health policy and provide leadership in the 
development, coordination, and implementation of related standards, 
techniques, and procedures, and represent the Department in complying 
with laws, Executive Orders and other policy and procedural issuances 
related to occupational safety and health and workers' compensation 
programs within the Department.
    (B) Represent the Department in all rulemaking, advisory, or 
legislative capacities on any groups, committees, or Governmentwide 
activities that affect the Department's Occupational Safety and Health 
Management Program; and serve as the USDA Designated Safety and Health 
Official.
    (C) Determine and provide Departmentwide technical services and 
regional staff support for the safety and health programs.
    (D) Administer the computerized management information systems for 
the collection, processing and dissemination of data related to the 
Department's occupational safety and health programs.
    (E) Administer the Department's Occupational Health and Preventive 
Medicine Program, as well as design and operate employee assistance and 
workers' compensation activities.
    (F) Provide education and training on a Departmentwide basis for 
safety and health-related issues and develop resource and operational 
manuals.
    (xix) In coordination with the Chief Financial Officer, implement 
the debarment authorities in section 14211 of the Food, Conservation, 
and Energy Act of 2008 (7 U.S.C. 2009j), in connection with procurement 
activities.
    (xx) Provide services, including procurement of supplies, services, 
and equipment, with authority to take actions required by law or 
regulation to perform such services for:
    (A) The Secretary of Agriculture.
    (B) The general officers of the Department, except the Inspector 
General.
    (C) Any other offices or agencies of the Department as may be 
agreed, including as a Working Capital Fund activity.
    (7) Related to advocacy and outreach. (i) Ensure that small farms 
and ranches, beginning farmers or ranchers, and socially disadvantaged 
farmers or ranchers have access to, and equitable participation in, 
programs and

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services of the Department pursuant to section 226B(c) of the Department 
of Agriculture Reorganization Act of 1994 (7 U.S.C. 6934(c)).
    (ii) Oversee the Advisory Committee for Beginning Farmers and 
Ranchers.
    (iii) Oversee the operations of the Office of Small Farms 
Coordination.
    (iv) Administer section 2501 of the Food, Agriculture, Conservation, 
and Trade Act of 1990 (7 U.S.C. 2279), except for authorities related to 
the Census of Agriculture and economic studies in subsection (h) of that 
section.
    (v) Establish and oversee the Minority Farmer Advisory Committee 
pursuant to section 14008 of FCEA (7 U.S.C. 2279 note).
    (vi) Administer the low-income migrant and seasonal farmworker 
grants program under section 2281 of the Food, Agriculture, 
Conservation, and Trade Act of 1990 (42 U.S.C. 5177a).
    (vii) Consult with appropriate entities regarding integration of 
farmworker interests into Department programs, including assisting 
farmworkers in becoming agricultural producers or landowners, and 
research, program improvements, and agricultural education opportunities 
for low-income and migrant seasonal farmworkers.
    (viii) Administer the grants program under section 14204 of FCEA (7 
U.S.C. 2008q-1) to improve the supply, stability, safety, and training 
of the agricultural labor force.
    (ix) Administer and coordinate a USDA outreach program in 
collaboration with USDA agencies.
    (x) Administer section 2501A of the Food, Agriculture, Conservation, 
and Trade Act of 1990 (7 U.S.C. 2279-1), including the authority to 
coordinate Department policy for the issuance of receipts under 
subsection (e) of that section.
    (xi) Provide strategic planning and performance measurement, 
coordinate outreach activities, monitor goals and objectives, and 
evaluate programs, of Department programs and activities involving small 
farms or ranches and beginning or socially disadvantaged farmers or 
ranchers.
    (xii) Administer the USDA/1994 Land Grant Institutions (Tribal 
Colleges) Programs.
    (xiii) Administer the USDA/1890 Liaison Officer Program.
    (xiv) Administer the Hispanic Serving Institutions National Program, 
including through the use of cooperative agreements under 7 U.S.C. 
3318(b).
    (xv) Serve as a lead agency in carrying out student internship 
programs (7 U.S.C. 2279c).
    (8) Related to homeland security, personnel and document security, 
and emergency coordination. (i) Provide administrative supervision to 
the unit that grants, denies, or revokes security clearances for USDA 
employees and contractors.
    (ii) Administer the Department Emergency Preparedness Program. This 
includes:
    (A) Coordinate the delegations and assignments made to the 
Department under the Defense Production Act of 1950, 50 U.S.C. App. 
2061, et seq.; the Robert T. Stafford Disaster Relief and Emergency 
Assistance Act, 42 U.S.C. 5121, et seq.; and by Executive Orders 12148, 
``Federal Emergency Management'' (3 CFR, 1979 Comp., p. 412), 12656, 
``Assignment of Emergency Preparedness Responsibilities'' (3 CFR, 1988 
Comp., p. 585), and 13603, ``National Defense Resources Preparedness'' 
(3 CFR, 2012 Comp., p. 225), or any successor to these Executive Orders, 
to ensure that the Department has sufficient capabilities to respond to 
any occurrence, including natural disaster, military attack, 
technological emergency, or any all hazards incident.
    (B) Manage the Department Emergency Operations Center at 
Headquarters and the Secretary's alternative facilities; provide senior 
staff with international, national, and regional situational awareness 
reports; and provide and maintain current information systems technology 
and National Security Systems to support USDA executive crisis 
management capability.
    (C) Provide facilities and equipment to facilitate inter-agency 
coordination during emergencies.
    (D) Activate the USDA incident management system in accordance with 
the National Response Framework and the National Incident Management 
System in the event of a major incident; and provide oversight and 
coordination of

[[Page 225]]

the Department's Emergency Support Functions as outlined in the National 
Response Framework.
    (E) Develop and promulgate policies for the Department regarding 
emergency preparedness and national security, including matters relating 
to anti-terrorism and agriculture-related emergency preparedness 
planning both national and international, and guidance to USDA State and 
County Emergency Boards.
    (F) Establish and provide oversight of a Department-wide training 
program for the National Incident Management System to include Incident 
Command System, National Response Framework, Continuity programs, and 
Critical Infrastructure Protection program.
    (G) Provide representation and liaison for the Department in 
contacts with other Federal entities and organizations, including the 
National Security Council, Homeland Security Council, Office of 
Management and Budget, Department of Homeland Security, Federal 
Emergency Management Agency, Office of The Director of National 
Intelligence, and Department of Defense concerning matters of a national 
security, natural disaster, other emergencies, and agriculture/food-
related international civil emergency planning and related activities.
    (H) Act as the primary USDA representative for anti-terrorism 
activities.
    (I) Develop and submit a coordinated budget request for homeland 
security requirements.
    (J) Provide guidance and direction regarding radiological emergency 
preparedness programs and the implementation of the National Response 
Framework's Nuclear/Radiological Incident Annex to Departmental staff 
offices, mission areas, and agencies.
    (K) Provide program leadership and coordination for USDA's 
radiological emergency preparedness requirements with respect to 
Emergency Management and Assistance (44 CFR parts 350-352).
    (L) Represent USDA on the Federal Radiological Preparedness 
Coordinating Committee (FRPCC) and Regional Assistance Committees (RACs) 
and assist them in carrying out their functions.
    (M) Support USDA in its management of the Department's emergency 
response program with respect to radiological emergency response 
activities.
    (iii) Provide for the personal security to the Secretary and the 
Deputy Secretary.
    (iv) Serve as the primary point of contact for Government 
Accountability Office (GAO) and Office of the Inspector General (OIG) 
audits of USDA homeland security activities.
    (v) Coordinate interaction between Department agencies and private 
sector businesses and industries in emergency planning and public 
education under Department authorities delegated or assigned under the 
National Response Framework, National Infrastructure Protection Plan, 
Defense Production Act of 1950, 50 U.S.C. App. 2061, et seq., and Robert 
T. Stafford Disaster Relief and Emergency Assistance Act, 42 U.S.C. 
5121, et seq.
    (vi) Oversee the Department's ability to collect and disseminate 
information and prepare for an agricultural disease emergency, 
agroterrorist act, or other threat to agricultural biosecurity, and 
coordinate such activities among agencies and offices within the 
Department (7 U.S.C. 8912).
    (vii) Administer a funded competitive grant program to support the 
development and expansion of advanced training programs in agricultural 
biosecurity planning and response for food science professionals and 
veterinarians; administer a funded competitive grant and low-interest 
loan assistance program to assist States in assessing agricultural 
disease response capability (7 U.S.C. 8913).
    (viii) Promulgate Departmental policies, standards, techniques, and 
procedures; and represent the Department in maintaining the security of 
physical facilities and providing security guidance to the Food and 
Agricultural Sector nationwide.
    (A) Lead and coordinate the development and maintenance of a mission 
critical facility inventory with agency involvement to ensure proper 
security countermeasures are implemented in the Department's most 
critical infrastructure.

[[Page 226]]

    (B) Provide guidance to USDA agencies in matters of physical 
security through use of physical security assessments and development of 
mitigation strategies.
    (C) Provide guidance to USDA agencies and the Food and Agricultural 
Sector in matters of security through use of assessments and development 
of mitigation strategies.
    (D) Represent and act as liaison for the Department in contacts with 
other Federal security entities and organizations, including the 
Interagency Security Committee and the Department of Homeland Security.
    (E) Provide guidance and direction to ensure physical security and 
agriculture/food security are fully integrated in USDA's security 
preparations, which are reported to and coordinated with the White 
House.
    (F) Provide assistance to the USDA agencies in preparation for and 
during a disaster to identify critical assets and possible alternate 
storage locations.
    (G) Conduct physical security investigations and compliance reviews 
Department-wide.
    (H) Review and provide coordinated technical physical security 
assessments for all new construction of laboratories, data centers, 
germplasm repositories, and other mission critical infrastructure during 
the design phase, and all leased facilities prior to contract award.
    (I) Oversee and manage physical security aspects of the Common 
Identification Card (LincPass) Program to ensure National Institute of 
Standards and Technology (NIST) and General Services Administration 
(GSA) compliancy within the National Capital Region and the physical 
access to USDA facilities.
    (J) Provide enterprise connectivity to agency physical access 
control systems that provide cost leveraging and provisioning/de-
provisioning nationwide.
    (ix) Provide oversight and coordination of the development and 
administration of the Department Continuity Program. This includes:
    (A) Provide guidance and direction regarding continuity of 
operations to the Office of the Secretary, Departmental staff offices, 
mission areas, and agencies.
    (B) Represent and act as liaison for the Department in contacts with 
other Federal entities and organizations concerning matters of assigned 
continuity program responsibilities.
    (C) Oversee Department continuity of operations and emergency 
relocation facility planning, development, equipping, and preparedness 
to ensure that resources are in a constant state of readiness.
    (x) Provide for the development and administration of a Public Trust 
program for the safeguarding of national security information:
    (A) Direct and administer USDA's public trust program established 
pursuant to 5 CFR part 731 and Executive Order 13488, ``Granting 
Reciprocity on Excepted Service and Federal Contractor Employee Fitness 
and Reinvestigating Individuals in Positions of Public Trust'' (74 FR 
4111, Jan. 22, 2009).
    (B) Direct and administer USDA's program under which information is 
safeguarded pursuant to Executive Order 13526, ``Classified National 
Security Information'' (75 FR 707, Jan. 5, 2010), or subsequent orders.
    (C) Establish and maintain Information Security policies and 
procedures for classifying, declassifying, safeguarding, and disposing 
of classified national security information and materials.
    (D) Investigate or delegate authority to investigate any potential 
compromises of classified national security information and take 
corrective action for violations or infractions under section 5.5(b) of 
Executive Order 13526 or any subsequent order.
    (E) Develop and maintain oversight of all facilities throughout USDA 
where classified national security information is or will be 
safeguarded, discussed, or processed including sole authority to liaison 
with the Central Intelligence Agency concerning guidance, approval, 
requirements, and oversight of USDA secure facilities.

[[Page 227]]

    (F) Act as the USDA focal point to identify, receive, disseminate 
and safeguard USDA related intelligence information as required; convey 
information to USDA policy officials; and liaise with the intelligence 
community, as appropriate.
    (xi) Control within USDA the acquisition, use, and disposal of 
material and equipment that can be a source of ionizing radiation.
    (A) Promulgate policies and procedures for ensuring the safety of 
USDA employees, the public, and the environment resulting from USDA's 
use of ionizing radiation sources.
    (B) Maintain and ensure compliance with the Nuclear Regulatory 
Commission regulations (Title 10, Code of Federal Regulations) and 
license(s) issued to USDA for the acquisition, use, and disposal of 
radioactive materials.
    (9) Related to operations support to the Department of Agriculture 
headquarters complex, George Washington Carver Center, and leased 
facilities in the Washington metro area. (i) Provide services relating 
to facilities management and daily operational support for agencies and 
offices occupying USDA's headquarters complex, George Washington Carver 
Center, and, in coordination with the General Services Administration 
(GSA), USDA leased facilities in the Washington, DC metropolitan area, 
as well as at emergency relocation sites and certain critical facilities 
specified by the Assistant Secretary for Administration in the following 
areas:
    (A) Acquiring, leasing, utilizing, constructing, maintaining, and 
disposing of real property, including control of space assignments, and 
architecture and engineering design oversight.
    (B) Sustainable Operations leadership and management in the areas of 
internal energy efficiency, conservation and recycling in support of 
Executive Orders 13423, ``Strengthening Federal Environmental, Energy, 
and Transportation Management,'' 3 CFR, 2007 Comp., p. 193, and 13514, 
``Federal Leadership in Environmental, Energy, and Economic 
Performance'' (74 FR 52117, Oct. 8, 2009).
    (C) Occupational health, safety, and related functions; and 
environmental compliance pursuant to Executive Order 12088, ``Federal 
Compliance with Pollution Control Standards,'' 3 CFR, 1978 Comp., p. 
243, to ensure actions are taken for the prevention, control, and 
abatement of environmental pollution.
    (ii) Provide centralized Departmental business services including:
    (A) Printing, copy reproducing, offset composing, mail management 
and delivery, and automated mailing lists.
    (B) USDA Nationwide mail management policy.
    (C) Operation of a disability resource center for all USDA agencies 
in the Washington, DC metropolitan area and nationwide in the areas of 
accessible technologies and reasonable accommodations.
    (D) General supplies, shipping and receiving, warehouse and labor 
services.
    (E) Operation of a USDA Consolidated Forms and Publications 
Distribution Center for storage and nationwide distribution of USDA 
program forms and publications.
    (F) Excess personal property operations with disposition 
responsibility for all USDA agencies in the Washington, DC metropolitan 
area.
    (G) Operation of a GSA authorized Federal excess property Sales 
Center for USDA property and other government agencies in the 
Washington, DC metropolitan area via Memorandum of Understanding (MOU).
    (iii) Promulgate Departmental regulations, standards, techniques, 
and procedures and represent the Department in managing and maintaining 
a comprehensive physical and technical security program including access 
control, management of special police officer and guard services, 
executive driving, parking, ID badging in accordance with HSPD-12, 
occupant emergency and warden services at the USDA Headquarters Complex, 
George Washington Carver Center and, in coordination with GSA, USDA 
leased facilities in the Washington, DC metropolitan area, as well as at 
emergency relocation sites and certain critical facilities specified by 
the Assistant Secretary for Administration.
    (iv) Provide management and oversight of the Secretary's People's 
Garden initiative and the USDA Visitor's Center for education and 
outreach to USDA and the public.

[[Page 228]]

    (v) Represent the Department in contacts with other organizations or 
agencies on matters related to assigned responsibilities.
    (vi) Provide services, including travel support, conference 
management, and general administrative support including coordination of 
office renovations and moves (within USDA Whitten Building), with 
authority to take actions required by law or regulation to perform such 
services for:
    (A) The Secretary of Agriculture.
    (B) The general officers of the Department, except the Inspector 
General.
    (C) The offices and agencies reporting to the Assistant Secretary 
for Administration.
    (D) The Office of the Assistant Secretary for Civil Rights.
    (E) Any other offices or agencies of the Department as may be 
agreed.
    (vii) Prepare responses to requests under the Freedom of Information 
Act with authority to take actions as required by law or regulation for 
the office and agencies reporting to the Assistant Secretary for 
Administration.
    (viii) Administer the records management program in support of 
Departmental Management, and prepare and coordinate responses to 
management audits by the Inspector General and the Government 
Accountability Office, with authority to take actions as required by law 
or regulation for the offices and agencies reporting to the Assistant 
Secretary for Administration.
    (10) Related to Secretarial correspondence. (i) Exercise 
responsibility for all correspondence control and related records 
management functions for the Office of the Secretary.
    (ii) Provide administrative, editorial, and project management 
support services to the Immediate Office of the Secretary.
    (11) [Reserved]
    (12) Related to Office of Administrative Law Judges. (i) Assign, 
after appropriate consultation with other general officers, to the 
Office of Administrative Law Judges proceedings not subject to 5 U.S.C. 
556 and 557, involving the holdings of hearings and performance of 
related duties pursuant to the applicable rules of practice, when the 
Assistant Secretary for Administration determines that because of the 
nature of the proceeding it would be desirable for the proceeding to be 
presided over by an Administrative Law Judge and that such duties and 
responsibilities would not be inconsistent with those of an 
Administrative Law Judge.
    (ii) Provide administrative supervision of the Office of 
Administrative Law Judges.
    (iii) Maintain overall responsibility and control over the Hearing 
Clerk's activities which include the custody of and responsibility for 
the control, maintenance, and servicing of the original and permanent 
records of all USDA administrative proceedings conducted under the 
provisions of 5 U.S.C. 556 and 557:
    (A) Receiving, filing and acknowledging the receipt of complaints, 
petitions, answers, briefs, arguments, and all other documents that may 
be submitted to the Secretary or the Department of Agriculture in such 
proceedings.
    (B) Receiving and filing complaints, notices of inquiry, orders to 
show cause, notices of hearing, designations of Administrative Law 
Judges or presiding officers, answers, briefs, arguments, orders, and 
all other documents that may be promulgated or issued by the Secretary 
or other duly authorized officials of the Department of Agriculture in 
such proceedings.
    (C) Supervising the service upon the parties concerned of any 
documents that are required to be served, and where required, preserving 
proof of service.
    (D) Keeping a docket record of all such documents and proceedings.
    (E) Filing a stenographic record of each administrative hearing 
where a transcript is required.
    (F) Preparing for certification and certifying under the Secretary's 
facsimile signature, material on file in the Hearing Clerk's office.
    (G) Performing any other clerical duties with respect to the 
documents relative to such proceedings as may be required to be 
performed.
    (H) Cooperating with the Office of Operations in the letting of 
contracts for stenographic and reporting services; and forwarding 
vouchers to appropriate agencies for payment.

[[Page 229]]

    (I) Receiving and compiling data, views or comments filed in 
response to notices of proposed standards or rules or regulations.
    (J) Performing upon request the following services with respect to 
any hearings in such proceedings:
    (1) Arranging for suitable hearing place.
    (2) Arranging for stenographic reporting of hearings and handling 
details in connection therewith.
    (13) Other general. (i) Carry out prize competition authorities in 
section 24 of the Stevenson-Wydler Technology Innovation Act of 1980 (15 
U.S.C. 3719) related to functions otherwise delegated to the Assistant 
Secretary for Administration, except for authorities delegated to the 
Chief Financial Officer in Sec.  2.28(a)(29) and authorities reserved to 
the Secretary in paragraph (b)(3) of this section.
    (ii) [Reserved]
    (b) The following authorities are reserved to the Secretary of 
Agriculture:
    (1) Related to financial systems and budget formulation and 
execution.
    (i) Final approval of the Department's program and financial plans.
    (ii) [Reserved]
    (2) Related to human resources management. Make final determinations 
in the following areas:
    (i) Separation of employees for security reasons.
    (ii) Restoration to duty of employees following suspension from duty 
for security reasons.
    (iii) Reinstatement or restoration to duty or the employment of any 
person separated for security reasons.
    (iv) Issuance of temporary certificates to occupy sensitive 
positions.
    (3) Other general. (i) Approval of prize competitions that may 
result in the award of more than $1,000,000 in cash prizes under section 
24(m)(4)(B) of the Stevenson-Wydler Technology Innovation Act of 1980 
(15 U.S.C. 3719(m)(4)(B)).
    (ii) [Reserved]

[75 FR 43368, July 23, 2010, as amended at 77 FR 14951,14952, Mar. 14, 
2012; 78 FR 40937, July 9, 2013; 79 FR 44109, July 30, 2014; 80 FR 
58337, Sept. 29, 2015]



Sec.  2.25  Assistant Secretary for Civil Rights.

    (a) The following delegations of authority are made by the Secretary 
to the Assistant Secretary for Civil Rights:
    (1) Provide overall leadership, coordination, and direction for the 
Department's programs of civil rights, including program delivery, 
compliance, and equal employment opportunity, with emphasis on the 
following:
    (i) Actions to enforce Title VI of the Civil Rights Act of 1964, 42 
U.S.C. 2000d, prohibiting discrimination in federally assisted programs.
    (ii) Actions to enforce Title VII of the Civil Rights Act of 1964, 
as amended, 42 U.S.C. 2000e, prohibiting discrimination in Federal 
employment.
    (iii) Actions to enforce Title IX of the Education Amendments of 
1972, 20 U.S.C. 1681, et seq., prohibiting discrimination on the basis 
of sex in USDA education programs and activities funded by the 
Department.
    (iv) Actions to enforce the Age Discrimination Act of 1975, 42 
U.S.C. 6102, prohibiting discrimination on the basis of age in USDA 
programs and activities funded by the Department.
    (v) Actions to enforce section 504 of the Rehabilitation Act of 
1973, as amended, 29 U.S.C. 794, prohibiting discrimination against 
individuals with disabilities in USDA programs and activities funded or 
conducted by the Department.
    (vi) Actions to enforce related Executive Orders, Congressional 
mandates, and other laws, rules, and regulations, as appropriate.
    (2) Evaluate Departmental agency programs, activities, and impact 
statements for civil rights concerns.
    (3) Analyze and evaluate program participation data and equal 
employment opportunity data, and make its analyses available to other 
appropriate Departmental entities, including the Office of Advocacy and 
Outreach and affected agencies and mission areas.
    (4) Provide leadership and coordinate the Department-wide programs 
of public notification regarding the availability of USDA programs and 
employment opportunities on a nondiscriminatory basis.

[[Page 230]]

    (5) Coordinate with the Department of Justice on matters relating to 
title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d), title IX of 
the Education Amendments of 1972 (20 U.S.C. 1681, et seq.), and section 
504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. 794), 
except those matters in litigation, including administrative enforcement 
actions, which shall be coordinated by the Office of General Counsel.
    (6) Coordinate with the Department of Health and Human Services on 
matters relating to the Age Discrimination Act of 1975, 42 U.S.C. 6102, 
except those matters in litigation, including administrative enforcement 
actions, which shall be coordinated by the Office of General Counsel.
    (7) Order proceedings and hearings in the Department pursuant to 
Sec. Sec.  15.9(e) and 15.86 of this title, which concern consolidated 
or joint hearings within the Department or with other Federal 
departments and agencies.
    (8) Order proceedings and hearings in the Department pursuant to 
Sec.  15.8 of this title after the program agency has advised the 
applicant or recipient of his or her failure to comply and has 
determined that compliance cannot be secured by voluntary means.
    (9) Issue orders to give a notice of hearing or the opportunity to 
request a hearing pursuant to part 15 of this title; arrange for the 
designation of an Administrative Law Judge to preside over any such 
hearing; and determine whether the Administrative Law Judge so 
designated will make an initial decision or certify the record to the 
Secretary with his or her recommended findings and proposed action.
    (10) Authorize the taking of action pursuant to Sec.  15.8(a) of 
this title relating to compliance by ``other means authorized by law.''
    (11) Make determinations required by Sec.  15.8(d) of this title 
that compliance cannot be secured by voluntary means, and then take 
action, as appropriate.
    (12) Make determinations that program complaint investigations 
performed under Sec.  15.6 of this title establish a proper basis for 
findings of discrimination and that actions taken to correct such 
findings are adequate.
    (13) Investigate (or make determinations that program complaint 
investigations establish a proper basis for final determinations), make 
final determinations on both the merits and required corrective action, 
and, where applicable, make recommendations to the Secretary that relief 
be granted under 7 U.S.C. 6998(d) notwithstanding the finality of 
National Appeals Division decisions, as to complaints filed under parts 
15a, 15b, and 15d of this title.
    (14) Conduct civil rights investigations and compliance reviews 
Department-wide.
    (15) Develop regulations, plans, and procedures necessary to carry 
out the Department's civil rights programs, including the development, 
implementation, and coordination of Action Plans.
    (16) Related to Equal Employment Opportunity (EEO). Is designated as 
the Department's Director of Equal Employment Opportunity with 
authority:
    (i) To perform the functions and responsibilities of that position 
under 29 CFR part 1614, including the authority:
    (A) To make changes in programs and procedures designed to eliminate 
discriminatory practices and improve the Department's EEO program.
    (B) To provide EEO services for managers and employees.
    (C) To make final agency decisions, or enter into settlement 
agreements on EEO complaints by Department employees or applicants for 
employment and order such corrective measures in response to such 
complaints as may be considered necessary, except that in qualifying 
cases as described in Sec.  2.31(a)(18) the Assistant Secretary for 
Civil Rights must first obtain legal sufficiency review and concurrence 
by the General Counsel before extending settlement offers or entering 
into settlement agreements. Corrective measures may include recommending 
to the Office of Human Resources Management and the affected agency or 
office that appropriate disciplinary action be taken when an employee 
has been found to have engaged in a discriminatory practice.
    (ii) Administer the Department's EEO program.
    (iii) Oversee and manage the EEO counseling function for the 
Department.

[[Page 231]]

    (iv) Process formal EEO complaints by employees or applicants for 
employment.
    (v) Investigate Department EEO complaints and make final decisions 
on EEO complaints, except in those cases where the Assistant Secretary 
for Civil Rights (or a person directly supervised by the Assistant 
Secretary for Civil Rights) has participated in the events that gave 
rise to the matter.
    (vi) Order such corrective measures in EEO complaints as may be 
considered necessary. Corrective measures may include recommending to 
the Office of Human Resources Management and the affected agency or 
office that appropriate disciplinary action be taken when an employee 
has been found to have engaged in a discriminatory practice.
    (vii) Provide liaison on EEO matters concerning complaints and 
appeals with the Department agencies and Department employees.
    (viii) Conduct EEO evaluations and develop policy regarding EEO 
programs.
    (ix) Provide liaison on EEO programs and activities with the Equal 
Employment Opportunity Commission and the Office of Personnel 
Management.
    (17) Administer the discrimination appeals and complaints program 
for the Department, including all formal individual or group appeals, 
where the system provides for an avenue of redress to the Department 
level, Equal Employment Opportunity Commission, or other outside 
authority, and provide timely notice of such appeals to the Office of 
General Counsel and the Civil Rights Director of the affected agency.
    (18) Make final determinations, or enter into settlement agreements, 
on discrimination complaints in federally conducted programs subject to 
the Equal Credit Opportunity Act. This delegation includes the authority 
to make compensatory damage awards whether pursuant to a final 
determination or in a settlement agreement under the authority of the 
Equal Credit Opportunity Act and the authority to obligate agency funds, 
including Commodity Credit Corporation and Federal Crop Insurance 
Corporation funds to satisfy such an award.
    (19) Make final determinations in proceedings under part 15f of this 
title where review of an administrative law judge decision is 
undertaken.
    (20) Provide civil rights and equal employment opportunity support 
services, with authority to take actions required by law or regulation 
to perform such services for:
    (i) The Secretary of Agriculture.
    (ii) The general officers of the Department.
    (iii) The offices and agencies reporting to the Assistant Secretary 
for Administration.
    (iv) Any other offices or agencies of the Department as may be 
agreed.
    (21) Related to Alternative Dispute Resolution.
    (i) Designate the senior official to serve as the Department Dispute 
Resolution Specialist pursuant to section 3 of the Administrative 
Dispute Resolution Act, Public Law 101-552, as amended (5 U.S.C. 571 
note), and provide leadership, direction, and coordination for the 
Department's conflict prevention and resolution activities.
    (ii) Issue Departmental regulations, policies, and procedures 
relating to the use of Alternative Dispute Resolution (ADR) to resolve 
employment complaints and grievances, workplace disputes, program 
complaints alleging civil rights violations, and contract and 
procurement disputes.
    (iii) Provide ADR services for:
    (A) The Secretary of Agriculture.
    (B) The general officers of the Department.
    (C) The offices and agencies reporting to the Assistant Secretary 
for Administration.
    (D) Any other office or agency of the Department as may be agreed.
    (iv) Develop and issue standards for mediators and other ADR 
neutrals utilized by the Department.
    (v) Coordinate ADR activities throughout the Department.
    (vi) Monitor agency ADR programs and report at least annually to the 
Secretary on the Department's ADR activities.
    (22) Prepare, submit, and make publicly available the civil rights 
report required by section 14010 of the Food, Conservation, and Energy 
Act of 2008 (7 U.S.C. 2279-2).

[[Page 232]]

    (23) Redelegate, as appropriate, any authority delegated under 
paragraphs (a)(1) through (22) of this section to general officers of 
the Department and heads of Departmental agencies.
    (24) Award grants and enter into cooperative agreements, as 
appropriate, under the following authorities only for the purpose of 
conducting outreach efforts in connection with the duties and powers 
delegated to the Assistant Secretary for Civil Rights under this 
section:
    (i) Grants and cooperative agreements under section 2501(a)(3) of 
the Food, Agriculture, Conservation, and Trade Act of 1990 (7 U.S.C. 
2279(a)(3));
    (ii) Cooperative agreements under section 1472(b) of the National 
Agricultural Research, Extension, and Teaching Policy Act of 1977 (7 
U.S.C. 3318(b));
    (iii) Grants and cooperative agreements under section 1472(c) of the 
National Agricultural Research, Extension, and Teaching Policy Act of 
1977 (7 U.S.C. 3318(c));
    (iv) Cooperative agreements under section 607(b)(4) of the Rural 
Development Act of 1972 (7 U.S.C. 2204b(b)(4)); and
    (v) Cooperative agreements under section 714 of the Agriculture, 
Rural Development, Food and Drug Administration, and Related Agencies 
Appropriations Act, 2001 (7 U.S.C. 6962a).
    (25) Carry out prize competition authorities in section 24 of the 
Stevenson-Wydler Technology Innovation Act of 1980 (15 U.S.C. 3719) 
related to functions otherwise delegated to the Assistant Secretary for 
Civil Rights, except for authorities delegated to the Chief Financial 
Officer in Sec.  2.28(a)(29) and authorities reserved to the Secretary 
in paragraph (b)(1) of this section.
    (b) The following authorities are reserved to the Secretary of 
Agriculture:
    (1) Approval of prize competitions that may result in the award of 
more than $1,000,000 in cash prizes under section 24(m)(4)(B) of the 
Stevenson-Wydler Technology Innovation Act of 1980 (15 U.S.C. 
3719(m)(4)(B)).
    (2) [Reserved]

[77 FR 14953, Mar. 14, 2012, as amended at 78 FR 40937, July 9, 2013; 79 
FR 44109, July 30, 2014; 80 FR 58337, Sept. 29, 2015]



Subpart D_Delegations of Authority to Other General Officers and Agency 
                                  Heads

    Editorial Note: Nomenclature changes to subpart D of part 2 appear 
at 60 FR 66713, Dec. 26, 1995.



Sec.  2.27  Office of Administrative Law Judges.

    (a) The following designations are made by the Secretary of 
Agriculture to the Office of Administrative Law Judges:
    (1) Administrative law judges (formerly hearing examiners) are 
designated pursuant to 5 U.S.C. 556(b)(3) to hold hearings and perform 
related duties in proceedings subject to 5 U.S.C. 556 and 557, arising 
under the Agricultural Marketing Agreement Act of 1937, as amended (7 
U.S.C. 601 et seq.); the Commodity Exchange Act as amended (7 U.S.C. 1 
et seq.); the Perishable Agricultural Commodities Act, as amended (7 
U.S.C. 499a et seq.); the Federal Seed Act, as amended (7 U.S.C. 1551 et 
seq.); the (Laboratory) Animal Welfare Act, as amended (7 U.S.C. 2131 et 
seq.); the Packers and Stockyards Act, 1921, as amended and supplemented 
(7 U.S.C. 181 et seq.); the Forest Resources Conservation and Shortage 
Relief of 1990 (16 U.S.C. 630 et seq.); and any other acts providing for 
hearings to which the provisions of 5 U.S.C. 556 and 557, are 
applicable. Pursuant to the applicable rules of practice, the 
administrative law judges shall make initial decisions in adjudication 
and rate proceedings subject to 5 U.S.C. 556 and 557. Such decisions 
shall become final without further proceedings unless there is an appeal 
to the Secretary by a party to the proceeding in accordance with the 
applicable rules of practice: Provided, however, that no decision shall 
be final for purposes of judicial review except a final decision of the 
Secretary upon appeal. As used herein, ``Secretary'' means the Secretary 
of Agriculture, the Judicial Officer, or other officer or employee of 
the Department delegated, pursuant to the Act of April 4, 1940 (7 U.S.C. 
450c-450g), and Reorganization Plan No. 2 of 1953 (5 U.S.C. App.), 
``regulatory functions'' as that

[[Page 233]]

term is defined in the 1940 Act, in acting as final deciding officer in 
adjudication and rate proceedings subject to 5 U.S.C. 556 and 557. 
Administrative Law Judges are delegated authority to hold hearings and 
perform related duties as provided in the Rules of Practice Governing 
Cease and Desist Proceedings Under Section 2 of the Capper-Volstead Act, 
set forth in part 1, subpart I of this title.
    (2) [Reserved]
    (b) The Chief Administrative Law Judge is delegated the following 
administrative responsibilities subject to the guidance and control of 
the Assistant Secretary for Administration (See Sec.  2.24(a)(12)):
    (1) Exercise general responsibility and authority for all matters 
related to the administrative activities of the Office of Administrative 
Law Judges; and
    (2) Direct the functions of the Hearing Clerk as set out in Sec.  
2.24(a)(12)(iii).

[60 FR 56393, Nov. 8, 1995, as amended at 75 FR 43380, July 23, 2010]



Sec.  2.28  Chief Financial Officer.

    (a) The Chief Financial Officer, under the supervision of the 
Secretary of Agriculture, is responsible for executing the duties 
enumerated for agency Chief Financial Officers in the Chief Financial 
Officers Act of 1990, Public Law 101-576, 31 U.S.C. 902, and additional 
specified duties, including:
    (1) Report directly to the Secretary regarding financial management 
matters.
    (2) Oversee all financial management activities relating to the 
programs and operations of the Department and component agencies.
    (3) Develop and maintain an integrated accounting and financial 
system for the Department and component agencies, including financial 
reporting and internal controls, which--
    (i) Complies with applicable accounting principles, standards, and 
requirements, and internal control standards;
    (ii) Complies with such policies and requirements as may be 
prescribed by the Director of the Office of Management and Budget (OMB);
    (iii) Complies with any other requirements applicable to such 
systems; and
    (iv) Provides for complete, reliable, consistent, and timely 
information which is prepared on a uniform basis and which is responsive 
to the financial information needs of Department management and for the 
development and reporting of cost information, the integration of 
accounting and budgeting information, and the systematic measurement of 
performance.
    (4) Make recommendations to the Secretary regarding the selection of 
the Deputy Chief Financial Officer of the Department, and selection of 
principal financial officers of component agencies of the Department.
    (5) Direct, manage, and provide policy guidance and oversight of 
Department financial management personnel, activities, and operations, 
including:
    (i) Prepare and annually revise a Departmental plan to:
    (A) Implement the 5-year financial management plan prepared by the 
Director of OMB under 31 U.S.C. 3512(a)(3); and
    (B) Comply with the requirements established for agency financial 
statements under 31 U.S.C. 3515 and with the requirements for audits of 
Department financial statements established in 31 U.S.C. 3521(e) and 
(f).
    (ii) Develop Departmental financial management budgets, including 
the oversight and recommendation of approval of component agency 
financial management budgets.
    (iii) Recruit, select, and train personnel to carry out Departmental 
financial management functions.
    (iv) Approve and manage Departmental, and approve component agency, 
financial management systems design or enhancement projects.
    (v) Implement and approve Departmental, and approve component 
agency, asset management systems, including systems for cash management, 
credit management, debt collection, and property and inventory 
management and control.
    (6) Prepare and transmit, by not later than 60 days after the 
submission of the audit report required by 31 U.S.C. 3521(f), an annual 
report to the Secretary and the Director of OMB, which shall include:
    (i) A description and analysis of the status of financial management 
of the Department.

[[Page 234]]

    (ii) The annual financial statements prepared under 31 U.S.C. 3521.
    (iii) The audit report transmitted to the Secretary under 31 U.S.C. 
3521.
    (iv) A summary of the reports on internal accounting and 
administrative control systems submitted to the President and the 
Congress under the amendments made by the Federal Managers' Financial 
Integrity Act of 1982 (31 U.S.C. 1113, 3512).
    (v) Other information the Secretary considers appropriate to inform 
fully the President and the Congress concerning the financial management 
of the Department.
    (7) Monitor the financial execution of the budget of the Department 
in relation to projected and actual expenditures, and prepare and submit 
to the Secretary timely performance reports.
    (8) Review, on a biennial basis, the fees, royalties, rent, and 
other charges imposed by the Department for services and things of value 
it produces, and make recommendations on revising those charges to 
reflect costs incurred by the Department in providing those services and 
things of value.
    (9) Access all records, reports, audits, reviews, documents, papers, 
recommendations, or other material that are the property of the 
Department or that are available to the Department, and that relate to 
programs and operations with respect to which the Chief Financial 
Officer has responsibilities, except that this grant allows no access 
greater than that permitted under any other law to records, reports, 
audits, reviews, documents, papers, recommendations, or other material 
of the Office of Inspector General.
    (10) Request such information or assistance as may be necessary for 
carrying out the duties and responsibilities granted by the Chief 
Financial Officers Act of 1990 (Pub. L. 101-576), from any Federal, 
State, or local governmental entity.
    (11) To the extent and in such amounts as may be provided in advance 
by appropriations acts, enter into contracts and other arrangements with 
public agencies and with private persons for the preparation of 
financial statements, studies, analyses, and other services, and making 
such payments as may be necessary to carry out the duties and 
prerogatives of the Chief Financial Officer.
    (12) Designate the Department's Comptroller of the Department 
Working Capital Fund.
    (13) Establish Departmental policies, standards, techniques, and 
procedures applicable to all USDA agencies for the following areas:
    (i) Development, maintenance, review and approval of all 
departmental, and review and approval of component agency, internal 
control, fiscal, financial management and accounting systems including 
the financial aspects of payment management and property systems.
    (ii) Selection, standardization, and simplification of program 
delivery processes utilizing grants, cooperative agreements and other 
forms of Federal assistance.
    (iii) Review and approval of Federal assistance, internal control, 
fiscal, accounting and financial management regulations and instructions 
proposed or issued by USDA agencies for conformity with Departmental 
requirements.
    (iv) Section 5301 of the Anti-Drug Abuse Act of 1988 (21 U.S.C. 862) 
as it relates to grants, loans, and licenses.
    (14) Establish policies related to the Department Working Capital 
Fund.
    (15) Approve regulations, procedures and rates for goods and 
services financed through the Department Working Capital Fund which will 
impact the financial administration of the Fund.
    (16) Exercise responsibility and authority for operating USDA's 
financial and subsidiary management systems and related administrative 
systems including: Departmentwide payroll and personnel information 
systems, statistics, administrative payments, billings and collections, 
and related reporting systems that are either requested by the agencies 
or required by the Department.
    (17) Manage the National Finance Center (NFC).
    (18) Provide management support services for the NFC, and by 
agreement with agency heads concerned, provide such services for other 
USDA tenants housed in the same facility. As used herein, such 
management support services shall include:

[[Page 235]]

    (i) Personnel services, as listed in Sec.  2.24(a)(4)(x), and 
organizational support services, with authority to take actions required 
by law or regulation to perform such services; and
    (ii) Procurement, property management, space management, 
communications, messenger, paperwork management, and related 
administrative services, with authority to take actions required by law 
or regulation to perform such services.
    (19) Exercise responsibility and authority for all matters related 
to the Department's accounting and financial operations including such 
activities as:
    (i) Financial administration, including accounting and related 
activities.
    (ii) Reviewing financial aspects of agency operations and proposals.
    (iii) Furnishing consulting services to agencies to assist them in 
developing and maintaining accounting and financial management systems 
and internal controls, and for other purposes consistent with 
delegations in paragraph (a)(13) of this section.
    (iv) Reviewing and monitoring agency implementation of Federal 
assistance policies.
    (v) Reviewing and approving agencies' accounting systems 
documentation including related development plans, activities, and 
controls.
    (vi) Monitoring agencies' progress in developing and revising 
accounting and financial management systems and internal controls.
    (vii) Evaluating agencies' financial systems to determine the 
effectiveness of procedures employed, compliance with regulations, and 
the appropriateness of policies and practices.
    (viii) Promulgation of Department schedule of fees and charges for 
reproductions, furnishing of copies and making searches for official 
records pursuant to the Freedom of Information Act, 5 U.S.C. 552.
    (ix) Monitoring USDA implementation of section 5301 of the Anti-Drug 
Abuse Act of 1988 (21 U.S.C. 862) as it relates to grants, loans, and 
licenses.
    (20) Establish Department and approve component agency programs, 
policies, standards, systems, techniques and procedures to improve the 
management and operational efficiency and effectiveness of the USDA 
including:
    (i) Increased use of operations research and management science in 
the areas of productivity and management.
    (ii) All activities financed through the Department Working Capital 
Fund.
    (21) Develop Departmental policies, standards, techniques, and 
procedures for the conduct of reviews and analysis of the utilization of 
the resources of State and local governments, other Federal agencies and 
of the private sector in domestic program operations.
    (22) Represent the Department in contacts with OMB, General Services 
Administration, GAO, Department of the Treasury, Office of Personnel 
Management, Department of Health and Human Services, Department of 
Labor, Environmental Protection Agency, Department of Commerce, Congress 
of the United States, State and local governments, universities, and 
other public and private sector individuals, organizations or agencies 
on matters related to assigned responsibilities.
    (23) Establish policies related to travel by USDA employees.
    (24) Provide budget, accounting, fiscal, and related financial 
management services, with authority to take action required by law or 
regulation to provide such services for:
    (i) The Secretary of Agriculture.
    (ii) The general officers of the Department, except the Inspector 
General.
    (iii) The offices and agencies reporting to the Assistant Secretary 
for Administration as a Working Capital Fund activity.
    (iv) Any other offices or agencies of the Department as may be 
agreed.
    (25) Develop, promulgate, and coordinate Department-wide policy 
concerning nonprocurement debarment and suspension.
    (26) Prepare and submit to Congress reports on conferences sponsored 
or held by the Department or attended by employees of the Department (7 
U.S.C. 2255b).
    (27) Administer the debarment authorities in section 14211 of the 
Food, Conservation, and Energy Act of 2008 (7 U.S.C. 2209j) in 
coordination with the Director, Office of Procurement and Property 
Management.

[[Page 236]]

    (28) Redelegate, as appropriate, any authority delegated under 
paragraphs (a)(1) through (27) of this section to general officers of 
the Department and heads of Departmental agencies.
    (29) Provide Departmentwide guidance on implementation of prize 
competition authority in section 24 of the Stevenson-Wydler Technology 
Innovation Act of 1980 (15 U.S.C. 3719); develop guidelines to ensure 
that judges appointed for prize competitions under that authority are 
fairly balanced and operate in a transparent manner (15 U.S.C. 
3719(k)(3)).
    (b) The following authorities are reserved to the Secretary of 
Agriculture:
    (1) Approval of prize competitions that may result in the award of 
more than $1,000,000 in cash prizes under section 24(m)(4)(B) of the 
Stevenson-Wydler Technology Innovation Act of 1980 (15 U.S.C. 
3719(m)(4)(B)).
    (2) [Reserved]

[79 FR 44110, July 30, 2014, as amended at 80 FR 58338, Sept. 29, 2015]



Sec.  2.29  Chief Economist.

    (a) The following delegations of authority are made by the Secretary 
of Agriculture to the Chief Economist:
    (1) Related to economic analysis. (i) Coordinate economic analyses 
of, and review Department decisions involving, policies and programs 
that have substantial economic implications.
    (ii) Review and assess the economic impact of all significant 
regulations proposed by any agency of the Department.
    (iii) Review economic data and analyses used in speeches and 
Congressional testimony by Department personnel and in materials 
prepared for release through the press, radio, and television.
    (2) Related to risk assessment. (i) Responsible for assessing the 
risks to human health, human safety, or the environment, and for 
preparing cost-benefit analyses, with respect to proposed major 
regulations, and for publishing such assessments and analyses in the 
Federal Register as required by section 304 of the Department of 
Agriculture Reorganization Act of 1994 (7 U.S.C. 2204e).
    (ii) Provide direction to Department agencies in the appropriate 
methods of risk assessment and cost-benefit analyses and coordinate and 
review all risk assessments and cost-benefit analyses prepared by any 
agency of the Department.
    (3) Related to food and agriculture outlook and situation. (i) 
Coordinate and review all crop and commodity data used to develop 
outlook and situation material within the Department.
    (ii) Oversee and clear for consistency analytical assumptions and 
results of all estimates and analyses which significantly relate to 
international and domestic commodity supply and demand, including such 
estimates and analyses prepared for public distribution by the Foreign 
Agricultural Service, the Economic Research Service, or by any other 
agency or office of the Department.
    (4) Related to weather and climate. (i) Advise the Secretary on 
climate and weather activities, and coordinate the development of policy 
options on weather and climate.
    (ii) Coordinate all weather and climate information and monitoring 
activities within the Department and provide a focal point in the 
Department for weather and climate information and impact assessment.
    (iii) Arrange for appropriate representation to attend all meetings, 
hearings, and task forces held outside the Department which require such 
representation.
    (iv) Designate the Executive Secretary of the USDA Weather and 
Climate Program Coordinating Committee.
    (5) Related to interagency commodity estimates committees. (i) 
Establish Interagency Commodity Estimates Committees for Commodity 
Credit Corporation price-supported commodities, for major products 
thereof, and for commodities where a need for such a committee has been 
identified, in order to bring together estimates and supporting analyses 
from participating agencies, and to develop official estimates of 
supply, utilization, and prices for commodities, including the effects 
of new program proposals on acreage, yield, production, imports, 
domestic utilization, price, income, support programs, carryover, 
exports, and availabilities for export.

[[Page 237]]

    (ii) Designate the Chairman, who shall also act as Secretary, for 
all Interagency Commodity Estimates Committees.
    (iii) Assure that all committee members have the basic assumptions, 
background data and other relevant data regarding the overall economy 
and market prospects for specific commodities.
    (iv) Review for consistency of analytical assumptions and results 
all proposed decisions made by Commodity Estimates Committees prior to 
any release outside the Department.
    (6) [Reserved]
    (7) Related to long-range commodity and agricultural-sector 
projections. Establish committees of the agencies of the Department to 
coordinate the development of a set of analytical assumptions and long-
range agricultural-sector projections (2 years and beyond) based on 
commodity projections consistent with these assumptions and coordinated 
through the Interagency Commodity Estimates Committees.
    (8) Related to agricultural labor affairs. Exercise the following 
functions of the Secretary under the Immigration and Nationality Act 
(INA), as amended (8 U.S.C. 1101 et seq.):
    (i) Pursuant to section 214(c) of INA (8 U.S.C. 1184(c)), provide 
consultation to the Attorney General and the Secretary of Labor 
concerning the question of the importation of aliens as nonimmigrant 
temporary agricultural workers, known as ``H-2A'' workers, under 8 
U.S.C. 1101(a)(15)(H)(ii)(a);
    (ii) Pursuant to section 218(e) of the INA (8 U.S.C. 1188 note), 
provide consultation to the Attorney General and the Secretary of Labor 
concerning all regulations to implement 8 U.S.C. 101(a)(15)(H)(ii)(a) 
and 1188 providing for the importation of H-2A workers;
    (iii) Pursuant to section 210(h) of the INA (8 U.S.C. 1160(h)), 
promulgate regulations to define ``seasonal agricultural services'' for 
purposes of the Special Agricultural Worker (SAW) Program;
    (iv) Pursuant to section 210A(a) of the INA (8 U.S.C. 1161(a)), 
determine jointly with the Secretary of Labor the number (if any) of 
additional special agricultural workers, known as ``replenishment 
agricultural workers'' (RAWs), who should be admitted to the United 
States or otherwise acquire the status of aliens lawfully admitted for 
temporary residence during fiscal years 1990 through 1993 to meet a 
shortage of workers to perform seasonal agricultural services in the 
United States during each such fiscal year;
    (v) Pursuant to section 210A(a)(7) of the INA (8 U.S.C. 1161(a)(7)), 
determine jointly with the Secretary of Labor emergency requests to 
increase the shortage number;
    (vi) Pursuant to section 210A(a)(8) of the INA (8 U.S.C. 
1161(a)(8)), determine jointly with the Secretary of Labor requests to 
decrease the number of man-days of seasonal agricultural services 
required of RAWs to avoid deportation and for naturalization under 
section 210A(d)(5)(A) and (B) of the INA (8 U.S.C. 1161(d)(5)(A) and 
(B));
    (vii) Pursuant to section 210A(b)(1) of the INA (8 U.S.C. 
1161(b)(1)), calculate jointly with the Secretary of Labor and annual 
numerical limitation on the number of RAWs who may be admitted or 
otherwise acquire the status of aliens lawfully admitted for temporary 
residence during fiscal years 1990 through 1993 under section 210A(c)(1) 
of the INA (8 U.S.C. 1161(c)(1)); and
    (viii) Pursuant to section 210A(b)(2) of the INA (8 U.S.C. 
1161(b)(2)), establish jointly with the Secretary of Labor the 
information that must be reported by any person or entity who employs 
SAWs or RAWs in seasonal agricultural services during fiscal years 1989 
through 1992, and to designate jointly with the Secretary of Labor the 
official to whom the person or entity must furnish such certification.
    (9) Related to the Capper-Volstead Act. Serve as Chairman of the 
Capper-Volstead Act Committee to identify cases of undue price 
enhancement by associations of producers and issue complaints requiring 
such associations to show cause why an order should not be made 
directing them to cease and desist from monopolization or restraint of 
trade. The Chairman is authorized to call upon any agency of the 
Department for support in carrying the functions of the Committee (7 
U.S.C. 292).
    (10) Related to committee management. Establish and reestablish 
regional, state, and local advisory committees

[[Page 238]]

for activities under his or her authority. This authority may not be 
redelegated.
    (11) Related to energy. (i) Advise the Secretary and other policy-
level officials of the Department on energy policies and programs, 
including legislative and budget proposals.
    (ii) Serve as or designate the Department representative at 
hearings, conferences, meetings and other contacts with respect to 
energy and energy-related matters, including liaison with the Department 
of Energy, the Environmental Protection Agency and other governmental 
agencies and departments.
    (iii)-(iv) [Reserved]
    (v) Provide Department leadership in:
    (A) Analyzing and evaluating existing and proposed energy policies 
and strategies, including those regarding the allocation of scarce 
resources;
    (B) Developing energy policies and strategies, including those 
regarding the allocation of scarce resources;
    (C) Reviewing and evaluating Departmental energy and energy-related 
programs and programs progress;
    (D) Developing agricultural and rural components of national energy 
policy plans; and
    (E) Preparing reports on energy and energy-related polices and 
programs required under Acts of Congress and Executive orders, including 
those involving testimony and reports on legislative proposals.
    (vi) Provide Departmental oversight and coordination with respect to 
resources available for energy and energy-related activities, including 
funds transferred to USDA from other departments or agencies of the 
Federal Government pursuant to interagency agreements.
    (vii) Administer a competitive biodiesel fuel education grants 
program (7 U.S.C. 8106).
    (viii) Implement a memorandum of understanding with the Secretary of 
Energy regarding cooperation in the application of hydrogen and fuel 
cell technology programs for rural communities and agricultural 
producers.
    (12) Related to climate change.
    (i) Coordinate policy analysis, long-range planning, research, and 
response strategies relating to climate change issues.
    (ii) Provide liaison with other Federal agencies, through the Office 
of Science and Technology Policy, regarding climate change issues.
    (iii) Inform the Department of scientific developments and policy 
issues relating to the effects of climate change on agriculture and 
forestry, including broader issues that affect the impact of climate 
change on the farms and forests of the United States.
    (iv) Recommend to the Secretary alternative courses of action with 
which to respond to such scientific developments and policy issues.
    (v) Ensure that recognition of the potential for climate change is 
fully integrated into the research, planning, and decisionmaking 
processes of the Department.
    (vi) Coordinate global climate change studies.
    (vii) Coordinate the participation of the Department in interagency 
climate-related activities.
    (viii) Consult with the National Academy of Sciences and private, 
academic, State, and local groups with respect to climate research and 
related activities.
    (ix) Represent the Department to the Office of Science and 
Technology Policy on issues related to climate change.
    (x) Represent the Department on the Intergovernmental Panel on 
Climate Change.
    (xi) Review all Department budget items relating to climate change 
issues, including specifically the research budget to be submitted by 
the Secretary to the Office of Management and Budget.
    (13) Related to environment.
    (i) Coordinate implementation of section 1245 of the Food Security 
Act of 1985 regarding environmental services markets (16 U.S.C. 3845).
    (ii) [Reserved]
    (14) Related to agreements.
    (i) Enter into contracts, grants, or cooperative agreements to 
further research programs in the food and agricultural sciences (7 
U.S.C. 3318).
    (ii) Enter into cost-reimbursable agreements relating to 
agricultural research (7 U.S.C. 3319a).

[[Page 239]]

    (iii) Make competitive grants to, or enter into cooperative 
agreements with, agricultural and food policy research centers (7 U.S.C. 
3155).
    (15) Carry out prize competition authorities in section 24 of the 
Stevenson-Wydler Technology Innovation Act of 1980 (15 U.S.C. 3719) 
related to functions otherwise delegated to the Chief Economist, except 
for authorities delegated to the Chief Financial Officer in Sec.  
2.28(a)(29) and authorities reserved to the Secretary in paragraph 
(b)(1) of this section.
    (b) The following authorities are reserved to the Secretary of 
Agriculture:
    (1) Approval of prize competitions that may result in the award of 
more than $1,000,000 in cash prizes under section 24(m)(4)(B) of the 
Stevenson-Wydler Technology Innovation Act of 1980 (15 U.S.C. 
3719(m)(4)(B)).
    (2) [Reserved]

[60 FR 56393, Nov. 8, 1995, as amended at 63 FR 66979, Dec. 4, 1998; 64 
FR 40735, July 28, 1999; 68 FR 27442, May 20, 2003; 73 FR 56706, Sept. 
30, 2008; 74 FR 3405, Jan. 21, 2009; 77 FR 14952, Mar. 14, 2012; 78 FR 
40938, July 9, 2013; 79 FR 44111, July 30, 2014; 80 FR 58338, Sept. 29, 
2015]



Sec.  2.30  Director, Office of Budget and Program Analysis.

    (a) The following delegations of authority are made by the Secretary 
of Agriculture to the Director, Office of Budget and Program Analysis:
    (1) Serve as the Department's Budget Officer and exercise general 
responsibility and authority for all matters related to the Department's 
budgeting affairs including:
    (i) Resource administration, including all phases of the 
acquisition, and distribution of funds and staff years.
    (ii) Legislative and regulatory reporting and related activities.
    (2) Provide staff assistance for the Secretary, general officers, 
and other Department and agency officials.
    (3) Formulate and promulgate Departmental budgetary, legislative and 
regulatory policies and procedures.
    (4) Represent the Department in contacts with the Office of 
Management and Budget, the Government Accountability Office, the 
Department of the Treasury, Congressional Committees on Appropriations, 
and other organizations and agencies on matters related to his or her 
responsibility.
    (5) Coordinate and/or conduct policy and program analyses on agency 
operations and proposals to assist the Secretary, general officers and 
other Department and agency officials in formulating and implementing 
USDA policies and programs.
    (6) Review and analyze legislation, regulations, and policy options 
to determine their impact on USDA programs and policy objectives and on 
the Department's budget.
    (7) Monitor ongoing studies with significant program or policy 
implications.
    (8) Exercise responsibility for coordinating and overseeing the 
implementation of the Government Performance and Results Act of 1993, 
Public Law 103-62, and the GPRA Modernization Act of 2010, Public Law 
111-352, at the Department.
    (b) The following authority is reserved to the Secretary of 
Agriculture: Final approval of the Department's program and financial 
plans.

[79 FR 44111, July 30, 2014]



Sec.  2.31  General Counsel.

    (a) Related to legal services. The General Counsel, as the chief law 
officer of the Department, is legal advisor to the Secretary and other 
officials of the Department and responsible for providing legal services 
for all the activities of the Department. The delegations of authority 
by the Secretary of Agriculture to the General Counsel include the 
following:
    (1) Consider, ascertain, adjust, determine, compromise, and settle 
claims pursuant to the Federal Tort Claims Act, as amended (28 U.S.C. 
2671-2680), and the regulations of the Attorney General contained in 28 
CFR part 14; delegate the authority to consider, ascertain, adjust, 
determine, compromise, and settle, pursuant to the Federal Tort Claims 
Act as amended (28 U.S.C. 2671-2680) and the regulations of the Attorney 
General contained in 28 CFR part 14, claims less than $2500 that allege 
the negligence or wrongful act of an employee of a USDA agency; and 
consider, ascertain, adjust, determine

[[Page 240]]

compromise, and settle claims pursuant to section 920 of the Federal 
Agriculture Improvement and Reform Act of 1996, Public Law 104-127 (7 
U.S.C. 2262a).
    (2) Certify documents as true copies of those on file in the 
Department.
    (3) Sign releases of claims of the United States against private 
persons for damage to or destruction of property of the department, 
except those claims cognizable under the Contract Disputes Act of 1978 
(41 U.S.C. 601 et seq.).
    (4) Responsible for the overall management and operation of the Law 
Library, furnishing complete legal and legislative library services to 
the Office of the General Counsel and the Department.
    (5) Make determinations as to whether employees of the Department 
may retain commercial rights in inventions; prepare patent applications 
and prosecute the same before the Patent Office.
    (6) Represent the Department in formal rulemaking and adjudicatory 
proceedings held in connection with the administration of the 
Department's activities, and decide whether initial decisions of the 
administrative law judges shall be appealed by the Department to the 
Secretary.
    (7) Represent the Department in connection with legal issues that 
arise in its relations with the Congress, the General Accounting Office, 
or other agencies of the Government.
    (8) [Reserved]
    (9) In civil actions arising out of the activities of the 
Department, present the Department's case to the Attorney General and 
U.S. attorneys and, upon request of the Department of Justice, assist in 
the preparation and trial of such cases and in the briefing and argument 
of such cases at the appellate level.
    (10) Review cases having criminal aspects and refer them to the 
Department of Justice.
    (11) Act as liaison between the Department and the Department of 
Justice.
    (12) Perform the following legal services:
    (i) Render legal opinions on questions arising in the conduct of the 
Department's activities;
    (ii) Prepare or review regulations;
    (iii) Draft proposed legislation;
    (iv) Prepare or review contracts, mortgages, deeds, leases, and 
other documents; and
    (v) Examine titles to land to be acquired or accepted as security 
for loans.
    (13) Perform such other legal services as may be required in the 
administration of the Department's activities, including the defense 
program.
    (14) Serve as a member of the Capper-Volstead Act Committee to 
identify cases of undue price enhancement by associations of producers 
and issue complaints requiring such associations to show cause why an 
order should not be made directing them to cease and desist from 
monopolization or restraint of trade (7 U.S.C. 292).
    (15) Settle claims for damage to, or loss of, privately owned 
property pursuant to the provisions of 31 U.S.C. 3723.
    (16) Serve on the USDA Hazardous Materials Policy Council.
    (17) On a non-exclusive basis, assert in litigation the deliberative 
process privilege and other legally recognized privileges.
    (18) Conduct legal sufficiency reviews and concur prior to final 
implementation for all Equal Employment Opportunity (EEO) settlement 
offers and agreements involving complaints that:
    (i) Are brought by, or allege discriminatory conduct by, any 
political appointee;
    (ii) Involve any combination of compensatory damages, attorney's 
fees, back pay awards, or any other compensation resulting in costs to 
the Department totaling $200,000 or more; or
    (iii) Place any political appointee on a detail outside the 
Department or on an Intergovernmental Personnel Act (IPA) agreement for 
one year or more if the Department retains the obligation to pay the 
employee's salary and benefits during the duration of the detail or IPA 
agreement.
    (b) Related to ethics. The following delegation of authority is made 
by the

[[Page 241]]

Secretary to the General Counsel: Provide administrative supervision for 
the Office of Ethics.

[60 FR 56393, Nov. 8, 1995, as amended at 61 FR 49237, Sept. 19, 1996; 
65 FR 12429, Mar. 9, 2000; 70 FR 23927, May 6, 2005; 70 FR 30610, May 
27, 2005; 78 FR 40938, July 9, 2013; 79 FR 44112, July 30, 2014]



Sec.  2.33  Inspector General.

    (a) The following delegations of authority are made by the Secretary 
of Agriculture to the Inspector General:
    (1) Advise the Secretary and General officers in the planning, 
development, and execution of Department policies and programs.
    (2) At the request of the Director, Homeland Security Staff 
(Director), determine the availability of law enforcement personnel of 
the Office of Inspector General to assist the Director in providing for 
the personal security for the Secretary and the Deputy Secretary.
    (3) Serve as liaison official for the Department for all audits of 
USDA performed by the General Accounting Office.
    (4) In addition to the above delegations of authority, the Inspector 
General, under the general supervision of the Secretary, has specific 
duties, responsibilities, and authorities pursuant to the Inspector 
General Act of 1978, Pub. L. No. 95-452, 5 U.S.C. App.
    (b) The following authority is reserved to the Secretary of 
Agriculture: Approving the implementation in the Office of Inspector 
General of administrative policies or procedures that contravene 
standard USDA administrative policies as promulgated by the Assistant 
Secretary for Administration.

[60 FR 56393, Nov. 8, 1995, as amended at 72 FR 36859, July 6, 2007]



Sec.  2.34  Director, National Appeals Division.

    The Director, National Appeals Division, under the general 
supervision of the Secretary or Deputy Secretary, has specific duties, 
responsibilities, and authorities pursuant to subtitle H of the 
Department of Agriculture Reorganization Act of 1994, Public Law 103-354 
(7 U.S.C. 6991 et seq.), including:
    (a) Deciding appeals from adverse decisions, made by an officer or 
employee of an agency of the Department designated by the Secretary, 
that are adverse to participants. The term ``agency'' shall include the 
following and any predecessor agency: the Farm Service Agency; the 
Commodity Credit Corporation (with respect to domestic programs); the 
Federal Crop Insurance Corporation; the Rural Housing Service; the Rural 
Business-Cooperative Service; the Natural Resources Conservation 
Service; and a State, county, or area committee established under 
section 8(b)(5) of the Soil Conservation and Domestic Allotment Act (16 
U.S.C. 590h(b)(5)); and
    (b) The authority to appoint such hearing officers and other 
employees as are necessary for the administration of the activities of 
the Division.
    (c) Prepare a report each year on the number of requests for 
equitable relief and the disposition of such requests for inclusion in 
the report of the Secretary to Congress on equitable relief requests 
made to the Department under farm and conservation programs (7 U.S.C. 
7996(g)(2).

[60 FR 56393, Nov. 8, 1995, as amended at 68 FR 27442, May 20, 2003; 79 
FR 44112, July 30, 2014]



Sec.  2.35  Judicial Officer.

    (a) Pursuant to the Act of April 4, 1940, as amended (7 U.S.C. 450c-
450g), and Reorganization Plan No. 2 of 1953 (5 U.S.C. app.), the 
Secretary of Agriculture makes the following delegations of authority to 
the Judicial Officer. The Judicial Officer is authorized to:
    (1) Act as final deciding officer in adjudicatory proceedings 
subject to 5 U.S.C. 556 and 557;
    (2) Act as final deciding officer in adjudicatory proceedings which 
are or may be subject to the ``Rules of Practice Governing Formal 
Adjudicatory Proceedings Instituted by the Secretary Under Various 
Statutes'' set forth in part 1, subpart H, of this title;
    (3) Act as final deciding officer in adjudicatory proceedings which 
are or may be subject to the ``Rules of Practice Governing Cease and 
Desist Proceedings Under Section 2 of the Capper-Volstead Act'' set 
forth in part 1, subpart I, of this title;

[[Page 242]]

    (4) Act as final deciding officer in adjudicatory proceedings 
subject to the ``Procedures Related to Administrative Hearings Under the 
Program Fraud Civil Remedies Act of 1986'' set forth in part 1, subpart 
L, of this title;
    (5) Act as final deciding officer in adjudicatory proceedings 
subject to the ``Rules of Practice Governing Adjudication of Sourcing 
Area Applications and Formal Review of Sourcing Areas Pursuant to the 
Forest Resources Conservation and Shortage Relief Act of 1990 (16 U.S.C. 
620, et seq.)'' set forth in part 1, subpart M, of this title;
    (6) Act as final deciding officer in rate proceedings under the 
Packers and Stockyards Act, as amended and supplemented (7 U.S.C. 181-
229);
    (7) Act as final deciding officer in reparation proceedings under 
statutes administered by the United States Department of Agriculture;
    (8) Act as final deciding officer in appeals under section 63 of the 
Plant Variety Protection Act (7 U.S.C. 2443), and in reexamination 
proceedings under section 91 of the Plant Variety Protection Act, as 
amended (7 U.S.C. 2501);
    (9) Act as final deciding officer in adjudicatory proceedings under 
section 359i of the Agricultural Adjustment Act of 1938, as amended (7 
U.S.C. 1359ii);
    (10) Issue rules of practice applicable to proceedings conducted 
under section 359i of the Agricultural Adjustment Act of 1938, as 
amended (7 U.S.C. 1359ii);
    (11) Act as final deciding officer in adjudicatory proceedings 
subject to the ``Rules of Practice Governing Proceedings on Petitions To 
Modify or To Be Exempted From Marketing Orders'' set forth in sections 
900.50 through 900.71 of this title;
    (12) Act as final deciding officer in adjudicatory proceedings 
subject to the ``Rules of Practice Governing Proceedings on Petitions to 
Modify or To Be Exempted from Research, Promotion, and Information 
Programs'' set forth in part 1200, subpart B, of this title; and
    (13) Act as final deciding officer in adjudicatory proceedings 
subject to ``Appeals of Quality Control (`QC') Claims'' set forth in 
part 283 of this title.
    (b) The delegation of authority from the Secretary of Agriculture to 
the Judicial Officer in paragraph (a) of this section shall not be 
construed to limit the authority of the Judicial Officer to perform any 
functions, in addition to those identified in the Act of April 4, 1940, 
as amended (7 U.S.C. 450c-450g), which may be assigned by the Secretary 
of Agriculture to the Judicial Officer.
    (c) As used in this section, the term Judicial Officer shall mean 
any person or persons so designated by the Secretary of Agriculture.

[68 FR 27443, May 20, 2003, as amended at 75 FR 43380, July 23, 2010]



Sec.  2.36  Director, Office of Communications.

    (a) Delegations. The following delegations of authority are made by 
the Secretary of Agriculture to Director, Office of Communications:
    (1) Related to public affairs. (i) Advise and counsel general 
officers on public affairs matters to the Department.
    (ii) Organize and direct the activities of a public affairs office 
to include press relations of the secretary of agriculture and other 
executive functions and services for general officers of the Department.
    (2) Related to information activities. (i) Advise the secretary and 
general officers in the planning, development, and execution of 
Department policies and programs.
    (ii) Direct and coordinate the overall formulation and development 
of policies, programs, plans, procedures, standards and organization 
structures and staffing patterns for the information activities of the 
Department and its agencies, both in Washington and in the field.
    (iii) Exercise final review and approval of all public information 
material prepared by the Department and its agencies and select the most 
effective method and audience for distributing this information.
    (iv) Serve as the central public information authority in the USDA, 
with authority to determine policy for all USDA and Agency communication 
activities, as well as emergency public

[[Page 243]]

information and messaging communication activities, in order to provide 
leadership and centralized operational direction for all USDA public 
information activities and ensure all materials shall effectively 
support USDA policies and programs, including the defense program.
    (v) Serve as the central printing authority in the USDA, with 
authority to represent the USDA with Joint Committee on Printing of the 
Congress, the Government Printing Office, and other Federal and State 
agencies on information matters.
    (vi) Cooperate with and secure the cooperation of commercial, 
industrial and other nongovernmental agencies and concerns regarding 
information work as required in the execution of the Department's 
programs.
    (vii) Plan and direct communication research and training for the 
Department and its agencies.
    (viii) [Reserved]
    (ix) Supervise and provide leadership and final clearance for the 
planning, production, and distribution of visual information material 
for the department and its agencies in Washington, D.C., and the field, 
and provide such information services as may be deemed necessary.
    (x) Maintain overall responsibility and control over the preparation 
of the ``Agricultural Decisions.''
    (xi) Administer, direct and coordinate publications and user fee 
authority granted under section 1121 of the Agriculture and Food Act of 
1981, as amended by section 1769 of the Food Security Act of 1985, 7 
U.S.C. 2242a; and publish any appropriate regulations necessary to the 
exercise of this authority.
    (xii) Serve as the central authority to determine policy, plans, 
procedures, and standards for the Department and agency strategic 
communications plans; request, receive, review, and approve agency 
communications plans; and provide centralized communication strategies 
for the Secretary and agencies, including the creativity, production, 
and oversight of communication products.
    (xiii) When required, support and coordinate staffing of a JIC as 
identified in the NIMS, and if required, establish and administer a JIC 
to provide a structure for developing and delivering incident-related 
coordinated messages.
    (xiv) Serve as the central authority to determine policy, plans, 
procedures, guidelines, and standards for the creation and use of logos/
marks by the Department's mission areas, staff offices or agencies, not 
otherwise provided for by specific laws and regulations, and excluding 
the Official USDA Seal and Official USDA Symbol.
    (b) [Reserved]

[60 FR 56393, Nov. 8, 1995, as amended at 74 FR 19373, Apr. 29, 2009; 76 
FR 66601, 66602, Oct. 27, 2011]



Sec.  2.37  Director, Office of Small and Disadvantaged 
Business Utilization.

    (a) In compliance with the Small Business Act, the Director, Office 
of Small and Disadvantaged Business Utilization is designated as the 
Department's Director of Small and Disadvantaged Business Utilization, 
who shall report directly to the Secretary of Agriculture or the Deputy 
Secretary of Agriculture. The Director of Small and Disadvantaged 
Business Utilization has specific responsibilities under the Small 
Business Act, 15 U.S.C. 644(k). These duties include being responsible 
for the following:
    (1) Administer the Department's small and disadvantaged business 
activities related to procurement contracts, minority bank deposits, and 
grants and loan activities affecting small and minority businesses 
including women-owned business, and the small business, small minority 
business, and small women-owned business subcontracting programs.
    (2) Provide Departmentwide liaison and coordination of activities 
related to small, small disadvantaged, and women-owned businesses with 
the Small Business Administration and others in the public and private 
sector.
    (3) Develop policies and procedures required by the applicable 
provision of the Small Business Act, as amended, to include the 
establishment of goals.
    (4) Implement and administer programs described under sections 8 and 
15 of the Small Business Act, as amended (15 U.S.C. 637 and 644).
    (5) In compliance with the Veterans Benefits Act of 2003 (Pub. L. 
108-183)

[[Page 244]]

amending the Small Business Act, implement and administer procurement 
programs for small business concerns owned and controlled by service-
disabled veterans.
    (b) The following additional authorities are delegated by the 
Secretary of Agriculture to the Director, Office of Small and 
Disadvantaged Business Utilization:
    (1) In compliance with the Javits-Wagner-O'Day Act (41 U.S.C. 8501 
et seq.), implement and administer the Department's AbilityOne program 
for purchases from qualified nonprofit agencies for the blind or for the 
severely disabled.
    (2) [Reserved]

[79 FR 44112, July 30, 2014]



Sec.  2.38  Director, Office of Tribal Relations.

    (a) Delegations. The following delegations of authority are made by 
the Secretary of Agriculture to the Director, Office of Tribal 
Relations:
    (1) Serve as the Department's primary point of contact for tribal 
issues.
    (2) Advise the Secretary on policies related to Indian tribes.
    (3) Serve as the official with principal responsibility for the 
implementation of Executive Order 13175, ``Consultation and Coordination 
with Indian Tribal Governments,'' including the provision of Department-
wide guidance and oversight regarding tribal consultation, coordination, 
and collaboration.
    (4) Coordinate the Department's programs involving assistance to 
American Indians and Alaska Natives.
    (5) Enter into cooperative agreements to improve the coordination 
and effectiveness of Federal programs, services, and actions affecting 
rural areas (7 U.S.C. 2204b(b)(4)); and to provide outreach and 
technical assistance to socially disadvantaged farmers and ranchers and 
veteran farmers and ranchers (7 U.S.C. 2279(a)(3)).
    (b) [Reserved]

[79 FR 44112, July 30, 2014]

Subpart E [Reserved]



 Subpart F_Delegations of Authority by the Under Secretary for Farm and 
                      Foreign Agricultural Services

    Editorial Note: Nomenclature changes to subpart F of part 2 appear 
at 60 FR 66713, Dec. 26, 1995.



Sec.  2.40  Deputy Under Secretary for Farm and Foreign 
Agricultural Services.

    Pursuant to Sec.  2.16(a), subject to reservations in Sec.  2.16(b), 
and subject to policy guidance and direction by the Under Secretary, the 
following delegation of authority is made to the Deputy Under Secretary 
for Farm and Foreign Agricultural Services, to be exercised only during 
the absence or unavailability of the Under Secretary: Perform all the 
duties and exercise all the powers which are now or which may hereafter 
be delegated to the Under Secretary for Farm and Foreign Agricultural 
Services: Provided, that this authority shall be exercised by the 
respective Deputy Under Secretary in the order in which he or she has 
taken office as a Deputy Under Secretary.



Sec.  2.42  Administrator, Farm Service Agency.

    (a) Delegations. Pursuant to Sec.  2.16(a)(1) through (a)(4) and 
(a)(6) through (a)(8), subject to the reservations in Sec.  2.16(b)(1), 
the following delegations of authority are made by the Under Secretary 
for Farm and Foreign Agricultural Services to the Administrator, Farm 
Service Agency:
    (1) Formulate policies and administer programs authorized by the 
Agricultural Adjustment Act of 1938, as amended (7 U.S.C. 1282 et seq.).
    (2) Formulate policies and administer programs authorized by the 
Agricultural Act of 1949, as amended (7 U.S.C. 1441 et seq.), except the 
provisions of section 416(a)(1), (a)(2) and (b) of the Agricultural Act 
of 1949, as amended, unless specifically provided herein.
    (3) Coordinate and prevent duplication of aerial photographic work 
of the Department, including:
    (i) Clearing photography projects;
    (ii) Assigning symbols for new aerial photography, maintaining 
symbol records, and furnishing symbol books;

[[Page 245]]

    (iii) Recording departmental aerial photography flow and 
coordinating the issuance of aerial photography status maps of latest 
coverage;
    (iv) Promoting interchange of technical information and techniques 
to develop lower costs and better quality;
    (v) Representing the Department on committees, task forces, work 
groups, and other similar groups concerned with aerial photography 
acquisition and reproduction;
    (vi) Providing a Chairperson for the Photography Sales Committee of 
the Department;
    (vii) Coordinating development, preparation, and issuance of 
specifications for aerial photography for the Department;
    (viii) Coordinating and performing procurement, inspection, and 
application of specifications for USDA aerial photography;
    (ix) Maintaining library and files of USDA aerial film and 
retrieving and supplying reproductions on request.
    (4) Administer the Agricultural Conservation Program under title X 
of the Agricultural Act of 1970, as amended (16 U.S.C. 1501 et seq.), 
and under the Soil Conservation and Domestic Allotment Act, as amended 
(16 U.S.C. 590g et seq.).
    (5) Related to defense and emergency preparedness. (i) Administer 
responsibilities and functions assigned under the Defense Production Act 
of 1950 (50 U.S.C. App. 2061 et seq.), and title VI of the Robert T. 
Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5195 et 
seq.), concerning agricultural production; food processing, storage, and 
distribution; distribution of farm equipment and fertilizer; 
rehabilitation and use of food, agricultural, and related agribusiness 
facilities; CCC resources; and farm credit and financial assistance.
    (ii) Administer functions delegated by the President to the 
Secretary under Executive Order 13603, ``National Defense Resources 
Preparedness'' (3 CFR, 2012 Comp., p. 225), and Executive Order 12742, 
``National Security Industrial Responsiveness'' (3 CFR, 1991 Comp., p. 
309), including administration of an Agriculture Priorities and 
Allocations System.
    (6) Administer the Emergency Conservation Program under the 
Agricultural Credit Act of 1978, as amended (16 U.S.C. 2201 et seq.).
    (7) Conduct fiscal, accounting and claims functions relating to CCC 
programs for which the Foreign Agricultural Service has been delegated 
authority under Sec.  2.43 and, in conjunction with other agencies of 
the U.S. Government, develop and formulate agreements to reschedule 
amounts due from foreign countries.
    (8) Conduct assigned activities under the Strategic and Critical 
Materials Stockpiling Act, as amended (50 U.S.C. 98 et seq.).
    (9) Supervise and direct Farm Service Agency State and county 
offices and designate functions to be performed by Farm Service Agency 
State and county committees.
    (10) Administer the Dairy Indemnity Program under the Act of August 
13, 1968, as amended (7 U.S.C. 450j et seq.).
    (11) Administer procurement, processing, handling, distribution, 
disposition, transportation, payment, and related services with respect 
to surplus removal and supply operations which are carried out under 
section 210 of the Agricultural Act of 1956 (7 U.S.C. 1859), the Act of 
August 19, 1958, as amended (7 U.S.C. 1431 note), and section 709 of the 
Food and Agriculture Act of 1965, as amended (7 U.S.C. 1446a-1), except 
as delegated to the Under Secretary for Food, Nutrition, and Consumer 
Services in Sec.  2.19 and to the Under Secretary for Farm and Foreign 
Agricultural Services in Sec.  2.16(a)(3), and assist the Food and 
Consumer Service and the Agricultural Marketing Service in the 
procurement, handling, payment, and related services under section 32 of 
the Act of August 24, 1935, as amended (7 U.S.C. 612c), the Act of June 
28, 1937, as amended (7 U.S.C. 713c), the National School Lunch Act, as 
amended (42 U.S.C. 1751 et seq.), section 8 of the Child Nutrition Act 
of 1966, as amended (42 U.S.C. 1777), section 311 of the Older Americans 
Act of 1965, as amended (42 U.S.C. 3030a), and section 4(a) of the 
Agriculture and Consumer Protection Act of 1973, as amended (7 U.S.C. 
612c note), and section 1114 of the Agriculture and Food Act of 1981 (7 
U.S.C. 1431e).

[[Page 246]]

    (12) Administer commodity procurement and supply, transportation 
(other than from point of export, except for movement to trust 
territories or possessions), handling, payment,and related services in 
connection with programs under titles II and III of Public Law 480 (7 
U.S.C. 1691, 1701, et seq.) and section 3107 of the Farm Security and 
Rural Investment Act of 2002 (7 U.S.C. 1736o-1) (except for the 
authority under section 3107(d) to designate federal agencies that is 
reserved to the President), and payment and related services with 
respect to export programs and barter operations.
    (13) [Reserved]
    (14) Administer the Agricultural Foreign Investment Disclosure Act 
of 1978 (7 U.S.C. 3501 et seq.) except those functions delegated in 
Sec.  2.21(a)(8)(xi).
    (15) Administer energy management activities as assigned.
    (16) Conduct producer referenda of commodity promotion programs 
under the Beef Research and Information Act, as amended (7 U.S.C. 2901 
et seq.) and the Agricultural Promotion Programs Act of 1990, as amended 
(7 U.S.C. 6001 et seq.).
    (17) Conduct field operations of diversion programs for fresh fruits 
and vegetables under section 32 of the Act of August 29, 1935.
    (18) Administer the U. S. Warehouse Act, as amended (7 U.S.C. 241-
273), and perform compliance examinations for Farm Service Agency 
programs.
    (19) [Reserved]
    (20) Formulate and carry out the Conservation Reserve Program, 
including the implementation of technical assistance, under the Food 
Security Act of 1985, as amended (16 U.S.C. 1231 et seq.), and the 
functions of the Grassland Reserve Program transferred to the 
Conservation Reserve Program.
    (21) Carry out functions relating to highly erodible land and 
wetland conservation under sections 1211-1213 and 1221-1223 of the Food 
Security Act of 1985, as amended (16 U.S.C. 3811-3813 and 3821-3823).
    (22) With respect to land and facilities under his or her authority, 
exercise the functions delegated to the Secretary by Executive Order 
12580, 3 CFR, 1987 Comp., p. 193, under the following provisions of the 
Comprehensive Environmental Response, Compensation, and Liability Act of 
1980 (``the Act''), as amended:
    (i) Sections 104(a), (b), and (c)(4) of the Act (42 U.S.C. 9604(a), 
(b), and (c)(4)), with respect to removal and remedial actions in the 
event of release or threatened release of a hazardous substance, 
pollutant, or contaminant into the environment;
    (ii) Sections 104(e)-(h) of the Act (42 U.S.C. 9604(e)-(h)), with 
respect to information gathering and access requests and orders; 
compliance with Federal health and safety standards and wage and labor 
standards applicable to covered work; and emergency procurement powers;
    (iii) Section 104(i)(11) of the Act (42 U.S.C. 9604(i)(11)), with 
respect to the reduction of exposure to significant risk to human 
health;
    (iv) Section 104(j) of the Act (42 U.S.C. 9604(j)), with respect to 
the acquisition of real property and interests in real property required 
to conduct a remedial action;
    (v) The first two sentences of section 105(d) of the Act (42 U.S.C. 
9605(d)), with respect to petition for preliminary assessment of a 
release or threatened release;
    (vi) Section 105(f) of the Act (42 U.S.C. 9605(f)), with respect to 
consideration of the availability of qualified minority firms in 
awarding contracts, but excluding that portion of section 105(f) 
pertaining to the annual report to Congress;
    (vii) Section 109 of the Act (42 U.S.C. 9609), with respect to the 
assessment of civil penalties for violations of section 122 of the Act 
(42 U.S.C. 9622), and the granting of awards to individuals providing 
information;
    (viii) Section 111(f) of the Act (42 U.S.C. 9611(f)), with respect 
to the designation of officials who may obligate money in the Hazardous 
Substances Superfund;
    (ix) Section 113(k) of the Act (42 U.S.C. 9613(k)), with respect to 
establishing an administrative record upon which to base the selection 
of a response action and identifying and notifying potentially 
responsible parties;

[[Page 247]]

    (x) Section 116(a) of the Act (42 U.S.C. 9616(a)), with respect to 
preliminary assessment and site inspection of facilities;
    (xi) Sections 117(a) and (c) of the Act (42 U.S.C. 9617(a) and (c)), 
with respect to public participation in the preparation of any plan for 
remedial action and explanation of variances from the final remedial 
action plan for any remedial action or enforcement action, including any 
settlement or consent decree entered into;
    (xii) Section 119 of the Act (42 U.S.C. 9119), with respect to 
indemnifying response action contractors;
    (xiii) Section 121 of the Act (42 U.S.C. 9621), with respect to 
cleanup standards; and
    (xiv) Section 122 of the Act (42 U.S.C. 9622), with respect to 
settlements, but excluding section 122(b)(1) of the Act (42 U.S.C. 
9622(b)(1)), related to mixed funding agreements.
    (23) With respect to facilities and activities under his or her 
authority, to exercise the authority of the Secretary of Agriculture 
pursuant to section 1-102 related to compliance with applicable 
pollution control standards and section 1-601 of Executive Order 12088, 
3 CFR, 1978 Comp., p. 243, to enter into an inter-agency agreement with 
the United States Environmental Protection Agency, or an administrative 
consent order or a consent judgment in an appropriate State, interstate, 
or local agency, containing a plan and schedule to achieve and maintain 
compliance with applicable pollution control standards established 
pursuant to the following:
    (i) Solid Waste Disposal Act, as amended by the Resource 
Conservation and Recovery Act, as further amended by the Hazardous and 
Solid Waste Amendments, and the Federal Facility Compliance Act (42 
U.S.C. 6901 et seq.);
    (ii) Federal Water Pollution Prevention and Control Act, as amended 
(33 U.S.C. 1251 et seq.);
    (iii) Safe Drinking Water Act, as amended (42 U.S.C. 300f et seq.);
    (iv) Clean Air Act, as amended (42 U.S.C. 7401 et seq.);
    (v) Noise Control Act of 1972, as amended (42 U.S.C. 4901 et seq.);
    (vi) Toxic Substances Control Act, as amended (15 U.S.C. 2601 et 
seq.);
    (vii) Federal Insecticide, Fungicide, and Rodenticide Act, as 
amended (7 U.S.C. 136 et seq.); and
    (viii) Comprehensive Environmental Response, Compensation, and 
Liability Act of 1980, as amended by the Superfund Amendments and 
Reauthorization Act of 1986 (42 U.S.C. 9601 et seq.).
    (24)-(26) [Reserved]
    (27) Formulate and administer regulations regarding program 
ineligibility resulting from convictions under Federal or State law of 
planting, cultivating, growing, producing, harvesting, or storing a 
controlled substance, as required under section 1764 of the Food 
Security Act of 1985 (21 U.S.C. 881a).
    (28) Administer the Consolidated Farm and Rural Development Act (7 
U.S.C. 1921 et seq.) except for the authority contained in the following 
sections:
    (i) [Reserved]
    (ii) Section 306 (7 U.S.C. 1926), relating to all programs in that 
section;
    (iii) Section 306A (7 U.S.C. 1926a) and section 306B (7 U.S.C. 
1926b), relating to the Emergency Community Water Assistance Grant 
Programs, and section 306D (7 U.S.C. 1926d), relating to water systems 
for rural Alaskan Native Villages;
    (iv) Section 306C (7 U.S.C. 1926c) to administer the water and waste 
facility loans and grants to alleviate health risks;
    (v) Sections 309 (7 U.S.C. 1929) and 309A (7 U.S.C. 1929a), 
regarding assets and programs related to rural development;
    (vi) Section 310A (7 U.S.C. 1931), relating to watershed and 
resource conservation and development loans;
    (vii) Section 310B (7 U.S.C. 1932), regarding various Rural 
Development programs;
    (viii) Section 310C (7 U.S.C. 1933), relating to housing program 
interest rates;
    (ix) Section 310G (7 U.S.C. 1936a), relating to the use of rural 
development loans and grants for other purposes, and section 353A (7 
U.S.C. 2001a), relating to the servicing of community facilities loans;
    (x) Section 364 (7 U.S.C. 2006f) and section 365 (7 U.S.C. 2008);
    (xi) Administrative provisions of subtitle D of the Consolidated 
Farm and

[[Page 248]]

Rural Development Act related to Rural Utilities Service, Rural 
Business-Cooperative Service, and Rural Housing Service activities.
    (xii) Section 375 (7 U.S.C. 2008j), relating to the National Sheep 
Industry Improvement Center.
    (xiii) Sections 379 (7 U.S.C. 2008n) through 379G (7 U.S.C. 2008u) 
and subtitles E through I (7 U.S.C. 2009-2009dd-7) relating to rural 
development programs and activities.
    (29) Collect, service, and liquidate loans made or insured by the 
Farm Service Agency, or its predecessor agencies.
    (30) Administer the Rural Rehabilitation Corporation Trust 
Liquidation Act (40 U.S.C. 440 et seq.), and trust, liquidation, and 
other agreements entered into pursuant thereto.
    (31) [Reserved]
    (32) Administer Farmers Home Administration or any successor agency 
assets conveyed in trust under the Participation Sales Act of 1966 (12 
U.S.C. 1717).
    (33) Administer the emergency loan and guarantee programs under 
sections 232, 234, 237, and 253 of the Disaster Relief Act of 1970 (Pub. 
L. No. 91-606), the Disaster Relief Act of 1969 (Pub. L. No. 91-79), 
Pub. L. No. 92-385, approved August 16, 1972, and the Emergency 
Livestock Credit Act of 1974 (Pub. L. No. 93-357), as amended.
    (34) Administer loans to homestead or desertland entrymen and 
purchasers of land in reclamation projects or to an entryman under the 
desertland law (7 U.S.C. 1006a and 1006b).
    (35) [Reserved]
    (36) Service, collect, settle, and liquidate:
    (i) Deferred land purchase obligations of individuals under the 
Wheeler-Case Act of August 11, 1939, as amended (16 U.S.C. 590y), and 
under the item, ``Water Conservation and Utilization projects'' in the 
Department of the Interior Appropriation Act, 1940 (53 Stat. 719), as 
amended;
    (ii) Puerto Rican Hurricane Relief loans under the Act of July 11, 
1956 (70 Stat. 525); and
    (iii) Loans made in conformance with section 4 of the Southeast 
Hurricane Disaster Relief Act of 1965 (79 Stat. 1301).
    (37) Administer loans to Indian tribes, tribal corporations, and 
purchasers of highly fractionated land (25 U.S.C. 488-492).
    (38) Administer the State Agricultural Loan Mediation Program under 
title 5 of the Agricultural Credit Act of 1987 (7 U.S.C. 5101 et seq.).
    (39) Administer financial assistance programs relating to Economic 
Opportunity Loans to Cooperatives under part A of title III and part D 
of title I and the necessarily related functions in title VI of the 
Economic Opportunity Act of 1964, as amended (42 U.S.C. 2763-2768, 2841-
2855, 2942, 2943(b), 2961), delegated by the Director of the Office of 
Economic Opportunity to the Secretary of Agriculture by documents dated 
October 23, 1964 (29 FR 14764), and June 17, 1968 (33 FR 9850), 
respectively.
    (40) Exercise all authority and discretion vested in the Secretary 
by section 331(c) of the Consolidated Farm and Rural Development Act, as 
amended by section 2 of the Farmers Home Administration Improvement Act 
of 1994, Pub. L. No. 103-248 (7 U.S.C. 1981(c)), including the 
following:
    (i) Determine, with the concurrence of the General Counsel, which 
actions are to be referred to the Department of Justice for the conduct 
of litigation, and refer such actions to the Department of Justice 
through the General Counsel;
    (ii) Determine, with the concurrence of the General Counsel, which 
actions are to be referred to the General Counsel, for the conduct of 
litigation and refer such actions; and
    (iii) Enter into contracts with private sector attorneys for the 
conduct of litigation, with the concurrence of the General Counsel, 
after determining that the attorneys will provide competent and cost 
effective representation for the Farm Service Agency.
    (41) [Reserved]
    (42) Administer the provisions concerning the end-use certificate 
system authorized pursuant to section 301(f) of the North American Free 
Trade Implementation Act (19 U.S.C. 3391(f)).
    (43) Determine the type and quantity of commodities that are 
available for programming under section 416(b) of the Agricultural Act 
of 1949 (7 U.S.C. 1431(b)), and the Food for Progress Act

[[Page 249]]

of 1985 (7 U.S.C. 1736o), and arrange for the processing, packaging, 
transportation, handling and delivery to port of such commodities in 
connection therewith.
    (44) [Reserved]
    (45) Administer all programs of the Commodity Credit Corporation 
that provide assistance with respect to the production of agricultural 
commodities or the income of producers, including disaster assistance 
and the domestic marketing of such commodities, except as may otherwise 
be reserved by the Under Secretary for Farm and Foreign Agricultural 
Services, and similar programs (including commodity quality development 
programs) consigned by statute to the Secretary of Agriculture unless 
otherwise delegated.
    (46) Administer the following provisions of the Farm Security and 
Rural Investment Act of 2002 with respect to functions otherwise 
delegated to the Administrator, Farm Service Agency:
    (i) The equitable relief provisions of section 1613 (7 U.S.C. 7996).
    (ii) The tracking of benefits under section 1614 (7 U.S.C. 7997).
    (47) Administer programs for Apple Loans and Emergency Loans for 
Seed Producers under section 203(f) and 253, respectively, of the 
Agricultural Risk Protection Act of 2000 (7 U.S.C. 1421 note, Pub. L. 
106-224).
    (48) Administer evaluations of direct and guaranteed loan programs 
under section 5301 of the Farm Security and Rural Investment Act of 2002 
(7 U.S.C. 1992 note).
    (49) Formulate and carry out the Grassroots Source Water Protection 
Program, authorized by the Food Security Act of 1985, as amended (16 
U.S.C. 3839bb-2).
    (50) Administer cooperative agreements authorized under 7 U.S.C. 
2204b(b)(4) as follows:
    (i) Administer cooperative agreements with respect to conservation 
programs;
    (ii) Administer cooperative agreements, of less than $100,000, with 
nongovernmental organizations or educational institutions related to 
outreach and technical assistance for programs carried out by the Farm 
Service Agency, and, where such cooperative agreements focus on outreach 
activities to beginning, underserved, or veteran producers, coordinate 
with the Director, Office of Advocacy and Outreach to reduce potential 
duplication.
    (51) Administer the feedstock flexibility program for bioenergy 
producers under section 9010 of the Farm Security and Rural Investment 
Act of 2002 (7 U.S.C. 8110) and the biomass crop assistance program 
under section 9011 of that Act (7 U.S.C. 8111).
    (52)-(53) [Reserved]
    (54) Implement the authority in section 1241 of the Food Security 
Act of 1985 (16 U.S.C. 3841) to accept and use voluntary contributions 
of non-Federal funds in support of natural resources conservation 
programs under subtitle D of title XII of that Act with respect to 
authorities delegated to the Administrator, Farm Service Agency.
    (55) In coordination with the Director, Office of Advocacy and 
Outreach, issue receipts under section 2501A(e) of the Food, 
Agriculture, Conservation, and Trade Act of 1990 (7 U.S.C. 2279-1(e)).
    (56) Administer the following provisions of the Food, Conservation, 
and Energy Act of 2008, Public Law 110-246:
    (i) [Reserved]
    (ii) Section 1609 relating to the tracking of benefits.
    (iii)-(iv) [Reserved]
    (iv) Section 1613 relating to the durum wheat quality program.
    (v) Section 1621 relating to direct reimbursement payments to 
geographically disadvantaged farmers or ranchers.
    (vi)-(vii) [Reserved]
    (viii) Section 14212 relating to the closure or relocation of county 
or field offices of the Farm Service Agency.
    (ix) Section 15353(a) relating to information reporting for 
Commodity Credit Corporation transactions.
    (57) Implement the information disclosure authorities of section 
1619(b)(3)(A) of the Food, Conservation, and Energy Act of 2008 (7 
U.S.C. 8791(b)(3)(A)).
    (58) Administer the following provisions of the Agricultural Act of 
2014, Public Law 113-79:
    (i) Sections 1401-1410 relating to a margin protection program for 
dairy

[[Page 250]]

producers (7 U.S.C. 9051-9060), and section 1431 relating to a dairy 
product donation program (7 U.S.C. 9071).
    (ii) Section 1612 relating to the tracking of benefits (7 U.S.C. 
9095).
    (iii) Section 12314 relating to the Pima Agriculture Cotton Trust 
Fund (7 U.S.C. 2101 note), in coordination with the Administrator, 
Foreign Agricultural Service.
    (iv) Section 12315 relating to the Agriculture Wool Apparel 
Manufacturers Trust Fund (7 U.S.C. 7101 note), in coordination with the 
Administrator, Foreign Agricultural Service.
    (59) Enter into cooperative agreements under section 1472(b) of the 
National Agricultural Research, Extension, and Teaching Policy Act of 
1977 (7 U.S.C. 3318(b)) for the purpose of implementing section 
1614(c)(3) of the Agricultural Act of 2014 (7 U.S.C. 9097(c)).
    (b) Reservations. The following authorities are reserved to the 
Under Secretary for Farm and Foreign Agricultural Services:
    (1) Designating counties and areas for emergency programs under Pub. 
L. No. 85-58, as amended.
    (2) Making and issuing notes to the Secretary of the Treasury for 
the purposes of the Agricultural Credit Insurance Fund as authorized by 
the Consolidated Farm and Rural Development Act (7 U.S.C. 1929).

[60 FR 56393, Nov. 8, 1995, as amended at 61 FR 25776, May 23, 1996; 61 
FR 37552, July 18, 1996; 62 FR 1031, Jan. 8, 1997; 62 FR 19901, Apr. 24, 
1997; 68 FR 27443, May 20, 2003; 69 FR 34254, June 21, 2004; 71 FR 
35491, June 21, 2006; 71 FR 51421, Aug. 30, 2006; 74 FR 3406, Jan. 21, 
2009; 75 FR 43380, July 23, 2010; 78 FR 40938, July 9, 2013; 79 FR 
44112, July 30, 2014; 80 FR 58338, Sept. 29, 2015]



Sec.  2.43  Administrator, Foreign Agricultural Service.

    (a) Delegations. Pursuant to Sec.  2.16 (a)(3) and (a)(6), subject 
to reservations in Sec.  2.16(b)(2), the following delegations of 
authority are made by the Under Secretary for Farm and Foreign 
Agricultural Services to the Administrator, Foreign Agricultural 
Service:
    (1) Coordinate the carrying out by Department agencies of their 
functions involving foreign agriculture policies and programs and their 
operations and activities in foreign areas. Act as liaison on these 
matters and functions relating to foreign agriculture between the 
Department of Agriculture and the Department of State, the United States 
Trade Representative, the Trade Policy Committee, the Agency for 
International Development and other departments, agencies and committees 
of the U.S. Government, foreign governments, the Organization for 
Economic Cooperation and Development, the European Union, the Food and 
Agriculture Organization of the United Nations, the International Bank 
for Reconstruction and Development, the Inter-American Development Bank, 
the Organization of American States, and other public and private United 
States and international organizations, and the contracting parties to 
the General Agreement on Tariffs and Trade (GATT) and the World Trade 
Organization (WTO).
    (2) Conduct functions of the Department relating to GATT, WTO, the 
Trade Expansion Act of 1962 (19 U.S.C. 1801 et seq.), the Trade Act of 
1974 (19 U.S.C. 2101 et seq.), the Trade Agreements Act of 1979 (19 
U.S.C. 2501 et seq.), the Omnibus Trade and Competition Act of 1988 (19 
U.S.C. 2901 et seq.), the provisions of subtitle B of title III of the 
North American Free Trade Agreement Implementation Act (except the 
provisions concerning the end-use certificate system authorized pursuant 
to section 321(f) of that Act (19 U.S.C. 3391(f)) delegated to the 
Administrator, Farm Service Agency), and other legislation affecting 
international agricultural trade including the programs designed to 
reduce foreign tariffs and other trade barriers.
    (3) Conduct studies of worldwide production, trade, marketing, 
prices, consumption, and other factors affecting exports and imports of 
U.S. agricultural commodities; obtain information on methods used by 
other countries to move farm commodities in world trade on a competitive 
basis for use in the development of programs of this Department; provide 
information to domestic producers, the agricultural trade, the public 
and other interests; and promote normal commercial markets abroad. This 
delegation excludes basic and long-range analyses of world conditions 
and developments affecting supply, demand, and trade in farm

[[Page 251]]

products and general economic analyses of the international financial 
and monetary aspects of agricultural affairs as assigned to the Under 
Secretary for Research, Education, and Economics.
    (4) Administer Departmental programs concerned with development of 
foreign markets for agricultural products of the United States except 
functions relating to export marketing operations under section 32, of 
the Act of August 23, 1935, as amended (7 U.S.C. 612c), delegated to the 
Assistant Secretary for Marketing and Regulatory Programs.
    (5) Exercise the Department's functions with respect to the 
International Coffee Agreement or any such future agreement.
    (6) Administer functions of the Department relating to import 
controls including, among others, functions under section 22 of the 
Agricultural Adjustment Act of 1933, as amended (7 U.S.C. 624), the 
Harmonized Tariff Schedule of the United States (19 U.S.C. 1202), and 
section 204 of the Agricultural Act of 1956, as amended (7 U.S.C. 1854) 
but not including those functions reserved to the Secretary under Sec.  
2.16(b)(2) and those relating to section 8e of the Agricultural 
Adjustment Act of 1933, as amended (7 U.S.C. 608e-1), as assigned to the 
Assistant Secretary for Marketing and Regulatory Programs.
    (7) Represent the Department on the Interdepartmental Committee for 
Export Control and conduct Departmental activities to carry out the 
provisions of the Export Administration Act of 1969, as amended (50 
U.S.C. App. 2401 et seq.), except as reserved to the Secretary under 
Sec.  2.16(b)(2).
    (8) Exercise the Department's responsibilities in connection with 
international negotiations of the Grains Trade Convention and in the 
administration of such Convention.
    (9) Provide foreign agricultural intelligence and other foreign 
agricultural services in support of programs administered by the 
Department under the Defense Production Act of 1950, as amended (50 
U.S.C. App. 2061 et seq.), and title VI of the Robert T. Stafford 
Disaster Relief and Emergency Assistance Act (42 U.S.C. 5195 et seq.).
    (10) Conduct economic analyses pertaining to the foreign sugar 
situation.
    (11) Exercise the Department's functions with respect to the 
International Sugar Agreement or any such future agreements.
    (12) Exercise the Department's responsibilities with respect to 
tariff-rate quotes for dairy products under chapter 4 of the Harmonized 
Tariff Schedule of the United States (19 U.S.C. 1202).
    (13) Serve as a focal point for handling quality or weight 
discrepancy inquiries from foreign buyers of U.S. agricultural 
commodities to insure that they are investigated and receive a timely 
response and that reports thereof are made to appropriate parties and 
government officials in order that corrective action may be taken.
    (14) Formulate policies and administer programs and activities 
authorized by the Agricultural Trade Act of 1978, as amended (7 U.S.C. 
5601 et seq.).
    (15) Formulate policies and administer barter programs under which 
agricultural commodities are exported.
    (16) Perform functions of the Department in connection with the 
development and implementation of agreements to finance the sale and 
exportation of agricultural commodities on long-term credit or for 
foreign currencies under the Food for Peace Act (7 U.S.C. 1691, 1701 et 
seq.).
    (17) Coordinate within the Department activities arising under the 
Food for Peace Act (except as delegated to the Under Secretary for 
Research, Education, and Economics in Sec.  2.21(a)(8)), and to 
represent the Department in its relationships in such matters with the 
Department of State, any interagency committee on the Food for Peace 
Act, and other departments, agencies, and committees of the Government.
    (18)-(19) [Reserved]
    (20) Carry out activities relating to the sale, reduction, or 
cancellation of debt, as authorized by title VI of the Agricultural 
Trade and Development Act of 1954, as amended (7 U.S.C. 1738 et seq.).
    (21) [Reserved]
    (22) Allocate among the various export programs agricultural 
commodities determined under Sec.  2.16(a)(3)(xix) to be available for 
export.

[[Page 252]]

    (23) Maintain a worldwide agricultural intelligence and reporting 
system, including provision for foreign agricultural representation 
abroad to protect and promote U.S. agricultural interests, and to 
acquire information on demand, competition, marketing, and distribution 
of U.S. agricultural commodities abroad pursuant to title VI of the 
Agricultural Act of 1954, as amended (7 U.S.C. 1761-1768).
    (24) Plan and carry out programs and activities under the foreign 
market promotion authority of: The Wheat Research and Promotion Act (7 
U.S.C. 1292 note); the Cotton Research and Promotion Act (7 U.S.C. 2101-
2118); the Potato Research and Promotion Act (7 U.S.C. 2611-2627); the 
Egg Research and Consumer Information Act of 1974 (7 U.S.C. 2701-2718); 
the Beef Research and Information Act, as amended (7 U.S.C. 2901-2911); 
the Wheat and Wheat Foods Research and Nutrition Education Act (7 U.S.C. 
3401-3417); the Floral Research and Consumer Information Act of 1981 (7 
U.S.C. 4301-4319); subtitle B of title I of the Dairy and Tobacco 
Adjustment Act of 1983 (7 U.S.C. 4501-4514); the Honey Research, 
Promotion, and Consumer Information Act of 1984, as amended (7 U.S.C. 
4601-4613); the Pork Promotion, Research, and Consumer Information Act 
of 1985 (7 U.S.C. 4801-4819); the Watermelon Research and Promotion Act, 
as amended (7 U.S.C. 4901-4916); the Pecan Promotion and Research Act of 
1990 (7 U.S.C. 6001-6013); the Mushroom Promotion, Research, and 
Consumer Information Act of 1990 (7 U.S.C. 6101-6112); the Lime 
Research, Promotion, and Consumer Information Act of 1990 (7 U.S.C. 
6201-6212); the Soybean Promotion, Research, and Consumer Information 
Act of 1990 (7 U.S.C. 6301-6311); the Fluid Milk Promotion Act of 1990 
(7 U.S.C. 6401-6417); the Fresh Cut Flowers and Fresh Cut Greens 
Promotion and Consumer Information Act (7 U.S.C. 6801-6814); the Sheep 
Promotion, Research, and Information Act of 1994 (7 U.S.C. 7101-7111); 
the Commodity Promotion, Research, and Information Act of 1996 (7 U.S.C. 
7411-7425); the Canola and Rapeseed Research, Promotion, and Consumer 
Information Act (7 U.S.C. 7441-7452); the National Kiwifruit Research, 
Promotion, and Consumer Information Act (7 U.S.C. 7461-7473); and, the 
Popcorn Promotion, Research, and Consumer Information Act (7 U.S.C. 
7481-7491). This authority includes determining the programs and 
activities to be undertaken and assuring that they are coordinated with 
the overall departmental programs to develop foreign markets for U.S. 
agricultural products.
    (25) Establish and administer regulations relating to foreign travel 
by employees of the Department. Regulations will include, but not be 
limited to, obtaining and controlling passports, obtaining visas, 
coordinating Department of State medical clearances and imposing 
requirements for itineraries and contacting the Foreign Agricultural 
Affairs Officers upon arrival in the Officers' country(ies) of 
responsibility.
    (26) Administer the Foreign Service personnel system for the 
Department in accordance with 22 U.S.C. 3922, except as otherwise 
delegated in Sec.  2.80(a)(1), but including authority to represent the 
Department of Agriculture in all interagency consultations and 
negotiations with the other foreign agencies with respect to joint 
regulations and authority to approve regulations issued by the 
Department of State relating to the administration of the Foreign 
Service.
    (27) Establish and maintain U.S. Agricultural Trade Offices to 
develop, maintain and expand international markets for U.S. agricultural 
commodities in accordance with title IV of Pub. L. No. 95-501 (7 U.S.C. 
1765a-g).
    (28) Administer the programs under section 416(b) of the 
Agricultural Act of 1949, as amended (7 U.S.C. 1431(b)), relating to the 
foreign donation of CCC stocks of agricultural commodities, except as 
otherwise delegated in Sec.  2.42(a)(43).
    (29)-(30) [Reserved]
    (31) Administer programs under the Food for Progress Act of 1985 (7 
U.S.C. 1736o), except as otherwise delegated in Sec.  2.42(a)(43).
    (32) Serve as Department adviser on policies, organizational 
arrangements, budgets, and actions to accomplish International 
Scientific and Technical Cooperation in Food and Agriculture.

[[Page 253]]

    (33) Administer and direct the Department's programs in 
international development, technical assistance, and training carried 
out under the Foreign Assistance Act, as amended, as requested under 
such act (22 U.S.C. 2151 et seq.).
    (34) Administer and coordinate assigned Departmental programs in 
international research and scientific and technical cooperation with 
other governmental agencies, land grant universities, international 
organizations, international agricultural research centers, and other 
institutions (7 U.S.C. 1624, 3291).
    (35) Direct and coordinate the Department's participation in 
scientific and technical matters and exchange agreements between the 
United States and other countries.
    (36) Direct and coordinate the Department's work with international 
organizations and interagency committees concerned with food and 
agricultural development programs (7 U.S.C. 2201 and 2202).
    (37) Coordinate policy formulation for USDA international science 
and technology programs concerning international agricultural research 
centers, international organizations, and international agricultural 
research and extension activities (7 U.S.C. 3291).
    (38) Disseminate, upon request, information on subjects connected 
with agriculture which has been acquired by USDA agencies that may be 
useful to the U.S. private sector in expanding foreign markets and 
investment opportunities through the operation of a Department 
information center, pursuant to 7 U.S.C. 2201.
    (39) Enter into contracts, grants, cooperative agreements, and cost 
reimbursable agreements relating to agricultural research, extension, or 
teaching activities (7 U.S.C. 3318, 3319a).
    (40) Determine amounts reimbursable for indirect costs under 
international agricultural programs and agreements (7 U.S.C. 3319).
    (41) Administer the Cochran Fellowship Program (7 U.S.C. 3293).
    (42) Determine quantity trigger levels and impose additional duties 
under the special safeguard measures in accordance with U.S. note 2 to 
subchapter IV of chapter 99 of the Harmonized Tariff Schedule of the 
United States (19 U.S.C. 1202).
    (43) Implement provisions of the Trade Act of 1974 regarding 
adjustment assistance for farmers. (19 U.S.C. 2401-2401g).
    (44) Implement section 3107 of the Farm Security and Rural 
Investment Act of 2002 (7 U.S.C. 1736o-1).
    (45) Support remote sensing activities of the Department and 
research with satellite imagery including:
    (i) Providing liaison with U.S. space programs;
    (ii) Providing administrative management of the USDA Remote Sensing 
Archive and the transfer of satellite imagery to all USDA agencies;
    (iii) Coordinating all agency satellite imagery data needs; and
    (iv) Arranging for acquisition, and preparation of imagery for use 
to the extent of existing capabilities.
    (46) Implement section 3205 of the Food, Conservation, and Energy 
Act of 2008 (22 U.S.C. 7112 note) regarding the Consultative Group to 
Eliminate the Use of Child Labor and Forced Labor in Imported 
Agricultural Products, in consultation with the Administrator of the 
Agricultural Marketing Service.
    (47) Implement section 3206 of the Food, Conservation, and Energy 
Act of 2008 (7 U.S.C. 1726c) regarding local and regional food aid 
procurement projects.
    (48) Administer the Borlaug International Agricultural Science and 
Technology Fellowship Program (7 U.S.C. 3319j).
    (49) Administer the grant program for agricultural biotechnology 
research and development for developing countries (7 U.S.C. 7631).
    (50) Administer the following provisions of the Agricultural Act of 
2014, Public Law 113-79:
    (i) Section 12314 relating to the Pima Agriculture Cotton Trust Fund 
(7 U.S.C. 2101 note), in coordination with the Administrator, Farm 
Service Agency.
    (ii) Section 12315 relating to the Agriculture Wool Apparel 
Manufacturers Trust Fund (7 U.S.C. 7101 note), in coordination with the 
Administrator, Farm Service Agency.

[[Page 254]]

    (b) [Reserved]

[60 FR 56393, Nov. 8, 1995, as amended at 61 FR 25776, May 23, 1996; 61 
FR 37552, July 18, 1996; 62 FR 40254, July 28, 1997; 68 FR 27443, May 
20, 2003; 69 FR 34254, June 21, 2004; 74 FR 3407, Jan. 21, 2009; 79 FR 
44113, July 30, 2014]



Sec.  2.44  Administrator, Risk Management Agency and Manager, 
Federal Crop Insurance Corporation.

    (a) Delegations. Pursuant to Sec.  2.16(a)(4), subject to 
reservations in Sec.  2.16(b)(3), the following delegations of authority 
are made by the Under Secretary for Farm and Foreign Agricultural 
Services to the Administrator, Risk Management Agency, and Manager 
Federal Crop Insurance Corporation:
    (1) Appoint such officers and employees as may be necessary for the 
transaction of the business of the Federal Crop Insurance Corporation 
and the Risk Management Agency.
    (2) Conduct pilot programs involving revenue insurance, risk 
management savings accounts, or the use of futures markets to manage 
risk and support farm income.
    (3) Provide education in management of the financial risks inherent 
in the production and marketing of agricultural commodities.
    (4) Conduct a study and issue a report on the efficacy and accuracy 
of the application of pack factors regarding the measurement of farm-
stored production for purposes of providing policies or plans of 
insurance under the Federal Crop Insurance Act (7 U.S.C. 1501 et seq.).
    (5) Carry out functions relating to highly erodible land and wetland 
conservation under sections 1211-1213 and 1221-1223 of the Food Security 
Act of 1985, as amended (16 U.S.C. 3811-3813 and 3821-3823).
    (6) Prepare cropland reports as required by section 11014(c) of the 
Agricultural Act of 2013, Public Law 113-79.
    (7) Assist the Administrator, Economic Research Service with 
implementing section 10016 of the Agricultural Act of 2014 regarding 
locally or regionally produced agricultural food products (7 U.S.C. 
2204h).
    (8) Administer the Federal Crop Insurance Act (7 U.S.C. 1501, et 
seq.), except for sections 524(a)(1)(B), (a)(3), and (b) (7 U.S.C. 
1524(a)(1)(B), (a)(3), (b)) and 531 (7 U.S.C. 1531).
    (b) [Reserved]

[62 FR 19901, Apr. 24, 1997, as amended at 74 FR 3407, Jan. 21, 2009; 79 
FR 44113, July 30, 2014]



  Subpart G_Delegations of Authority by the Under Secretary for Rural 
                               Development

    Editorial Note: Nomenclature changes to subpart G of part 2 appear 
at 60 FR 66713, Dec. 26, 1995.



Sec.  2.45  Deputy Under Secretary for Rural Development.

    Pursuant to Sec.  2.17(a), subject to reservations in Sec.  2.17(b), 
and subject to policy guidance and direction by the Under Secretary for 
Rural Development, the following delegation of authority is made to the 
Deputy Under Secretary for Rural Development, to be exercised only 
during the absence or unavailability of the Under Secretary: Perform all 
the duties and exercise all the powers which are now or which may 
hereafter be delegated to the Under Secretary for Rural Development: 
Provided, that this authority shall be exercised first by the Deputy 
Under Secretary for Policy and Planning, and second by the Deputy Under 
Secretary for Operations and Management.

[79 FR 44113, July 30, 2014]



Sec.  2.47  Administrator, Rural Utilities Service.

    (a) Delegations. Pursuant to Sec. Sec.  2.17(a)(14) and (a)(16) 
through (a)(20), and subject to policy guidance and direction by the 
Under Secretary for Rural Development, the following delegations of 
authority are made by the Under Secretary for Rural Development to the 
Administrator, Rural Utilities Service:
    (1) Administer the Rural Electrification Act of 1936, as amended (7 
U.S.C. 901, et seq.) except for rural economic development loan and 
grant programs (7 U.S.C. 940c and 950aa, et seq.): Provided, however, 
that the Administrator may utilize consultants and attorneys

[[Page 255]]

for the provision of legal services pursuant to 7 U.S.C. 918, with the 
concurrence of the General Counsel.
    (2) Administer the Rural Electrification Act of 1938 (7 U.S.C. 903 
note).
    (3) The Administrator, Rural Utilities Service is designated to 
serve as the chief executive officer of the Rural Telephone Bank.
    (4) Administer the following sections of the Consolidated Farm and 
Rural Development Act (7 U.S.C. 1921, et seq.):
    (i) Section 306 (7 U.S.C. 1926), related to water and waste 
facilities.
    (ii) Section 306A (7 U.S.C. 1926a).
    (iii) Section 306B (7 U.S.C. 1926b).
    (iv) Section 306C (7 U.S.C. 1926c).
    (v) Section 306D (7 U.S.C. 1926d).
    (vii) Section 306E (7 U.S.C. 1926e).
    (vii) Sections 309 (7 U.S.C. 1929 and 309A (7 U.S.C. 1929a), 
relating to assets and programs related to watershed facilities, 
resource and conservation facilities, and water and waste facilities.
    (viii) Section 305 (7 U.S.C. 1926) relating to hazardous weather 
early warning systems.
    (ix) Section 310A (7 U.S.C. 1931), relating to watershed and 
resource conservation and development.
    (x) Section 310B(b) (7 U.S.C. 1932(b)).
    (xi)-(xii) [Reserved]
    (xiii) Administrative Provisions of subtitle D of the Consolidated 
Farm and Rural Development Act relating to Rural Utilities Service 
activities.
    (xiv) Section 379B (7 U.S.C. 2009;).
    (5) Administer section 8, and those functions with respect to 
repayment of obligations under section 4, of the Watershed Protection 
and Flood Prevention Act (16 U.S.C. 1006a, 1004) and administer the 
Resource Conservation and Development Program to assist in carrying out 
resource conservation and development projects in rural areas under 
section 32(e) of the Bankhead-Jones Farm Tenant Act (7 U.S.C. 1011(e)).
    (6) Administer the Water and Waste Loan Program (7 U.S.C. 1926-1).
    (7) Administer the Rural Wastewater Treatment Circuit Rider Program 
(7 U.S.C. 1926 note).
    (8) Collect, service, and liquidate loans made, insured, or 
guaranteed by the Rural Utilities Service or its predecessor agencies.
    (9) [Reserved]
    (10) Administer responsibilities and function assigned under the 
Defense Production Act of 1950, as amended (50 U.S.C. App. 2061 et seq.) 
and title VI of the Robert T. Stafford Disaster Relief and Emergency 
Assistance Act (42 U.S.C. 5195 et seq.), relating to rural development 
credit and financial assistance.
    (11) With respect to land and facilities under his or her authority, 
exercise the functions delegated to the Secretary by Executive Order 
12580, 3 CFR, 1987 Comp., p. 193, under the following provisions of the 
Comprehensive Environmental Response, Compensation, and Liability Act of 
1980 (``the Act''), as amended:
    (i) Sections 104(a), (b), and (c)(4) of the Act (42 U.S.C. 9604(a), 
(b), and (c)(4)), with respect to removal and remedial actions in the 
event of release or threatened release of a hazardous substance, 
pollutant, or contaminant into the environment;
    (ii) Sections 104(e)-(h) of the Act (42 U.S.C. 9604(e)-(h)), with 
respect to information gathering and access requests and orders; 
compliance with Federal health and safety standards and wage and labor 
standards applicable to covered work; and emergency procurement powers;
    (iii) Section 104(i)(11) of the Act (42 U.S.C. 9604(i)(11)), with 
respect to the reduction of exposure to significant risk to human 
health;
    (iv) Section 104(j) of the Act (42 U.S.C. 9604(j)), with respect to 
the acquisition of real property and interests in real property required 
to conduct a remedial action;
    (v) The first two sentences of section 105(d) of the Act (42 U.S.C. 
9605(d)), with respect to petitions for preliminary assessment of a 
release or threatened release;
    (vi) Section 105(f) of the Act (42 U.S.C. 9605(f)), with respect to 
consideration of the availability of qualified minority firms in 
awarding contracts, but excluding that portion of section 105(f) 
pertaining to the annual report to Congress;
    (vii) Section 109 of the Act (42 U.S.C. 9609), with respect to the 
assessment of civil penalties for violations of section 122 of the Act 
(42 U.S.C. 9622), and the

[[Page 256]]

granting of awards to individuals providing information;
    (viii) Section 111(f) of the Act (42 U.S.C. 9611(f)), with respect 
to the designation of officials who may obligate money in the Hazardous 
Substances Superfund;
    (ix) Section 113(k) of the Act (42 U.S.C. 9613(k)), with respect to 
establishing an administrative record upon which to base the selection 
of a response action and identifying and notifying potentially 
responsible parties;
    (x) Section 116(a) of the Act (42 U.S.C. 9616(a)), with respect to 
preliminary assessment and site inspection of facilities;
    (xi) Sections 117(a) and (c) of the Act (42 U.S.C. 9617(a) and (c)), 
with respect to public participation in the preparation of any plan for 
remedial action and explanation of variances from the final remedial 
action plan for any remedial action or enforcement action, including any 
settlement or consent decree entered into;
    (xii) Section 119 of the Act (42 U.S.C. 9119), with respect to 
indemnifying response action contractors;
    (xiii) Section 121 of the Act (42 U.S.C. 9621), with respect to 
cleanup standards; and
    (xiv) Section 122 of the Act (42 U.S.C. 9622), with respect to 
settlements, but excluding section 122(b)(1) of the Act (42 U.S.C. 
9622(b)(1)), related to mixed funding agreements.
    (12) With respect to facilities and activities under his or her 
authority, to exercise the authority of the Secretary of Agriculture 
pursuant to section 1-102 related to compliance with applicable 
pollution control standards and section 1-601 of Executive Order 12088, 
3 CFR, 1978 Comp., p. 243, to enter into an inter-agency agreement with 
the United States Environmental Protection Agency, or an administrative 
consent order or a consent judgment in an appropriate State, interstate, 
or local agency, containing a plan and schedule to achieve and maintain 
compliance with applicable pollution control standards established 
pursuant to the following:
    (i) Solid Waste Disposal Act, as amended by the Resource 
Conservation and Recovery Act, as further amended by the Hazardous and 
Solid Waste Amendments, and the Federal Facility Compliance Act (42 
U.S.C. 6901 et seq.);
    (ii) Federal Water Pollution Prevention and Control Act, as amended 
(33 U.S.C. 1251 et seq.);
    (iii) Safe Drinking Water Act, as amended (42 U.S.C. 300f et seq.);
    (iv) Clean Air Act, as amended (42 U.S.C. 7401 et seq.);
    (v) Noise Control Act of 1972, as amended (42 U.S.C. 4901 et seq.);
    (vi) Toxic Substances Control Act, as amended (15 U.S.C. 2601 et 
seq.);
    (vii) Federal Insecticide, Fungicide, and Rodenticide Act, as 
amended (7 U.S.C. 136 et seq.); and
    (viii) Comprehensive Environmental Response, Compensation, and 
Liability Act of 1980, as amended by the Superfund Amendments and 
Reauthorization Act of 1986 (42 U.S.C. 9601 et seq.).
    (13) Administer the Distance Learning and Medical Link Programs (7 
U.S.C. 950aaa et seq.).
    (14) Administer water and waste facility programs and activities (7 
U.S.C. 1926-1).
    (15) [Reserved]
    (16) In coordination with the Director, Office of Advocacy and 
Outreach, issue receipts under section 2501A(e) of the Food, 
Agriculture, Conservation, and Trade Act of 1990 (7 U.S.C. 2279-1(e)).
    (17) Administer section 6407 of the Farm Security and Rural 
Investment Act of 2002 (7 U.S.C. 8107a), relating to a rural energy 
savings program.
    (18) Administer section 6210 of the Agricultural Act of 2014, Public 
Law 113-79, relating to funding of pending rural development loan and 
grant applications.
    (b) Reservations. The following authority is reserved to the Under 
Secretary for Rural Economic and Community Development:
    (1) Making and issuing notes to the Secretary of the Treasury for 
the purposes of the Rural Development Insurance Fund as authorized by 
the Consolidated Farm and Rural Development Act (7 U.S.C. 1929a).
    (2) Administering loans for rural telephone facilities and service 
in rural

[[Page 257]]

areas as authorized by the Consolidated Farm and Rural Development Act 
(7 U.S.C. 1921 et seq.).

[60 FR 56393, Nov. 8, 1995, as amended at 66 FR 16593, Mar. 27, 2001; 68 
FR 27443, May 20, 2003; 74 FR 3407, Jan. 21, 2009; 75 FR 43380, July 23, 
2010; 78 FR 40938, July 9, 2013; 79 FR 44113, July 30, 2014]



Sec.  2.48  Administrator, Rural Business-Cooperative Service.

    (a) Delegations. Pursuant to Sec. Sec.  2.17(a)(1), (a)(2), (a)(14), 
(a)(16) through (a)(19), and (a)(21), subject to reservations in Sec.  
2.17(b)(1), and subject to policy guidance and direction by the Under 
Secretary for Rural Development, the following delegations of authority 
are made by the Under Secretary for Rural Development to the 
Administrator, Rural Business-Cooperative Service:
    (1) Administer the rural economic development loan and grant 
programs under the Rural Electrification Act (7 U.S.C. 940c and 950aa et 
seq.).
    (2) Administer the following sections of the Consolidated Farm and 
Rural Development Act (7 U.S.C. 1921 et seq.):
    (i) Section 306(a)(11)(A) (7 U.S.C. 1926(a)(11)(A)), related grants 
for business technical assistance and planning;
    (ii) [Reserved]
    (iii) Sections 309 (7 U.S.C. 1929) and 309A (7 U.S.C. 1929a), 
relating to assets and programs related to rural development;
    (iv) Section 310B (7 U.S.C. 1932), relating to various Rural 
Development programs, except for subsection (b) of that section.
    (v) Section 310H (7 U.S.C. 1936b), relating to an intermediary 
relending program.
    (vi) Administrative Provisions of subtitle D of the Consolidated 
Farm and Rural Development Act relating to Rural Business-Cooperative 
Service activities;
    (vii) Section 378 (7 U.S.C., 2008m) relating to the National Rural 
Development Partnership; and
    (viii) Section 379E (7 U.S.C. 2008s) relating to the Rural 
Microentrepreneur Assistance Program.
    (ix) Section 379F (7 U.S.C. 2000t) relating to the Expansion of 
Employment Opportunities for Individuals with Disabilities in Rural 
Areas Program.
    (x) Section 379G (7 U.S.C. 2008u) relating to Health Care Services.
    (xi) Section 382A et seq. (7 U.S.C. 2009aa et seq.) relating to the 
Delta Regional Authority.
    (xii) Section 383A et seq. (7 U.S.C. 2009bb et seq.) relating to the 
Northern Great Plains Regional Authority.
    (xiii) Section 384A et seq. (7 U.S.C. 2009cc et seq.) relating to 
the Rural Business Investment program.
    (xiv) Section 385A et seq. (7 U.S.C. 2009dd et seq.) relating to the 
Rural Collaborative Investment Program.
    (3) Administer Alcohol Fuels Credit Guarantee Program Account (Pub 
L. No. 102-341, 106 Stat. 895).
    (4) [Reserved]
    (5) Administer loan programs in the Appalachian region under 
sections 203 and 204 of the Appalachian Regional Development Act of 1965 
(40 U.S.C. App. 204).
    (6) Administer section 601 of the Powerplant and Industrial Fuel Use 
Act of 1978 (Pub. L. No. 95-620).
    (7) Administer the Drought and Disaster Guaranteed Loan program 
under section 331 of the Disaster Assistance Act of 1988 (7 U.S.C. 1929a 
note).
    (8) Administer the Disaster Assistance for Rural Business 
Enterprises Guaranteed Loan Program under section 401 of the Disaster 
Assistance Act of 1989 (7 U.S.C. 1929a note).
    (9) Administer the Rural Economic Development Demonstration Grant 
Program (7 U.S.C. 2662a).
    (10) Administer the Economically Disadvantaged Rural Community Loan 
program (7 U.S.C. 6616).
    (11) Administer programs authorized by the Cooperative Marketing Act 
of 1926 (7 U.S.C. 451-457).
    (12) Carry out the responsibilities of the Secretary of Agriculture 
relating to the marketing aspects of cooperatives, including economic 
research and analysis, the application of economic research findings, 
technical assistance to existing and developing cooperatives, education 
on cooperatives, and statistical information pertaining to cooperatives 
as authorized by the Agricultural Marketing Act of 1946 (7 U.S.C. 1621-
1627).
    (13) Work with institutions and international organizations 
throughout the

[[Page 258]]

world on subjects related to the development and operation of 
agricultural cooperatives. Such work may be carried out by:
    (i) Exchanging materials and results with such institutions or 
organizations;
    (ii) Engaging in joint or coordinated activities; or
    (iii) Stationing representatives at such institutions or 
organizations in foreign countries (7 U.S.C. 3291).
    (14) Collect, service, and liquidate loans made, insured, or 
guaranteed by the Rural Business-Cooperative Service or its predecessor 
agencies.
    (15) [Reserved]
    (16) Administer responsibilities and functions assigned under the 
Defense Production Act of 1950, as amended (50 U.S.C. App. 2061 et 
seq.), and title VI of the Robert T. Stafford Disaster Relief and 
Assistance Act (42 U.S.C. 5195 et seq.), relating to rural development 
credit and financial assistance.
    (17) With respect to land and facilities under his or her authority, 
exercise the functions delegated to the Secretary by Executive Order 
12580, 3 CFR, 1987 Comp., p. 193, under the following provisions of the 
Comprehensive Environmental Response, Compensation, and Liability Act of 
1980 (``the Act''), as amended:
    (i) Sections 104 (a), (b), and (c)(4) of the Act (42 U.S.C. 9604 
(a), (b), and (c)(4)), with respect to removal and remedial actions in 
the event of release or threatened release of a hazardous substance, 
pollutant, or contaminant into the environment;
    (ii) Sections 104(e)-(h) of the Act (42 U.S.C. 9604(e)-(h)), with 
respect to information gathering and access requests and orders; 
compliance with Federal health and safety standards and wage and labor 
standards applicable to covered work; and emergency procurement powers;
    (iii) Section 104(i)(11) of the Act (42 U.S.C. 9604(i)(11)), with 
respect to the reduction of exposure to significant risk to human 
health;
    (iv) Section 104(j) of the Act (42 U.S.C. 9604(j)), with respect to 
the acquisition of real property and interests in real property required 
to conduct a remedial action;
    (v) The first two sentences of section 105(d) of the Act (42 U.S.C. 
9605(d)), with respect to petitions for preliminary assessment of a 
release or threatened release;
    (vi) Section 105(f) of the Act (42 U.S.C. 9605(f)), with respect to 
consideration of the availability of qualified minority firms in 
awarding contracts, but excluding that portion of section 105(f) 
pertaining to the annual report to Congress;
    (vii) Section 109 of the Act (42 U.S.C. 9609), with respect to the 
assessment of civil penalties for violations of section 122 of the Act 
(42 U.S.C. 9622), and the granting of awards to individuals providing 
information;
    (viii) Section 111(f) of the Act (42 U.S.C. 9611(f)), with respect 
to the designation of officials who may obligate money in the Hazardous 
Substances Superfund;
    (ix) Section 113(k) of the Act (42 U.S.C. 9613(k)), with respect to 
establishing an administrative record upon which to base the selection 
of a response action and identifying and notifying potentially 
responsible parties;
    (x) Section 116(a) of the Act (42 U.S.C. 9616(a)), with respect to 
preliminary assessment and site inspection of facilities;
    (xi) Sections 117 (a) and (c) of the Act (42 U.S.C. 9617 (a) and 
(c)), with respect to public participation in the preparation of any 
plan for remedial action and explanation of variances from the final 
remedial action plan for any remedial action or enforcement action, 
including any settlement or consent decree entered into;
    (xii) Section 119 of the Act (42 U.S.C. 9119), with respect to 
indemnifying response action contractors;
    (xiii) Section 121 of the Act (42 U.S.C. 9621), with respect to 
cleanup standards; and
    (xiv) Section 122 of the Act (42 U.S.C. 9622), with respect to 
settlements, but excluding section 122(b)(1) of the Act (42 U.S.C. 
9622(b)(1)), related to mixed funding agreements.
    (18) With respect to facilities and activities under his or her 
authority, to exercise the authority of the Secretary of Agriculture 
pursuant to section 1-

[[Page 259]]

102 related to compliance with applicable pollution control standards 
and section 1-601 of Executive Order 12088, 3 CFR, 1978 Comp., p. 243, 
to enter into an inter-agency agreement with the United States 
Environmental Protection Agency, or an administrative consent order or a 
consent judgment in an appropriate State, interstate, or local agency, 
containing a plan and schedule to achieve and maintain compliance with 
applicable pollution control standards established pursuant to the 
following:
    (i) Solid Waste Disposal Act, as amended by the Resource 
Conservation and Recovery Act, as further amended by the Hazardous and 
Solid Waste Amendments, and the Federal Facility Compliance Act (42 
U.S.C. 6901 et seq.);
    (ii) Federal Water Pollution Prevention and Control Act, as amended 
(33 U.S.C. 1251 et seq.);
    (iii) Safe Drinking Water Act, as amended (42 U.S.C. 300f et seq.);
    (iv) Clean Air Act, as amended (42 U.S.C. 7401 et seq.);
    (v) Noise Control Act of 1972, as amended (42 U.S.C. 4901 et seq.);
    (vi) Toxic Substances Control Act, as amended (15 U.S.C. 2601 et 
seq.);
    (vii) Federal Insecticide, Fungicide, and Rodenticide Act, as 
amended (7 U.S.C. 136 et seq.); and
    (viii) Comprehensive Environmental Response, Compensation, and 
Liability Act of 1980, as amended by the Superfund Amendments and 
Reauthorization Act of 1986 (42 U.S.C. 9601 et seq.).
    (19) Administer in rural areas the process of designation, provision 
of monitoring and oversight, and provision of technical assistance for 
Empowerment Zones and Enterprise Communities pursuant to section 13301 
of Pub. L. No. 103-66, Omnibus Budget Reconciliation Act of 1993 (26 
U.S.C. 1391 et seq.).
    (20) Provide leadership and coordination within the executive branch 
at the state and local level of Federal rural development program 
utilizing the services of executive branch departments and agencies and 
the agencies, bureaus, offices, and services of the Department of 
Agriculture in coordination with rural development programs of State and 
local governments (7 U.S.C. 2204).
    (21) Coordinate, at the state and local level, activities relative 
to rural development among agencies reporting to the Under Secretary for 
Rural Economic and Community Development and, through appropriate 
channels, serve as the coordinating agency for other departmental 
agencies having primary responsibilities, in coordination with rural 
development programs of State and local governments (7 U.S.C. 2204).
    (22) Work with Federal agencies in encouraging the creation of local 
rural community development organizations. Within a State, assist other 
Federal agencies in developing means for extending their services 
effectively to rural areas and in designating pilot projects in rural 
areas (7 U.S.C. 2204).
    (23) Conduct assessments to determine how programs of the Department 
can be brought to bear on the economic development problems of a State 
or local area and assure that local groups are receiving adequate and 
effective technical assistance from Federal agencies or from local and 
State governments in formulating development programs and in carrying 
out planned development activities (7 U.S.C. 2204b).
    (24) Develop a process through which State, sub-state and local 
rural development needs, goals, objectives, plans, and recommendations 
can be received and assessed on a continuing basis (7 U.S.C. 2204b).
    (25) Prepare local or area-wide rural development strategies based 
on the needs, goals, objectives, plans and recommendations of local 
communities, sub-state areas and States (7 U.S.C. 2204b).
    (26) Develop a system of outreach in the State or local area to 
promote rural development and provide for the publication and 
dissemination of information, through multi-media methods, relating to 
rural development. Advise local rural development organizations of 
availability of Federal programs and the type of assistance available, 
and assist in making contact with Federal program contact (7 U.S.C. 
2204; 7 U.S.C. 2204b).
    (27) Administer the assets of the Alternative Agricultural Research 
and Commercialization Corporation and

[[Page 260]]

the funds in the Alternative Agricultural Research and Commercialization 
Fund in accordance with section 6201 of the Farm Security and Rural 
Investment Act of 2000 (see note to 7 U.S.C. 5901 (repealed)).
    (28) Administer the Value-Added Agricultural Product Market 
Development Grant program (note to 7 U.S.C. 1621).
    (29) Administer the Agriculture Innovation Center Demonstration 
program (note to 7 U.S.C. 1621).
    (30) Administer the Renewable Energy Systems and Energy Efficiency 
Improvements program (7 U.S.C. 8106).
    (30) Administer the renewable energy programs authorized in sections 
9003, 9004, 9005, 9007, and 9009 of the Farm Security and Rural 
Investment Act of 2002 (7 U.S.C. 8103, 8104, 8105, 8107, and 8109).
    (31) Implement the information disclosure authorities of section 
1619(b)(3)(A) of the Food, Conservation, and Energy Act of 2008 (7 
U.S.C. 8791(b)(3)(A)).
    (32) In coordination with the Director, Office of Advocacy and 
Outreach, issue receipts under section 2501A(e) of the Food, 
Agriculture, Conservation, and Trade Act of 1990 (7 U.S.C. 2279-1(e)).
    (33) Administer the Healthy Food Financing Initiative under section 
243 of the Department of Agriculture Reorganization Act of 1994 (7 
U.S.C. 6953).
    (34) Administer section 6209 of the Agricultural Act of 2014 (7 
U.S.C. 2207b), relating to the collection and reporting of program 
metrics.
    (b) Reservation. The following authority is reserved to the Under 
Secretary for Rural Economic and Community Development: Making and 
issuing notes to the Secretary of the Treasury for the purposes of the 
Rural Development Insurance Fund as authorized by the Consolidated Farm 
and Rural Development Act (7 U.S.C. 1929a).

[60 FR 56393, Nov. 8, 1995, as amended at 66 FR 33107, June 11, 2001; 68 
FR 27444, May 20, 2003; 73 FR 3407, Jan. 21, 2009; 75 FR 43380, July 23, 
2010; 78 FR 40938, July 9, 2013; 79 FR 44114, July 30, 2014]



Sec.  2.49  Administrator, Rural Housing Service.

    (a) Delegations. Pursuant to Sec. Sec.  2.17(a)(14), (a)(16) through 
(a)(19) and (a)(22), and subject to policy guidance and direction by the 
Under Secretary for Rural Development, the following delegations of 
authority are made by the Under Secretary for Rural Development to the 
Administrator, Rural Housing Service:
    (1) Administer the following under the Consolidated Farm and Rural 
Development Act (7 U.S.C. 1921 et seq.):
    (i) Section 306 (7 U.S.C. 1926) except subsection 306(a)(11) and 
except financing for water and waste disposal facilities; hazardous 
weather early warning systems; grazing facilities; irrigation and 
drainage facilities; rural electrification or telephone systems or 
facilities; and hydro-electric generating and related distribution 
systems and supplemental and supporting structures if they are eligible 
for Rural Utilities financing;
    (ii) Section 309A (7 U.S.C. 1929a), regarding assets and programs 
relating to community facilities; and
    (iii) Administrative Provisions of subtitle D of the Consolidated 
Farm and Rural Development Act relating to Rural Housing Service 
activities;
    (iv) Section 379 (7 U.S.C. 2008n) relating to the Rural Telework 
program.
    (v) Section 379A (7 U.S.C. 2008o) relating to the Historic Barn 
Preservation program.
    (vi) Section 379C (7 U.S.C. 2008q) relating to the Farm Workers 
Training Grant program.
    (2) Administer title V of the Housing Act of 1949 (42 U.S.C. 1471 et 
seq.), except those functions pertaining to research.
    (3) [Reserved]
    (4) Administer the rural housing disaster program under sections 
232, 234, and 253 of the Disaster Relief Act of 1970 (Pub. L. No. 91-
606).
    (5) Collect, service, and liquidate loans made, insured or 
guaranteed by the Rural Housing Service or its predecessor agencies.
    (6) Exercise all authority and discretion vested in the Secretary by 
section 510(d) of the Housing Act of 1949, as amended by section 1045 of 
the Stewart B. McKinney Homeless Assistance

[[Page 261]]

Amendments Act of 1988, Pub. L. No. 100-628 (42 U.S.C. 1480(d)), 
including the following:
    (i) Determine, with the concurrence of the General Counsel, which 
actions are to be referred to the Department of Justice for the conduct 
of litigation, and refer such actions to the Department of Justice 
through the General Counsel;
    (ii) Determine, with the concurrence of the General Counsel, which 
actions are to be referred to the General Counsel for the conduct of 
litigation and refer such actions; and
    (iii) Enter into contracts with private sector attorneys for the 
conduct of litigation, with the concurrence of the General Counsel, 
after determining that the attorneys will provide competent and cost 
effective representation for the Rural Housing Service and 
representation by the attorney will either accelerate the process by 
which a family or person eligible for assistance under section 502 of 
the Housing Act of 1949 will be able to purchase and occupy the housing 
involved, or preserve the quality of the housing involved.
    (7) [Reserved]
    (8) Administer responsibilities and function assigned under the 
Defense Production Act of 1950, as amended (50 U.S.C. App. 2061 et seq.) 
and title VI of the Robert T. Stafford Disaster Relief and Emergency 
Assistance Act (42 U.S.C. 5195 et seq.), relating to rural housing and 
community development credit and financial assistance.
    (9) With respect to land and facilities under his or her authority, 
exercise the functions delegated to the Secretary by Executive Order 
12580, 3 CFR, 1987 Comp., p. 193, under the following provisions of the 
Comprehensive Environmental Response, Compensation, and Liability Act of 
1980 (``the Act''), as amended:
    (i) Sections 104 (a), (b), and (c)(4) of the Act (42 U.S.C. 9604(a), 
(b), and (c)(4)), with respect to removal and remedial actions in the 
event of release or threatened release of a hazardous substance, 
pollutant, or contaminant into the environment;
    (ii) Sections 104(e)-(h) of the Act (42 U.S.C. 9604(e)-(h)), with 
respect to information gathering and access requests and orders; 
compliance with Federal health and safety standards and wage and labor 
standards applicable to covered work; and emergency procurement powers;
    (iii) Section 104(i)(11) of the Act (42 U.S.C. 9604(i)(11)), with 
respect to the reduction of exposure to significant risk to human 
health;
    (iv) Section 104(j) of the Act (42 U.S.C. 9604(j)), with respect to 
the acquisition of real property and interests in real property required 
to conduct a remedial action;
    (v) The first two sentences of section 105(d) of the Act (42 U.S.C. 
9605(d)), with respect to petitions for preliminary assessment of a 
release or threatened release;
    (vi) Section 105(f) of the Act (42 U.S.C. 9605(f)), with respect to 
consideration of the availability of qualified minority firms in 
awarding contracts, but excluding that portion of section 105(f) 
pertaining to the annual report to Congress;
    (vii) Section 109 of the Act (42 U.S.C. 9609), with respect to the 
assessment of civil penalties for violations of section 122 of the Act 
(42 U.S.C. 9622), and the granting of awards to individuals providing 
information;
    (viii) Section 111(f) of the Act (42 U.S.C. 9611(f)), with respect 
to the designation of officials who may obligate money in the Hazardous 
Substances Superfund;
    (ix) Section 113(k) of the Act (42 U.S.C. 9613(k)), with respect to 
establishing an administrative record upon which to base the selection 
of a response action and identifying and notifying potentially 
responsible parties;
    (x) Section 116(a) of the Act (42 U.S.C. 9616(a)), with respect to 
preliminary assessment and site inspection of facilities;
    (xi) Sections 117 (a) and (c) of the Act (42 U.S.C. 9617 (a) and 
(c)), with respect to public participation in the preparation of any 
plan for remedial action and explanation of variances from the final 
remedial action plan for any remedial action or enforcement action, 
including any settlement or consent decree entered into;
    (xii) Section 119 of the Act (42 U.S.C. 9119), with respect to 
indemnifying response action contractors;

[[Page 262]]

    (xiii) Section 121 of the Act (42 U.S.C. 9621), with respect to 
cleanup standards; and
    (xiv) Section 122 of the Act (42 U.S.C. 9622), with respect to 
settlements, but excluding section 122(b)(1) of the Act (42 U.S.C. 
9622(b)(1)), related to mixed funding agreements.
    (10) With respect to facilities and activities under his or her 
authority, to exercise the authority of the Secretary of Agriculture 
pursuant to section 1-102 related to compliance with applicable 
pollution control standards and section 1-601 of Executive Order 12088, 
3 CFR, 1978 Comp., p. 243, to enter into an inter-agency agreement with 
the United States Environmental Protection Agency, or an administrative 
consent order or a consent judgment in an appropriate State, interstate, 
or local agency, containing a plan and schedule to achieve and maintain 
compliance with applicable pollution control standards established 
pursuant to the following:
    (i) Solid Waste Disposal Act, as amended by the Resource 
Conservation and Recovery Act, as further amended by the Hazardous and 
Solid Waste Amendments, and the Federal Facility Compliance Act (42 
U.S.C. 6901 et seq.);
    (ii) Federal Water Pollution Prevention and Control Act, as amended 
(33 U.S.C. 1251 et seq.);
    (iii) Safe Drinking Water Act, as amended (42 U.S.C. 300f et seq.);
    (iv) Clean Air Act, as amended (42 U.S.C. 7401 et seq.);
    (v) Noise Control Act of 1972, as amended (42 U.S.C. 4901 et seq.);
    (vi) Toxic Substances Control Act, as amended (15 U.S.C. 2601 et 
seq.);
    (vii) Federal Insecticide, Fungicide, and Rodenticide Act, as 
amended (7 U.S.C. 136 et seq.); and
    (viii) Comprehensive Environmental Response, Compensation, and 
Liability Act of 1980, as amended by the Superfund Amendments and 
Reauthorization Act of 1986 (42 U.S.C. 9601 et seq.).
    (11) Administer the Rural Firefighters and Emergency Personnel Grant 
program (7 U.S.C. 2655).
    (12) Implement the information disclosure authorities of section 
1619(b)(3)(A) of the Food, Conservation, and Energy Act of 2008 (7 
U.S.C. 8791(b)(3)(A)).
    (13) In coordination with the Director, Office of Advocacy and 
Outreach, issue receipts under section 2501A(e) of the Food, 
Agriculture, Conservation, and Trade Act of 1990 (7 U.S.C. 2279-1(e)).
    (b) Reservation. The following authority is reserved to the Under 
Secretary for Rural Economic and Community Development: Making and 
issuing notes to the Secretary of the Treasury for the purposes the 
Rural Development Insurance Fund as authorized by the Consolidated Farm 
and Rural Development Act (7 U.S.C. 1929(a)) and the Rural Housing 
Insurance Fund as authorized by title V of the Housing Act of 1949 (41 
U.S.C. 1487).

[60 FR 56393, Nov. 8, 1995, as amended at 66 FR 16593, Mar. 27, 2001; 68 
FR 27444, May 20, 2003; 74 FR 3408, Jan. 21, 2009; 75 FR 43380, July 23, 
2010; 78 FR 40938, July 9, 2013; 79 FR 44114, July 30, 2014]



   Subpart H_Delegations of Authority by the Under Secretary for Food 
                                 Safety



Sec.  2.51  Deputy Under Secretary for Food Safety.

    Pursuant to Sec.  2.18, and subject to policy guidance and direction 
by the Under Secretary, the following delegation of authority is made by 
the Under Secretary for Food Safety to the Deputy Under Secretary for 
Food Safety, to be exercised only during the absence or unavailability 
of the Under Secretary: Perform all the duties and exercise all the 
powers which are now or which may hereafter be delegated to the Under 
Secretary for Food Safety: Provided, that this authority shall be 
exercised first by a career Deputy Under Secretary in the order in which 
he or she has taken office as Deputy Under Secretary, and second by a 
non-career Deputy Under Secretary in the order in which he or she has 
taken office as Deputy Under Secretary.

[80 FR 58338, Sept. 29, 2015]



Sec.  2.53  Administrator, Food Safety and Inspection Service.

    (a) Delegations. Pursuant to Sec.  2.18, the following delegations 
of authority are made by the Under Secretary for Food

[[Page 263]]

Safety to the Administrator, Food Safety and Inspection Service:
    (1) Exercise the functions of the Secretary of Agriculture contained 
in the Agricultural Marketing Act of 1946, as amended (7 U.S.C. 1621-
1627), relating to voluntary inspection of poultry and edible products 
thereof; voluntary inspection and certification of technical animal fat; 
certified products for dogs, cats and other carnivora; voluntary 
inspection of rabbits and edible products thereof; and voluntary 
inspection and certification of edible meat and other products.
    (2) Exercise the functions of the Secretary of Agriculture contained 
in the following legislation:
    (i) Poultry Products Inspection Act, as amended (21 U.S.C. 451-470, 
472);
    (ii) Federal Meat Inspection Act, as amended, and related 
legislation, excluding so much of section 18 as pertains to issuance of 
certificates of condition of live animals intended and offered for 
export (21 U.S.C. 601-613, 615-624, 641-645, 661, 671-680, 683, 691-692, 
694-695);
    (iii) Egg Products Inspection Act, except for the shell egg 
surveillance program, voluntary laboratory analyses of egg products, and 
the voluntary egg grading program (21 U.S.C. 1031-1056);
    (iv) Talmadge-Aiken Act (7 U.S.C. 450) with respect to cooperation 
with States in administration of the Federal Meat Inspection Act and the 
Poultry Products Inspection Act;
    (v) Humane Slaughter Act (7 U.S.C. 1901-1906); and
    (vi) Defense Production Act of 1950, as amended (50 U.S.C. App. 2061 
et seq.), and title VI of the Robert T. Stafford Disaster Relief and 
Emergency Assistance Act (42 U.S.C. 5195 et seq.), relating to 
wholesomeness of meat and poultry and products thereof and inspection of 
egg and egg products.
    (3) With respect to land and facilities under his or her authority, 
exercise the functions delegated to the Secretary by Executive Order 
12580, 3 CFR, 1987 Comp., p. 193, under the following provisions of the 
Comprehensive Environmental Response, Compensation, and Liability Act of 
1980 (``the Act''), as amended:
    (i) Sections 104 (a), (b), and (c)(4) of the Act (42 U.S.C. 9604 
(a), (b), and (c)(4)), with respect to removal and remedial actions in 
the event of release or threatened release of a hazardous substance, 
pollutant, or contaminant into the environment;
    (ii) Sections 104(e)-(h) of the Act (42 U.S.C. 9604(e)-(h)), with 
respect to information gathering and access requests and orders; 
compliance with Federal health and safety standards and wage and labor 
standards applicable to covered work; and emergency procurement powers;
    (iii) Section 104(i)(11) of the Act (42 U.S.C. 9604(i)(11)), with 
respect to the reduction of exposure to significant risk to human 
health;
    (iv) Section 104(j) of the Act (42 U.S.C. 9604(j)), with respect to 
the acquisition of real property and interests in real property required 
to conduct a remedial action;
    (v) The first two sentences of section 105(d) of the Act (42 U.S.C. 
9605(d)), with respect to petitions for preliminary assessment of a 
release or threatened release;
    (vi) Section 105(f) of the Act (42 U.S.C. 9605(f)), with respect to 
consideration of the availability of qualified minority firms in 
awarding contracts, but excluding that portion of section 105(f) 
pertaining to the annual report to Congress;
    (vii) Section 109 of the Act (42 U.S.C. 9609), with respect to the 
assessment of civil penalties for violations of section 122 of the Act 
(42 U.S.C. 9622), and the granting of awards to individuals providing 
information;
    (viii) Section 111(f) of the Act (42 U.S.C. 9611(f)), with respect 
to the designation of officials who may obligate money in the Hazardous 
Substances Superfund;
    (ix) Section 113(k) of the Act (42 U.S.C. 9613(k)), with respect to 
establishing an administrative record upon which to base the selection 
of a response action and identifying and notifying potentially 
responsible parties;
    (x) Section 116(a) of the Act (42 U.S.C. 9616(a)), with respect to 
preliminary assessment and site inspection of facilities;
    (xi) Sections 117 (a) and (c) of the Act (42 U.S.C. 9617 (a) and 
(c)), with respect to public participation in the preparation of any 
plan for remedial action

[[Page 264]]

and explanation of variances from the final remedial action plan for any 
remedial action or enforcement action, including any settlement or 
consent decree entered into;
    (xii) Section 119 of the Act (42 U.S.C. 9119), with respect to 
indemnifying response action contractors;
    (xiii) Section 121 of the Act (42 U.S.C. 9621), with respect to 
cleanup standards; and
    (xiv) Section 122 of the Act (42 U.S.C. 9622), with respect to 
settlements, but excluding section 122(b)(1) of the Act (42 U.S.C. 
9622(b)(1)), related to mixed funding agreements.
    (4) With respect to facilities and activities under his or her 
authority, to exercise the authority of the Secretary of Agriculture 
pursuant to section 1-102 related to compliance with applicable 
pollution control standards and section 1-601 of Executive Order 12088, 
3 CFR, 1978 Comp., p. 243, to enter into an inter-agency agreement with 
the United States Environmental Protection Agency, or an administrative 
consent order or a consent judgment in an appropriate State, interstate, 
or local agency, containing a plan and schedule to achieve and maintain 
compliance with applicable pollution control standards established 
pursuant to the following:
    (i) Solid Waste Disposal Act, as amended by the Resource 
Conservation and Recovery Act, as further amended by the Hazardous and 
Solid Waste Amendments, and the Federal Facility Compliance Act (42 
U.S.C. 6901 et seq.);
    (ii) Federal Water Pollution Prevention and Control Act, as amended 
(33 U.S.C. 1251 et seq.);
    (iii) Safe Drinking Water Act, as amended (42 U.S.C. 300f et seq.);
    (iv) Clean Air Act, as amended (42 U.S.C. 7401 et seq.);
    (v) Noise Control Act of 1972, as amended (42 U.S.C. 4901 et seq.);
    (vi) Toxic Substances Control Act, as amended (15 U.S.C. 2601 et 
seq.);
    (vii) Federal Insecticide, Fungicide, and Rodenticide Act, as 
amended (7 U.S.C. 136 et seq.); and
    (viii) Comprehensive Environmental Response, Compensation, and 
Liability Act of 1980, as amended by the Superfund Amendments and 
Reauthorization Act of 1986 (42 U.S.C. 9601 et seq.).
    (5) Administer the National Laboratory Accreditation Program (7 
U.S.C. 138-138i) with respect to laboratories accredited only for 
pesticide residue analysis in meat and poultry products.
    (6) Administer and conduct a food safety research program (7 U.S.C. 
427).
    (7) Coordinate with the Animal and Plant Health Inspection Service 
the administration of programs relating to human pathogen reduction 
(such as salmonella enteritidis) pursuant to section 2 of the Act of 
February 2, 1903, as amended (21 U.S.C. 111), and sections 4 and 5 of 
the Act of May 29, 1884, as amended (21 U.S.C. 120).
    (8) Enter into contracts, grants, or cooperative agreements to 
further research programs in the agricultural sciences (7 U.S.C. 3318).
    (9) Conduct an education program regarding the availability and 
safety of processes and treatments that eliminate or substantially 
reduce the level of pathogens on meat, meat food products, poultry, and 
poultry products (21 U.S.C. 679b).
    (b) [Reserved]

[60 FR 56393, Nov. 8, 1995, as amended at 68 FR 27444, May 20, 2003; 74 
FR 3408, Jan. 21, 2009]



  Subpart I_Delegations of Authority by the Under Secretary for Food, 
                    Nutrition, and Consumer Services



Sec.  2.55  Deputy Under Secretary for Food, Nutrition, 
and Consumer Services.

    Pursuant to Sec.  2.19(a), subject to reservations in Sec.  2.19(b), 
and subject to policy guidance and direction by the Under Secretary, the 
following delegation of authority is made by the Under Secretary for 
Food, Nutrition, and Consumer Services to the Deputy Under Secretary for 
Food, Nutrition and Consumer Services, to be exercised only during the 
absence or unavailability of the Under Secretary: Perform all the duties 
and exercise all the powers which are now or which may hereafter be 
delegated to the Under Secretary for Food, Nutrition, and Consumer 
Services.

[[Page 265]]



Sec.  2.57  Administrator, Food and Nutrition Service.

    (a) Delegations. Pursuant to Sec.  2.19(a)(1), (a)(2) and (a)(5), 
subject to reservations in Sec.  2.91(b), the following delegations of 
authority are made by the Under Secretary for Food, Nutrition, and 
Consumer Services to the Administrator, Food and Nutrition Service:
    (1) Administer the following legislation:
    (i) The Food and Nutrition Act of 2008, as amended (7 U.S.C. 2011-
2036), except for section 25, regarding assistance for community food 
projects.
    (ii) Richard B. Russell National School Lunch Act, as amended (42 
U.S.C. 1751-1769i), except procurement of agricultural commodities and 
other foods under section 6 thereof.
    (iii) Child Nutrition Act of 1966, as amended (42 U.S.C. 1771-1790).
    (iv) Sections 933-939 of the Food, Agriculture, Conservation, and 
Trade Act Amendments of 1991 (7 U.S.C. 5930 note).
    (v) Section 301 of the Healthy Meals for Healthy Americans Act of 
1994 (Pub. L. 103-448).
    (vi) Section 4402 of the Farm Security and Rural Investment Act of 
2002 (7 U.S.C. 3007).
    (vii) Section 4403 of the Farm Security and Rural Investment Act of 
2002 (7 U.S.C. 3171 note).
    (viii) Section 4404 of the Farm Security and Rural Investment Act of 
2002 (2 U.S.C. 1161).
    (ix) Section 4142 of the Food, Conservation, and Energy Act of 2008 
(Pub. L. 110-246).
    (x) Section 4301 of the Food, Conservation, and Energy Act of 2008 
(42 U.S.C. 1758a).
    (xi) Section 4305 of the Food, Conservation, and Energy Act of 2008 
(42 U.S.C. 1755a).
    (xii) Section 4307 of the Food, Conservation, and Energy Act of 2008 
(Pub. L. 110-246).
    (2) Administer those functions relating to the distribution and 
donation of agricultural commodities and products thereof under the 
following legislation:
    (i) Clause (3) of section 416(a) of the Agricultural Act of 1949, as 
amended (7 U.S.C. 1431(a)), except the estimate and announcement of the 
types and varieties of food commodities, and the quantities thereof, to 
become available for distribution thereunder;
    (ii) Section 709 of the Food and Agriculture Act of 1965, as amended 
(7 U.S.C. 1446a-1);
    (iii) Section 32 of the Act of August 24, 1935, as amended (7 U.S.C. 
612c), as supplemented by the Act of June 28, 1937 (15 U.S.C. 713c), and 
related legislation;
    (iv) Section 9 of the Act of September 6, 1958 (7 U.S.C. 1431b);
    (v) Section 210 of the Agricultural Act of 1956 (7 U.S.C. 1859), 
except with respect to donations to Federal penal and correctional 
institutions;
    (vi) [Reserved]
    (vii) Section 311 of the Older Americans Act of 1965, as amended (42 
U.S.C. 3030a);
    (viii) Sections 412 and 413(b) of the Robert T. Stafford Disaster 
Relief and Emergency Assistance Act (42 U.S.C. 5179, 5180(b));
    (ix) Sections 4 and 5 of the Agriculture and Consumer Protection Act 
of 1973, as amended (7 U.S.C. 612c note);
    (x) Section 1114 of the Agriculture and Food Act of 1981, as amended 
(7 U.S.C. 1431e);
    (xi) Section 1336 of the Agriculture and Food Act of 1981 (Pub. L. 
No. 97-98);
    (xii) Emergency Food Assistance Act of 1983 (7 U.S.C. 612c note);
    (xiii) Sections 3(b)-(i), 3A and 4 of the Commodity Distribution 
Reform Act and WIC Amendments of 1987 (7 U.S.C. 612c note); and
    (xiv) Section 110 of the Hunger Prevention Act of 1988 (7 U.S.C. 
612c note).
    (3) Administer those functions relating to the distribution of 
supplemental nutrition assistance program benefits under section 412 of 
the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 
U.S.C. 5179).
    (4) In connection with the functions assigned in paragraphs (a)(1), 
(a)(2), and (a)(3) of this section, relating to the distribution and 
donation of agricultural commodities and products thereof and 
supplemental nutrition assistance program benefits to eligible 
recipients, authority to determine the requirements for such 
agricultural commodities and products thereof and supplemental nutrition 
assistance program benefits to be so distributed.

[[Page 266]]

    (5) Receive donation of food commodities under clause (3) of section 
416(a) of the Agricultural Act of 1949, as amended, section 709 of the 
Food and Agriculture Act of 1965, as amended, section 5 of the 
Agriculture and Consumer Protection Act of 1973, section 1114(a) of the 
Agriculture and Food Act of 1981, and section 202(a) and 202A of the 
Emergency Food Assistance Act of 1983.
    (6) Authorize defense emergency supplemental nutrition assistance 
program benefits.
    (7) Develop and implement USDA policy and procedural guidelines for 
carrying out the Department's Consumer Affairs Plan.
    (8) Advise the Secretary and other policy level officials of the 
Department on consumer affairs policies and programs.
    (9) Coordinate USDA consumer affairs activities and monitor and 
analyze agency procedures and performance.
    (10) Represent the Department at conferences, meetings and other 
contacts where consumer affairs issues are discussed, including liaison 
with the White House and other governmental agencies and departments.
    (11) Work with the Office of Budget and Program Analysis and the 
Office of Communications to ensure coordination of USDA consumer affairs 
and public participation programs, policies and information, and to 
prevent duplication of responsibilities.
    (12) Serve as a consumer ombudsman and communication link between 
consumers and the Department.
    (13) Approve the designation of agency Consumer Affairs Contacts.
    (14) Administer those functions under title IV of the Personal 
Responsibility and Work Opportunity Reconciliation Act of 1996 (8 U.S.C. 
1612) relating to the eligibility of aliens for benefits under the 
domestic food assistance programs.
    (15) Administer the following provisions of the Agricultural Act of 
2014, Public Law 113-79:
    (i) Section 4004(b), relating to a demonstration project regarding 
the Food Distribution Program on Indian Reservations (7 U.S.C. 2013 
note).
    (ii) Section 4031, relating to a Commonwealth of the Northern 
Mariana Islands pilot program regarding the Supplemental Nutrition 
Assistance Program (48 U.S.C. 1841 note).
    (iii) Section 4032, relating to annual State reporting on 
verification of Supplemental Nutrition Assistance Program participation 
(7 U.S.C. 2036c).
    (iv) Section 4033, relating to service of traditional foods in 
public facilities (25 U.S.C. 443d).
    (v) Section 4214, relating to a pilot project for canned, frozen, or 
dried fruits and vegetables as part of the Fresh Fruit and Vegetable 
Program under the Richard B. Russell National School Lunch Act (42 
U.S.C. 1769a note).
    (16) Administer section 301 of the National Nutrition Monitoring and 
Related Research Act of 1990, relating to the Dietary Guidelines for 
Americans (7 U.S.C. 5341).
    (b) [Reserved]

[60 FR 56393, Nov. 8, 1995, as amended at 63 FR 35787, July 1, 1998; 68 
FR 27444, May 20, 2003; 74 FR 3408, Jan. 21, 2009; 79 FR 44114, July 30, 
2014]



 Subpart J_Delegations of Authority by the Under Secretary for Natural 
                        Resources and Environment

    Editorial Note: Nomenclature changes to subpart J of part 2 appear 
at 60 FR 66713, Dec. 26, 1995.



Sec.  2.59  Deputy Under Secretaries for Natural Resources and Environment.

    Pursuant to Sec.  2.20(a), subject to reservations in Sec.  2.20(b), 
and subject to policy guidance and direction by the Under Secretary, the 
following delegation of authority is made by the Under Secretary for 
Natural Resources and Environment to the Deputy Under Secretaries for 
Natural Resources and Environment, to be exercised only during the 
absence or unavailability of the Under Secretary: Perform all the duties 
and exercise all the powers which are now or which may hereafter be 
delegated to the Under Secretary for Natural Resources and Environment. 
Provided, that, except in the absence of both the Under Secretary and a 
Deputy

[[Page 267]]

Under Secretary, this authority shall be exercised by the respective 
Deputy Under Secretary only with respect to the area or responsibility 
assigned to him or her.



Sec.  2.60  Chief, Forest Service.

    (a) Delegations. Pursuant to Sec.  2.20(a)(1), (a)(2), (a)(6), 
(a)(7)(ii) and (a)(8), the following delegations of authority are made 
by the Under Secretary for Natural Resources and Environment to the 
Chief of the Forest Service:
    (1) Provide national leadership in forestry. (As used here and 
elsewhere in this section, the term ``forestry'' encompasses renewable 
and nonrenewable resources of forests, including lands governed by the 
Alaska National Interest Lands Conservation Act, forest-related 
rangeland, grassland, brushland, woodland, and alpine areas including 
but not limited to recreation, range, timber, minerals, watershed, 
wildlife and fish; natural scenic, scientific, cultural, and historic 
values of forests and related lands; and derivative values such as 
economic strength and social well being).
    (2) Protect, manage, and administer the national forests, national 
forest purchase units, national grasslands, and other lands and 
interests in lands administered by the Forest Service, which 
collectively are designated as the National Forest System. This 
delegation covers the acquisition and disposition of lands and interest 
in lands as may be authorized for the protection, management, and 
administration of the National Forest System, except that the authority 
to approve acquisition of land under the Weeks Act of March 1, 1911, as 
amended, and special forest receipts acts (Pub. L. No. 337, 74th Cong., 
49 Stat. 866, as amended by Pub. L. No. 310, 78th Cong., 58 Stat. 227; 
Pub. L. No. 505, 75th Cong., 52 Stat. 347, as amended by Pub. L. No. 
310, 78th Cong., 58 Stat. 227; Pub. L. No. 634, 75th Cong., 52 Stat. 
699, as amended by Pub. L. No. 310, 78th Cong., 58 Stat. 227; Pub. L. 
No. 748, 75th Cong., 52 Stat. 1205, as amended by Pub. L. No. 310, 78th 
Cong., 58 Stat. 227; Pub. L. No. 427, 76th Cong., 54 Stat. 46; Pub. L. 
No. 589, 76th Cong., 54 Stat. 297; Pub. L. No. 591, 76th Cong., 54 Stat. 
299; Pub. L. No. 637, 76th Cong., 54 Stat. 402; Pub. L. No. 781, 84th 
Cong., 70 Stat. 632) is limited to acquisitions of less than $250,000 in 
value.
    (3) As necessary for administrative purposes, divide into and 
designate as national forests any lands of 3,000 acres or less which are 
acquired under or subject to the Weeks Act of March 1, 1911, as amended, 
and which are contiguous to existing national forest boundaries 
established under the authority of the Weeks Act.
    (4) Plan and administer wildlife and fish conservation 
rehabilitation and habitat management programs on National Forest System 
lands, pursuant to 16 U.S.C. 670g, 670h, and 670o.
    (5) For the purposes of the National Forests System Drug Control Act 
of 1986 (16 U.S.C. 559-f), specifically designate certain specially 
trained officers and employees of the Forest Service, not exceeding 500, 
to have authority in the performance of their duties within the 
boundaries of the National Forest System:
    (i) To carry firearms;
    (ii) To enforce and conduct investigations of violations of section 
401 of the Controlled Substance Act (21 U.S.C. 481) and other criminal 
violations relating to marijuana and other controlled substances that 
are manufactured, distributed, or dispensed on National Forest System 
lands;
    (iii) To make arrests with a warrant or process for misdemeanor 
violations, or without a warrant for violations of such misdemeanors 
that any such officer or employee has probable cause to believe are 
being committed in that employee's presence or view, or for a felony 
with a warrant or without a warrant if that employee has probable cause 
to believe that the person being arrested has committed or is committing 
such a felony;
    (iv) To serve warrants and other process issued by a court or 
officer of competent jurisdiction;
    (v) To search, with or without a warrant or process, any person, 
place, or conveyance according to Federal law or rule of law; and
    (vi) To seize, with or without warrant or process, any evidentiary 
item according to Federal law or rule of law.
    (6) Cooperate with the law enforcement officials of any Federal 
agency,

[[Page 268]]

State, or political subdivision, in the investigation of violations of, 
and enforcement of, section 401 of the Controlled Substances Act (21 
U.S.C. 841), other laws and regulations relating to marijuana and other 
controlled substances, and State drug control laws or ordinances, within 
the boundaries of the National Forest System.
    (7) Administer programs under section 23 of the Federal Highway Act 
(23 U.S.C. 101(a), 120(f), 125(a)-(c), 138, 202(a)-(b), 203, 204(a)-(h), 
205(a)-(d), 211, 317, 401(a)).
    (8) Administer provisions of the Surface Mining Control and 
Reclamation Act of 1977 (30 U.S.C. 1272, 1305) as they relate to 
management of the National Forest System.
    (9) Conduct, support, and cooperate in investigations, experiments, 
tests, and other activities deemed necessary to obtain, analyze, 
develop, demonstrate, and disseminate scientific information about 
protecting, managing, and utilizing forest and rangeland renewable 
resources in rural, suburban, and urban areas in the United States and 
foreign countries. The activities conducted, supported, or cooperated in 
shall include, but not be limited to: renewable resource management 
research; renewable resource environmental research; renewable resource 
protection research, renewable resource utilization research, and 
renewable resource assessment research (16 U.S.C. 1641-1647).
    (10) Use authorities and means available to disseminate the 
knowledge and technology developed from forestry research (16 U.S.C. 
1645).
    (11) Coordinate activities with other agencies in USDA, other 
Federal and State agencies, forestry schools, and private entities and 
individuals (16 U.S.C. 1643).
    (12) Enter into contracts, grants, and cooperative agreements for 
the support of scientific research in forestry activities (7 U.S.C. 
427i(a), 1624; 16 U.S.C. 582a-8, 1643-1645, 1649).
    (13) Enter into cooperative research and development agreements with 
industry, universities, and others; institute a cash award program to 
reward scientific, engineering, and technical personnel; award royalties 
to inventors; and retain and use royalty income (15 U.S.C. 3710a-3710c).
    (14) Enter into contracts, grants, or cooperative agreements to 
further research, extension, or teaching programs in the food and 
agricultural sciences (7 U.S.C. 3152, 3318).
    (15) Enter into cost-reimbursable agreements relating to 
agricultural research, extension, or teaching activities (7 U.S.C. 
3319a).
    (16) Administer programs of cooperative forestry assistance in the 
protection, conservation, and multiple resource management of forests 
and related resources in both rural and urban areas and forest lands in 
foreign countries (16 U.S.C. 2101-2114).
    (17) Provide assistance to States and other units of government in 
forest resources planning and forestry rural revitalization (7 U.S.C. 
6601, 6611-6617; 16 U.S.C. 2107).
    (18) Conduct a program of technology implementation for State 
forestry personnel, private forest landowners and managers, vendors, 
forest operators, public agencies, and individuals (16 U.S.C. 2107).
    (19) Administer rural fire protection and control program (16 U.S.C. 
2106).
    (20) Provide technical assistance on forestry technology or the 
implementation of the conservation reserve and softwood timber programs 
authorized in sections 1231-1244 and 1254 of the Food Security Act of 
1985 (16 U.S.C. 3831-3844; 7 U.S.C. 1981 note).
    (21) Administer forest insect, disease, and other pest management 
programs (16 U.S.C. 2104).
    (22) Exercise the custodial functions of the Secretary for lands and 
interests in lands under lease or contract of sale to States and local 
agencies pursuant to title III of the Bankhead-Jones Farm Tenant Act and 
administer reserved and reversionary interests in lands conveyed under 
that Act (7 U.S.C. 1010-1012).
    (23) Under such general program criteria and procedures as may be 
established by the Natural Resources Conservation Service:
    (i) Administer the forestry aspects of the programs listed in 
paragraphs (a)(23)(i)(A), (B), and (C) of this section on the National 
Forest System, rangelands with national forest boundaries,

[[Page 269]]

adjacent rangelands which are administered under formal agreement, and 
other forest lands:
    (A) The cooperative river basin surveys and investigations program 
(16 U.S.C. 1006);
    (B) The eleven authorized watershed improvement programs and 
emergency flood prevention measures program under the Flood Control Act 
(33 U.S.C. 701b-1);
    (C) The small watershed protection program under the Pilot Watershed 
Protection and Watershed Protection and Flood Prevention Acts (7 U.S.C. 
701a-h; 16 U.S.C. 1001-1009).
    (ii) Exercise responsibility in connection with the forestry aspects 
of the resource conservation and development program authorized by title 
III of the Bankhead-Jones Farm Tenant Act (7 U.S.C. 1011(e)).
    (24) Provide assistance to the Farm Service Agency in connection 
with the agricultural conservation program, the naval stores 
conservation program, and the cropland conversion program (16 U.S.C. 
590g-q).
    (25) Provide assistance to the Rural Housing Service in connection 
with grants and loans under authority of section 303 of the Consolidated 
Farm and Rural Development Act, 7 U.S.C. 1923; and consultation with the 
Department of Housing and Urban Development under the authority of 40 
U.S.C. 461(e).
    (26) Coordinate mapping work of USDA including:
    (i) Clearing mapping projects to prevent duplication;
    (ii) Keeping a record of mapping done by USDA agencies;
    (iii) Preparing and submitting required USDA reports;
    (iv) Serving as liaison on mapping with the Office of Management and 
Budget, Department of the Interior, and other departments and 
establishments;
    (v) Promoting interchange of technical mapping information, 
including techniques which may reduce costs or improve quality; and
    (vi) Maintaining the mapping records formerly maintained by the 
Office of Operations.
    (27) Administer the radio frequency licensing work of USDA, 
including:
    (i) Representing USDA on the Interdepartmental Radio Advisory 
Committee and its Frequency Assignment Subcommittee of the National 
Telecommunications and Information Administration, Department of 
Commerce;
    (ii) Establishing policies, standards, and procedures for allotting 
and assigning frequencies within USDA and for obtaining effective 
utilization of them;
    (iii) Providing licensing action necessary to assign radio 
frequencies for use by the agencies of USDA and maintenance of the 
records necessary in connection therewith; and
    (iv) Providing inspection of USDA's radio operations to ensure 
compliance with national and international regulations and policies for 
radio frequency use.
    (28) Represent USDA in all matters relating to responsibilities and 
authorities under the Federal Power Act (16 U.S.C. 791a-823).
    (29) [Reserved]
    (30) Administer the Youth Conservation Corps Act (42 U.S.C. precede 
2711 note) for USDA.
    (31) Establish and operate the Job Corps Civilian Conservation 
Centers on National Forest System lands as authorized by title I, 
sections 106 and 107 of the Economic Opportunity Act of 1964 (42 U.S.C. 
2716-2717), in accordance with the terms of an agreement dated May 11, 
1967, between the Secretary of Agriculture and the Secretary of Labor; 
and administration of other cooperative manpower training and work 
experience programs where the Forest Service serves as host or prime 
sponsor with other Departments of Federal, State, or local governments.
    (32) Administer the Volunteers in the National Forests Act of 1972 
(16 U.S.C. 558a-558d, 558a note).
    (33) Exercise the functions of the Secretary of Agriculture 
authorized in the Alaska National Interest Lands Conservation Act (16 
U.S.C. 3101-3215).
    (34) Administer responsibilities and functions assigned under the 
Defense Production Act of 1950, as amended (50 U.S.C. App. 2061 et 
seq.), and title VI of the Robert T. Stafford Disaster Relief and 
Emergency Assistance Act (42 U.S.C. 5195 et seq.), relating to forests

[[Page 270]]

and forest products, rural fire defense, and forestry research.
    (35) Represent USDA on Regional Response Teams on hazardous spills 
and oil spills pursuant to the Comprehensive Environmental Response, 
Compensation, and Liability Act, as amended (42 U.S.C. 9601 et seq.), 
the Clean Water Act, as amended (33 U.S.C. 1251 et seq.), the Oil 
Pollution Act (OPA), as amended (33 U.S.C. 2701 et seq.), Executive 
Order 12580, 3 CFR, 1987 Comp., p. 193, Executive Order 12777, 3 CFR, 
1991 Comp., p. 351, and the National Contingency Plan, 40 CFR Part 300.
    (36) Exercise the functions of the Secretary as authorized in the 
Wild and Scenic Rivers Act (16 U.S.C. 1271-1278), except for making 
recommendations to the President regarding additions to the National 
Wild and Scenic Rivers System.
    (37) Issue proposed rules relating to the authorities delegated in 
this section, issue final rules and regulations as provided in 36 CFR 
261.70, issue technical amendments and corrections to final rules issued 
by the Secretary or Under Secretary for Natural Resources and 
Environment, and issue proposed and final rules necessary and 
appropriate to carry out title VIII of the Alaska National Interest 
Lands Conservation Act (16 U.S.C. 3101-3215) with regard to National 
Forest System Lands.
    (38) Jointly administer gypsy moth eradication activities with the 
Animal and Plant Health Inspection Service, under the authority of 
section 102 of the Organic Act of 1944, as amended; and the Act of April 
6, 1937, as amended (7 U.S.C. 147a, 148, 148a-148e); and the Talmadge 
Aiken Act (7 U.S.C. 450), by assuming primary responsibility for 
treating isolated gypsy moth infestations on Federal lands, and on State 
and private lands contiguous to infested Federal lands, and any other 
infestations over 640 acres on State and private lands.
    (39) With respect to land and facilities under his or her authority, 
to exercise the functions delegated to the Secretary by Executive Order 
12580, 3 CFR, 1987 Comp., p. 193, under the following provisions of the 
Comprehensive Environmental Response, Compensation, and Liability Act of 
1980 (``the Act''), as amended:
    (i) Sections 104 (a), (b), and (c)(4) of the Act (42 U.S.C. 9604 
(a), (b), and (c)(4)), with respect to removal and remedial actions in 
the event of release or threatened release of a hazardous substance, 
pollutant, or contaminant into the environment;
    (ii) Sections 104 (e)-(h) of the Act (42 U.S.C. 9604 (e)-(h)), with 
respect to information gathering and access requests and orders; 
compliance with Federal health and safety standards and wage and labor 
standards applicable to covered work; and emergency procurement powers;
    (iii) Section 104(i)(11) of the Act (42 U.S.C. 9604(i)(11)), with 
respect to the reduction of exposure to significant risk to human 
health;
    (iv) Section 104(j) of the Act (42 U.S.C. 9604(j)), with respect to 
the acquisition of real property and interests in real property required 
to conduct a remedial action;
    (v) The first two sentences of section 105(d) of the Act (42 U.S.C. 
9605(d)), with respect to petitions for preliminary assessment of a 
release or threatened release;
    (vi) Section 105(f) of the Act (42 U.S.C. 9605(f)), with respect to 
consideration of the availability of qualified minority firms in 
awarding contracts, but excluding that portion of section 105(f) of the 
Act pertaining to the annual report to Congress;
    (vii) Section 109 of the Act (42 U.S.C. 9609), with respect to the 
assessment of civil penalties for violations of section 122 of the Act 
(42 U.S.C. 9622), and the granting of awards to individuals providing 
information;
    (viii) Section 111(f) of the Act (42 U.S.C. 9611(f)), with respect 
to the designation of officials who may obligate money in the Hazardous 
Substances Superfund;
    (ix) Section 113(g) of the Act (42 U.S.C. 9613(g)), with respect to 
receiving notification of a natural resource trustee's intent to file 
suit;
    (x) Section 113(k) of the Act (42 U.S.C. 9613(k)), with respect to 
establishing an administrative record upon which to base the selection 
of a response action and identifying and notifying potentially 
responsible parties;

[[Page 271]]

    (xi) Section 116(a) of the Act (42 U.S.C. 9616(a)), with respect to 
preliminary assessment and site inspection of facilities;
    (xii) Section 117 (a) and (c) of the Act (42 U.S.C. 9617 (a) and 
(c)), with respect to public participation in the preparation of any 
plan for remedial action and explanation of variances from the final 
remedial action plan for any remedial action or enforcement action, 
including any settlement or consent decree entered into;
    (xiii) Section 119 of the Act (42 U.S.C. 9619), with respect to 
indemnifying response action contractors;
    (xiv) Section 121 of the Act (42 U.S.C. 9621), with respect to 
cleanup standards; and
    (xv) Section 122 of the Act (42 U.S.C. 9622), with respect to 
settlements, but excluding section 122(b)(1) of the Act (42 U.S.C. 
9622(b)(1)), related to mixed funding agreements.
    (40) Exercise the functions of the Secretary authorized in the 
Federal Onshore Oil and Gas Leasing Reform Act of 1987 (30 U.S.C. 226 et 
seq.).
    (41) With respect to facilities and activities under his or her 
authority, to exercise the authority of the Secretary of Agriculture 
pursuant to section 1-102 related to compliance with applicable 
pollution control standards and section 1-601 of Executive Order 12088, 
3 CFR, 1978 Comp., p. 243, to enter into an inter-agency agreement with 
the United States Environmental Protection Agency, or an administrative 
consent order or a consent judgment in an appropriate United States 
District Court with an appropriate State, interstate, or local agency, 
containing a plan and schedule to achieve and maintain compliance with 
applicable pollution control standards established pursuant to the 
following:
    (i) Solid Waste Disposal Act, as amended by the Resource 
Conservation and Recovery Act, the Hazardous and Solid Waste Amendment, 
and the Federal Facility Compliance Act (42 U.S.C. 6901 et seq.);
    (ii) Federal Water Pollution Prevention and Control Act, as amended 
(33 U.S.C. 1251 et seq.);
    (iii) Safe Drinking Water Act, as amended (42 U.S.C. 300f et seq.);
    (iv) Clean Air Act, as amended (42 U.S.C. 7401 et seq.);
    (v) Noise Control Act of 1972, as amended (42 U.S.C. 4901 et seq.);
    (vi) Toxic Substances Control Act, as amended, (15 U.S.C. 2601 et 
seq.);
    (vii) Federal Insecticide, Fungicide, and Rodenticide Act, as 
amended (7 U.S.C. 136 et seq.); and
    (viii) Comprehensive Environmental Response, Compensation, and 
Liability Act of 1980, as amended by the Superfund Amendments and 
Reauthorization Act of 1986 (42 U.S.C. 9601 et seq.).
    (42) With respect to land and facilities under his or her authority, 
exercise the functions delegated to the Secretary by Executive Order 
12580, 3 CFR, 1987 Comp., p. 193, and Executive Order 12777, 3 CFR, 1991 
Comp., p. 351, to act as Federal trustee for natural resources in 
accordance with section 107(f) of the Comprehensive Environmental 
Response, Compensation, and Liability Act of 1980 (42 U.S.C 9607(f)), 
section 311(f)(5) of the Federal Water Pollution Control Act (33 U.S.C. 
1321(f)(5)), and section 1006(b)(2) of the Oil Pollution Act of 1990 (33 
U.S.C. 2706(b)(2)).
    (43) With respect to land and facilities under his or her authority, 
to exercise the authority vested in the Secretary of Agriculture to act 
as the ``Federal Land Manager'' pursuant to the Clean Air Act, as 
amended, 42 U.S.C. 7401 et seq.
    (44) Administer the Public Lands Corps program (16 U.S.C. 1721 et 
seq.) for USDA consistent with the Department's overall national service 
program.
    (45) [Reserved]
    (46) Focusing on countries that could have a substantial impact on 
global warming, provide assistance that promotes sustainable development 
and global environmental stability; share technical, managerial, 
extension, and administrative skills; provide education and training 
opportunities; engage in scientific exchange; and cooperate with 
domestic and international organizations that further international 
programs for the management and protection of forests, rangelands, 
wildlife, fisheries and related natural resources (16 U.S.C. 4501-4505).

[[Page 272]]

    (47) Exercise the functions of the Secretary of Agriculture 
authorized in Title V of the Department of the Interior and Related 
Agencies Appropriations Act of 1998, Pub. L. 105-83, relating to the 
acquisition so the New World Mines and other priority land acquisitions, 
land exchanges, and other activities.
    (48) Establish programs with any bureau of the U.S. Department of 
the Interior (DOI) in support of the Service First initiative for the 
purpose of promoting customer service and efficiency including 
delegating to DOI employees those authorities of the U.S. Department of 
Agriculture (USDA) necessary to carry out projects on behalf of USDA (43 
U.S.C. 1703).
    (49) At the request of the Director, Homeland Security Staff 
(Director), designate law enforcement personnel of the Forest Service to 
assist the Director in providing for the personal security for the 
Secretary and the Deputy Secretary in the National Forest System.
    (50) Implement the information disclosure authorities of section 
1619(b)(3)(A) of the Food, Conservation, and Energy Act of 2008 (7 
U.S.C. 8791(b)(3)(A)).
    (51) Administer a program, through the Deputy Chief of State and 
Private Forestry, for providing loans to eligible units of local 
government to finance the purchase of equipment to monitor, remove, 
dispose of, and replace infested trees located under their jurisdiction 
and within the borders of quarantined areas (16 U.S.C. 2104a).
    (52) [Reserved]
    (53) Administer the community wood energy program providing grants 
to develop community wood energy plans, acquire or upgrade community 
wood energy systems, and establish or expand biomass consumer 
cooperatives (7 U.S.C. 8113).
    (54) Conduct activities that assist the Director, Office of 
Environmental Markets, in developing guidelines regarding the 
development of environmental services markets.
    (55) Administer the programs authorized by the Healthy Forests 
Restoration Act of 2003 (16 U.S.C. 6501 et seq.), except for the Healthy 
Forests Reserve Program authorized in title V of such act (16 U.S.C. 
6571-6578).
    (56) Administer Good Neighbor contracts and cooperative agreements 
with a State to carry out forest, rangeland, and watershed restoration 
services on National Forest System lands (16 U.S.C. 2113a; Public Law 
106-291, section 331, as amended).
    (57) Utilize the Agriculture Conservation Experienced Services 
(ACES) Program (16 U.S.C. 3851) to provide technical services for 
conservation-related programs and authorities carried out on National 
Forest System lands (16 U.S.C. 3851a).
    (58) Administer reimbursements received for fire suppression (16 
U.S.C. 1856e; 42 U.S.C. 1856d(b)).
    (59) Administer the large airtanker and aerial asset lease program 
(16 U.S.C. 551c).
    (60) Provide technical and other assistance with respect to 
eligibility of forest products for the ``USDA Certified Biobased 
Products'' labeling program (7 U.S.C. 8102(g)).
    (b) Reservations. The following authorities are reserved to the 
Under Secretary for Natural Resources and Environment:
    (1) The authority to issue final rules and regulations relating to 
the administration of Forest Service programs, except as provided in 36 
CFR 261.70 and Sec.  2.60(a)(37).
    (2) As deemed necessary for administrative purposes, the authority 
to divide into and designate as national forests any lands of more than 
3,000 acres acquired under or subject to the Weeks Act of March 1, 1911, 
as amended (16 U.S.C. 521).
    (3) The authority to make recommendations to the Administrator of 
General Services regarding transfer to other Federal, State, or 
Territorial agencies lands acquired under the Bankhead-Jones Farm Tenant 
Act, together with recommendations on the conditions of use and 
administration of such lands, pursuant to the provisions of section 
32(c) of title III of the Bankhead-Jones Farm Tenant Act (7 U.S.C. 
1011(c), and Executive Order 11609, 3 CFR, 1971-1975 Comp., p. 586).
    (4) Making recommendations to the President for establishing new 
units or adding to existing units of the National

[[Page 273]]

Wild and Scenic Rivers System (16 U.S.C. 1271-1278); National Scenic 
Trails System (16 U.S.C. 1241-1249) and the National Wilderness 
Preservation System (16 U.S.C. 1131-1136).
    (5) Signing of declarations of taking and requests for condemnation 
of property as authorized by law to carry out the mission of the Forest 
Service (40 U.S.C. 257).
    (6) Approval of acquisition of land under the Weeks Act of March 1, 
1911, as amended (16 U.S.C. 521), and special forest receipts acts (Pub. 
L. No. 337, 74th Cong., 49 Stat. 866, as amended by Pub. L. No. 310, 
78th Cong., 58 Stat. 227; Pub. L. No. 505, 75th Cong., 52 Stat. 347, as 
amended by Pub. L. No. 310, 78th Cong., 58 Stat. 227; Pub. L. No. 634, 
75th Cong., 52 Stat. 699, as amended by Pub. L. No. 310, 78th Cong., 58 
Stat. 227; Pub. L. No. 748, 75th Cong., 52 Stat. 1205, as amended by 
Pub. L. No. 310, 78th Cong., 58 Stat. 227; Pub. L. No. 427, 76th Cong., 
54 Stat. 46; Pub. L. No. 589, 76th Cong., 54 Stat. 297; Pub. L. No. 591, 
76th Cong., 54 Stat. 299; Pub. L. No. 637, 76th Cong., 54 Stat. 402; 
Pub. L. No. 781, 84th Cong., 70 Stat. 632) of $250,000 or more in value 
for national forest purposes.
    (7) The authority to approve disbursements from the New World Mine 
Response and Restoration Account and the authority to prepare and 
approve the New World Mine Response and Restoration Plan, including the 
coordination of the response and restoration activities of the Forest 
Service and the other Federal and State agencies, and make quarterly 
reports to Congress under section 502(d) and (f) of Title V of the 
Department of the Interior and Related Agencies Appropriations Act of 
1998, Pub. L. 105-83.

[60 FR 56393, Nov. 8, 1995, as amended at 64 FR 34967, June 30, 1999; 65 
FR 12429, Mar. 9, 2000; 67 FR 59135, Sept. 20, 2002; 72 FR 36859, July 
6, 2007; 74 FR 3408, Jan. 21, 2009; 78 FR 40938, July 9, 2013; 79 FR 
44114, July 30, 2014]



Sec.  2.61  Chief, Natural Resources Conservation Service.

    (a) Delegations. Pursuant to Sec.  2.20 (a)(1), (a)(3), (a)(5), 
(a)(6), (a)(7)(ii) and (a)(8), subject to reservations in Sec.  
2.20(b)(1), the following delegations of authority are made by the Under 
Secretary for Natural Resources and Environment to the Chief of the 
Natural Resources Conservation Service:
    (1) Provide national leadership in the conservation, development and 
productive use of the Nation's soil, water, and related resources. Such 
leadership encompasses soil, water, plant, and wildlife conservation; 
small watershed protection and flood prevention; and resource 
conservation and development. Integrated in these programs are erosion 
control, sediment reduction, pollution abatement, land use planning, 
multiple use, improvement of water quality, and several surveying and 
monitoring activities related to environmental improvement. All are 
designed to assure:
    (i) Quality in the natural resource base for sustained use;
    (ii) Quality in the environment to provide attractive, convenient, 
and satisfying places to live, work, and play; and
    (iii) Quality in the standard of living based on community 
improvement and adequate income.
    (2) Provide national leadership in evaluating and coordinating land 
use policy, and administer the Farmland Protection Policy Act (7 U.S.C. 
4201 et seq.), including the Farms for the Future Program authorized by 
sections 1465-1470 of the Food, Agriculture, Conservation, and Trade Act 
of 1990 (7 U.S.C. 4201 note), except as otherwise delegated to the 
Administrator, Agricultural Research Service in Sec.  2.65(a)(80) and 
the Director, National Institute of Food and Agriculture in Sec.  
2.66(a)(76).
    (3) Administer the basic program of soil and water conservation 
under Pub. L. No. 46, 74th Congress, as amended, and related laws (16 
U.S.C. 590a-f, 1-1, q, q-1; 42 U.S.C. 3271-3274; 7 U.S.C. 2201), 
including:
    (i) Technical and financial assistance to land users in carrying out 
locally adapted soil and water conservation programs primarily through 
soil and water conservation districts in the several States, the 
District of Columbia, the Commonwealth of Puerto Rico, and the 
Commonwealth of the Northern Mariana Islands, American Samoa, Guam, the 
Virgin Islands, and Federally recognized Native American

[[Page 274]]

tribes, but also to communities, watershed groups, Federal and State 
agencies, and other cooperators. This authority includes such assistance 
as:
    (A) Comprehensive planning assistance in nonmetroplitan districts;
    (B) Assistance in the field of income-producing recreation on rural 
non-Federal lands;
    (C) Forestry assistance, as part of total technical assistance to 
private land owners and land users when such services are an integral 
part of land management and such services are not available from a State 
agency; and forestry services in connection with windbreaks and shelter 
belts to prevent wind and water erosion of lands;
    (D) Assistance in developing programs relating to natural beauty; 
and
    (E) Assistance to other USDA agencies in connection with the 
administration of their programs, as follows:
    (1) To the Farm Service Agency in the development and technical 
servicing of certain programs, such as the Agricultural Conservation 
Program and other such similar conservation programs;
    (2) To the Rural Housing Service in connection with their loan and 
land disposition programs.
    (ii) Soil Surveys, including:
    (A) Providing leadership for the Federal part of the National 
Cooperative Soil Survey which includes conducting and publishing soil 
surveys;
    (B) Conducting soil surveys for resource planning and development; 
and
    (C) Performing the cartographic services essential to carrying out 
the functions of the Natural Resources Conservation Service, including 
furnishing photographs, mosaics, and maps.
    (iii) Conducting and coordinating snow surveys and making water 
supply forecasts pursuant to Reorganization Plan No. IV of 1940 (5 
U.S.C. App.);
    (iv) Operating plant materials centers for the assembly and testing 
of plant species in conservation programs, including the use, 
administration, and disposition of lands under the administration of the 
Natural Resources Conservation Service for such purposes under title III 
of the Bankhead-Jones Farm Tenant Act (7 U.S.C. 1010-1011); and
    (v) Providing leadership in the inventorying and monitoring of soil, 
water, land, and related resources of the Nation.
    (4) Administer the Watershed Protection and Flood Prevention 
Programs, including:
    (i) The eleven authorized watershed projects authorized under 33 
U.S.C. 702b-1, except for responsibilities assigned to the Forest 
Service;
    (ii) The emergency flood control work under 33 U.S.C. 701b-1, except 
for responsibilities assigned to the Forest Service;
    (iii) The Cooperative River Basin Surveys and Investigations 
Programs under 16 U.S.C. 1006, except for responsibilities assigned to 
the Forest Service;
    (iv) The pilot watershed projects under 16 U.S.C. 590a-f, and 16 
U.S.C. 1001-1009, except for responsibilities assigned to the Forest 
Service;
    (v) The Watershed Protection and Flood Prevention Program under 16 
U.S.C. 1001-1010, including rehabilitation of water resource structural 
measures constructed under certain Department of Agriculture programs 
under 16 U.S.C. 1012, except for responsibilities assigned to the Rural 
Housing Service and the Forest Service.
    (vi) The joint investigations and surveys with the Department of the 
Army under 16 U.S.C. 1009; and
    (vii) The Emergency Conservation Program and the Emergency Watershed 
Protection Program under sections 401-405 of the Agricultural Credit Act 
of 1978, 16 U.S.C. 2201-2205, except for the provisions of sections 401 
and 402, 16 U.S.C. 2201-2202, as administered by the Farm Service 
Agency.
    (5) Administer the Great Plains Conservation Program and the 
Critical Lands Resources Conservation Program under 16 U.S.C. 590p(b).
    (6) Administer the Resource Conservation and Development Program 
under 16 U.S.C. 590a-f; 7 U.S.C. 1010-1011; and 16 U.S.C. 3451-3461, 
except for responsibilities assigned to the Rural Utilities Service.
    (7) Responsibility for entering into long-term contracts for 
carrying out conservation and environmental measures in watershed areas.

[[Page 275]]

    (8) Provide national leadership for and administer the Soil and 
Water Resources Conservation Act of 1977 (16 U.S.C. 2001 et seq.), 
except for responsibilities assigned to other USDA agencies.
    (9) Administer Rural Clean Water Program and other responsibilities 
assigned under section 35 of the Clean Water Act of 1977 (33 U.S.C. 1251 
et seq.).
    (10) Monitor actions and progress of USDA in complying with 
Executive Order 11988, Flood Plain Management, 3 CFR, 1977 Comp., p. 
117, and Executive Order 11990, Protection of Wetlands, 3 CFR, 1977 
Comp., p. 121, regarding management of floodplains and protection of 
wetlands; monitor USDA efforts on protection of important agricultural, 
forest and rangelands; and provide staff assistance to the USDA Natural 
Resources and Environment Committee.
    (11) Administer the search and rescue operations authorized under 7 
U.S.C. 2273.
    (12) Administer section 202(c) of the Colorado River Basin Salinity 
Control Act, 43 U.S.C. 1592(c) including:
    (i) Identify salt source areas and determine the salt load resulting 
from irrigation and watershed management practices;
    (ii) Conduct salinity control studies of irrigated salt source 
areas;
    (iii) Provide technical and financial assistance in the 
implementation of salinity control projects including the development of 
salinity control plans, technical services for application, and 
certification of practice applications;
    (iv) Develop plans for implementing measures that will reduce the 
salt load of the Colorado River;
    (v) Develop and implement long-term monitoring and evaluation plans 
to measure and report progress and accomplishments in achieving program 
objectives; and
    (vi) Enter into and administer contracts with program participants 
and waive cost-sharing requirements when such cost-sharing requirements 
would result in a failure to proceed with needed on-farm measures.
    (13) Administer natural resources conservation authorities, 
including authorities related to programs of the Commodity Credit 
Corporation that provide assistance with respect to natural resources 
conservation, under Title XII of the Food Security Act of 1985 (the 
Act), as amended (16 U.S.C. 3801 et seq.), including the following:
    (i) Technical assistance related to the conservation of highly 
erodible lands and wetlands pursuant to sections 1211-1223 of the Act 
(16 U.S.C. 3811-3823);
    (ii) Technical assistance related to the Conservation Reserve 
Program authorized by sections 1231-1235A of the Act (16 U.S.C. 3831-
3835a);
    (iii) The Wetlands Reserve Program and the Emergency Wetlands 
Reserve Program authorized by sections 1237-1237F of the Act (16 U.S.C. 
3837-3837f) and the Emergency Supplemental Appropriations for Relief 
from the Major, Widespread Flooding in the Midwest Act, Pub. L. 103-75;
    (iv) The Conservation Security Program authorized by sections 1238-
1238C (16 U.S.C. 3838-3838c) and the Conservation Stewardship Program 
authorized by sections 1238D-1238G (16 U.S.C. 3838d-3838g).
    (v) The Farmland Protection Program authorized by sections 1238H-
1238I of the Act (16 U.S.C. 3838h-3838i);
    (vi) The Farm Viability Program authorized by section 1238J of the 
Act (16 U.S.C. 3838j);
    (vii) The Environmental Easement Program authorized by sections 
1239-1239D of the Act (16 U.S.C. 3839-3839d);
    (viii) The Environmental Quality Incentives Program authorized by 
sections 1240-1240I of the Act (16 U.S.C. 3839aa-3839aa-9);
    (xix) The conservation of private grazing lands authorized by 
section 1240M of the Act (16 U.S.C. 3839bb);
    (x) The Wildlife Habitat Incentives Program authorized by section 
1240N of the Act (16 U.S.C. 3839bb-1);
    (xi) The program for soil erosion and sedimentation control in the 
Great Lakes basin authorized by section 1240P of the Act (16 U.S.C. 
3839bb-3);
    (xii) The delivery of technical assistance under section 1242 of the 
Act (16 U.S.C. 3842), including the approval of persons or entities 
outside of USDA to provide technical services;
    (xiii) The authority for partnerships and cooperation provided by 
section 1243 of the Act (16 U.S.C. 3843), except for responsibilities 
assigned to the

[[Page 276]]

Under Secretary for Farm and Foreign Agricultural Services; and
    (xiv) The incentives for certain farmers and ranchers and Indian 
tribes and the protection of certain proprietary information related to 
natural resources conservation programs as provided by section 1244 of 
the Act (16 U.S.C. 3844), except for responsibilities assigned to the 
Administrator, Farm Service Agency.
    (xv) The Agriculture Conservation Experienced Services Program 
authorized by section 1252 of the Act (16 U.S.C. 3851).
    (xvi) The authority under sections 1261-1262 of the Act (16 U.S.C. 
3861-3862) to establish and utilize State Technical Committees.
    (xvii) Those portions of the Grassland Reserve Program under 
sections 1238N-1238Q of the Act (16 U.S.C. 3838n-3838q) that are or 
become the responsibility of the Under Secretary for Natural Resources 
and Environment.
    (xviii) The authority in section 1241 of the Act (16 U.S.C. 3841) to 
accept and use voluntary contributions of non-Federal funds in support 
of natural resources conservation programs under subtitle D of title XII 
of the Act with respect to authorities delegated to the Chief, Natural 
Resources Conservation Service.
    (xix) The Agricultural Conservation Easement Program authorized by 
sections 1265-1265D of the Act (16 U.S.C. 3865-3865d).
    (xx) The Regional Conservation Partnership Program authorized by 
sections 1271-1271F (16 U.S.C. 3871-3871f).
    (xxi) The Voluntary Public Access and Habitat Incentive Program 
authorized by section 1240R of the Act (16 U.S.C. 3839bb-5).
    (xxii) A wetlands mitigation banking program authorized by section 
1222(k) of the Act (16 U.S.C. 3822(k)).
    (14) Approve and transmit to the Congress comprehensive river basin 
reports.
    (15) Provide representation on the Water Resources Council and river 
basin commissions created by 42 U.S.C. 1962, and on river basin 
interagency committees.
    (16) [Reserved]
    (17) Administer the Water Bank Program under the Water Bank Act (16 
U.S.C. 1301 et seq.).
    (18) Administer the agricultural management assistance provisions of 
section 524(b) of the Federal Crop Insurance Act, as amended (7 U.S.C. 
1524(b)), except for responsibilities assigned to the Administrator, 
Risk Management Agency.
    (19) Administer the Healthy Forests Reserve Program authorized by 
sections 501-508, Title V of the Healthy Forests Restoration Act of 2003 
(16 U.S.C. 6571-6578).
    (20) Coordinate USDA input and assistance to the Department of 
Commerce and other Federal agencies consistent with section 307 of the 
Coastal Zone Management Act of 1972 (16 U.S.C. 1456), and coordinate 
USDA review of qualifying state and local government coastal management 
plans or programs prepared under such Act and submitted to the Secretary 
of Commerce, consistent with section 306(a) and (c) of such Act (16 
U.S.C. 1455(a) and (c)).
    (21) Administer responsibilities and functions assigned under the 
Defense Production Act of 1950, as amended (50 U.S.C. App. 2061 et 
seq.), and title VI of the Robert T. Stafford Disaster Relief and 
Emergency Assistance Act (42 U.S.C. 5195 et seq.), relating to 
agricultural lands and water.
    (22) Administer the Abandoned Mine Reclamation Program for Rural 
Lands and other responsibilities assigned under the Surface Mining 
Control and Reclamation Act of 1977 (30 U.S.C. 1201 et seq.), except for 
responsibilities assigned to the Forest Service.
    (23) With respect to land and facilities under his or her authority, 
to exercise the functions delegated to the Secretary by Executive Order 
12580, 3 CFR, 1987 Comp., p. 193, under the following provisions of the 
Comprehensive Environmental Response, Compensation, and Liability Act of 
1980 (``the Act''), as amended:
    (i) Sections 104(a), (b), and (c)(4) of the Act (42 U.S.C. 9604(a), 
(b), and (c)(4)), with respect to removal and remedial actions in the 
event of release or threatened release of a hazardous substance, 
pollutant, or contaminant into the environment;

[[Page 277]]

    (ii) Sections 104(e)-(h) of the Act (42 U.S.C. 9604 (e)-(h)), with 
respect to information gathering and access requests and orders; 
compliance with Federal health and safety standards and wage and labor 
standards applicable to covered work; and emergency procurement powers;
    (iii) Section 104(i)(11) of the Act (42 U.S.C. 9604(i)(11)), with 
respect to the reduction of exposure to significant risk to human 
health;
    (iv) Section 104(j) of the Act (42 U.S.C. 9604(j)), with respect to 
the acquisition of real property and interests in real property required 
to conduct a remedial action;
    (v) The first two sentences of section 105(d) of the Act (42 U.S.C. 
9605(d)), with respect to petitions for preliminary assessment of a 
release or threatened release;
    (vi) Section 105(f) of the Act (42 U.S.C. 9605(f)), with respect to 
consideration of the availability of qualified minority firms in 
awarding contracts, but excluding that portion of section 105(f) of the 
Act pertaining to the annual report to Congress;
    (vii) Section 109 of the Act (42 U.S.C. 9609), with respect to the 
assessment of civil penalties for violations of section 122 of the Act 
(42 U.S.C. 9622) and the granting of awards to individuals providing 
information;
    (viii) Section 111(f) of the Act (42 U.S.C. 9611(f)), with respect 
to the designation of officials who may obligate money in the Hazardous 
Substances Superfund;
    (ix) Section 113(k) of the Act (42 U.S.C. 9613(k)), with respect to 
establishing an administrative record upon which to base the selection 
of a response action and identifying and notifying potentially 
responsible parties;
    (x) Section 116(a) of the Act (42 U.S.C. 9616(a)), with respect to 
preliminary assessment and site inspection of facilities;
    (xi) Section 117(a) and (c) of the Act (42 U.S.C. 9617(a) and (c)), 
with respect to public participation in the preparation of any plan for 
remedial action and explanation of variances from the final remedial 
action plan for any remedial action or enforcement action, including any 
settlement or consent decree entered into;
    (xii) Section 119 of the Act (42 U.S.C. 9619), with respect to 
indemnifying response action contractors;
    (xiii) Section 121 of the Act (42 U.S.C. 9621), with respect to 
cleanup standards; and
    (xiv) Section 122 of the Act (42 U.S.C. 9622), with respect to 
settlement, but excluding section 122(b)(1) of the Act (42 U.S.C. 
9633(b)(1)), related to mixed funding agreements.
    (24) With respect to facilities and activities under his or her 
authority, to exercise the authority of the Secretary of Agriculture 
pursuant to section 1-102 related to compliance with applicable 
pollution control standards and section 1-601 of Executive Order 12088, 
3 CFR, 1978 Comp., p. 243, to enter into an inter-agency agreement with 
the United States Environmental Protection Agency, or an administrative 
consent order or a consent judgment in an appropriate United States 
District Court with an appropriate State, interstate, or local agency, 
containing a plan and schedule to achieve and maintain compliance with 
applicable pollution control standards established pursuant to the 
following:
    (i) Solid Waste Disposal Act, as amended by the Resource 
Conservation and Recovery Act, the Hazardous and Solid Waste Amendments, 
and the Federal Facility Compliance Act (42 U.S.C. 6901 et seq.);
    (ii) Federal Water Pollution Prevention and Control Act, as amended 
(33 U.S.C. 1251 et seq.);
    (iii) Safe Drinking Water Act, as amended (42 U.S.C. 300f et seq.);
    (iv) Clean Air Act, as amended (42 U.S.C. 7401 et seq.);
    (v) Noise Control Act of 1972, as amended (42 U.S.C. 4901 et seq.);
    (vi) Toxic Substances Control Act, as amended, (15 U.S.C. 2601 et 
seq.);
    (vii) Federal Insecticide, Fungicide, and Rodenticide Act, as 
amended (7 U.S.C. 136 et seq.); and
    (viii) Comprehensive Environmental Response, Compensation, and 
Liability Act of 1980, as amended by the Superfund Amendments and 
Reauthorization Act of 1986 (42 U.S.C. 9601 et seq.).
    (25) Administer the following provisions of the Farm Security and 
Rural Investment Act of 2002 with respect to functions otherwise 
delegated to the

[[Page 278]]

Chief, Natural Resources Conservation Service:
    (i) The equitable relief provisions of section 1613 (7 U.S.C. 7996); 
and
    (ii) The tracking of benefits under section 1614 (7 U.S.c. 7997).
    (26) Implement the information disclosure authorities of section 
1619(b)(3)(A) of the Food, Conservation, and Energy Act of 2008 (7 
U.S.C. 8791(b)(3)(A)).
    (27) In coordination with the Director, Office of Advocacy and 
Outreach, issue receipts under section 2501A(e) of the Food, 
Agriculture, Conservation, and Trade Act of 1990 (7 U.S.C. 2279-1(e)).
    (28) Authorize employees of the Natural Resources Conservation 
Service to carry and use firearms for personal protection while 
conducting field work in remote locations in the performance of their 
official duties (7 U.S.C. 2274a).
    (29) Conduct activities that assist the Director, Office of 
Environmental Markets, in developing guidelines regarding the 
development of environmental services markets.
    (30) Administer the Terminal Lakes assistance program authorized by 
section 2507 of the Farm Security and Rural Investment Act of 2002 (16 
U.S.C. 3839bb-6).
    (b) Reservations. The following authorities are reserved to the 
Under Secretary for Natural Resources and Environment:
    (1) Executing cooperative agreements and memoranda of understanding 
for multi-agency cooperation with conservation districts and other 
districts organized for soil and water conservation within States, 
territories, possessions, and American Indian Nations.
    (2) Approving additions to authorized Resource Conservation and 
Development Projects that designate new project areas in which resource 
conservation and development program assistance will be provided, and 
withdrawing authorization for assistance, pursuant to 16 U.S.C. 590a-f; 
7 U.S.C. 1010-1011; 16 U.S.C. 3451-3461.
    (3) Giving final approval to and transmitting to the Congress 
watershed work plans that require congressional approval.

[60 FR 56393, Nov. 8, 1995, as amended at 62 FR 1031, Jan. 8, 1997; 68 
FR 27444, May 20, 2003; 74 FR 3409, Jan. 21, 2009; 75 FR 43381, July 23, 
2010; 76 FR 4802, Jan. 27, 2011; 78 FR 40938, July 9, 2013; 79 FR 44114, 
July 30, 2014; 80 FR 58339, Sept. 29, 2015]



Subpart K_Delegations of Authority by the Under Secretary for Research, 
                        Education, and Economics



Sec.  2.63  Deputy Under Secretary for Research, Education, and Economics.

    Pursuant to Sec.  2.21(a), subject to reservations in Sec.  2.21(b), 
and subject to policy guidance and direction by the Under Secretary, the 
following delegation of authority is made by the Under Secretary for 
Research, Education, and Economics, to be exercised only during the 
absence or unavailability of the Under Secretary: Perform all the duties 
and exercise all the powers which are now or which may hereafter be 
delegated to the Under Secretary for Research, Education, and Economics.



Sec.  2.65  Administrator, Agricultural Research Service.

    (a) Delegations. Pursuant to Sec.  2.21(a)(1), (a)(3) and (a)(5) 
through (a)(7), subject to reservations in Sec.  2.21(b)(1), the 
following delegations of authority are made by the Under Secretary for 
Research, Education, and Economics to the Administrator, Agricultural 
Research Service:
    (1) Coordinate USDA policy relative to the Federal Insecticide, 
Fungicide, and Rodenticide Act, as amended (7 U.S.C. 136 et seq.) and 
coordinate the Department's Integrated Pest Management Programs and the 
Pesticide Assessment Program (7 U.S.C. 136-136y).
    (2) Conduct research related to the economic feasibility of the 
manufacture and commercialization of natural rubber from hydrocarbon-
containing plants (7 U.S.C. 178-178n).
    (3) Conduct research on the control of undesirable species of 
honeybees in cooperation with specific foreign governments (7 U.S.C. 
284).

[[Page 279]]

    (4) Conduct research concerning domestic animals and poultry, their 
protection and use, the causes of contagious, infectious, and 
communicable diseases, and the means for the prevention and cure of the 
same (7 U.S.C. 391).
    (5) Conduct research related to the dairy industry and to the 
dissemination of information for the promotion of the dairy industry (7 
U.S.C. 402).
    (6) Conduct research and demonstrations at Mandan, ND, related to 
dairy livestock breeding, growing, and feeding, and other problems 
pertaining to the establishment of the dairy and livestock industries (7 
U.S.C. 421-422).
    (7) Conduct research on new uses for cotton and on cotton ginning 
and processing (7 U.S.C. 423-424).
    (8) Conduct research into the basic problems of agriculture in its 
broadest aspects, including, but not limited to, production, marketing 
(other than statistical and economic research but including research 
related to family use of resources), distribution, processing, and 
utilization of plant and animal commodities; problems of human 
nutrition; development of markets for agricultural commodities; 
discovery, introduction, and breeding of new crops, plants, animals, 
both foreign and native; conservation development; and development of 
efficient use of farm buildings, homes, and farm machinery except as 
otherwise delegated in Sec. Sec.  2.22(a)(1)(ii) and 2.79(a)(2) (7 
U.S.C. 427, 1621-1627, 1629, 2201 and 2204).
    (9) Conduct research on varietal improvement of wheat and feed 
grains to enhance their conservation and environmental qualities (7 
U.S.C. 428b).
    (10) [Reserved]
    (11) Enter into agreements with and receive funds from any State, 
other political subdivision, organization, or individual for the purpose 
of conducting cooperative research projects (7 U.S.C. 450a).
    (12) Conduct research under the IR-4 program (7 U.S.C. 450i(e)).
    (13) Conduct research related to soil and water conservation, 
engineering operations, and methods of cultivation to provide for the 
control and prevention of soil erosion (7 U.S.C. 1010 and 16 U.S.C. 
590a).
    (14) Maintain four regional research laboratories and conduct 
research at such laboratories to develop new scientific, chemical, and 
technical uses and new and extended markets and outlets for farm 
commodities and products and the by-products thereof (7 U.S.C. 1292).
    (15) Conduct a Special Cotton Research Program designed to reduce 
the cost of producing upland cotton in the United States (7 U.S.C. 
1444a(c)).
    (16) [Reserved]
    (17) Conduct research to develop and determine methods for the 
humane slaughter of livestock (7 U.S.C. 1904).
    (18) Provide national leadership and support for research programs 
and other research activities in the food and agricultural sciences to 
meet major needs and challenges in food and agricultural system 
productivity; development of new food, fiber, and energy sources; 
agricultural energy use and production; natural resources; promotion of 
the health and welfare of people; human nutrition; and international 
food and agriculture pursuant to the National Agricultural Research, 
Extension, and Teaching Policy Act of 1977, as amended (7 U.S.C. 3101 et 
seq.).
    (19) [Reserved]
    (20) Administer the National Agricultural Science Award for research 
or advanced studies in the food and agricultural sciences (7 U.S.C. 
3153).
    (21) Conduct program evaluations to improve the administration and 
effectiveness of agricultural research and education programs (7 U.S.C. 
3317).
    (22) Enter into contracts, grants, or cooperative agreements to 
further research programs and library and related information programs 
supporting research, extension, and teaching programs in the food and 
agricultural sciences (7 U.S.C. 3318).
    (23) Enter into cost-reimbursable agreements with State cooperative 
institutions or other colleges and universities for the acquisition of 
goods or services in support of research, extension, or teaching 
activities in the food and agricultural sciences, including the 
furtherance of library and related information programs (7 U.S.C. 
3319a).
    (24) Conduct research for the development of supplemental and 
alternative crops (7 U.S.C. 3319d).
    (25)-(26) [Reserved]

[[Page 280]]

    (27) Cooperate and work with national and international 
institutions, Departments and Ministries of Agriculture in other 
nations, land-grant colleges and universities, and other persons 
throughout the world in the performance of agricultural research 
activities (7 U.S.C. 3291).
    (28) Provide a biennial report to the Committee on Agriculture of 
the House of Representatives and the Committee on Agriculture, 
Nutrition, and Forestry of the Senate on efforts of the Federal 
Government to coordinate international agricultural research within the 
Federal Government, and to more effectively link the activities of 
domestic and international agricultural researchers, particularly 
researchers of the Agricultural Research Service (7 U.S.C. 3291(d)(2)).
    (29) Conduct a program of basic research on cancer in animals and 
birds (7 U.S.C. 3902).
    (30) [Reserved]
    (31) Conduct research to optimize crop and livestock production 
potential, integrated resource management, and integrated crop 
management (7 U.S.C. 5821).
    (32) Administer a national research program on genetic resources to 
provide for the collection, preservation, and dissemination of genetic 
material important to American food and agriculture production (7 U.S.C. 
5841).
    (33) Conduct remote-sensing and other weather-related research (7 
U.S.C. 5852).
    (34)-(37) [Reserved]
    (38) Administer a grant program for risk assessment research to 
address concerns about the environmental effects of biotechnology (7 
U.S.C. 5921).
    (39) Conduct a research initiative known as the Agricultural Genome 
Initiative, and make grants or enter into cooperative agreements on a 
competitive basis to carry out the Initiative (7 U.S.C. 5924).
    (40) Facilitate access, including through the National Agricultural 
Library, by research and extension professionals, farmers, and other 
interested persons in the United States to, and the use by those persons 
of, organic research conducted outside the United States (7 U.S.C. 
5925d).
    (41)-(46) [Reserved]
    (47) [Reserved]
    (48) Coordinate Departmental policies under the Toxic Substances 
Control Act (15 U.S.C. 2601-2629).
    (49) With respect to facilities and activities under his or her 
authority, to exercise the authority of the Secretary of Agriculture 
pursuant to section 1-102 related to compliance with applicable 
pollution control standards and section 1-601 of Executive Order 12088, 
3 CFR, 1978 Comp., p. 243, to enter into an inter-agency agreement with 
the United States Environmental Protection Agency, or an administrative 
consent order or a consent judgment in an appropriate State, interstate, 
or local agency, containing a plan and schedule to achieve and maintain 
compliance with applicable pollution control standards established 
pursuant to the following:
    (i) Solid Waste Disposal Act, as amended by the Resource 
Conservation and Recovery Act, as further amended by the Hazardous and 
Solid Waste Amendments, and the Federal Facility Compliance Act (42 
U.S.C. 6901 et seq.);
    (ii) Federal Water Pollution Prevention and Control Act, as amended 
(33 U.S.C. 1251 et seq.);
    (iii) Safe Drinking Water Act, as amended (42 U.S.C. 300f et seq.);
    (iv) Clean Air Act, as amended (42 U.S.C. 7401 et seq.);
    (v) Noise Control Act of 1972, as amended (42 U.S.C. 4901 et seq.);
    (vi) Toxic Substances Control Act, as amended (15 U.S.C. 2601 et 
seq.);
    (vii) Federal Insecticide, Fungicide, and Rodenticide Act, as 
amended (7 U.S.C. 136 et seq.); and
    (viii) Comprehensive Environmental Response, Compensation, and 
Liability Act of 1980, as amended by the Superfund Amendments and 
Reauthorization Act of 1986 (42 U.S.C. 9601 et seq.).
    (50) Perform research and administer grants for research and 
development in aquaculture (16 U.S.C. 2804).
    (51) Maintain a National Arboretum for the purposes of research and 
education concerning tree and plant life, and order disbursements from 
the Treasury, in accordance with the Act of March 4, 1927 (20 U.S.C. 191 
et seq.).
    (52) Conduct research on foot-and-mouth disease and other animal 
diseases (21 U.S.C. 113a).

[[Page 281]]

    (53)-(56) [Reserved]
    (57) Pursuant to the authority delegated by the Administrator of 
General Services to the Secretary of Agriculture in 34 FR 6406, 36 FR 
1293, 36 FR 18840, and 38 FR 23838, appoint uniformed armed guards and 
special policemen, make all needful rules and regulations, and annex to 
such rules and regulations such reasonable penalties (not to exceed 
those prescribed in 40 U.S.C. 318(c)), as will insure their enforcement, 
for the protection of persons, property, buildings, and grounds of the 
Arboretum, Washington, DC; the U.S. Meat Animal Research Center, Clay 
Center, NE.; the Agricultural Research Center, Beltsville, MD; and the 
Animal Disease Center, Plum Island, NY, over which the United States has 
exclusive or concurrent criminal jurisdiction, in accordance with the 
limitations and requirements of the Federal Property and Administrative 
Services Act of 1949, as amended (40 U.S.C. 471 et seq.), the Act of 
June 1, 1948, as amended (40 U.S.C. 318 et seq.), and the policies, 
procedures, and controls prescribed by the General Services 
Administration. Any rules or regulations promulgated under this 
authority shall be approved by the Director, Office of Operations, and 
the General Counsel prior to issuance.
    (58) Administer the Department's Patent Program except as delegated 
to the General Counsel in Sec.  2.31(a)(5).
    (59) Provide management support services for the Economic Research 
Service, the National Institute of Food and Agriculture, and the 
National Agricultural Statistics Service as agreed upon by the agencies 
with authority to take actions required by law or regulation. As used 
herein, the term management support services includes budget, finance, 
personnel, procurement, property management, communications, paperwork 
management, ADP support, and related administrative services.
    (60) With respect to land and facilities under his or her authority, 
exercise the functions delegated to the Secretary by Executive Order 
12580, 3 CFR, 1987 Comp., p. 193, under the following provisions of the 
Comprehensive Environmental Response, Compensation, and Liability Act of 
1980 (``the Act''), as amended:
    (i) Sections 104 (a), (b), and (c)(4) of the Act (42 U.S.C. 9604 
(a), (b), and (c)(4)), with respect to removal and remedial actions in 
the event of release or threatened release of a hazardous substance, 
pollutant, or contaminant into the environment;
    (ii) Sections 104(e)-(h) of the Act (42 U.S.C. 9604(e)-(h)), with 
respect to information gathering and access requests and orders; 
compliance with Federal health and safety standards and wage and labor 
standards applicable to covered work; and emergency procurement powers;
    (iii) Section 104(i)(11) of the Act (42 U.S.C. 9604(i)(11)), with 
respect to the reduction of exposure to significant risk to human 
health;
    (iv) Section 104(j) of the Act (42 U.S.C. 9604(j)), with respect to 
the acquisition of real property and interests in real property required 
to conduct a remedial action;
    (v) The first two sentences of section 105(d) of the Act (42 U.S.C. 
9605(d)), with respect to petitions for preliminary assessment of a 
release or threatened release;
    (vi) Section 105(f) of the Act (42 U.S.C. 9605(f)), with respect to 
consideration of the availability of qualified minority firms in 
awarding contracts, but excluding that portion of section 105(f) 
pertaining to the annual report to Congress;
    (vii) Section 109 of the Act (42 U.S.C. 9609), with respect to the 
assessment of civil penalties for violations of section 122 of the Act 
(42 U.S.C. 9622), and the granting of awards to individuals providing 
information;
    (viii) Section 111(f) of the Act (42 U.S.C. 9611(f)), with respect 
to the designation of officials who may obligate money in the Hazardous 
Substances Superfund;
    (ix) Section 113(k) of the Act (42 U.S.C. 9613(k)), with respect to 
establishing an administrative record upon which to base the selection 
of a response action and identifying and notifying potentially 
responsible parties;
    (x) Section 116(a) of the Act (42 U.S.C. 9616(a)), with respect to 
preliminary assessment and site inspection of facilities;
    (xi) Sections 117(a) and (c) of the Act (42 U.S.C. 9617 (a) and 
(c)), with respect

[[Page 282]]

to public participation in the preparation of any plan for remedial 
action and explanation of variances from the final remedial action plan 
for any remedial action or enforcement action, including any settlement 
or consent decree entered into;
    (xii) Section 119 of the Act (42 U.S.C. 9119), with respect to 
indemnifying response action contractors;
    (xiii) Section 121 of the Act (42 U.S.C. 9621), with respect to 
cleanup standards; and
    (xiv) Section 122 of the Act (42 U.S.C. 9622), with respect to 
settlements, but excluding section 122(b)(1) of the Act (42 U.S.C. 
9622(b)(1)), related to mixed funding agreements.
    (61) [Reserved]
    (62) Perform food and agricultural research in support of functions 
assigned to the Department under the Defense Production Act of 1950, as 
amended (50 U.S.C. App. 2061 et seq.), and title VI of the Robert T. 
Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5195 et 
seq.).
    (63) Propagate bee-breeding stock and release bee germplasm to the 
public (7 U.S.C. 283).
    (64) Administer a National Food and Human Nutrition Research Program 
under the National Agricultural Research, Extension, and Teaching Policy 
Act of 1977, as amended. As used herein the term ``research'' includes:
    (i) Research on the nutrient composition of foods and the effects of 
agricultural practices, handling, food processing, and cooking on the 
nutrients they contain;
    (ii) Surveillance of the nutritional benefits provided to 
participants in the food programs administered by the Department; and
    (iii) Research on the factors affecting food preference and habits 
(7 U.S.C. 3171-3173, 3175).
    (65) The authority in paragraph (a)(64) of this section includes the 
authority to:
    (i) Appraise the nutritive content of the U.S. food supply;
    (ii) Develop and make available data on the nutrient composition of 
foods needed by Federal, State, and local agencies administering food 
and nutrition programs, and the general public, to improve the 
nutritional quality of diets;
    (iii) Coordinate nutrition education research and professional 
education projects within the Department; and
    (iv) Maintain data generated on food composition in a National 
Nutrient Data Bank.
    (66) Conduct, in cooperation with the Department of Health and Human 
Services, the National Nutrition Monitoring and Related Research 
Program. Included in this delegation is the authority to:
    (i) Design and carry out periodic nationwide food consumption 
surveys to measure household food consumption;
    (ii) Design and carry out a continuous, longitudinal individual 
intake survey of the United States population and special high-risk 
groups; and
    (iii) Design and carry out methodological research studies to 
develop improved procedures for collecting household and individual food 
intake consumption data;
    (67) [Reserved]
    (68) Provide staff support to the Under Secretary for Research, 
Education, and Economics related to the Ten-Year Comprehensive Plan and 
the Interagency Board for Nutrition Monitoring and Related Research 
required by Pub. L. No. 101-445, 7 U.S.C. 5301 et seq.
    (69) Obtain and furnish excess property to eligible recipients for 
use in the conduct of research and extension programs.
    (70) [Reserved]
    (71) Establish and maintain a Food Safety Research Information 
Office at the National Agricultural Library to provide to the research 
community and the general public information on publicly and privately 
funded food safety research initiatives (7 U.S.C. 7654(a)).
    (72) Develop and maintain library and information systems and 
networks and facilitate cooperation and coordination of the agricultural 
libraries of colleges, universities, USDA, and their closely allied 
information gathering and dissemination units in conjunction with 
private industry and other research libraries (7 U.S.C. 2201, 2204, 
3125a, and 3126).

[[Page 283]]

    (73) Accept gifts and order disbursements from the Treasury for the 
benefit of the National Agricultural Library or for the carrying out of 
any of its functions (7 U.S.C. 2264-2265).
    (74) Provide for the dissemination of appropriate rural health and 
safety information resources possessed by the National Agricultural 
Library Rural Information Center, in cooperation with State educational 
program efforts (7 U.S.C. 2662).
    (75) Provide national leadership in the development and maintenance 
of library and related information systems and other activities to 
support the research, extension, and teaching programs in the food and 
agricultural sciences pursuant to the National Agricultural Research, 
Extension, and Teaching Policy Act of 1977, as amended (7 U.S.C. 3101 
and 3121).
    (76) Administer the programs and services of the National 
Agricultural Library consistent with its charge to serve as the primary 
agricultural information resource of the United States and enter into 
agreements and receive funds from various entities to conduct National 
Agricultural Library activities (7 U.S.C. 3125a).
    (77) Provide and distribute information and data about Federal, 
State, local, and other rural development assistance programs and 
services available to individuals and organizations. To the extent 
possible, the National Agricultural Library shall use telecommunications 
technology to disseminate such information to rural areas (7 U.S.C. 
3125b).
    (78) Assemble and collect food and nutrition educational materials, 
including the results of nutrition research, training methods, 
procedures, and other materials related to the purposes of the National 
Agricultural Research, Extension, and Teaching Policy Act of 1977, as 
amended; maintain such information; and provide for the dissemination of 
such information and materials on a regular basis to State educational 
agencies and other interested parties (7 U.S.C. 3126).
    (79) Conduct program evaluations to improve the administration and 
efficacy of the National Agricultural Library and related information 
systems in the food and agricultural sciences (7 U.S.C. 3317).
    (80) Administer the National Agricultural Library, including the 
farmland information center, pursuant to section 1544(b) of the Farmland 
Protection Policy Act (7 U.S.C. 4205(b)).
    (81) Support Department water programs through participation in 
State water quality coordination programs and dissemination of 
agrichemical information (7 U.S.C. 5503-5506).
    (82)-(83) [Reserved]
    (84) Represent the Department on all library and information science 
matters before Congressional Committees and appropriate commissions, and 
provide representation to the coordinating committees of the Federal and 
State governments concerned with library and information science 
activities.
    (85) Represent the Department in international organizational 
activities and on international technical committees concerned with 
library and information science activities.
    (86) Prepare and disseminate computer files, indexes and abstracts, 
bibliographies, reviews and other analytical information tools.
    (87) Arrange for the consolidated purchasing and dissemination of 
printed and automated indexes, abstracts, journals, and other widely 
used information resources and services.
    (88) Provide assistance and support to professional organizations 
and others concerned with library and information science matters and 
issues.
    (89) Copy and deliver on demand selected articles and other 
materials from the National Agricultural Library's collections by 
photographic reproduction or other means within the permissions, 
constraints, and limitations of sections 106, 107, and 108 of the 
Copyright Act of October 19, 1976 (17 U.S.C. 106, 107 and 108).
    (90) Formulate, write, or prescribe bibliographic and technically 
related standards for the library and information services of USDA (7 
U.S.C. 3125a et seq.).
    (91) Assure the acquisition, preservation, and accessibility of all 
information concerning food and agriculture by providing leadership to 
and coordination of the acquisition programs and

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related activities of the library and information systems, with the 
agencies of USDA, other Federal departments and agencies, State 
agricultural experiment stations, colleges and universities, and other 
research institutions and organizations.
    (92) Determine by survey or other appropriate means, the information 
needs of the Department's scientific, professional, technical, and 
administrative staffs, its constituencies, and the general public in the 
areas of food, agriculture, the environment, and other related areas.
    (93) Review cooperative research and development agreements entered 
into pursuant to 15 U.S.C. 3710a-3710c, with authority to disapprove or 
require the modification of any such agreement.
    (94) Administer the Stuttgart National Aquaculture Research Center 
(16 U.S.C. 778 et seq.; Pub. L. 104-127, sec. 889).
    (95) Provide technical and educational assistance to conserve and 
enhance private grazing land resources (16 U.S.C. 2005b).
    (96) Provide technical assistance to farmers and ranchers under the 
Environmental Quality Incentives Program (16 U.S.C. 3830 et seq.).
    (97) Enter into cooperative research and development agreements with 
industry, universities, and others; institute a cash award program to 
reward scientific, engineering, and technical personnel; award royalties 
to inventors; and retain and use royalty income (15 U.S.C. 3710a-3710c).
    (98) Coordinate USDA activities delegated under 15 U.S.C. 3710a-
3710c.
    (99) Ensure that agricultural research conducted by the Agricultural 
Research Service (ARS) addresses a concern that is a priority and has 
national, multistate, or regional significance (7 U.S.C. 7611).
    (100) Solicit and consider input and recommendations from persons 
who conduct or use agricultural research, extension, or education (7 
U.S.C. 7612(b)).
    (101) Consider the results of the annual review performed by the 
Agricultural Research, Extension, Education, and Economics Advisory 
Board regarding the relevance to priorities of the funding of all 
agricultural research, extension, or education activities conducted or 
funded by the Department and the adequacy of funding when formulating 
each request for proposals, and evaluating proposals, involving an 
agricultural research, extension, or education activity funded, on a 
competitive basis, by the Department; and solicit and consider input 
from persons who conduct or use agricultural research, extension, or 
education regarding the prior year's request for proposals for each 
activity funded on a competitive basis (7 U.S.C. 7613(c)).
    (102) Establish procedures that ensure scientific peer review of all 
research activities conducted by the Agricultural Research Service (7 
U.S.C. 7613(d)).
    (103) Coordinate the resources of the Department to develop, 
commercialize, and promote the use of biobased products, and enter into 
cooperative agreements with private entities to operate pilot plants and 
other large-scale preparation facilities under which the facilities and 
technical expertise of the Agricultural Research Service may be made 
available (7 U.S.C. 7624).
    (104) Administer grants to consortia of land-grant colleges and 
universities to enhance the ability of the consortia to carry out multi-
State research projects aimed at understanding and combating diseases of 
wheat, triticale, and barley caused by Fusarium graminearum and related 
fungi or Tilletia indica and related fungi (7 U.S.C. 7628).
    (105) Administer a program of fees to support the Patent Culture 
Collection maintained and operated by the Agricultural Research Service 
(7 U.S.C. 7641).
    (106) Update on a periodic basis, nutrient composition data, and 
report to Congress the method that will be used to update the data and 
the timing of the update (7 U.S.C. 7651).
    (107) Ensure that each research activity conducted by an 
Agricultural Research Service facility serves a national or multistate 
need (7 U.S.C. 390a(e)).
    (108) Exchange, sell, or otherwise dispose of animals, animal 
products, plants, and plant products, and use the sale or other proceeds 
to acquire such items or to offset costs related to the

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maintenance, care, or feeding of such items (7 U.S.C. 2241a).
    (109) Establish and administer a pilot program at the Beltsville 
Agricultural Research Center and National Agricultural Library to lease 
nonexcess property (7 U.S.C. 3125a note).
    (110) Lease land at the Grazinglands Research Laboratory at El Reno, 
Oklahoma, pursuant to section 7503 of the Food, Conservation, and Energy 
Act of 2008 (Pub. L. 110-246).
    (111) Administer a natural products research program (7 U.S.C. 
5937).
    (112) Provide staff support to the Under Secretary for Research, 
Education, and Economics related to the National Agricultural Research, 
Extension, Education, and Economics Advisory Board (7 U.S.C. 3123).
    (113) Carry out pollinator health research activities (7 U.S.C. 
5925(g)(2)).
    (114) Enter into grants, contracts, cooperative agreements, or other 
legal instruments with former Department of Agriculture agricultural 
research facilities (7 U.S.C. 3315(b)).
    (115) Enter into cooperative agreements with institutions of higher 
education regarding the dissemination of agricultural and food law 
research, legal tools, and information (7 U.S.C. 3125a-1).
    (b) [Reserved]

[60 FR 56393, Nov. 8, 1995, as amended at 62 FR 65594, Dec. 15, 1997; 65 
FR 5416, Feb. 4, 2000; 68 FR 27445, May 20, 2003; 74 FR 3409, Jan. 21, 
2009; 75 FR 43381, July 23, 2010; 76 FR 4802, 4803, Jan. 27, 2011; 79 FR 
44115, July 30, 2014]



Sec.  2.66  Director, National Institute of Food and Agriculture.

    (a) Delegations. Pursuant to Sec.  2.21 (a)(1) and (a)(3), subject 
to the reservations in Sec.  2.21(b)(1), the following delegations of 
authority are made by the Under Secretary for Research, Education and 
Economics (Under Secretary) to the Director, National Institute of Food 
and Agriculture, who shall report directly to the Under Secretary.
    (1) Administer research and technology development grants related to 
the economic feasibility of the manufacture and commercialization of 
natural rubber from hydrocarbon-containing plants (7 U.S.C. 178-178n).
    (2) Administer the appropriation for the endowment and maintenance 
of colleges for the benefit of agriculture and the mechanical arts (7 
U.S.C. 321-326a).
    (3) Administer teaching funds authorized by section 22 of the 
Bankhead Jones Act, as amended (7 U.S.C. 329).
    (4) Cooperate with the States for the purpose of encouraging and 
assisting them in carrying out research related to the problems of 
agriculture in its broadest aspects under the Hatch Act, as amended (7 
U.S.C. 361a-361i).
    (5) Administer an agricultural research facilities proposal review 
process for submission to Congress (7 U.S.C. 390, 390a(a)-(d)).
    (6) Carry out a program (IR-4 Program) for the collection of residue 
and efficacy data in support of registration or reregistration of 
pesticides for minor agricultural use and for use on specialty crops, 
and to determine tolerances for minor use chemical residues in or on 
agricultural commodities (7 U.S.C. 450i(e)).
    (7) Administer the Agriculture and Food Research Initiative for 
competitive grants for fundamental and applied research, extension, and 
education to address food and agricultural sciences (7 U.S.C. 450i(b)).
    (8) Administer a program of making special grants for research, 
extension, or education activities (7 U.S.C. 450i(c)).
    (9) [Reserved]
    (10) Administer, in cooperation with land-grant colleges and 
universities where applicable, a rural development research and 
extension program, a small farm research and extension program, and a 
rural health and safety education program under the Rural Development 
Act of 1972, as amended (7 U.S.C. 2661-2667).
    (11) Provide national leadership and support for cooperative 
research and extension programs and other cooperative activities in the 
food and agricultural sciences to meet major needs and challenges in 
food and agricultural system productivity; development of new food, 
fiber, and energy sources; agricultural energy use and production; 
natural resources; promotion of the health and welfare of people; human 
nutrition; and international food and agriculture

[[Page 286]]

pursuant to the National Agricultural Research, Extension, and Teaching 
Policy Act of 1977, as amended (7 U.S.C. 3101 et seq.).
    (12) Conduct a program of grants to States to expand, renovate, or 
improve schools of veterinary medicine (7 U.S.C. 3151).
    (13) Promote and strengthen higher education in the food and 
agricultural sciences; administer grants to colleges and universities; 
maintain a national food and agricultural education information system; 
conduct programs regarding the evaluation of teaching programs and 
continuing education; administer the National Food and Agricultural 
Sciences Teaching, Extension, and Research Awards Program to recognize 
and promote excellence in teaching, extension, and research in the food 
and agricultural sciences; administer programs relating to secondary 
education and 2-year postsecondary education, including grants to public 
secondary schools, institutions of higher education that award an 
associate's degree, other institutions of higher education, and 
nonprofit organizations; and report to Congress on the distribution of 
funds to carry out such teaching programs (7 U.S.C. 3152).
    (14)-(16) [Reserved]
    (17) Administer and direct an Animal Health and Disease Research 
Program under the National Agricultural Research, Extension, and 
Teaching Policy Act of 1977, as amended (7 U.S.C. 3191-3201).
    (18) Support continuing agricultural and forestry extension and 
research, at 1890 land-grant institutions, including Tuskegee University 
(7 U.S.C. 3221, 3222, 3222d).
    (19) Administer grants to 1890 land-grant colleges, including 
Tuskegee University, through Federal-grant funds to help finance and 
upgrade agricultural and food science facilities which are used for 
research, extension, and resident instruction (7 U.S.C. 3222b).
    (20) Provide policy direction and coordinate the Department's work 
with national and international institutions and other persons 
throughout the world in the performance of agricultural research, 
extension, teaching, and development activities; administer a program of 
competitive grants for collaborative projects involving Federal 
scientists or scientists from colleges and universities working with 
scientists at international agricultural research centers in other 
nations focusing either on new technologies and programs for increasing 
the production of food and fiber or training scientists and a program of 
competitive grants to colleges and universities to strengthen United 
States economic competitiveness and to promote international market 
development; and establish a program in coordination with the Foreign 
Agricultural Service to place interns from United States colleges and 
universities at Foreign Agricultural Service field offices overseas (7 
U.S.C. 3291, 3292b).
    (21) [Reserved]
    (22) Conduct program evaluations to improve the administration and 
efficacy of the cooperative research grants and extension programs 
involving State agricultural experiment stations, cooperative extension 
services, and colleges and universities (7 U.S.C. 3317).
    (23) Enter into contracts, grants, or cooperative agreements to 
further research, extension or teaching activities in the food and 
agricultural sciences (7 U.S.C. 3318)
    (24) Enter into cost-reimbursable agreements with State cooperative 
institutions or other colleges and universities for the acquisition of 
goods or services in support of research, extension, or teaching 
activities in the food and agricultural sciences, including the 
furtherance of library and related information programs (7 U.S.C. 
3319a).
    (25) Conduct research and develop and implement a program for the 
development of supplemental and alternative crops (7 U.S.C. 3319d).
    (26) Administer an Aquaculture Assistance Program, involving 
centers, by making grants to eligible institutions for research and 
extension to facilitate or expand production and marketing of 
aquacultural food species and products; making grants to States to 
formulate aquaculture development plans for the production and marketing 
of aquacultural species and products; conducting a program of research, 
extension and demonstration at

[[Page 287]]

aquacultural demonstration centers (7 U.S.C. 3321-3322).
    (27) [Reserved]
    (28) Administer a cooperative rangeland research program (7 U.S.C. 
3331-3336).
    (29) Administer grants for basic research on cancer in animals and 
birds (7 U.S.C. 3902).
    (30) Administer programs and conduct projects in cooperation with 
other agencies for research and education on sustainable agriculture (7 
U.S.C. 5811-5813).
    (31) Administer a cooperative research and extension program to 
optimize crop and livestock production potential in integrated resource 
management and integrated crop management systems (7 U.S.C. 5821).
    (32) Establish an Agricultural Weather Office and administer a 
national agricultural weather information system, including competitive 
grants program for research in atmospheric sciences and climatology (7 
U.S.C. 5852-5853).
    (33) Administer a cooperative extension program on agricultural 
weather forecasts and climate information for agricultural producers and 
administer a grant program to States to administer programs for State 
agricultural weather information systems (7 U.S.C. 5854).
    (34)-(36) [Reserved]
    (37) Administer a grant program for risk assessment research to 
address concerns about the environmental effects of biotechnology (7 
U.S.C. 5921).
    (38)-(39) [Reserved]
    (40) Conduct a research initiative known as the Agricultural Genome 
Initiative; and make grants or enter cooperative agreements on a 
competitive basis with individuals and organizations to carry out the 
Initiative (7 U.S.C. 5924).
    (41) [Reserved]
    (42) Administer a competitive high priority research and extension 
grants program in specified subject areas (7 U.S.C. 5925), including 
pollinator activities (7 U.S.C. 5925(g)) not otherwise delegated to the 
Administrator, Agricultural Research Service in Sec.  2.65(a)(113) and 
the Administrator, Animal and Plant Health Inspection Service in Sec.  
2.80(a)(47).
    (43) [Reserved]
    (44) Administer competitive grants to support research, education, 
and extension activities regarding organically grown and processed 
agricultural commodities (7 U.S.C. 5925b).
    (45) -(49) [Reserved]
    (50) Administer the Small Business Innovation Development Act of 
1982 for USDA (15 U.S.C. 638(e)-(k)).
    (51) Administer a cooperative forestry program in accordance with 
the McIntire-Stennis Cooperative Forestry Act, and administer a 
competitive forestry, natural resources, and environmental grant program 
(16 U.S.C. 582a-582a-8).
    (52) Establish and administer the Forestry Student Grant Program to 
provide competitive grants to assist the expansion of the professional 
education of forestry, natural resources, and environmental scientists 
(16 U.S.C. 1649).
    (53) Provide staff support to the Secretary of Agriculture in his or 
her role as permanent Chair for the Joint Subcommittee on Aquaculture 
established by the National Aquaculture Act of 1980 and coordinate 
aquacultural responsibilities within the Department (16 U.S.C. 2805).
    (54) Administer extension education programs in aquaculture and 
administer grants related to research and development in aquaculture (16 
U.S.C. 2806).
    (55) Coordinate research by cooperating State research institutions 
and administer education and information activities assigned under the 
Defense Production Act of 1950, as amended (50 U.S.C. App. 2061 et 
seq.), and title VI of the Robert T. Stafford Disaster Relief and 
Emergency Assistance Act (42 U.S.C. 5195 et seq.).
    (56) [Reserved]
    (57) Represent the Department on the Federal Interagency Committee 
on Education.
    (58)-(60) [Reserved]
    (61) Administer a cooperative agricultural extension program in 
accordance with the Smith-Lever Act, as amended (7 U.S.C. 341-349).
    (62) Administer a cooperative agricultural extension program 
relating to agriculture, uses of solar energy with

[[Page 288]]

respect to agriculture, home economics, and rural energy in the District 
of Columbia (DC Code 38-1202.09).
    (63) Conduct educational and demonstration work related to the 
distribution and marketing of agricultural products under the 
Agricultural Marketing Act of 1946, as amended (7 U.S.C. 1621-1627).
    (64)-(71) [Reserved]
    (72) Administer a cooperative extension program under the Farmer-to-
Consumer Direct Marketing Act of 1976 (7 U.S.C. 3004).
    (73) [Reserved]
    (74) Administer a National Food and Human Nutrition Research and 
Extension Program (7 U.S.C. 3171-3173, 3175)
    (75) [Reserved]
    (76) Design educational programs, implement, and distribute 
materials in cooperation with the cooperative extension services of the 
States emphasizing the importance of productive farmland pursuant to 
section 1544(a) of the Farmland Protection Policy Act (7 U.S.C. 
4205(a)).
    (77) [Reserved]
    (78) Develop and make available handbooks, technical guides, and 
other educational materials emphasizing sustainable agriculture 
production systems and practices; carry out activities related to a 
national training program for sustainable agriculture (7 U.S.C. 5831, 
5832).
    (79)-(81) [Reserved]
    (82) Administer education programs on Indian reservations and tribal 
jurisdictions (7 U.S.C. 5930).
    (83) Conduct education and extension programs related to nutrition 
education (7 U.S.C. 2027(a)).
    (84) Administer a demonstration grants program for support of an 
assistive technology program for farmers with disabilities (7 U.S.C. 
5933).
    (85) Conduct educational and demonstrational work in cooperative 
farm forestry programs (16 U.S.C. 568).
    (86) Provide for an expanded and comprehensive extension program for 
forest and rangeland renewable resources (16 U.S.C. 1671-1676).
    (87) [Reserved]
    (88) Provide technical, financial, and educational assistance to 
State foresters and State extension directors on rural forestry 
assistance (16 U.S.C. 2102).
    (89) Provide educational assistance to State foresters under the 
Forest Stewardship Program (16 U.S.C. 2103a).
    (90) Implement and conduct an educational program to assist the 
development of urban and community forestry programs (16 U.S.C. 2105).
    (91) [Reserved]
    (92) Authorize the use of the 4-H Club name and emblem (18 U.S.C. 
707).
    (93) Conduct demonstrational and promotional activities related to 
farm dwellings and other buildings for the purposes of reducing costs 
and adapting and developing fixtures and appurtenances for more 
efficient and economical farm use (42 U.S.C. 1476(b)).
    (94) [Reserved]
    (95) Exercise the responsibilities of the Secretary under 
regulations dealing with Equal Employment Opportunity (part 18 of this 
title).
    (96) [Reserved]
    (97) Provide educational and technical assistance in implementing 
and administering the conservation reserve program authorized in 
sections 1231-1244 of the Food Security Act of 1985 (Pub. L. No. 99-198, 
99 Stat. 1509, 16 U.S.C. 3831-3844).
    (98) Establish and administer a 1994 Institutions Endowment Fund and 
to enter into agreements necessary to do this (Section 533(b)(c) of the 
Equity in Educational Land-Grant Status Act of 1994, 7 U.S.C. 301 note).
    (99) Make grants in equal amounts to 1994 Land-Grant Institutions to 
be used in the same manner as is prescribed for colleges under the Act 
of August 30, 1890 (26 Stat. 417, chapter 841; 7 U.S.C. 321 et seq.) 
(commonly known as the Second Morrill Act), and subject to the 
requirements of such Act (Sections 533 and 534 of the Equity in 
Educational Land-Grant Act of 1994, 7 U.S.C. 301 note).
    (100) Make competitive Institutional Capacity Building Grants to 
assist 1994 Institutions with constructing, acquiring, and remodeling 
buildings, laboratories, and other capital facilities (including 
fixtures and equipment) necessary to conduct instructional activities 
more effectively in agriculture and sciences (Section 535 of the Equity 
in

[[Page 289]]

Educational Land-Grant Status Act of 1994, 7 U.S.C. 301 note).
    (101) Make competitive grants to 1994 Land-Grant Institutions to 
conduct agricultural research that addresses high priority concerns of 
tribal, national, or multistate significance (Section 536 of the Equity 
in Educational Land-Grant Status Act of 1994, 7 U.S.C. 301 note).
    (102) Implement and administer the Community Food Projects Program 
under section 25 of the Food and Nutrition Act of 2008 (7 U.S.C. 2034).
    (103) [Reserved]
    (104) Develop and carry out a system to monitor and evaluate 
agricultural research and extension activities conducted or supported by 
the Department of Agriculture that will enable the Secretary to measure 
the impact and effectiveness of research, extension, and education 
programs according to priorities, goals, and mandates established by 
law. Conduct a comprehensive review of state-of-the-art information 
technology systems for use in developing the system (7 U.S.C. 3129).
    (105) [Reserved]
    (106) Administer grants to 1890 land-grant colleges, including 
Tuskegee University, through Federal-grant funds to help finance 
research facilities and equipment including agricultural libraries (7 
U.S.C. 3223).
    (107) Establish and administer competitive grants to Hispanic-
serving Institutions for the purpose of promoting and strengthening the 
ability of Hispanic-serving Institutions to carry out education, applied 
research, and related community development programs (7 U.S.C. 3241).
    (108)-(109) [Reserved]
    (110) Coordinate the development and carrying out by Department 
agencies of all matters and functions pertaining to agricultural 
research conducted or funded by the Department involving biotechnology, 
including the development and implementation of guidelines for oversight 
of research activities, acting as liaison on all matters and functions 
pertaining to agricultural research in biotechnology between agencies 
within the Department and between the Department and other governmental, 
educational, or private organizations and carrying out any other 
activities authorized by (7 U.S.C. 3121).
    (111)-(112) [Reserved]
    (113) Provide technical and educational assistance to conserve and 
enhance private grazing land resources (16 U.S.C. 2005b).
    (114) Provide technical assistance to farmers and ranchers under the 
Environmental Quality Incentives Program (16 U.S.C. 3830 et seq.).
    (115) Coordinate USDA policy and conduct programs relative to the 
Federal Insecticide, Fungicide, and Rodenticide Act, as amended (7 
U.S.C. 136, et seq.) and coordinate the Department's Integrated Pest 
Management Programs and the Pesticide Assessment Program (7 U.S.C. 136-
136y).
    (116) [Reserved]
    (117) Represent the Department in international organizational 
activities and on international technical committees concerned with 
agricultural science, education, and development activities, including 
library and information science activities.
    (118) [Reserved]
    (119) Ensure that agricultural research, extension, or education 
activities administered, on a competitive basis, by the National 
Institute of Food and Agriculture address a concern that is a priority 
and has national, multistate, or regional significance (7 U.S.C. 7611).
    (120) Solicit and consider input and recommendations from persons 
who conduct or use agricultural research, extension, or education; 
ensure that Federally supported and conducted agricultural research, 
extension, and education activities are accomplished in accord with 
identified management principles; and promulgate regulations concerning 
implementation of a process for obtaining stakeholder input at 1862, 
1890, and 1994 Institutions and Hispanic-serving agricultural colleges 
and universities (7 U.S.C. 7612(b), (c), and (d)).
    (121) Establish procedures that provide for scientific peer review 
of each agricultural research grant administered on a competitive basis, 
and for relevancy and merit review of each agricultural research, 
extension, or education grant administered on a competitive basis, by 
the National Institute of Food and Agriculture (7 U.S.C. 7613(a)).

[[Page 290]]

    (122) Consider the results of the annual review performed by the 
National Agricultural Research, Extension, Education, and Economics 
Advisory Board regarding the relevance to priorities of the funding of 
all agricultural research, extension, or education activities conducted 
or funded by the Department and the adequacy of funding, when 
formulating each request for proposals, and evaluating proposals, 
involving an agricultural research, extension, or education activity 
funded, on a competitive basis, by the Department; and solicit and 
consider input from persons who conduct or use agricultural research, 
extension, or education regarding the prior year's request for proposals 
for each activity funded on a competitive basis (7 U.S.C. 7613(c)).
    (123) Require a procedure to be established by each 1862, 1890, and 
1994 Institution and Hispanic-serving agricultural college and 
university, for merit review of each agricultural research and extension 
activity funded and review of the activity in accordance with the 
procedure (7 U.S.C. 7613(e)).
    (124)-(127) [Reserved]
    (128) Administer competitive grants for integrated, multifunctional 
agricultural research, education, and extension activities (7 U.S.C. 
7626).
    (129) Operate and administer the Food Animal Residue Avoidance 
Database through contracts, grants, or cooperative agreements with 
appropriate colleges or universities (7 U.S.C. 7642).
    (130) Develop a national program of safe food handling education for 
adults and young people to reduce the risk of food-borne illness (7 
U.S.C. 7655).
    (131) Cooperate with other Federal agencies (including the National 
Science Foundation) in issuing joint requests for proposals, awarding 
grants, and administering grants under any competitive agricultural 
research, education, or extension grant program (7 U.S.C. 3319b).
    (132) Administer a program of competitive grants, establish 
education teams, and establish an online clearinghouse of curricula and 
training materials and programs, all for training, education, outreach, 
and technical assistance initiatives for the benefit of beginning 
farmers and ranchers (7 U.S.C. 3319f).
    (133) Administer agricultural research, education, and extension 
activities (including through competitive grants), using any authority 
available to the Secretary, to reduce the vulnerability of the United 
States food and agricultural system to chemical or biological attack, to 
continue partnerships with institutions of higher education and other 
institutions to help form stable, long-term programs to enhance the 
biosecurity of the United States, to make competitive grants to 
universities and qualified research institutions for research on 
counterbioterrorism, and to counter or otherwise respond to chemical or 
biological attack (7 U.S.C. 3351).
    (134) Administer a program of competitive grants to colleges and 
universities for expansion and security upgrades to enhance the security 
of agriculture against bioterrorism (7 U.S.C. 3352).
    (135) Administer programs for distance education grants and resident 
instruction grants to eligible institutions in insular areas that have 
demonstrable capacity to carry out teaching and extension programs in 
the food and agricultural sciences (7 U.S.C. 3361-3363).
    (136) Administer a program of cooperative research (including 
through competitive award of grants and cooperative agreements to 
colleges and universities) and extension projects on carbon cycling in 
soils and plants, the exchange of other greenhouse gases from 
agriculture, and the carbon sequestration benefits of conservation 
practices (7 U.S.C. 6711).
    (137) [Reserved]
    (138) Administer a program of grants to the Girl Scouts of the 
United States of America, the Boy Scouts of America, the National 4-H 
Council, and the National FFA Organization to establish pilot projects 
to expand the programs carried out by the organizations in rural areas 
and small towns (7 U.S.C. 7630).
    (139) Oversee implementation of the termination of Federal schedule 
A civil service appointments of State agricultural extension employees 
at land-

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grant colleges and universities (section 7220 of Pub. L. 107-171).
    (140) Administer and direct a program of grants to the Food and 
Agricultural Policy Research Institute (section 10805 of Pub. L. 107-
171).
    (141) Formulate and carry out the Veterinary Medicine Loan Repayment 
Act program authorized by the National Veterinary Medical Service Act (7 
U.S.C. 3151a).
    (142) Administer grants to assist the land-grant university in the 
District of Columbia to acquire, alter, or repair facilities or relevant 
equipment necessary for conducting agricultural research (7 U.S.C. 
3222b-1).
    (143) Administer grants to assist the land-grant colleges and 
universities in insular areas to acquire, alter, or repair facilities or 
relevant equipment necessary for conducting agricultural research; and 
to support tropical and subtropical agricultural research, including 
pest and disease research (7 U.S.C. 3222b-2).
    (144) Enter into agreements necessary to administer an Hispanic-
Serving Agricultural Colleges and Universities Fund; enter into 
agreements necessary to administer a program of making annual payments 
to Hispanic-serving agricultural colleges and universities; administer 
an institutional capacity-building grants program for Hispanic-serving 
agricultural colleges and universities; administer a competitive grants 
program to fund fundamental and applied research and extension at 
Hispanic-serving agricultural colleges and universities and to award 
competitive grants to Hispanic-serving agricultural colleges and 
universities to provide for training in the food and agricultural 
sciences of Hispanic agricultural workers and Hispanic youth working in 
the food and agricultural sciences (7 U.S.C. 3243).
    (145) Administer the New Era Rural Technology Program to make grants 
for technology development, applied research, and training to aid in the 
development of an agriculture-based renewable energy workforce (7 U.S.C. 
3319e).
    (146) Administer a competitive grants program to assist NLGCA 
Institutions in maintaining and expanding capacity to conduct education, 
research, and outreach activities relating to agriculture, renewable 
resources, and other similar disciplines (7 U.S.C. 3319i).
    (147) [Reserved]
    (148) Administer a competitive research and extension grants program 
to improve the farm management knowledge and skills of agricultural 
producers and establish and maintain a national, publicly available farm 
financial management database to support improved farm management (7 
U.S.C. 5925f).
    (149) Administer the Specialty Crop Research Initiative (7 U.S.C. 
7632).
    (150) Administer a competitive research and education grants program 
relating to antibiotics and antibiotic-resistant bacteria (7 U.S.C. 
3202).
    (151) Administer a competitive grants program to establish and 
maintain a Farm and Ranch Stress Assistance Network (7 U.S.C. 5936).
    (152) [Reserved]
    (153) Administer a Sun Grants Program (7 U.S.C. 8114).
    (154)-(155) [Reserved]
    (156) Administer the Biomass Research and Development Initiative (7 
U.S.C. 8108(e)); consult and coordinate, as appropriate, with the Under 
Secretary for Rural Development and other mission areas of the 
Department as deemed necessary in carrying out the authorities delegated 
herein.
    (157) Administer a competitive grants program to encourage basic and 
applied research and the development of qualified agricultural 
countermeasures (7 U.S.C. 8921).
    (158) Administer a competitive grants program to promote the 
development of teaching programs in agriculture, veterinary medicine, 
and disciplines closely allied to the food and agriculture system to 
increase the number of trained individuals with an expertise in 
agricultural biosecurity (7 U.S.C. 8922).
    (159) Administer a program of providing grants to Alaska Native 
serving institutions and Native Hawaiian serving institutions for the 
purpose of promoting and strengthening the ability of those institutions 
to carry out education, applied research, and related community 
development programs (7 U.S.C. 3156).

[[Page 292]]

    (160) Administer a competitive grant program for national food 
safety training, education, extension, outreach, and technical 
assistance (7 U.S.C. 7625).
    (161) Enter into agreements with and receive funds from any State, 
other political subdivision, organization, or individual for the purpose 
of conducting cooperative research projects (7 U.S.C. 450a).
    (162) Administer a food insecurity nutrition incentive program (7 
U.S.C. 7517).
    (163) Administer a food and agriculture service learning grant 
program (7 U.S.C. 7633).
    (164) Administer a veterinary services grant program (7 U.S.C. 
3151b).
    (165) Administer a forestry and forestry products research and 
extension initiative (7 U.S.C. 7655b).
    (b) [Reserved]

[60 FR 56393, Nov. 8, 1995, as amended at 62 FR 65595, Dec. 15, 1997; 65 
FR 5417, Feb. 4, 2000; 68 FR 27445, May 20, 2003; 72 FR 12701, Mar. 19, 
2007; 74 FR 3409, Jan. 21, 2009; 75 FR 43381, July 23, 2010; 76 FR 4803, 
Jan. 27, 2011; 76 FR 52852, Aug. 24, 2011; 77 FR 40249, July 9, 2012; 79 
FR 44115, July 30, 2014]



Sec.  2.67  Administrator, Economic Research Service.

    (a) Delegations. Pursuant to Sec.  2.21 (a)(3), (a)(8) and (a)(9), 
subject to reservations in Sec.  2.21(b)(2), the following delegations 
of authority are made by the Under Secretary for Research, Education, 
and Economics to the Administrator, Economic Research Service:
    (1) Conduct economic research on matters of importance to 
cooperatives as authorized by the Agricultural Marketing Act of 1946 (7 
U.S.C. 1621-1627).
    (2) Conduct economic and social science research and analyses 
relating to:
    (i) Food and agriculture situation and outlook;
    (ii) The production, marketing, and distribution of food and fiber 
products (excluding forest and forest products), including studies of 
the performance of the food and agricultural sector of the economy in 
meeting needs and wants of consumers;
    (iii) Basic and long-range, worldwide, economic analyses and 
research on supply, demand, and trade in food and fiber products and the 
effects on the U.S. food and agriculture system, including general 
economic analyses of the international financial and monetary aspects of 
agricultural affairs;
    (iv) Natural resources, including studies of the use and management 
of land and water resources, the quality of these resources, resource 
institutions, and watershed and river basin development problems; and
    (v) Rural people and communities, as authorized by title II of the 
Agricultural Marketing Act of 1946, as amended (7 U.S.C. 1621-1627), and 
the Act of June 29, 1935, as amended (7 U.S.C. 427).
    (3) [Reserved]
    (4) Investigate and make findings as to the effect upon the 
production of food and upon the agricultural economy of any proposed 
action pending before the Administrator of the Environmental Protection 
Agency for presentation in the public interest, before said 
Administrator, other agencies, or before the courts.
    (5) Review economic data and analyses used in speeches by Department 
personnel and in materials prepared for release through the press, radio 
and television.
    (6) Cooperate and work with national and international institutions 
and other persons throughout the world in the performance of 
agricultural research and extension activities to promote and support 
the development of a viable and sustainable global agricultural system. 
Such work may be carried out by:
    (i) Exchanging research materials and results with the institutions 
or persons;
    (ii) Engaging in joint or coordinated research;
    (iii) Entering into cooperative arrangements with Departments and 
Ministries of Agriculture in other nations to conduct research, 
extension; and education activities (limited to arrangements either 
involving no exchange of funds or involving disbursements by the agency 
to the institutions of other nations), and then reporting these 
arrangements to the Under Secretary for Research, Education, and 
Economics;
    (iv) Stationing representatives at such institutions or 
organizations in foreign countries; or

[[Page 293]]

    (v) Entering into agreements with land-grant colleges and 
universities, other organizations, institutions, or individuals with 
comparable goals, and with the concurrence of the Office of 
International Cooperation and Development, USDA, international 
organizations (limited to agreements either involving no exchange of 
funds or involving disbursements by the agency to the cooperator), and 
then reporting these agreements to the Under Secretary for Research, 
Education, and Economics (7 U.S.C. 3291(a)).
    (7) [Reserved]
    (8) Administer responsibilities and functions assigned under the 
Defense Production Act of 1950, as amended (50 U.S.C. App. 2061 et 
seq.), and title VI of the Robert T. Stafford Disaster Relief and 
Emergency Assistance Act (42 U.S.C. 5195 et seq.), concerning estimates 
of supplies of agricultural commodities and evaluation of requirements 
therefor; food and agricultural aspects of economic stabilization and 
economic research; and coordination of energy programs.
    (9) Enter into contracts, grants, or cooperative agreements to 
further research programs in the food and agricultural sciences (7 
U.S.C. 3318).
    (10) Enter into cost-reimbursable agreements relating to 
agricultural research (7 U.S.C. 3319a).
    (11) Represent the Department in international organizational 
activities and on international technical committees concerned with 
agricultural science, education, and development activities, including 
library and information science activities.
    (12) Facilitate access by research and extension professionals, 
farmers, and other interested persons in the United States to, and the 
use by those persons of, organic research conducted outside the United 
States (7 U.S.C. 5925d).
    (13)-(14) [Reserved]
    (15) Solicit and consider input and recommendations from persons who 
conduct or use agricultural research, extension, or education (7 U.S.C. 
7612(b)).
    (16) Consider the results of the annual review performed by the 
Agricultural Research, Extension, Education, and Economics Advisory 
Board regarding the relevance to priorities of the funding of all 
agricultural research, extension, or education activities conducted or 
funded by the Department and the adequacy of funding, when formulating 
each request for proposals, and evaluating proposals, involving an 
agricultural research, extension, or education activity funded, on a 
competitive basis, by the Department; and solicit and consider input 
from persons who conduct or use agricultural research, extension, or 
education regarding the prior year's request for proposals for each 
activity funded on a competitive basis (7 U.S.C. 7613(c)).
    (17) Establish procedures that ensure scientific peer review of all 
research activities conducted by the Economic Research Service (7 U.S.C. 
7613(d)).
    (18) Include in each issuance of projections of net farm income an 
estimate of the net farm income earned by commercial producers in the 
United States that will in addition show the estimate of net farm income 
attributable to commercial producers of livestock, loan commodities, and 
agricultural commodities other than loan commodities (7 U.S.C. 7998).
    (19) Conduct surveys and analysis and publish reports relating to 
organic production, handling, distribution, retail, and trend studies 
(including consumer purchasing patterns) (7 U.S.C. 5925c).
    (20) Ensure that studies carried out by the Economic Research 
Service document the number, location, and economic contributions of 
socially disadvantaged farmers or ranchers in agricultural production (7 
U.S.C. 2279(h)).
    (21) Enter into agreements with and receive funds from any State, 
other political subdivision, organization, or individual for the purpose 
of conducting cooperative research projects (7 U.S.C. 450a).
    (22) Coordinate implementation of section 10016 of the Agricultural 
Act of 2014 regarding locally or regionally produced agricultural food 
products (7 U.S.C. 2204h).
    (b) Reservation. The following authority is reserved to the Under 
Secretary

[[Page 294]]

for Research, Education, and Economics: Review all proposed decisions 
having substantial economic policy implications.

[60 FR 56393, Nov. 8, 1995, as amended at 62 FR 65596, Dec. 15, 1997; 64 
FR 40736, July 28, 1999; 65 FR 5418, Feb. 4, 2000; 68 FR 27446, May 20, 
2003; 74 FR 3410, Jan. 21, 2009; 79 FR 44116, July 30, 2014]



Sec.  2.68  Administrator, National Agricultural Statistics Service.

    (a) Delegations. Pursuant to Sec.  2.21 (a)(3) and (a)(8), subject 
to reservations in Sec.  2.21(b)(2), the following delegations of 
authority are made by the Under Secretary for Research, Education, and 
Economics to the Administrator, National Agricultural Statistics 
Service:
    (1) Prepare crop and livestock estimates and administer reporting 
programs, including estimates of production, supply, price, and other 
aspects of the U.S. agricultural economy, collection of statistics, 
conduct of enumerative and objective measurement surveys, construction 
and maintenance of sampling frames, and related activities. Prepare 
reports of the Agricultural Statistics Board of the Department of 
Agriculture covering official state and national estimates (7 U.S.C. 
476, 951, and 2204).
    (2) Take such security precautions as are necessary to prevent 
disclosure of crop or livestock report information prior to the 
scheduled issuance time approved in advance by the Secretary of 
Agriculture and take such actions as are necessary to avoid disclosure 
of confidential data or information supplied by any person, firm, 
partnership, corporation, or association (18 U.S.C. 1902, 1905, and 
2072).
    (3) Improve statistics in the Department; maintain liaison with OMB 
and other Federal agencies for coordination of statistical methods and 
techniques.
    (4) Administer responsibilities and functions assigned under the 
Defense Production Act of 1950, as amended (50 U.S.C. App. 2061 et 
seq.), and title VI of the Robert T. Stafford Disaster Relief and 
Emergency Assistance Act (42 U.S.C. 5195 et seq.), concerning 
coordination of damage assessment; and food and agricultural aspects of 
agricultural statistics.
    (5) Enter into contracts, grants, or cooperative agreements to 
further research and statistical reporting programs in the food and 
agricultural sciences (7 U.S.C. 3318).
    (6) Enter cost-reimbursable agreements relating to agricultural 
research and statistical reporting (7 U.S.C. 3319a).
    (7) Cooperate and work with national and international institutions 
and other persons throughout the world in the performance of 
agricultural research and extension activities to promote and support 
the development of a viable and sustainable global agricultural system. 
Such work may be carried out by:
    (i) Exchanging research materials and results with the institutions 
or persons;
    (ii) Engaging in joint or coordinated research;
    (iii) Entering into cooperative arrangements with Departments and 
Ministries of Agriculture in other nations to conduct research, 
extension, and education activities (limited to arrangements either 
involving no exchange of funds or involving disbursements by the agency 
to the institutions of other nations), and then reporting these 
arrangements to the Under Secretary for Research, Education, and 
Economics;
    (iv) Stationing representatives at such institutions or 
organizations in foreign countries; or
    (v) entering into agreements with land-grant colleges and 
universities, other organizations, institutions, or individuals with 
comparable goals, and, with the concurrence of the Foreign Agricultural 
Service, international organizations (limited to agreements either 
involving no exchange of funds or involving disbursements by the agency 
to the cooperator), and then reporting these agreements to the Under 
Secretary for Research, Education, and Economics (7 U.S.C. 3291(a)).
    (8) Represent the Department in international organizational 
activities and on international technical committees concerned with 
agricultural science, education, and development activities, including 
library and information science activities.

[[Page 295]]

    (9) Take a census of agriculture in 1998 and every fifth year 
thereafter pursuant to the Census of Agriculture Act of 1997, Public Law 
105-113 (7 U.S.C. 2204g); ensure that the census of agriculture 
documents the number, location, and economic contributions of socially 
disadvantaged farmers or ranchers in agricultural production (7 U.S.C. 
2279(h)).
    (10) Develop surveys and report statistical analysis on organically 
produced agricultural products (7 U.S.C. 5925c).
    (11) Assist the Administrator, Agricultural Marketing Service with 
respect to Dairy Product Mandatory Reporting (7 U.S.C. 1637-1637b).
    (12) Enter into agreements with and receive funds from any State, 
other political subdivision, organization, or individual for the purpose 
of conducting cooperative research projects, including agricultural 
statistical survey activities (7 U.S.C. 450a).
    (13) Assist the Administrator, Economic Research Service with 
implementing section 10016 of the Agricultural Act of 2014 regarding 
locally or regionally produced agricultural food products (7 U.S.C. 
2204h).
    (b) Reservation. The following authority is reserved to the Under 
Secretary for Research, Education, and Economics: Review all proposed 
decisions having substantial economic policy implications.

[60 FR 56393, Nov. 8, 1995, as amended at 62 FR 65596, Dec. 15, 1997; 65 
FR 5418, Feb. 4, 2000; 68 FR 27446, May 20, 2003; 74 FR 3410, Jan. 21, 
2009; 77 FR 40250, July 9, 2012; 79 FR 44116, July 30, 2014]



Sec.  2.69  Director, Office of the Chief Scientist.

    (a) Delegations. Pursuant to Sec.  2.21(a)(11) and (a)(12), the 
following delegations of authority are made by the Under Secretary for 
Research, Education, and Economics to the Director, Office of the Chief 
Scientist.
    (1) Provide to the Under Secretary (Chief Scientist of the 
Department) information on topics that can benefit from scientific input 
to ensure informed decision-making at the highest levels of Government.
    (2) Assist the Chief Scientist with facilitating the coordination 
and collaboration within the Department on high priority science issues 
that will benefit from intra-Departmental collaboration, including 
coordinating the assessment of the relevance, quality, performance, and 
impact of the Department's efforts in science.
    (3) Assist the Chief Scientist with building partnerships within the 
scientific community and with the Chief Scientist's role as point of 
contact for interactions with other agencies of science, universities, 
and other external members of the scientific community for the purpose 
of leveraging and promoting relationships to explore common scientific 
interests and shared goals.
    (4) Assist the Chief Scientist with developing mechanisms to address 
scientific integrity within the Department.
    (5) [Reserved]
    (6) Assist the Chief Scientist in carrying out sections 251(c)(2) 
and 251(d)(2) of the Department of Agriculture Reorganization Act of 
1994 (7 U.S.C. 6971(c)(2), (d)(2)) by exercising the duties set forth in 
section 25 l(e)(3)(E) of that Act (7 U.S.C. 6971(e)(3)(E)) through a 
series of divisions organized by the following focus areas:
    (i) Renewable energy, natural resources, and environment;
    (ii) Food safety, nutrition, and health;
    (iii) Plant health and production and plant products;
    (iv) Animal health and production and animal products;
    (v) Agricultural systems and technology; and
    (vi) Agricultural economics and rural communities.
    (b) The divisions will be headed by Division Chiefs/Senior Advisors 
(or a similar title), and will be known collectively as the Research, 
Education, and Extension Office.

[76 FR 10756, Feb. 28, 2011]



        Subpart L_Delegations of Authority by the Chief Economist



Sec.  2.70  Deputy Chief Economist.

    Pursuant to Sec.  2.29, the following delegation of authority is 
made by the Chief Economist to the Deputy Chief

[[Page 296]]

Economist, to be exercised only during the absence or unavailability of 
the Chief Economist: Perform all the duties and exercise all the powers 
which are now or which may hereafter be delegated to the Chief 
Economist.



Sec.  2.71  Director, Office of Risk Assessment and 
Cost-Benefit Analysis.

    (a) Delegations. Pursuant to Sec.  2.29(a)(2), the following 
delegations of authority are by the Chief Economist to the Director, 
Office of Risk Assessment and Cost-Benefit Analysis:
    (1) Responsible for assessing the risks to human health, human 
safety, or the environment, and for preparing cost-benefit analyses, 
with respect to proposed major regulations, and for publishing such 
assessments and analyses in the Federal Register as required by section 
304 of the Department of Agriculture Reorganization Act of 1994 (7 
U.S.C. 2204e)
    (2) Provide direction to Department agencies in the appropriate 
methods of risk assessment and cost-benefit analyses and coordinate and 
review all risk assessments and cost-benefit analyses prepared by any 
agency of the Department.
    (b) Reservation. The following authority is reserved to the Chief 
Economist: Review all proposed decisions having substantial economic 
policy implications.

[60 FR 56393, Nov. 8, 1995, as amended at 63 FR 66979, Dec. 4, 1998; 78 
FR 40938, July 9, 2013]



Sec.  2.72  Chairman, World Agricultural Outlook Board.

    (a) Delegations. Pursuant to Sec.  2.29 (a)(3) through (a)(7), the 
following delegations of authority are made by the Chief Economist to 
the Chairman, World Agricultural Outlook Board:
    (1) Related to food and agriculture outlook and situation. (i) 
Coordinate and review all crop and commodity data used to develop 
outlook and situation material within the Department.
    (ii) Oversee and clear for consistency analytical assumptions and 
results of all estimates and analyses which significantly relate to 
international and domestic commodity supply and demand, including such 
estimates and analyses prepared for public distribution by the Foreign 
Agricultural Service, the Economic Research Service, or by any other 
agency or office of the Department.
    (2) Related to weather and climate. (i) Advise the Secretary on 
climate and weather activities, and coordinate the development of policy 
options on weather and climate.
    (ii) Coordinate all weather and climate information and monitoring 
activities within the Department and provide a focal point in the 
Department for weather and climate information and impact assessment.
    (iii) Arrange for appropriate representation to attend all meetings, 
hearings, and task forces held outside the Department which require such 
representation.
    (iv) Designate the Executive Secretary of the USDA Weather and 
Climate Program Coordinating Committee.
    (3) Related to interagency commodity estimates committees. (i) 
Establish Interagency Commodity Estimates Committees for Commodity 
Credit Corporation price-supported commodities, for major products 
thereof, and for commodities where a need for such a committee has been 
identified, in order to bring together estimates and supporting analyses 
from participating agencies, and to develop official estimates of 
supply, utilization, and prices for commodities, including the effects 
of new program proposals on acreage, yield, production, imports, 
domestic utilization, price, income, support programs, carryover, 
exports, and availabilities for export.
    (ii) Designate the Chairman, who shall also act as Secretary, for 
all Interagency Commodity Estimates Committees.
    (iii) Assure that all committee members have the basic assumptions, 
background data and other relevant data regarding the overall economy 
and market prospects for specific commodities.
    (iv) Review for consistency of analytical assumptions and results 
all proposed decisions made by Commodity Estimates Committees prior to 
any release outside the Department.
    (4) [Reserved]
    (5) Related to long-range commodity and agricultural-sector 
projections. Establish committees of the agencies of

[[Page 297]]

the Department to coordinate the development of a set of analytical 
assumptions and long-range agricultural-sector projections (2 years and 
beyond) based on commodity projections consistent with these assumptions 
and coordinated through the Interagency Commodity Estimates Committees.
    (b) Reservation. The following authority is reserved to the Chief 
Economist: Review all proposed decisions having substantial economic 
policy implications.

[60 FR 56393, Nov. 8, 1995, as amended at 77 FR 14952, Mar. 14, 2012; 78 
FR 40938, July 9, 2013]



Sec.  2.73  Director, Office of Energy Policy and New Uses.

    (a) Delegations. Pursuant to Sec.  2.29(a)(11), the following 
delegations of authority are made by the Chief Economist to the 
Director, Office of Energy Policy and New Uses:
    (1) Providing Department leadership in:
    (i) Analyzing and evaluating existing and proposed energy policies 
and strategies, including those regarding the allocation of scarce 
resources;
    (ii) Developing energy policies and strategies, including those 
regarding the allocation of scarce resources;
    (iii) Reviewing and evaluating Departmental energy and energy-
related programs and program progress;
    (iv) Developing agricultural and rural components of national energy 
policy plans;
    (v) Preparing reports on energy and energy-related policies and 
programs required under Act of Congress and Executive Orders, including 
those involving testimony and reports on legislative proposals.
    (2) Providing Departmental oversight and coordination with respect 
to resources available for energy and energy-related activities, 
including funds transferred to USDA from departments and agencies of the 
Federal government pursuant to interagency agreements.
    (3) Representing the Chief Economist at conferences, meetings, and 
other contacts where energy matters are discussed, including liaison 
with the Department of Energy, the Environmental Protection Agency, and 
other governmental departments and agencies.
    (4) Providing the Chief Economist with such assistance as requested 
to perform the duties delegated to the Director concerning energy and 
new uses.
    (5) Working with the Office of the Assistant Secretary for 
Congressional Relations to maintain Congressional and public contacts in 
energy matters, including development of legislative proposals, 
preparation of reports on legislation pending in congress, appearances 
before Congressional committees, and related activities.
    (6) These delegations exclude the energy management actions related 
to the internal operations of the Department as delegated to the 
Assistant Secretary for Administration.
    (7) Conduct a program on the economic feasibility of new uses of 
agricultural products. Assist agricultural researchers by evaluating the 
economic and market potential of new agricultural products in the 
initial phase of development and contributing to prioritization of the 
Departmental research agenda.
    (8) Administer a competitive biodiesel fuel education grants program 
(7 U.S.C. 8106).
    (9) Implement a memorandum of understanding with the Secretary of 
Energy regarding cooperation in the application of hydrogen and fuel 
cell technology programs for rural communities and agricultural 
producers.
    (b) [Reserved]

[64 FR 40736, July 28, 1999, as amended at 68 FR 27446, May 20, 2003; 74 
FR 3410, Jan. 21, 2009; 79 FR 44116, July 30, 2014]



Sec.  2.74  Director, Climate Change Program Office.

    (a) Delegations. Pursuant to Sec.  2.29(a)(12), the following 
delegations of authority are made by the Chief Economist to the 
Director, Climate Change Program Office:
    (1) Coordinate policy analysis, long-range planning, research, and 
response strategies relating to climate change issues.
    (2) Provide liaison with other Federal agencies, through the Office 
of Science and Technology Policy, regarding climate change issues.

[[Page 298]]

    (3) Inform the Department of scientific developments and policy 
issues relating to the effects of climate change on agriculture and 
forestry, including broader issues that affect the impact of climate 
change on the farms and forests of the United States.
    (4) Recommend to the Chief Economist alternative courses of action 
with which to respond to such scientific developments and policy issues.
    (5) Ensure that recognition of the potential for climate change is 
fully integrated into the research, planning, and decisionmaking 
processes of the Department.
    (6) Coordinate global climate change studies.
    (7) Coordinate the participation of the Department in interagency 
climate-related activities.
    (8) Consult with the National Academy of Sciences and private, 
academic, State, and local groups with respect to climate research and 
related activities.
    (9) Represent the Department to the Office of Science and Technology 
Policy on issues related to climate change.
    (10) Represent the Department on the Intergovernmental Panel on 
Climate Change.
    (11) Review all Department budget items relating to climate change 
issues, including specifically the research budget to be submitted by 
the Secretary to the Office of Management and Budget.
    (b) [Reserved]

[78 FR 40938, July 9, 2013]



Sec.  2.75  Director, Office of Environmental Markets.

    (a) Delegations. Pursuant to Sec.  2.29(a)(13), the following 
delegations of authority are made by the Chief Economist to the 
Director, Office of Environmental Markets:
    (1) Coordinate implementation of section 1245 of the Food Security 
Act of 1985 regarding environmental services markets (16 U.S.C. 3845).
    (2) [Reserved]
    (b) [Reserved]

[78 FR 40938, July 9, 2013]

Subpart M [Reserved]



Subpart N_Delegations of Authority by the Under Secretary for Marketing 
                         and Regulatory Programs



Sec.  2.77  Deputy Under Secretary for Marketing and Regulatory Programs.

    Pursuant to Sec.  2.22(a), subject to reservations in Sec.  2.22(b), 
and subject to policy guidance and direction by the Under Secretary, the 
following delegation of authority is made by the Under Secretary for 
Marketing and Regulatory Programs to the Deputy Under Secretary for 
Marketing and Regulatory Programs, to be exercised only during the 
absence or unavailability of the Under Secretary: Perform all the duties 
and exercise all the powers which are now or which may hereafter be 
delegated to the Under Secretary for Marketing and Regulatory Programs: 
Provided, that this authority shall be exercised by the respective 
Deputy Under Secretary in the order in which he or she has taken office 
as a Deputy Under Secretary.

[75 FR 79950, Dec. 21, 2010]



Sec.  2.79  Administrator, Agricultural Marketing Service.

    (a) Delegations. Pursuant to Sec.  2.22(a)(1), (a)(5) and (a)(8), 
subject to reservations in Sec.  2.22(b)(1), the following delegations 
of authority are made by the Under Secretary for Marketing and 
Regulatory Programs to the Administrator, Agricultural Marketing 
Service:
    (1) Exercise the functions of the Secretary of Agriculture contained 
in the Agricultural Marketing Act of 1946, as amended (7 U.S.C. 1621-
1627b), including payments to State Departments of Agriculture in 
connection with cooperative marketing service projects under section 
204(b) (7 U.S.C. 1623(b)), but excepting matters otherwise assigned.
    (2) Conduct marketing efficiency research and development activities 
directly applicable to the conduct of the Wholesale Market Development 
Program, specifically:
    (i) Studies of facilities and methods used in physical distribution 
of food and other farm products;

[[Page 299]]

    (ii) Studies designed to improve handling of all agricultural 
products as they are moved from farms to consumers; and
    (iii) Application of presently available scientific knowledge to the 
solution of practical problems encountered in the marketing of 
agricultural products (7 U.S.C. 1621-1627b).
    (3) Exercise the functions of the Secretary of Agriculture relating 
to the transportation activities contained in section 203(j) of the 
Agricultural Marketing Act of 1946 (7 U.S.C. 1622(j)) as amended, but 
excepting matters otherwise assigned.
    (4) Administer transportation activities under section 201 of the 
Agricultural Adjustment Act of 1938 (7 U.S.C. 1291).
    (5) Apply results of economic research and operations analysis to 
evaluate transportation issues and to recommend revisions of current 
procedures.
    (6) Serve as the focal point for all Department transportation 
matters including development of policies and strategies.
    (7) Cooperate with other Departmental agencies in the development 
and recommendation of policies and programs for inland transportation of 
USDA and CCC-owned commodities in connection with USDA programs.
    (8) Exercise the functions of the Secretary of Agriculture contained 
in the following legislation:
    (i) U.S. Cotton Standards Act (7 U.S.C. 51-65);
    (ii) Cotton futures provisions of the Internal Revenue Code of 1954 
(26 U.S.C. 4854, 4862-4865, 4876, and 7263);
    (iii) Cotton Statistics and Estimates Act, as amended (7 U.S.C. 471-
476), except as otherwise assigned;
    (iv) [Reserved]
    (v) Naval Stores Act (7 U.S.C. 91-99);
    (vi) Tobacco Inspection Act (7 U.S.C. 511-511q);
    (vii) Wool Standards Act (7 U.S.C. 415-415d);
    (viii) Agricultural Marketing Agreement Act of 1937, as amended (7 
U.S.C. 601, 602, 608a-608e, 610, 612, 614, 624, 671-674);
    (ix) Cotton Research and Promotion Act (7 U.S.C. 2101-2118), except 
as specified in Sec.  2.43(a)(24);
    (x) Export Apple and Pear Act (7 U.S.C. 581-590);
    (xi) Export Grape and Plum Act (7 U.S.C. 591-599);
    (xii) Titles I, II, IV, and V of the Federal Seed Act, as amended (7 
U.S.C. 1551-1575, 1591-1611);
    (xiii) Perishable Agricultural Commodities Act (7 U.S.C. 499a-499s);
    (xiv) Produce Agency Act (7 U.S.C. 491-497);
    (xv) Tobacco Seed and Plant Exportation Act (7 U.S.C. 516-517);
    (xvi) [Reserved]
    (xvii) Tobacco Statistics Act (7 U.S.C. 501-508);
    (xviii)-(xxi) [Reserved]
    (xxii) Section 401(a) of the Organic Act of 1944 (7 U.S.C. 415e);
    (xxiii) Agricultural Fair Practices Act (7 U.S.C. 2301-2306);
    (xxiv) Wheat Research and Promotion Act (7 U.S.C. 1292 note), except 
as specified in Sec.  2.43(a)(24);
    (xxv) Plant Variety Protection Act (7 U.S.C. 2321-2331, 2351-2357, 
2371- 2372, 2401-2404, 2421-2427, 2441-2443, 2461-2463, 2481-2486, 2501-
2504, 2531-2532, 2541-2545, 2561-2569, 2581-2583), except as delegated 
to the Judicial Officer;
    (xxvi) Subtitle B of title I and section 301(4) of the Dairy and 
Tobacco Adjustment Act of 1983 (7 U.S.C. 4501-4513, 4514(4)), except as 
specified in Sec.  2.43(a)(24);
    (xxvii) Potato Research and Promotion Act (7 U.S.C. 2611-2627), 
except as specified in Sec.  2.43(a)(24);
    (xxviii)-(xxx) [Reserved]
    (xxxi) Egg Research and Consumer Information Act (7 U.S.C. 2701-
2718), except as delegated in Sec.  2.43(a)(24);
    (xxxii) Beef Research and Information Act, as amended, (7 U.S.C. 
2901-2918), except as delegated in Sec. Sec.  2.42(a)(29) and 
2.43(a)(24);
    (xxxiii) Wheat and Wheat Foods Research and Nutrition Education Act 
(7 U.S.C. 3401-3417), except as delegated in Sec.  2.43(a)(24);
    (xxxiv) Egg Products Inspection Act relating to the shell egg 
surveillance program, voluntary laboratory analyses of egg products, and 
the voluntary egg grading program (21 U.S.C. 1031-1056);
    (xxxv) Section 32 of the Act of August 24, 1935 (7 U.S.C. 612c), as 
supplemented by the Act of June 28, 1937 (15

[[Page 300]]

U.S.C. 713c), and related legislation, except functions which are 
otherwise assigned relating to the domestic distribution and donation of 
agricultural commodities and products thereof following the procurement 
thereof;
    (xxxvi) Procurement of agricultural commodities and other foods 
under section 6 of the National School Lunch Act of 1946, as amended (42 
U.S.C. 1755);
    (xxxvii) In carrying out the procurement functions in paragraphs 
(a)(8)(xxxv) and (xxxvi) of this section, the Administrator, 
Agricultural Marketing Service shall, to the extent practicable, use the 
commodity procurement, handling, payment and related services of the 
Farm Service Agency;
    (xxxviii) Act of May 23, 1908, regarding inspection of dairy 
products for export (21 U.S.C. 693);
    (xxxix) The Pork Promotion, Research, and Consumer Information Act 
of 1985 (7 U.S.C. 4801-4819), except as specified in Sec.  2.43(a)(24);
    (xl) The Watermelon Research and Consumer Information Act (7 U.S.C. 
4901-4616), except as specified in Sec.  2.43(a)(24);
    (xli) The Honey Research, Promotion, and Consumer Information Act (7 
U.S.C. 4601-4612), except as specified in Sec.  2.43(a)(24);
    (xlii) Subtitles B and C of the Dairy Production Stabilization Act 
of 1983, as amended (7 U.S.C. 4501-4513, 4531-4538);
    (xliii) The Floral Research and Consumer Information Act (7 U.S.C. 
4301-4319), except as specified in Sec.  2.43(a)(24);
    (xliv) Section 213 of the Tobacco Adjustment Act of 1983, as amended 
(7 U.S.C. 511r);
    (xlv) National Laboratory Accreditation Program (7 U.S.C. 138-138i) 
with respect to laboratories accredited for pesticide residue analysis 
in fruits and vegetables and other agricultural commodities, except 
those laboratories analyzing only meat and poultry products;
    (xlvi) Pecan Promotion and Research Act of 1990 (7 U.S.C. 6001-
6013), except as specified in Sec.  2.43(a)(24);
    (xlvii) Mushroom Promotion, Research, and Consumer Information Act 
of 1990 (7 U.S.C. 6101-6112), except as specified in Sec.  2.43(a)(24);
    (xlviii) Lime Research, Promotion, and Consumer Information Act of 
1990 (7 U.S.C. 6201-6212), except as specified in Sec.  2.43(a)(24);
    (xlix) Soybean Promotion, Research, and Consumer Information Act (7 
U.S.C. 6301-6311), except as specified in Sec.  2.43(a)(24);
    (l) Fluid Milk Promotion Act of 1990 (7 U.S.C. 6401-6417), except as 
specified in Sec.  2.43(a)(24);
    (li) Producer Research and Promotion Board Accountability (104 Stat. 
3927);
    (lii) Consistency with International Obligations of the United 
States (7 U.S.C. 2278);
    (liii) Organic Foods Production Act of 1990 (7 U.S.C. 6501-6522) 
provided that the Administrator, Agricultural Marketing Service, will 
enter into agreements, as necessary, with the Administrator, Food Safety 
and Inspection Service, to provide inspection services;
    (liv) Pesticide Recordkeeping (7 U.S.C. 136i-l) with the provision 
that the Administrator, Agricultural Marketing Service, will enter into 
agreements, as necessary, with other Federal agencies;
    (lv) The International Carriage of Perishable Foodstuffs Act (7 
U.S.C. 4401-4406);
    (lvi) The Sheep Promotion, Research, and Information Act (7 U.S.C. 
7101-7111), except as specified in Sec.  2.43(a)(24); and
    (lvii) The Fresh Cut Flowers and Fresh Cut Greens Promotion and 
Consumer Information Act (7 U.S.C. 6801-6814), except as specified in 
Sec.  2.43(a)(24).
    (lviii) Commodity Promotion and Evaluation (7 U.S.C. 7401);
    (lix) Commodity Promotion, Research, and Information Act of 1996 (7 
U.S.C. 7411-7425), except as specified in Sec.  2.43(a)(24);
    (lx) The Canola and Rapeseed Research, Promotion, and Consumer 
Information Act (7 U.S.C. 7441-7452), except as specified in Sec.  
2.43(a)(24);
    (lxi) The National Kiwifruit Research, Promotion, and Consumer 
Information Act (7 U.S.C. 7461-7473), except as specified in Sec.  
2.43(a)(24); and
    (lxii) The Popcorn Promotion, Research, and Consumer Information Act 
(7 U.S.C. 7481-7491), except as specified in Sec.  2.43(a)(24).

[[Page 301]]

    (lxiii) Farmers' Market Promotion Program (7 U.S.C. 2005).
    (lxiv) National Organic Certification Cost-Share Program (7 U.S.C. 
6523).
    (lxv) Exemption of Certified Organic Products from Assessment (7 
U.S.C. 7401).
    (lxvi) Country of Origin Labeling (7 U.S.C. 1638-1638(d)).
    (lxvii) Hass Avocado Promotion, Research, and Consumer Information 
Act of 2000 (7 U.S.C. 7801-7813).
    (lxviii) Section 7407 of the Farm Security and Rural Investment Act 
of 2002 (7 U.S.C. 5925c), with respect to the collection and 
distribution of comprehensive reporting of prices relating to 
organically produced agricultural products.
    (lxix) Livestock Mandatory Reporting (7 U.S.C. 1635-1636i).
    (lxx) Section 375 of the Consolidated Farm and Rural Development Act 
(7 U.S.C. 2008j).
    (lxxi) Section 101 of the Specialty Crops Competitiveness Act of 
2004 (7 U.S.C. 1621 note).
    (lxxii) Section 1502 of the Food, Conservation, and Energy Act of 
2008 (7 U.S.C. 8772).
    (lxxiii) [Reserved]
    (lxxiv) Section 10105 of the Food, Conservation, and Energy Act of 
2008 (7 U.S.C. 7655a).
    (lxxv) Section 10107 of the Food, Conservation, and Energy Act of 
2008 (7 U.S.C. 1622b).
    (lxxvi) [Reserved]
    (lxxvii) Section 4213(c) of the Agricultural Act of 2014 (7 U.S.C. 
1755b(c)).
    (lxxviii) Section 12306 of the Agricultural Act of 2014 (7 U.S.C. 
1632c).
    (lxxix) Section 506 of the Trade and Development Act of 2000 (7 
U.S.C. 7101 note).
    (9) Furnish, on request, copies of programs, pamphlets, reports, or 
other publications for missions or programs as may otherwise be 
delegated or assigned to the Administrator, Agricultural Marketing 
Service and charge user fees therefore, as authorized by section 1121 of 
the Agriculture and Food Act of 1981, as amended by section 1769 of the 
Food Security Act of 1985, 7 U.S.C. 2242a.
    (10) Collect, summarize, and publish data on the production, 
distribution, and stocks of sugar.
    (11) With respect to land and facilities under his or her authority, 
exercise the functions delegated to the Secretary by Executive Order 
12580, 3 CFR, 1987 Comp., p. 193, under the following provisions of the 
Comprehensive Environmental Response, Compensation, and Liability Act of 
1980 (``the Act''), as amended:
    (i) Sections 104 (a), (b), and (c)(4) of the Act (42 U.S.C. 9604 
(a), (b), and (c)(4)), with respect to removal and remedial actions in 
the event of release or threatened release of a hazardous substance, 
pollutant, or contaminant into the environment;
    (ii) Sections 104(e)-(h) of the Act (42 U.S.C. 9604(e)-(h)), with 
respect to information gathering and access requests and orders; 
compliance with Federal health and safety standards and wage and labor 
standards applicable to covered work; and emergency procurement powers;
    (iii) Section 104(i)(11) of the Act (42 U.S.C. 9604(i)(11)), with 
respect to the reduction of exposure to significant risk to human 
health;
    (iv) Section 104(j) of the Act (42 U.S.C. 9604(j)), with respect to 
the acquisition of real property and interests in real property required 
to conduct a remedial action;
    (v) The first two sentences of section 105(d) of the Act (42 U.S.C. 
9605(d)), with respect to petitions for preliminary assessment of a 
release or threatened release;
    (vi) Section 105(f) of the Act (42 U.S.C. 9605(f)), with respect to 
consideration of the availability of qualified minority firms in 
awarding contracts, but excluding that portion of section 105(f) 
pertaining to the annual report to Congress;
    (vii) Section 109 of the Act (42 U.S.C. 9609), with respect to the 
assessment of civil penalties for violations of section 122 of the Act 
(42 U.S.C. 9622), and the granting of awards to individuals providing 
information;
    (viii) Section 111(f) of the Act (42 U.S.C. 9611(f)), with respect 
to the designation of officials who may obligate money in the Hazardous 
Substances Superfund;
    (ix) Section 113(k) of the Act (42 U.S.C. 9613(k)), with respect to 
establishing an administrative record upon

[[Page 302]]

which to base the selection of a response action and identifying and 
notifying potentially responsible parties;
    (x) Section 116(a) of the Act (42 U.S.C. 9616(a)), with respect to 
preliminary assessment and site inspection of facilities;
    (xi) Sections 117(a) and (c) of the Act (42 U.S.C. 9617 (a) and 
(c)), with respect to public participation in the preparation of any 
plan for remedial action and explanation of variances from the final 
remedial action plan for any remedial action or enforcement action, 
including any settlement or consent decree entered into;
    (xii) Section 119 of the Act (42 U.S.C. 9119), with respect to 
indemnifying response action contractors;
    (xiii) Section 121 of the Act (42 U.S.C. 9621), with respect to 
cleanup standards; and
    (xiv) Section 122 of the Act (42 U.S.C. 9622), with respect to 
settlements, but excluding section 122(b)(1) of the Act (42 U.S.C. 
9622(b)(1)), related to mixed funding agreements.
    (12) With respect to facilities and activities under his or her 
authority, to exercise the authority of the Secretary of Agriculture 
pursuant to section 1-102 related to compliance with applicable 
pollution control standards and section 1-601 of Executive Order 12088, 
3 CFR, 1978 Comp., p. 243, to enter into an inter-agency agreement with 
the United States Environmental Protection Agency, or an administrative 
consent order or a consent judgment in an appropriate State, interstate, 
or local agency, containing a plan and schedule to achieve and maintain 
compliance with applicable pollution control standards established 
pursuant to the following:
    (i) Solid Waste Disposal Act, as amended by the Resource 
Conservation and Recovery Act, as further amended by the Hazardous and 
Solid Waste Amendments, and the Federal Facility Compliance Act (42 
U.S.C. 6901 et seq.);
    (ii) Federal Water Pollution Prevention and Control Act, as amended 
(33 U.S.C. 1251 et seq.);
    (iii) Safe Drinking Water Act, as amended (42 U.S.C. 300f et seq.);
    (iv) Clean Air Act, as amended (42 U.S.C. 7401 et seq.);
    (v) Noise Control Act of 1972, as amended (42 U.S.C. 4901 et seq.);
    (vi) Toxic Substances Control Act, as amended (15 U.S.C. 2601 et 
seq.);
    (vii) Federal Insecticide, Fungicide, and Rodenticide Act, as 
amended (7 U.S.C. 136 et seq.); and
    (viii) Comprehensive Environmental Response, Compensation, and 
Liability Act of 1980, as amended by the Superfund Amendments and 
Reauthorization Act of 1986 (42 U.S.C. 9601 et seq.).
    (13) Administer a program for Dairy Product Mandatory Reporting (7 
U.S.C. 1637-1637b), with the assistance of the Administrator, National 
Agricultural Statistics Service.
    (14) Assist the Administrator of the Foreign Agricultural Service 
with implementing section 3205 of the Food, Conservation, and Energy Act 
of 2008 (22 U.S.C. 7112 note) regarding the Consultative Group to 
Eliminate the Use of Child Labor and Forced Labor in Imported 
Agricultural Products.
    (15) Assist the Administrator, Economic Research Service with 
implementing section 10016 of the Agricultural Act of 2014 regarding 
locally or regionally produced agricultural food products (7 U.S.C. 
2204h).
    (b) [Reserved]

[60 FR 56393, Nov. 8, 1995, as amended at 61 FR 25776, May 23, 1996; 62 
FR 37485, July 14, 1997; 62 FR 40255, July 28, 1997; 68 FR 27446, May 
20, 2003; 74 FR 3411, Jan. 21, 2009; 79 FR 44116, July 30, 2014]



Sec.  2.80  Administrator, Animal and Plant Health Inspection Service.

    (a) Delegations. Pursuant to Sec.  2.22(a)(2) and (a)(6) through 
(a)(9), and subject to reservations in Sec.  2.22(b)(2), the following 
delegations of authority are made by the Under Secretary for Marketing 
and Regulatory Programs to the Administrator, Animal and Plant Health 
Inspection Service: Exercise functions of the Secretary of Agriculture 
under the following authorities:
    (1) Administer the Foreign Service personnel system for employees of 
the Animal and Plant Health Inspection Service in accordance with 22 
U.S.C. 3922, except that this delegation does not include the authority 
to approve

[[Page 303]]

joint regulations issued by the Department of State relating to 
administration of the Foreign Service, nor an authority to represent the 
Department of Agriculture in interagency consultations and negotiations 
with the other foreign affairs agencies with respect to joint 
regulations.
    (2) The Terminal Inspection Act, as amended (7 U.S.C. 166).
    (3) The Honeybee Act, as amended (7 U.S.C. 281-286).
    (4) Section 18 of the Federal Meat Inspection Act, as amended, as it 
pertains to the issuance of certificates of condition of live animals 
intended and offered for export (21 U.S.C. 618).
    (5) The responsibilities of the United States under the 
International Plant Protection Convention.
    (6) (Laboratory) Animal Welfare Act, as amended (7 U.S.C. 2131-
2159).
    (7) Horse Protection Act (15 U.S.C. 1821-1831).
    (8) 28 Hour Law, as amended (49 U.S.C. 80502).
    (9) Export Animal Accommodation Act, as amended (46 U.S.C. 3901-
3902).
    (10) Purebred animal duty-free-entry provision of Tariff Act of June 
17, 1930, as amended (19 U.S.C. 1202, part 1, Item 100.01).
    (11) Virus-Serum-Toxin Act (21 U.S.C. 151-159).
    (12) Conduct diagnostic and related activities necessary to prevent, 
detect, control or eradicate foot-and-mouth disease and other foreign 
animal diseases (21 U.S.C. 113a).
    (13) The Agricultural Marketing Act of 1946, section 203, 205, as 
amended (7 U.S.C. 1622, 1624), with respect to voluntary inspection and 
certification of animal products; inspection, testing, treatment, and 
certification of animals; and a program to investigate and develop 
solutions to the problems resulting from the use of sulfonamides in 
swine.
    (14) Talmadge-Aiken Act (7 U.S.C. 450) with respect to cooperation 
with States in control and eradication of plant and animal diseases and 
pests.
    (15) Defense Production Act of 1950, as amended (50 U.S.C. App. 2061 
et seq.), and title VI of the Robert T. Stafford Disaster Relief and 
Emergency Assistance Act (42 U.S.C. 5195 et seq.), relating to 
protection of livestock, poultry and crops and products thereof from 
biological and chemical warfare; and utilization or disposal of 
livestock and poultry exposed to radiation.
    (16) The Federal Noxious Weed Act of 1974, as amended (7 U.S.C. 2801 
note; 2814).
    (17) The Endangered Species Act of 1973 (16 U.S.C. 1531-1544).
    (18) Executive Order 11987, 3 CFR, 1977 Comp., p. 116.
    (19) Section 101(d), Organic Act of 1944 (7 U.S.C. 430).
    (20) The Swine Health Protection Act, as amended (7 U.S.C. 3801-
3813).
    (21) Lacey Act Amendments of 1981, as amended (16 U.S.C. 3371-3378).
    (22) Title III (and title IV to the extent that it relates to 
activities under title III) of the Federal Seed Act, as amended (7 
U.S.C. 1581-1610).
    (23) Authority to prescribe the amounts of commuted traveltime 
allowances and the circumstances under which such allowances may be paid 
to employees covered by the Act of August 28, 1950 (7 U.S.C. 2260).
    (24) Provide management support services for the Grain Inspection, 
Packers and Stockyards Administration, and the Agricultural Marketing 
Service as agreed upon by the agencies with authority to take actions 
required by law or regulation. As used herein, the term management 
support services includes budget, finance, personnel, procurement, 
property management, communications, paperwork management, and related 
administrative services.
    (25) Coordinate the development and carrying out by Department 
agencies of all matters and functions pertaining to the Department's 
regulation of biotechnology, and act as liaison on all matters and 
functions pertaining to the regulation of biotechnology between agencies 
within the Department and between the Department and other governmental 
and private organizations.
    (26) The Act of March 2, 1931 (7 U.S.C. 426-426b).
    (27) The Act of December 22, 1987 (7 U.S.C. 426c).
    (28) Authority to work with developed and transitional countries on 
agricultural and related research and extension, with respect to animal 
and

[[Page 304]]

plant health, including providing technical assistance, training, and 
advice to persons from such countries engaged in such activities and the 
stationing of scientists at national and international institutions in 
such countries (7 U.S.C. 3291(a)(3)).
    (29) With respect to land and facilities under his or her authority, 
exercise the functions delegated to the Secretary by Executive Order 
12580, 3 CFR, 1987 Comp., p. 193, under the following provisions of the 
Comprehensive Environmental Response, Compensation, and Liability Act of 
1980 (``the Act''), as amended:
    (i) Sections 104 (a), (b), and (c)(4) of the Act (42 U.S.C. 9604 
(a), (b), and (c)(4)), with respect to removal and remedial actions in 
the event of release or threatened release of a hazardous substance, 
pollutant, or contaminant into the environment;
    (ii) Sections 104(e)-(h) of the Act (42 U.S.C. 9604(e)-(h)), with 
respect to information gathering and access requests and orders; 
compliance with Federal health and safety standards and wage and labor 
standards applicable to covered work; and emergency procurement powers;
    (iii) Section 104(i)(11) of the Act (42 U.S.C. 9604(i)(11)), with 
respect to the reduction of exposure to significant risk to human 
health;
    (iv) Section 104(j) of the Act (42 U.S.C. 9604(j)), with respect to 
the acquisition of real property and interests in real property required 
to conduct a remedial action;
    (v) The first two sentences of section 105(d) of the Act (42 U.S.C. 
9605(d)), with respect to petitions for preliminary assessment of a 
release or threatened release;
    (vi) Section 105(f) of the Act (42 U.S.C. 9605(f)), with respect to 
consideration of the availability of qualified minority firms in 
awarding contracts, but excluding that portion of section 105(f) 
pertaining to the annual report to Congress;
    (vii) Section 109 of the Act (42 U.S.C. 9609), with respect to the 
assessment of civil penalties for violations of section 122 of the Act 
(42 U.S.C. 9622), and the granting of awards to individuals providing 
information;
    (viii) Section 111(f) of the Act (42 U.S.C. 9611(f)), with respect 
to the designation of officials who may obligate money in the Hazardous 
Substances Superfund;
    (ix) Section 113(k) of the Act (42 U.S.C. 9613(k)), with respect to 
establishing an administrative record upon which to base the selection 
of a response action and identifying and notifying potentially 
responsible parties;
    (x) Section 116(a) of the Act (42 U.S.C. 9616(a)), with respect to 
preliminary assessment and site inspection of facilities;
    (xi) Sections 117 (a) and (c) of the Act (42 U.S.C. 9617 (a) and 
(c)), with respect to public participation in the preparation of any 
plan for remedial action and explanation of variances from the final 
remedial action plan for any remedial action or enforcement action, 
including any settlement or consent decree entered into;
    (xii) Section 119 of the Act (42 U.S.C. 9119), with respect to 
indemnifying response action contractors;
    (xiii) Section 121 of the Act (42 U.S.C. 9621), with respect to 
cleanup standards; and
    (xiv) Section 122 of the Act (42 U.S.C. 9622), with respect to 
settlements, but excluding section 122(b)(1) of the Act (42 U.S.C. 
9622(b)(1)), related to mixed funding agreements.
    (30) With respect to facilities and activities under his or her 
authority, to exercise the authority of the Secretary of Agriculture 
pursuant to section 1-102 related to compliance with applicable 
pollution control standards and section 1-601 of Executive Order 12088, 
3 CFR, 1978 Comp., p. 243, to enter into an inter-agency agreement with 
the United States Environmental Protection Agency, or an administrative 
consent order or a consent judgment in an appropriate State, interstate, 
or local agency, containing a plan and schedule to achieve and maintain 
compliance with applicable pollution control standards established 
pursuant to the following:
    (i) Solid Waste Disposal Act, as amended by the Resource 
Conservation and Recovery Act, as further amended by the Hazardous and 
Solid Waste Amendments, and the Federal Facility Compliance Act (42 
U.S.C. 6901 et seq.);

[[Page 305]]

    (ii) Federal Water Pollution Prevention and Control Act, as amended 
(33 U.S.C. 1251 et seq.);
    (iii) Safe Drinking Water Act, as amended (42 U.S.C. 300f et seq.);
    (iv) Clean Air Act, as amended (42 U.S.C. 7401 et seq.);
    (v) Noise Control Act of 1972, as amended (42 U.S.C. 4901 et seq.);
    (vi) Toxic Substances Control Act, as amended (15 U.S.C. 2601 et 
seq.);
    (vii) Federal Insecticide, Fungicide, and Rodenticide Act, as 
amended (7 U.S.C. 136 et seq.); and
    (viii) Comprehensive Environmental Response, Compensation, and 
Liability Act of 1980, as amended by the Superfund Amendments and 
Reauthorization Act of 1986 (42 U.S.C. 9601 et seq.).
    (31) Authority to prescribe and collect fees under the Act of August 
31, 1951, as amended (31 U.S.C. 9701), and sections 2508 and 2509 of the 
Food, Agriculture, Conservation, and Trade Act of 1990 (21 U.S.C. 136, 
136a), as amended.
    (32) The provisions of 35 U.S.C. 156.
    (33) Enter into cooperative research and development agreements with 
industry, universities, and others; institute a cash award program to 
reward scientific, engineering, and technical personnel; award royalties 
to inventors; and retain and use royalty income (15 U.S.C. 3710a-3710c).
    (34) The Alien Species Prevention and Enforcement Act of 1992 (39 
U.S.C. 3015 note).
    (35) Sections 901-905 of the Federal Agriculture Improvement and 
Reform Act of 1996 (7 U.S.C. 1901 note).
    (36) Plant Protection Act, as amended (7 U.S.C. 7701-7786).
    (37) Animal Health Protection Act (7 U.S.C. 8301-8317).
    (38) Section 10504 of the Farm Security and Rural Investment Act of 
2002 (7 U.S.C. 8318).
    (39) Title V of the Agricultural Risk Protection Act of 2000 (7 
U.S.C. 2279e and 2279f).
    (40) The responsibilities of the United States related to activities 
of the Office International des Epizooties.
    (41) Public Health Security and Bioterrorism Preparedness and 
Response Act of 2002 (Title II, Subtitles B and C; of the Public Health 
Security and Bioterrorism Preparedness Response Act of 2002 (7 U.S.C. 
8401 note, 8401, 8411)).
    (42) Implement the information disclosure authorities of section 
1619(b)(3)(A) of the Food, Conservation, and Energy Act of 2008 (7 
U.S.C. 8791(b)(3)(A)).
    (43) Section 7524 of the Food, Conservation, and Energy Act of 2008 
(21 U.S.C. 113a note), except for the suspension, revocation, or other 
impairment of a permit issued under that section.
    (44) Section 10202 of the Food, Conservation, and Energy Act of 2008 
(7 U.S.C. 7761).
    (45) Section 10204 of the Food, Conservation, and Energy Act of 2008 
(7 U.S.C. 7701 note).
    (46) Section 14216 of the Food, Conservation, and Energy Act of 2008 
(Pub. L. 110-246).
    (47) Section 1672(g)(3) of the Food, Agriculture, Conservation, and 
Trade Act of 1990 (7 U.S.C. 5925(g)(3)) regarding honey bee pest, 
pathogen, health, and population status surveillance.
    (48) Section 12309 of the Agricultural Act of 2014 regarding produce 
represented as grown in the United States (19 U.S.C. 1304a).
    (b) Reservation. The following authority is reserved to the Under 
Secretary for Marketing and Regulatory Programs: The authority to make 
determinations under 35 U.S.C. 156 as to whether an applicant acted with 
due diligence.

[60 FR 56393, Nov. 8, 1995, as amended at 61 FR 68541, Dec. 30, 1996; 65 
FR 49471, Aug. 14, 2000; 68 FR 27446, May 20, 2003; 70 FR 55706, Sept. 
23, 2005; 74 FR 3411, Jan. 21, 2009; 76 FR 4803, Jan. 27, 2011; 79 FR 
44116, July 30, 2014]



Sec.  2.81  Administrator, Grain Inspection, Packers and 
Stockyards Administration.

    (a) Delegations. Pursuant to Sec. Sec.  2.22(a)(3) and (a)(9), the 
following delegations of authority are made by the Under Secretary for 
Marketing and Regulatory Programs to the Administrator, Grain 
Inspection, Packers and Stockyards Administration:
    (1) Administer the United States Grain Standards Act, as amended (7 
U.S.C. 71-87h).
    (2) Exercise the functions of the Secretary of Agriculture contained 
in the Agricultural Marketing Act of 1946, as amended (7 U.S.C. 1621-
1627), relating

[[Page 306]]

to inspection and standardization activities related to grain.
    (3) Administer the Packers and Stockyards Act, 1921, as amended and 
supplemented.
    (4) Enforce provisions of the Consumer Credit Protection Act (15 
U.S.C. 1601-1665, 1681-1681t), with respect to any activities subject to 
the Packers and Stockyards Act, 1921, as amended and supplemented.
    (5) Exercise the functions of the Secretary of Agriculture contained 
in section 1324 of the Food Security Act of 1985 (7 U.S.C. 1631).
    (6) Administer responsibilities and functions assigned to the 
Secretary in section 11006 of the Food, Conservation, and Energy Act of 
2008 (7 U.S.C. 228 note), with respect to the Packers and Stockyards 
Act, 1921.
    (7) With respect to land and facilities under his or her authority, 
exercise the functions delegated to the Secretary by Executive Order 
12580, 3 CFR, 1987 Comp., p. 193, under the following provisions of the 
Comprehensive Environmental Response, Compensation, and Liability Act of 
1980 (``the Act''), as amended:
    (i) Sections 104 (a), (b), and (c)(4) of the Act (42 U.S.C. 9604 
(a), (b), and (c)(4)), with respect to removal and remedial actions in 
the event of release or threatened release of a hazardous substance, 
pollutant, or contaminant into the environment;
    (ii) Sections 104(e)-(h) of the Act (42 U.S.C. 9604(e)-(h)), with 
respect to information gathering and access requests and orders; 
compliance with Federal health and safety standards and wage and labor 
standards applicable to covered work; and emergency procurement powers;
    (iii) Section 104(i)(11) of the Act (42 U.S.C. 9604(i)(11)), with 
respect to the reduction of exposure to significant risk to human 
health;
    (iv) Section 104(j) of the Act (42 U.S.C. 9604(j)), with respect to 
the acquisition of real property and interests in real property required 
to conduct a remedial action;
    (v) The first two sentences of section 105(d) of the Act (42 U.S.C. 
9605(d)), with respect to petitions for preliminary assessment of a 
release or threatened release;
    (vi) Section 105(f) of the Act (42 U.S.C. 9605(f)), with respect to 
consideration of the availability of qualified minority firms in 
awarding contracts, but excluding that portion of section 105(f) 
pertaining to the annual report to Congress;
    (vii) Section 109 of the Act (42 U.S.C. 9609), with respect to the 
assessment of civil penalties for violations of section 122 of the Act 
(42 U.S.C. 9622), and the granting of awards to individuals providing 
information;
    (viii) Section 111(f) of the Act (42 U.S.C. 9611(f)), with respect 
to the designation of officials who may obligate money in the Hazardous 
Substances Superfund;
    (ix) Section 113(k) of the Act (42 U.S.C. 9613(k)), with respect to 
establishing an administrative record upon which to base the selection 
of a response action and identifying and notifying potentially 
responsible parties;
    (x) Section 116(a) of the Act (42 U.S.C. 9616(a)), with respect to 
preliminary assessment and site inspection of facilities;
    (xi) Sections 117 (a) and (c) of the Act (42 U.S.C. 9617 (a) and 
(c)), with respect to public participation in the preparation of any 
plan for remedial action and explanation of variances from the final 
remedial action plan for any remedial action or enforcement action, 
including any settlement or consent decree entered into;
    (xii) Section 119 of the Act (42 U.S.C. 9119), with respect to 
indemnifying response action contractors;
    (xiii) Section 121 of the Act (42 U.S.C. 9621), with respect to 
cleanup standards; and
    (xiv) Section 122 of the Act (42 U.S.C. 9622), with respect to 
settlements, but excluding section 122(b)(1) of the Act (42 U.S.C. 
9622(b)(1)), related to mixed funding agreements.
    (8) With respect to facilities and activities under his or her 
authority, to exercise the authority of the Secretary of Agriculture 
pursuant to section 1-102 related to compliance with applicable 
pollution control standards and section 1-601 of Executive Order 12088, 
3 CFR, 1978 Comp., p. 243, to enter into an inter-agency agreement with 
the

[[Page 307]]

United States Environmental Protection Agency, or an administrative 
consent order or a consent judgment in an appropriate State, interstate, 
or local agency, containing a plan and schedule to achieve and maintain 
compliance with applicable pollution control standards established 
pursuant to the following:
    (i) Solid Waste Disposal Act, as amended by the Resource 
Conservation and Recovery Act, as further amended by the Hazardous and 
Solid Waste Amendments, and the Federal Facility Compliance Act (42 
U.S.C. 6901 et seq.);
    (ii) Federal Water Pollution Prevention and Control Act, as amended 
(33 U.S.C. 1251 et seq.);
    (iii) Safe Drinking Water Act, as amended (42 U.S.C. 300f et seq.);
    (iv) Clean Air Act, as amended (42 U.S.C. 7401 et seq.);
    (v) Noise Control Act of 1972, as amended (42 U.S.C. 4901 et seq.);
    (vi) Toxic Substances Control Act, as amended (15 U.S.C. 2601 et 
seq.);
    (vii) Federal Insecticide, Fungicide, and Rodenticide Act, as 
amended (7 U.S.C. 136 et seq.); and
    (viii) Comprehensive Environmental Response, Compensation, and 
Liability Act of 1980, as amended by the Superfund Amendments and 
Reauthorization Act of 1986 (42 U.S.C. 9601 et seq.).
    (b) [Reserved]

[60 FR 56393, Nov. 8, 1995, as amended at 74 FR 3411, Jan. 21, 2009]



   Subpart O_Delegations of Authority by the Assistant Secretary for 
                         Congressional Relations



Sec.  2.83  Deputy Assistant Secretary for Congressional Relations.

    Pursuant to Sec.  2.23, and subject to policy guidance and direction 
by the Assistant Secretary, the following delegation of authority is 
made by the Assistant Secretary for Congressional Relations to the 
Deputy Assistant Secretary for Congressional Relations, to be exercised 
only during the absence or unavailability of the Assistant Secretary: 
Perform all duties and exercise all powers which are now or which may 
hereafter be delegated to the Assistant Secretary for Congressional 
Relations.



Sec.  2.85  Director, Office of Intergovernmental Affairs.

    (a) Delegations. Pursuant to Sec.  2.23, the following delegations 
of authority are made by the Assistant Secretary for Congressional 
Relations to the Director, Office of Intergovernmental Affairs:
    (1) Coordinate all programs involving intergovernmental affairs 
including State and local government relations and liaison with:
    (i) National Association of State Departments of Agriculture;
    (ii) Office of Intergovernmental Relations (Office of Vice 
President);
    (iii) Advisory Commission on Intergovernmental Relations;
    (iv) Council of State Governments;
    (v) National Governors Conference;
    (vi) National Association of Counties;
    (vii) National League of Cities;
    (viii) International City Managers Association;
    (ix) U.S. Conference of Mayors; and
    (x) Such other State and Federal agencies, departments, and 
organizations as are necessary in carrying out the responsibilities of 
this office.
    (2) Maintain oversight of the activities of USDA representatives to 
the 10 Federal Regional councils.
    (3) Serve as the USDA contact with the Advisory Commission on 
Intergovernmental Relations for implementation of OMB Circular A-85 to 
provide advance notification to State and local governments of proposed 
changes in Department programs that affect such governments.
    (4) Act as the Department representative for Federal executive board 
matters.
    (b) [Reserved]

[60 FR 56393, Nov. 8, 1995, as amended at 68 FR 27447, May 20, 2003; 69 
FR 34254, June 21, 2004; 79 FR 44117, July 30, 2014]



   Subpart P_Delegations of Authority by the Assistant Secretary for 
                             Administration

    Source: 75 FR 43381, July 23, 2010, unless otherwise noted.

[[Page 308]]



Sec.  2.87  Deputy Assistant Secretary for Administration.

    Pursuant to Sec.  2.24(a), and subject to reservations in Sec.  
2.24(b), the following delegation of authority is made by the Assistant 
Secretary for Administration to the Deputy Assistant Secretary for 
Administration, to be exercised only during the absence or 
unavailability of the Assistant Secretary: Perform all the duties and 
exercise all the powers which are now or which may hereafter be 
delegated to the Assistant Secretary for Administration: Provided, that 
this authority shall be exercised first by a respective non-career 
Deputy Assistant Secretary in the order in which he or she has taken 
office as Deputy Assistant Secretary, and second by a career Deputy 
Assistant Secretary.



Sec.  2.89  Chief Information Officer.

    (a) Delegations. The Chief Information Officer, under the 
supervision of the Assistant Secretary for Administration pursuant to 
Sec.  2.24(a)(2), and with due deference for delegations to other 
Departmental Management officials, is responsible for executing the 
duties enumerated in Public Law 104-106 for agency Chief Information 
Officers, and additional specified duties, as follows:
    (1) Report directly to the Secretary of Agriculture regarding 
information technology matters.
    (2) Oversee all information technology and information resource 
management activities relating to the programs and operations of the 
Department and component agencies. This oversight includes approving 
information technology investments, monitoring and evaluating the 
performance of those investments and information resource management 
activities, approval of all architectures and components thereto and 
determining whether to continue, modify, or terminate an information 
technology program or project.
    (3) Provide advice and other assistance to the Secretary and other 
senior management personnel to ensure that information technology 
acquired and managed for the Department consistent with chapter 35 of 
title 44, United States Code (Coordination of Federal Information 
Policy).
    (4) Develop, implement, and maintain a sound and integrated 
Departmentwide information technology architecture.
    (5) Promote the effective and efficient design and operation of all 
major information resources management processes for the Department, 
including improvements to work processes of the Department.
    (6) Approve the acquisition or procurement of information technology 
resources by, or on behalf of, any Department agency or office.
    (7) Collaborate with Department procurement personnel with respect 
to information technology acquisition strategy and policy.
    (8) Function as the Major Information Technology Systems Executive 
in USDA to integrate and unify the management process for the 
Department's major information technology system acquisitions and to 
monitor implementation of the policies and practices set forth in Office 
of Management and Budget (OMB) Circular No. A-109, Major Systems 
Acquisitions, for information technology. This includes the authority 
to:
    (i) Ensure that OMB Circular No. A-109 is effectively implemented 
for information technology systems in the Department and that the 
management objectives of the Circular are realized.
    (ii) Review the program management of each major information 
technology system acquisition.
    (iii) Approve the appointment of the program manager for each major 
information technology systems acquisition.
    (iv) Designate any Departmental information technology acquisition 
as a major system acquisition under OMB Circular No. A-109.
    (9) On an annual basis:
    (i) Assess Departmentwide personnel requirements regarding knowledge 
and skill in information resources management, and the adequacy of such 
requirements, to achieve the performance goals established for 
information resources management.
    (ii) Develop strategies and specific plans for hiring, training, and 
professional development at the executive

[[Page 309]]

and management level to meet personnel information technology personnel 
requirements.
    (iii) Report to the Assistant Secretary for Administration on 
progress made in improving information resources management capability.
    (10) Function as the senior official to carry out the 
responsibilities of the Department under chapter 35 of title 44, United 
States Code (Coordination of Federal Information Policy), including:
    (i) Ensure that the information policies, principles, standards, 
guidelines, rules and regulations prescribed by OMB are appropriately 
implemented within the Department.
    (ii) Review proposed Department reporting and record keeping 
requirements, including those contained in rules and regulations, to 
ensure that they impose the minimum burden upon the public and have 
practical utility for the Department.
    (iii) Develop and implement procedures for assessing the burden to 
the public and costs to the Department of information requirements 
contained in proposed legislation affecting Department programs.
    (iv) Assist OMB in the performance of its functions assigned under 
the E-Government Act of 2002 (Pub. L. 107-347), including review of 
Department and Agency activities for compliance.
    (v) Assist OMB in the performance of its functions assigned under 
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520), including 
review of Department and Agency activities for compliance.
    (11) The Chief Information Officer is also responsible for the 
following:
    (i) Provide Departmentwide guidance and direction in planning, 
developing, documenting, and managing applications software projects in 
accordance with Federal and Department information processing standards, 
procedures, and guidelines.
    (ii) Provide Departmentwide guidance and direction in all aspects of 
information technology, including: Feasibility studies; economic 
analyses; systems design; acquisition of equipment, software, services, 
and timesharing arrangements; systems installation; systems performance 
and capacity evaluation; information technology investment governance; 
cybersecurity; and privacy. Monitor these activities for agencies' major 
systems development efforts to assure effective and economic use of 
resources and compatibility among systems of various agencies when 
required.
    (iii) Manage the Enterprise Data Centers, with the exception of the 
National Finance Center; and oversee the delivery of Enterprise Data 
Center goods and services, with authority to take actions required by 
law or regulation to perform such services as a Working Capital Fund 
activity.
    (iv) Manage a comprehensive set of end user office automation 
services and oversee the delivery of goods and services associated with 
end user office automation services, including desktop computers, 
enterprise networking support, handheld devices, and voice 
telecommunications, with authority to take actions required by law or 
regulation to perform such services as a Working Capital Fund activity.
    (v) Manage the Agricultural Security Operations Center to enable the 
Department to effectively monitor, detect, analyze, protect, report, and 
respond against known cyber vulnerabilities, attacks, and exploitations.
    (vi) Manage the Department's Certification and Accreditation process 
to ensure the Department and agencies have successfully conducted 
periodic risk assessments of its systems; grant the authority to operate 
for systems that have successfully completed the Certification and 
Accreditation process; and rescind or suspend the authority to operate 
for systems subject to repeated and/or significant security issues.
    (vii) Ensure that OMB Circular No. A-16, Coordination of Geographic 
Information and Related Spatial Data Activities, is effectively 
implemented in the Department and that the management objectives of the 
Circular are realized; and providing Departmentwide guidance and 
direction in governing, developing, implementing, and maintaining a 
sound and integrated geospatial architecture.
    (viii) Provide technical assistance, coordination, and guidance to 
Department agencies in planning, developing,

[[Page 310]]

and carrying out satellite remote sensing activities to ensure full 
consideration and evaluation of advanced technology; designate the 
Executive Secretary for the Remote Sensing Coordination Committee; and 
coordinate administrative, management, and budget information relating 
to the Department's remote sensing activities including:
    (A) Inter- and intra-agency meetings, correspondence, and records;
    (B) Budget and management tracking systems; and
    (C) Inter-agency contacts and technology transfer.
    (ix) Review and evaluate information technology activities related 
to delegated functions to assure that they conform to all applicable 
Federal and Department information technology management policies, 
plans, standards, procedures, and guidelines.
    (x) Design, develop, implement, and revise systems, processes, work 
methods, and techniques to improve the management and operational 
effectiveness of information resources.
    (xi) Administer the Departmental records, forms, reports and 
Directives Management Programs.
    (xii) Manage all aspects of the USDA Telecommunications Program 
including planning, development, acquisition, and use of equipment and 
systems for voice, data, and communications, excluding the actual 
procurement of data transmission equipment, software, maintenance, and 
related supplies.
    (xiii) Manage Departmental telecommunications contracts.
    (xiv) Provide technical advice throughout the Department.
    (xv) Implement a program for applying information resources 
management technology to improve productivity in the Department.
    (xvi) Plan, develop, install, and operate computer-based systems for 
message exchange, scheduling, computer conferencing, televideo 
technologies, and other applications of office automation technology 
which can be commonly used by multiple Department agencies and offices.
    (xvii) Represent the Department in contacts with the Government 
Accountability Office, the General Services Administration, OMB, the 
National Institute of Standards and Technology, and other organizations 
or agencies on matters related to delegated responsibilities.
    (12) Implement policies established pursuant to paragraphs (a)(1) 
through (a)(11) of this section by:
    (i) Disposing of information technology that is acquired by a 
Department agency in violation of procedures or standards for the 
Department Information Systems Technology Architecture.
    (ii) Establishing information technology and information resources 
management performance standards for agency Chief Information Officers, 
information resources managers, and project managers to be used in the 
performance appraisal process.
    (iii) Approving the selection of agency Chief Information Officers 
and agency major information technology system project managers in 
accordance with OMB policies.
    (iv) Providing recommendations to Agency Heads for the removal or 
replacement of information technology project managers, when, in the 
opinion of the Chief Information Officer, applicable laws and policies 
are being violated, or, when the cost, schedule, or performance of an 
information technology project would indicate management deficiencies.
    (v) Withdrawing agencies' authority to obligate funds on Information 
Technology programs or projects if the agency violates the Chief 
Information Officer policies, standards, or Department Information 
Systems Technology Architecture.
    (vi) Requiring agencies to validate and verify major information 
technology systems through the use of an existing contract for such 
purpose designated by the Chief Information Officer.
    (vii) Requiring approval by the Chief Information Officer of any 
proposed acquisition of information technology (whether through the 
award or modification of a procurement contract, a cooperative or other 
agreement with a non-Federal party, or an interagency agreement) to 
ensure technical conformance to the Department technical architecture.

[[Page 311]]

    (viii) Providing guidance to USDA regarding implementation of 
Section 508 of the Rehabilitation Act, as well as on-going consultative 
assistance regarding information technology accessibility, and reviewing 
progress made toward achieving information technology accessibility for 
USDA employees and individuals with disabilities.
    (13) Related to the Privacy Act. Appoint a Department Privacy Act 
Officer; oversee general officers and agency heads in the development 
and implementation of policies issued pursuant to the provisions of the 
Privacy Act, 5 U.S.C. 552a; and provide consultation and guidance 
regarding those policies.
    (14) Related to the Freedom of Information Act. Serve as the Chief 
Freedom of Information Act Officer for the Department; oversee general 
officers and agency heads in efficient and appropriate compliance with 
the provisions of the Freedom of Information Act (5 U.S.C. 552); monitor 
implementation of 5 U.S.C. 552 throughout the agency and keep the 
Secretary, the General Counsel, and the Attorney General informed 
regarding agency performance in its implementation; recommend to the 
Secretary necessary adjustments to agency practices, policies, 
personnel, and funding to improve implementation of 5 U.S.C. 552; review 
and report to the Attorney General, through the Secretary, as the 
Attorney General may direct; and, facilitate public understanding of the 
purposes of the statutory exemptions contained in 5 U.S.C. 552.
    (b) [Reserved]

[60 FR 56393, Nov. 8, 1995, as amended at 77 FR 14954, Mar. 14, 2012; 78 
FR 40939, July 9, 2013]



Sec.  2.91  Director, Office of Human Resources Management.

    (a) Delegations. Pursuant to Sec.  2.24(a)(4), with due deference 
for delegations to other Departmental Management officials, and subject 
to the reservations in Sec.  2.24(b), the following delegations of 
authority are made by the Assistant Secretary for Administration to the 
Director, Office of Human Resources Management:
    (1) Formulate and issue Department policy, standards, rules and 
regulations relating to human resources management.
    (2) Provide human resources management procedural guidance and 
operational instructions.
    (3) Set standards for human resources data systems.
    (4) Inspect and evaluate human resources management operations and 
issue instructions or take direct action to insure conformity with 
appropriate laws, Executive Orders, Office of Personnel Management (OPM) 
rules and regulations, and other appropriate rules and regulations.
    (5) Exercise final authority in all human resources matters, 
including individual cases, that involve the jurisdiction of more than 
one General Officer, or agency head, or otherwise as deemed appropriate.
    (6) Receive, review, and recommend action on all requests for the 
Secretary's or Assistant Secretary for Administration's approval in 
human resources matters.
    (7) Authorize and make final decisions on adverse actions except in 
those cases where the Assistant Secretary for Administration or the 
Director, Office of Human Resources Management, has participated.
    (8) Represent the Department in human resources matters in all 
contacts outside the Department.
    (9) Exercise specific authorities in the following operational 
matters:
    (i) Waive repayment of training expenses where an employee fails to 
fulfill service agreement.
    (ii) Establish or change standards and plans for awards to private 
citizens.
    (iii) Execute, change, extend, or renew:
    (A) Labor-Management Agreements.
    (B) Certifications of supervisory/managerial and non-labor union 
employee and professional organizations and associations.
    (iv) Represent the Department in all contacts with the national 
offices of labor organizations in fulfilling the Department's national 
consultation obligations under 5 U.S.C. 7113.
    (v) Change a position (with no material change in duties) from one 
pay system to another.

[[Page 312]]

    (vi) Grant restoration rights, and release employees with 
administrative reemployment rights.
    (vii) Authorize any mass dismissals of employees in the Washington, 
DC metropolitan area.
    (viii) Approve ``normal line of promotion'' cases in the excepted 
service where not in accordance with time-in grade criteria.
    (ix) Make the final decision on all classification appeals filed 
with the Department of Agriculture.
    (x) Authorize all employment actions (except nondisciplinary 
separations and LWOP) and classification actions for senior level and 
equivalent positions including Senior Executive Service positions and 
special authority professional and scientific positions responsible for 
carrying out research and development functions.
    (xi) Authorize all employment actions (except LWOP) for the 
following positions:
    (A) Schedule C.
    (B) Non-career Senior Executive Service or equivalent.
    (C) Administrative Law Judge.
    (xii) Authorize and make final decisions on adverse actions for 
positions in GS-1-15 or equivalent.
    (xiii) Authorize and make final decisions on adverse actions for 
positions in the career Senior Executive Service or equivalent.
    (xiv) Approve the details of Department employees to the White 
House.
    (xv) Authorize adverse actions based in whole or in part on an 
allegation of violation of 5 U.S.C. chapter 73, subchapter III, for 
employees in the excepted service.
    (xvi) Authorize long-term training in programs which require 
Departmentwide competition.
    (xvii) Initiate and take adverse action in cases involving a 
violation of the merit system.
    (xviii) Any other human resources operational matter.
    (10) As used in this section, the term human resources includes:
    (i) Position management.
    (ii) Position classification.
    (iii) Employment.
    (iv) Pay administration.
    (v) Automated human resources data and systems.
    (vi) Hours of duty.
    (vii) Performance management.
    (viii) Promotions.
    (ix) Employee development.
    (x) Incentive programs.
    (xi) Leave.
    (xii) Retirement.
    (xiii) Human resources program management accountability and 
evaluation.
    (xiv) Social security.
    (xv) Life insurance.
    (xvi) Health benefits.
    (xvii) Unemployment compensation.
    (xviii) Labor management relations.
    (xix) Intramanagement consultation.
    (xx) [Reserved]
    (xxi) Discipline.
    (xxii) Appeals.
    (xxiii) Drug Testing Program.
    (xxiv) Worklife Program.
    (xxv) Transit Subsidy Program.
    (11) Maintain, review, and update Departmental delegations of 
authority.
    (12) Recommend authorization of organizational changes.
    (13) Formulate and promulgate Departmental policies regarding 
reorganizations.
    (14) [Reserved]
    (15) Provide for diversity and inclusion, as follows:
    (i) Establish, direct, and provide policy and oversight for a 
Department-wide Special Emphasis Program (SEP) including: Women, African 
Americans, Hispanics, Asian/Pacific Islanders, Native Americans, 
Disabled, and Gay/Lesbian/Bisexual/Transgender.
    (ii) Provide oversight and support for Departmental SEP recognition 
programs.
    (iii) Direct and oversee the Department-wide SEPM Council.
    (iv) Administer Federal Equal Opportunity Recruitment Program.
    (16) Oversee and manage the Department's administrative grievance 
program.
    (17) Make final decisions in those cases where an agency head has 
appealed the recommended decision of a grievance examiner.
    (18) Administer the administrative appeals process related to the 
inclusion of positions in the testing designated position listing in the 
Department's Drug-Free Workplace Program and designate the final appeal 
officer for that Program.

[[Page 313]]

    (19) Formulate and issue Department policy, standards, rules, and 
regulations relating to the Senior Scientific Research Service (7 U.S.C. 
7657).
    (20) Provide human resources operational services for the following:
    (i) The Secretary of Agriculture.
    (ii) The general officers of the Department.
    (iii) The offices and agencies reporting to the Assistant Secretary 
for Administration.
    (iv) The Office of the Assistant Secretary for Civil Rights.
    (v) Any other offices or agencies of the Department as may be 
agreed.
    (21) Redelegate, as appropriate, any authority delegated under 
paragraphs (a)(1) through (a)(20) of this section to general officers of 
the Department and heads of Departmental agencies, provided that the 
Director, Office of Human Resources Management retains the authority to 
make final decisions in any human resources matter so redelegated.
    (b) Reservations. The following authorities are reserved to the 
Assistant Secretary for Administration:
    (1) Authorize organizational changes occurring in a Department 
agency or staff office which affect the overall structure of that 
service or office; i.e., require a change to that service or office's 
overall organization chart.
    (2) Approve coverage and waiver of individual law enforcement and 
firefighter positions under the special retirement provisions of the 
Civil Service Retirement System and the Federal Employees Retirement 
System.

[60 FR 56393, Nov. 8, 1995, as amended at 77 FR 14954, Mar. 14, 2012; 78 
FR 40939, July 9, 2013; 79 FR 44117, July 30, 2014]



Sec.  2.93  Director, Office of Procurement and Property Management.

    (a) Delegations. Pursuant to Sec.  2.24(a)(6) of this chapter, and 
with due deference for delegations to other Departmental Management 
officials, the following delegations of authority are made by the 
Assistant Secretary for Administration to the Director, Office of 
Procurement and Property Management:
    (1) Exercise full Departmentwide contracting and procurement 
authority.
    (2) Promulgate policies, standards, techniques, and procedures, and 
represent the Department, in the following:
    (i) Acquisition, including, but not limited to, the procurement of 
supplies, services, equipment, and construction.
    (ii) Socioeconomic programs relating to contracting.
    (iii) Selection, standardization, and simplification of program 
delivery processes utilizing contracts.
    (iv) Acquisition, leasing, utilization, value analysis, 
construction, maintenance, and disposition of real and personal 
property, including control of space assignments.
    (v) Motor vehicle and aircraft fleet and other vehicular 
transportation.
    (vi) Transportation of things (traffic management).
    (vii) Prevention, control, and abatement of pollution with respect 
to Federal facilities and activities under the control of the Department 
(Executive Order 12088, ``Federal Compliance With Pollution Control 
Standards,'' 3 CFR, 1978 Comp., p. 243).
    (viii) Implementation of the Uniform Relocation Assistance and Real 
Property Acquisition Policies Act of 1970 (42 U.S.C. 4601, et seq.).
    (ix) Development and implementation of sustainable operations 
actions including establishing and achieving greenhouse gas emission 
reduction goals, reducing energy intensity, increasing renewable energy 
use, increasing water efficiency, reducing petroleum use and increasing 
alternative fuel use, increasing recycling and waste diversion, 
preventing pollution, reducing use of toxic chemicals, procuring 
sustainable products and services, achieving sustainable principles for 
new and existing buildings, promoting electronic stewardship, and 
continuing environmental management system use. Maintain liaison with 
the Office of the Federal Environmental Executive, the Council on 
Environmental Quality, the Office of Management and Budget (OMB), the 
Department of Energy, and other Government agencies in these matters.
    (x) Implementation of a program for the Federal procurement of 
biobased products and of a voluntary ``USDA Certified Biobased product'' 
labeling program (7 U.S.C. 8102).

[[Page 314]]

    (xi) Entering into cooperative agreements to further research 
programs in the food and agricultural sciences, related to establishing 
and implementing Federal biobased procurement and voluntary biobased 
labeling programs (7 U.S.C. 3318).
    (xii) Implementation of the policies and procedures set forth in OMB 
Circular No. A-76, Performance of Commercial Activities.
    (3) Exercise the following special authorities:
    (i) The Director, Office of Procurement and Property Management, is 
designated as the Departmental Debarring Officer and authorized to 
perform the functions of 48 CFR part 9, subpart 9.4 related to 
procurement activities, except for commodity acquisitions on behalf of 
the Commodity Credit Corporation (7 CFR part 1407), with authority to 
redelegate suspension and debarment authority for contracts awarded 
under the School Lunch and Surplus Removal Programs (42 U.S.C. 1755 and 
7 U.S.C. 612c).
    (ii) Conduct liaison with the Office of Federal Register (1 CFR part 
16) including the making of required certifications pursuant to 1 CFR 
part 18.
    (iii) Maintain custody and permit appropriate use of the official 
seal of the Department.
    (iv) Establish policy for the use of the official flags of the 
Secretary and the Department.
    (v) Coordinate collection and disposition of personal property of 
historical significance.
    (vi) Make information returns to the Internal Revenue Service as 
prescribed by 26 U.S.C. 6050M and by 26 CFR 1.6050M-1 and such other 
Treasury regulations, guidelines or procedures as may be issued by the 
Internal Revenue Service in accordance with 26 U.S.C. 6050M. This 
includes making such verifications or certifications as may be required 
by 26 CFR 1.6050M-1 and making the election allowed by 26 CFR 1.6050M-
1(d)(5)(1).
    (vii) Promulgate regulations for the management of contracting and 
procurement for information technology and telecommunication equipment, 
software, services, maintenance and related supplies.
    (viii) Represent the Department in working with the Government 
Accountability Office (GAO), the General Services Administration, OMB, 
and other organizations or agencies on matters related to assigned 
responsibilities.
    (ix) Redelegate, as appropriate, the authority in paragraphs (a)(10) 
and (a)(12) of this section to agency Property Officials or other 
qualified agency officials with no power of further redelegation.
    (4) Exercise authority under the Department's Acquisition Executive 
(the Assistant Secretary for Administration) to integrate and unify the 
management process for the Department's major system acquisitions and to 
monitor implementation of the policies and practices set forth in OMB 
Circular No. A-109, Major Systems Acquisitions, with the exception that 
major system acquisitions for information technology shall be under the 
cognizance of the Chief Information Officer. This delegation includes 
the authority to:
    (i) Ensure that OMB Circular No. A-109 is effectively implemented in 
the Department and that the management objectives of the Circular are 
realized.
    (ii) Review the program management of each major system acquisition, 
excluding information technology.
    (iii) Designate the program manager for each major system 
acquisition, excluding information technology.
    (iv) Designate any Departmental acquisition, excluding information 
technology, as a major system acquisition under OMB Circular No. A-109.
    (5) Pursuant to Executive Order 12931, ``Federal Procurement 
Reform,'' 3 CFR, 1994 Comp., p. 925, and sections 16, 22, and 37 of the 
Office of Federal Procurement Policy Act, as amended, 41 U.S.C. 414, 
418b, and 433, serve as the Senior Procurement Executive for the 
Department with responsibility for the following:
    (i) Prescribing and publishing Departmental acquisition policies, 
advisories, regulations, and procedures.
    (ii) Taking any necessary actions consistent with policies, 
regulations, and procedures, with respect to purchases, contracts, 
leases, agreements, and other transactions.
    (iii) Designating contracting officers.

[[Page 315]]

    (iv) Establishing clear lines and limitations of contracting 
authority through written delegations of authority.
    (v) Approving any Departmental and component agency procurement 
systems and processes.
    (vi) Managing and enhancing career development of the Department's 
acquisition workforce.
    (vii) Participating in the development of Governmentwide procurement 
policies, regulations and standards, and determining specific areas 
where Governmentwide performance standards should be established and 
applied.
    (viii) Developing unique Departmental standards as required.
    (ix) Overseeing the development of procurement goals, guidelines, 
and innovation.
    (x) Measuring and evaluating procurement office performance against 
stated goals.
    (xi) Advising the Assistant Secretary for Administration whether 
procurement goals are being achieved.
    (xii) Prescribing standards for agency Procurement Executives.
    (xiii) Redelegating, suspending, or revoking, as appropriate, the 
authority in paragraph (a)(5)(i) of this section to agency Procurement 
Executives or other qualified agency officials with no power of further 
redelegation.
    (xiv) Redelegating, suspending, or revoking, as appropriate, the 
authorities in paragraphs (a)(5)(ii), (iii), (iv), (vi), and (vii) of 
this section to agency Procurement Executives or other qualified agency 
officials with the power of further redelegation.
    (6) Represent the Department in establishing standards for 
acquisition transactions within the electronic data interchange 
environment.
    (7) Designate the Departmental Task Order Ombudsman pursuant to 41 
U.S.C. 253j.
    (8) Serve as Departmental Remedy Coordination Official pursuant to 
41 U.S.C. 255 to determine whether payment to any contractor should be 
reduced or suspended based on substantial evidence that the request of 
the contractor for advance, partial, or progress payment is based on 
fraud.
    (9) Review and approve exemptions for USDA contracts, subcontracts, 
grants, agreements, and loans from the requirements of the Clean Air 
Act, as amended (42 U.S.C. 7401, et seq.), the Federal Water Pollution 
Control Act, as amended (33 U.S.C. 1251, et seq.), and Executive Order 
11738, ``Providing for Administration of the Clean Air Act and the 
Federal Water Pollution Control Act With Respect to Federal Contracts, 
Grants, or Loans,'' 3 CFR, 1971-1975 Comp., p. 799, when he or she 
determines that the paramount interest of the United States so requires 
as provided in these acts and Executive Order and the regulations of the 
EPA (2 CFR 1532.1140).
    (10) Transfer excess research equipment to eligible educational 
institutions or certain non-profit organizations for the conduct of 
technical and scientific education and research activities under section 
11(i) of the Stevenson-Wydler Technology Innovation Act of 1980 (15 
U.S.C. 3710(i)) (7 CFR part 2812).
    (11) Promulgate policy and obtain and furnish Federal excess 
personal property in accordance with section 923 of Public Law 104-127 
(7 U.S.C. 2206a), to support research, educational, technical and 
scientific activities or for related programs, to:
    (i) Any 1994 Institutions (as defined in section 532 of the Equity 
in Educational Land-Grant Status Act of 1994 (Pub. L. 103-382; 7 U.S.C. 
301 note)).
    (ii) Any Institutions eligible to receive funds under the Act of 
August 30, 1890 (7 U.S.C. 321, et seq.) including Tuskegee University.
    (iii) Any Hispanic-serving Institutions (as defined in section 
316(b) of the Higher Education Act of 1965 (20 U.S.C. 1059c(b)).
    (12) Make available to organizations excess or surplus computers or 
other technical equipment of the Department for the purpose of 
distribution to cities, towns, or local government entities in rural 
areas (7 U.S.C. 2206b).
    (13) Issue regulations and directives to implement or supplement the 
Federal Acquisition Regulations (48 CFR chapter 1 and 4).
    (14) Issue regulations and directives to implement or supplement the 
Federal Property Management Regulations (41 CFR chapter 101) and the 
Federal

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Management Regulation (41 CFR chapter 102).
    (15) [Reserved]
    (16) Pursuant to the Office of Federal Procurement Policy Act (Act), 
as amended (41 U.S.C. 401, et seq.), designate the Department's Advocate 
for Competition with the responsibility for section 20 of the Act (41 
U.S.C. 418), including:
    (i) Reviewing the procurement activities of the Department.
    (ii) Developing new initiatives to increase full and open 
competition.
    (iii) Developing goals and plans and recommending actions to 
increase competition.
    (iv) Challenging conditions unnecessarily restricting competition in 
the acquisition of supplies and services.
    (v) Promoting the acquisition of commercial items.
    (vi) Designating an Advocate for Competition for each procuring 
activity within the Department.
    (17) Related to compliance with environmental laws and sustainable 
operating requirements. (i) Serve as Departmental Management Member and 
Executive Secretary of the USDA Sustainable Operations Council.
    (ii) Represent USDA in consulting or working with the EPA, the 
Council on Environmental Quality, the Domestic Policy Council, and 
others to develop policies relating to hazardous materials management 
and Federal facilities compliance with applicable pollution control 
laws.
    (iii) Monitor, review, evaluate, and oversee hazardous materials 
management program activities and compliance Department-wide.
    (iv) Monitor, review, evaluate, and oversee USDA agency expenditures 
for hazardous materials management program accomplishments.
    (v) Represent USDA on the National Response Team and exercise 
responsibility for USDA response efforts for hazardous substance 
releases and oil spills pursuant to the Comprehensive Environmental 
Response, Compensation, and Liability Act of 1980, as amended (42 U.S.C. 
9601, et seq.); the Clean Water Act, as amended (33 U.S.C. 1251, et 
seq.); Oil Pollution Act, as amended (33 U.S.C. 2701, et seq.); 
Executive Order 12580, ``Superfund Implementation,'' 3 CFR, 1987 Comp., 
p. 193; Executive Order 12777, ``Implementation of section 311 of the 
Federal Water Pollution Control Act of October 18, 1972, as amended, and 
the Oil Pollution Act of 1990,'' 3 CFR, 1991 Comp., p. 351, and the 
National Oil and Hazardous Substances Contingency Plan, 40 CFR Part 300. 
When a spill of national significance is declared under the Oil 
Pollution Act of 1990, responsibility for USDA response efforts will 
transfer to the Office of Homeland Security and Emergency Coordination, 
as determined by the Assistant Secretary for Administration.
    (vi) Approve disbursements from the New World Mine Response and 
Restoration Account, approve the New World Mine Response and Restoration 
Plan, and make quarterly reports to Congress under Sections 502(d) and 
(f) of Title V of the Department of the Interior and Related Agencies 
Appropriations Act of 1998, Public Law 105-83.
    (vii) Ensure that the Hazardous Materials Management Program 
Department-wide is accomplished with regard to, and in compliance with, 
Executive Order 12898, ``Federal Actions to Address Environmental 
Justice in Minority Populations and Low-Income Populations,'' 3 CFR, 
1994 Comp., p. 859.
    (viii) Take such action as may be necessary, with the affected 
agency head and with the concurrence of the General Counsel, including 
issuance of administrative orders and agreements with any person to 
perform any response action under sections 106(a) and 122 (except 
subsection (b)(1)) of the Comprehensive Environmental Response, 
Compensation, and Liability Act of 1980, as amended (42 U.S.C. 9606(a), 
9622), pursuant to sections 4(c)(3) and 4(d)(3) of Executive Order 
12580, ``Superfund Implementation,'' 3 CFR, 1987 Comp., p. 193, as 
amended by Executive Order 13016, ``Amendment to Executive Order No. 
12580,'' 3 CFR, 1996 Comp., p. 214.
    (ix) Represent USDA on the EPA Brownfields Federal Partnership and 
coordinate USDA support for Brownfields redevelopment and establish 
policy and guidance for the implementation of the June 2003 amendment to 
Executive Order 12580, ``Superfund Implementation,'' 3 CFR, 1987 Comp., 
p.

[[Page 317]]

193 (Executive Order 13308, ``Further Amendment to Executive Order 
12580, As Amended, Superfund Implementation,'' 3 CFR, 2003 Comp., p. 
239).
    (18) Related to occupational safety and health. (i) Establish 
Departmentwide safety and health policy and provide leadership in the 
development, coordination, and implementation of related standards, 
techniques, and procedures, and represent the Department in complying 
with laws, Executive Orders and other policy and procedural issuances 
and related to occupational safety and health and workers' compensation 
programs within the Department.
    (ii) Represent the Department in all rulemaking, advisory, or 
legislative capacities on any groups, committees, or Governmentwide 
activities that affect the USDA Occupational Safety and Health 
Management Program.
    (iii) Determine and provide Departmentwide technical services and 
regional staff support for the safety and health programs.
    (iv) Administer the computerized management information systems for 
the collection, processing, and dissemination of data related to the 
Department's occupational safety and health programs.
    (v) Administer the Department's Occupational Health and Preventive 
Medicine Program, as well as design and operate employee assistance and 
workers' compensation activities.
    (vi) Provide education and training on a Departmentwide basis for 
safety and health-related issues and develop resource and operational 
manuals.
    (19) In coordination with the Chief Financial Officer, implement the 
debarment authorities in section 14211 of the Food, Conservation, and 
Energy Act of 2008 (7 U.S.C. 2209j), in connection with procurement 
activities.
    (20) Provide services, including procurement of supplies, services, 
and equipment, with authority to take actions required by law or 
regulation to perform such services for:
    (i) The Secretary of Agriculture.
    (ii) The general officers of the Department, except the Inspector 
General.
    (iii) Any other offices or agencies of the Department as may be 
agreed, including as a Working Capital Fund activity.
    (b) [Reserved]

[75 FR 43381, July 23, 2010, as amended at 78 FR 40939, July 9, 2013; 79 
FR 44117, July 30, 2014]



Sec.  2.94  Director, Office of Advocacy and Outreach.

    (a) Delegations. Pursuant to Sec.  2.24(a)(7), and with due 
deference for delegations to other Departmental Management officials, 
the following delegations of authority are made by the Assistant 
Secretary for Administration to the Director, Office of Advocacy and 
Outreach:
    (1) Ensure that small farms and ranches, beginning farmers or 
ranchers, and socially disadvantaged farmers or ranchers have access to, 
and equitable participation in, programs and services of the Department 
pursuant to section 226B(c) of the Department of Agriculture 
Reorganization Act of 1994 (7 U.S.C. 6934(c)).
    (2) Oversee the Advisory Committee for Beginning Farmers and 
Ranchers.
    (3) Oversee the operations of the Office of Small Farms 
Coordination.
    (4) Administer section 2501 of the Food, Agriculture, Conservation, 
and Trade Act of 1990 (7 U.S.C. 2279), except for authorities related to 
the Census of Agriculture and economic studies in subsection (h) of that 
section.
    (5) Establish and oversee the Minority Farmer Advisory Committee 
pursuant to section 14008 of FCEA (7 U.S.C. 2279 note).
    (6) Administer the low-income migrant and seasonal farmworker grants 
program under section 2281 of the Food, Agriculture, Conservation, and 
Trade Act of 1990 (42 U.S.C. 5177a).
    (7) Consult with appropriate entities regarding integration of 
farmworker interests into Department programs, including assisting 
farmworkers in becoming agricultural producers or landowners, and 
research, program improvements, and agricultural education opportunities 
for low-income and migrant seasonal farmworkers.
    (8) Administer the grants program under section 14204 of FCEA (7 
U.S.C. 2008q-1) to improve the supply, stability, safety, and training 
of the agricultural labor force.

[[Page 318]]

    (9) Administer and coordinate a USDA outreach program in 
collaboration with USDA agencies.
    (10) Administer section 2501A of the Food, Agriculture, 
Conservation, and Trade Act of 1990 (7 U.S.C. 2279-1), including the 
authority to coordinate Department policy for the issuance of receipts 
under subsection (e) of that section.
    (11) Provide strategic planning and performance measurement, 
coordinate outreach activities, monitor goals and objectives, and 
evaluate programs, of Department programs and activities involving small 
farms or ranches and beginning or socially disadvantaged farmers or 
ranchers.
    (12) Administer the USDA/1994 Land Grant Institutions (Tribal 
Colleges) Programs.
    (13) Administer the USDA/1890 Liaison Officer Program.
    (14) Administer the Hispanic Serving Institutions National Program, 
including through the use of cooperative agreements under 7 U.S.C. 
3318(b).
    (15) Serve as a lead agency in carrying out student internship 
programs (7 U.S.C. 2279c).
    (b) [Reserved]

[75 FR 43381, July 23, 2010, as amended at 78 FR 40939, July 9, 2013; 79 
FR 44117, July 30, 2014]



Sec.  2.95  Director, Office of Homeland Security and Emergency 
Coordination.

    (a) Delegations from the Secretary. Pursuant to Executive Order 
10450, ``Security Requirements for Government Employment'' (18 FR 2489, 
Apr. 29, 1953); Executive Order 12968, ``Access to Classified 
Information,'' 3 CFR, 1995 Comp., p. 391; Executive Order 13526, 
``Classified National Security Information'' (75 FR 707, Jan. 5, 2010); 
and 5 CFR part 732, and with due deference for delegations to other 
Departmental Management officials, the following delegations of 
authority are made by the Secretary to the Director, Office of Homeland 
Security and Emergency Coordination, pursuant to the Director's 
responsibilities as the Departmental National Security Programs Officer, 
as designated by the Secretary:
    (1) Manage the personnel security functions of the Department, which 
includes sole authority for making eligibility access determinations and 
sponsoring Sensitive Compartmented Information clearances; obtaining and 
granting security clearances for USDA employees and consultants and 
volunteers on authorized agreements; and suspending, denying, or 
revoking access to national security information (Executive Order 12968 
``Access to Classified Information'', as amended), notwithstanding the 
Secretary's authority to remove an employee for national security 
reasons as outlined in 5 U.S.C. 7532.
    (2) Manage, coordinate, develop, and promulgate policies and 
training regarding personnel security, and serve as USDA's personnel 
security liaison to the Office of Personnel Management and Director of 
National Intelligence.
    (3) Review and develop recommendations on classifying, 
declassifying, and safeguarding national security information for which 
the Secretary is responsible as Original Classification Authority.
    (b) Delegations from the Assistant Secretary for Administration. 
Pursuant to Sec.  2.24(a)(8), and with due deference for delegations to 
other Departmental Management officials, the following delegations of 
authority are made by the Assistant Secretary for Administration to the 
Director, Office of Homeland Security and Emergency Coordination:
    (1) Administer the Department Emergency Preparedness Program. This 
includes:
    (i) Coordinate the delegations and assignments made to the 
Department under the Defense Production Act of 1950, 50 U.S.C. App. 
2061, et seq.; the Robert T. Stafford Disaster Relief and Emergency 
Assistance Act, 42 U.S.C. 5121, et seq.; and by Executive Orders 12148, 
``Federal Emergency Management'' (3 CFR, 1979 Comp., p. 412), 12656, 
``Assignment of Emergency Preparedness Responsibilities'' (3 CFR, 1988 
Comp., p. 585), and 13603, ``National Defense Resources Preparedness'' 
(3 CFR, 2012 Comp., p. 225), or any successor to these Executive Orders, 
to ensure that

[[Page 319]]

the Department has sufficient capabilities to respond to any occurrence, 
including natural disaster, military attack, technological emergency, or 
any all hazards incident.
    (ii) Manage the Department Emergency Operations Center at 
Headquarters and the Secretary's alternative facilities; provide senior 
staff with international, national, and regional situational awareness 
reports; and provide and maintain current information systems technology 
and National Security Systems to support USDA executive crisis 
management capability.
    (iii) Provide facilities and equipment to facilitate inter-agency 
coordination during emergencies.
    (iv) Activate the USDA incident management system in accordance with 
the National Response Framework and the National Incident Management 
System in the event of a major incident; and provide oversight and 
coordination of the Department's Emergency Support Functions as outlined 
in the National Response Framework.
    (v) Develop and promulgate policies for the Department regarding 
emergency preparedness and national security, including matters relating 
to anti-terrorism and agriculture-related emergency preparedness 
planning, both national and international, and guidance to USDA State 
and County Emergency Boards.
    (vi) Establish and provide oversight of a Department-wide training 
program for the National Incident Management System to include Incident 
Command System, National Response Framework, Continuity programs, and 
Critical Infrastructure Protection program.
    (vii) Provide representation and liaison for the Department in 
contacts with other Federal entities and organizations, including the 
National Security Council, Homeland Security Council, Office of 
Management and Budget, Department of Homeland Security, Federal 
Emergency Management Agency, Office of The Director of National 
Intelligence, and Department of Defense concerning matters of a national 
security, natural disaster, other emergencies, and agriculture/food-
related international civil emergency planning and related activities.
    (viii) Act as the primary USDA representative for anti-terrorism 
activities.
    (ix) Develop and submit a coordinated budget request for homeland 
security requirements.
    (x) Provide guidance and direction regarding radiological emergency 
preparedness programs and the implementation of the National Response 
Framework's Nuclear/Radiological Incident Annex to Departmental staff 
offices, mission areas, and agencies.
    (xi) Provide program leadership and coordination for USDA's 
radiological emergency preparedness requirements with respect to 
Emergency Management and Assistance (44 CFR parts 350-352).
    (xii) Represent USDA on the Federal Radiological Preparedness 
Coordinating Committee (FRPCC) and Regional Assistance Committees (RACs) 
and assist them in carrying out their functions.
    (xiii) Support USDA in its management of the Department's emergency 
response program with respect to radiological emergency response 
activities.
    (xiv) Exercise responsibility for USDA response efforts when a spill 
of national significance is declared under the Oil Pollution Act of 
1990, as determined by the Assistant Secretary for Administration.
    (2) Provide for the personal security to the Secretary and the 
Deputy Secretary.
    (3) Serve as the primary point of contact for Government 
Accountability Office (GAO) and Office of the Inspector General (OIG) 
audits of USDA homeland security activities.
    (4) Coordinate interaction between Department agencies and private 
sector businesses and industries in emergency planning and public 
education under Department authorities delegated or assigned under the 
National Response Framework, National Infrastructure Protection Plan, 
Defense Production Act of 1950, 50 U.S.C. App. 2061, et seq., and Robert 
T. Stafford Disaster Relief and Emergency Assistance Act, 42 U.S.C. 
5121, et seq.
    (5) Oversee the Department's ability to collect and disseminate 
information

[[Page 320]]

and prepare for an agricultural disease emergency, agroterrorist act, or 
other threat to agricultural biosecurity, and coordinate such activities 
among agencies and offices within the Department (7 U.S.C. 8912).
    (6) Administer a funded competitive grant program to support the 
development and expansion of advanced training programs in agricultural 
biosecurity planning and response for food science professionals and 
veterinarians; administer a funded competitive grant and low-interest 
loan assistance program to assist States in assessing agricultural 
disease response capability (7 U.S.C. 8913).
    (7) Promulgate Departmental policies, standards, techniques, and 
procedures; and represent the Department in maintaining the security of 
physical facilities and providing security guidance to the Food and 
Agricultural Sector nationwide.
    (i) Lead and coordinate the development and maintenance of a mission 
critical facility inventory with agency involvement to ensure proper 
security countermeasures are implemented in the Department's most 
critical infrastructure.
    (ii) Provide guidance to USDA agencies in matters of physical 
security through use of physical security assessments and development of 
mitigation strategies.
    (iii) Provide guidance to USDA agencies and the Food and 
Agricultural Sector in matters of security through use of assessments 
and development of mitigation strategies.
    (iv) Represent and act as liaison for the Department in contacts 
with other Federal security entities and organizations, including the 
Interagency Security Committee and the Department of Homeland Security.
    (v) Provide guidance and direction to ensure physical security and 
agriculture/food security are fully integrated in USDA's security 
preparations, which are reported to and coordinated with the White 
House.
    (vi) Provide assistance to the USDA agencies in preparation for and 
during a disaster to identify critical assets and possible alternate 
storage locations.
    (vii) Conduct physical security investigations and compliance 
reviews Department-wide.
    (viii) Review and provide coordinated technical physical security 
assessments for all new construction of laboratories, data centers, 
germplasm repositories, and other mission critical infrastructure during 
the design phase, and all leased facilities prior to contract award.
    (ix) Oversee and manage physical security aspects of the Common 
Identification Card (LincPass) Program to ensure National Institute of 
Standards and Technology (NIST) and General Services Administration 
(GSA) compliancy within the National Capital Region and the physical 
access to USDA facilities.
    (x) Provide enterprise connectivity to agency physical access 
control systems that provide cost leveraging and provisioning/de-
provisioning nationwide.
    (8) Provide oversight and coordination of the development and 
administration of the Department Continuity Program. This includes:
    (i) Provide guidance and direction regarding continuity of 
operations to the Office of the Secretary, Departmental staff offices, 
mission areas, and agencies.
    (ii) Represent and act as liaison for the Department in contacts 
with other Federal entities and organizations concerning matters of 
assigned continuity program responsibilities.
    (iii) Oversee Department continuity of operations and emergency 
relocation facility planning, development, equipping, and preparedness 
to ensure that resources are in a constant state of readiness.
    (9) Provide for the development and administration of a Public Trust 
program for the safeguarding of national security information:
    (i) Direct and administer USDA's public trust program established 
pursuant to 5 CFR part 731 and Executive Order 13488, ``Granting 
Reciprocity on Excepted Service and Federal Contractor Employee Fitness 
and Reinvestigating Individuals in Positions of Public Trust'' (74 FR 
4111, Jan. 22, 2009).
    (ii) Direct and administer USDA's program under which information is

[[Page 321]]

safeguarded pursuant to Executive Order 13526, ``Classified National 
Security Information'' (75 FR 707, Jan. 5, 2010), or subsequent orders.
    (iii) Establish and maintain Information Security policies and 
procedures for classifying, declassifying, safeguarding, and disposing 
of classified national security information and materials.
    (iv) Investigate or delegate authority to investigate any potential 
compromises of classified national security information and take 
corrective action for violations or infractions under section 5.5 (b), 
of Executive Order 13526 or any subsequent order.
    (v) Develop and maintain oversight of all facilities throughout USDA 
where classified national security information is or will be 
safeguarded, discussed, or processed including sole authority to liaison 
with the Central Intelligence Agency concerning guidance, approval, 
requirements, and oversight of USDA secure facilities.
    (vi) Act as the USDA focal point to identify, receive, disseminate 
and safeguard USDA related intelligence information as required; convey 
information to USDA policy officials; and liaise with the intelligence 
community, as appropriate.
    (10) Control within USDA the acquisition, use, and disposal of 
material and equipment that can be a source of ionizing radiation.
    (i) Promulgate policies and procedures for ensuring the safety of 
USDA employees, the public, and the environment resulting from USDA's 
use of ionizing radiation sources.
    (ii) Maintain and ensure compliance with the Nuclear Regulatory 
Commission regulations (Title 10, Code of Federal Regulations) and 
license(s) issued to USDA for the acquisition, use, and disposal of 
radioactive materials.

[75 FR 43381, July 23, 2010, as amended at 80 FR 58339, Sept. 29, 2015]



Sec.  2.96  Director, Office of Operations.

    (a) Delegations. Pursuant to Sec.  2.24(a)(9), and with due 
deference for delegations to other Departmental Management officials, 
the following delegations of authority are made by the Assistant 
Secretary for Administration to the Director, Office of Operations:
    (1) Provide services relating to facilities management and daily 
operational support for agencies and offices occupying USDA's 
headquarters complex, George Washington Carver Center, and, in 
coordination with the General Services Administration (GSA), USDA leased 
facilities in the Washington, DC metropolitan area, as well as at 
emergency relocation sites and certain critical facilities specified by 
the Assistant Secretary for Administration in the following areas:
    (i) Acquiring, leasing, utilizing, constructing, maintaining, and 
disposing of real property, including control of space assignments, and 
architecture and engineering design oversight.
    (ii) Sustainable Operations leadership and management in the areas 
of internal energy efficiency, conservation and recycling in support of 
Executive Orders 13423, ``Strengthening Federal Environmental, Energy, 
and Transportation Management,'' 3 CFR, 2007 Comp., p. 193, and 13514, 
``Federal Leadership in Environmental, Energy, and Economic 
Performance'' (74 FR 52117, Oct. 8, 2009).
    (iii) Occupational health, safety, and related functions; and 
environmental compliance pursuant to Executive Order 12088, ``Federal 
Compliance with Pollution Control Standards,'' 3 CFR, 1978 Comp., p. 
243, to ensure actions are taken for the prevention, control, and 
abatement of environmental pollution.
    (2) Provide centralized Departmental business services including:
    (i) Printing, copy reproducing, offset composing, mail management 
and delivery, and automated mailing lists.
    (ii) USDA Nationwide mail management policy.
    (iii) Operation of a disability resource center for all USDA 
agencies in the Washington, DC metropolitan area and nationwide in the 
areas of accessible technologies and reasonable accommodations.
    (iv) General supplies, shipping and receiving, warehouse and labor 
services.
    (v) Operation of a USDA Consolidated Forms and Publications 
Distribution Center for storage and nationwide distribution of USDA 
program forms and publications.

[[Page 322]]

    (vi) Excess personal property operations with disposition 
responsibility for all USDA agencies in the Washington, DC metropolitan 
area.
    (vii) Operation of a GSA authorized Federal excess property Sales 
Center for USDA property and other government agencies in the 
Washington, DC metropolitan area via Memorandum of Understanding (MOU).
    (3) Promulgate Departmental regulations, standards, techniques, and 
procedures and represent the Department in managing and maintaining a 
comprehensive physical and technical security program including access 
control, management of special police officer and guard services, 
executive driving, parking, ID badging in accordance with HSPD-12, 
occupant emergency and warden services at the USDA Headquarters Complex, 
George Washington Carver Center and, in coordination with GSA, USDA 
leased facilities in the Washington, DC metropolitan area, as well as at 
emergency relocation sites and certain critical facilities specified by 
the Assistant Secretary for Administration.
    (4) Provide management and oversight of the Secretary's People's 
Garden initiative and the USDA Visitor's Center for education and 
outreach to USDA and the public.
    (5) Represent the Department in contacts with other organizations or 
agencies on matters related to assigned responsibilities.
    (6) Provide services, including travel support, conference 
management, and general administrative support including coordination of 
office renovations and moves (within USDA Whitten Building), with 
authority to take actions required by law or regulation to perform such 
services for:
    (i) The Secretary of Agriculture.
    (ii) The general officers of the Department, except the Inspector 
General.
    (iii) The offices and agencies reporting to the Assistant Secretary 
for Administration.
    (iv) The Office of the Assistant Secretary for Civil Rights.
    (v) Any other offices or agencies of the Department as may be 
agreed.
    (7) Prepare responses to requests under the Freedom of Information 
Act with authority to take actions as required by law or regulation for 
the office and agencies reporting to the Assistant Secretary for 
Administration.
    (8) Administer the records management program in support of 
Departmental Management, and prepare and coordinate responses to 
management audits by the Inspector General and the Government 
Accountability Office, with authority to take actions as required by law 
or regulation for the offices and agencies reporting to the Assistant 
Secretary for Administration.
    (b) [Reserved]

[75 FR 43381, July 23, 2010, as amended at 78 FR 40939, July 9, 2013; 80 
FR 38339, Sept. 29, 2015]



Sec.  2.97  Director, Office of the Executive Secretariat.

    (a) Delegations. Pursuant to Sec.  2.24(a)(10), and with due 
deference for delegations to other Departmental Management officials, 
the following delegations of authority are made by the Assistant 
Secretary for Administration to the Director, Office of the Executive 
Secretariat:
    (1) Exercise responsibility for all correspondence control and 
related records management functions for the Office of the Secretary.
    (2) Provide administrative, editorial, and project management 
support services to the Immediate Office of the Secretary.
    (b) [Reserved]



        Subpart Q_Delegations of Authority by the General Counsel



Sec.  2.200  Principal Deputy General Counsel.

    Pursuant to Sec.  2.31, the following delegation of authority is 
made by the General Counsel to the Principal Deputy General Counsel, to 
be exercised only during the absence or unavailability of the General 
Counsel: Perform all duties and exercise all powers that are now or 
which may hereafter be delegated to the General Counsel.

[78 FR 40940, July 9, 2013]



Sec.  2.201  Director, Office of Ethics.

    Pursuant to the Office of Government Ethics regulations at 5 CFR 
part

[[Page 323]]

2638, the Director, Office of Ethics, shall be the USDA Designated 
Agency Ethics Official with the authority to coordinate and manage the 
Department's ethics program as provided in part 2638.

[78 FR 40940, July 9, 2013]



Sec.  2.202  Deputy Director, Office of Ethics.

    Pursuant to the Office of Government Ethics regulations at 5 CFR 
part 2638, the Deputy Director, Office of Ethics, shall be the USDA 
Alternate Agency Ethics Official and shall exercise the authority 
reserved to the USDA Designated Agency Ethics Official as provided in 
part 2638 in the absence or unavailability of the USDA Designated Agency 
Ethics Official.

[78 FR 40940, July 9, 2013]



Subpart R_Delegations of Authority by the Assistant Secretary for Civil 
                                 Rights



Sec.  2.300  Deputy Assistant Secretary for Civil Rights.

    Pursuant to Sec.  2.25, the following delegation of authority is 
made by the Assistant Secretary for Civil Rights to the Deputy Assistant 
Secretary for Civil Rights, to be exercised only during the absence or 
unavailability of the Assistant Secretary: Perform all duties and 
exercise all powers, which are now or which may hereafter be delegated 
to the Assistant Secretary.

[77 FR 14954, Mar. 14, 2012]



   Subpart S_Delegations of Authority by the Chief Information Officer



Sec.  2.400  Deputy Chief Information Officer.

    Pursuant to Sec.  2.89, the following delegation of authority is 
made by the Chief Information Officer to the Deputy Chief Information 
Officer, to be exercised only during the absence or unavailability of 
the Chief Information Officer: Perform all duties and exercise all 
powers which are now or which may hereafter be delegated to the Chief 
Information Officer.

[75 FR 43393, July 23, 2010]



    Subpart T_Delegations of Authority by the Chief Financial Officer

    Source: 75 FR 43393, July 23, 2010, unless otherwise noted.



Sec.  2.500  Deputy Chief Financial Officer.

    Pursuant to Sec.  2.28, the following delegation of authority is 
made by the Chief Financial Officer to the Deputy Chief Financial 
Officer, to be exercised only during the absence or unavailability of 
the Chief Financial Officer: Perform all the duties and exercise all the 
powers which are now or which may hereafter be delegated to the Chief 
Financial Officer.

[79 FR 44117, July 30, 2014]



PART 3_DEBT MANAGEMENT--Table of Contents



                            Subpart A_General

Sec.
3.1 Purpose and scope.
3.2 Authority.
3.3 Definitions.
3.4 Delegations of authority.

Subpart B_Standards for the Administrative Collection and Compromise of 
                                 Claims

3.10 Aggressive agency collection activity.
3.11 Demand for payment.
3.12 Reporting of consumer debts.
3.13 Contracting with private collection contractors and with entities 
          that locate and recover unclaimed assets. [Reserved]
3.14 Suspension or revocation of eligibility for loans and loan 
          guarantees, licenses, permits, or privileges.
3.15 Liquidation of collateral.
3.16 Collection in installments.
3.17 Interest, penalties, and administrative costs.
3.18 Use and disclosure of mailing addresses.
3.19 Standards for the compromise of claims.
3.20 Standards for suspending or terminating collection activities.
3.21 Referrals of Debts to Justice.

                 Subpart C_Referral of Debts to Treasury

3.30 General requirements.
3.31 Mandatory referral for cross-servicing.
3.32 Discretionary referral for cross-servicing.
3.33 Required certification.
3.34 Fees.

[[Page 324]]

                     Subpart D_Administrative Offset

3.40 Scope.
3.41 Procedures for notification of intent to collect by administrative 
          offset.
3.42 Debtor rights to inspect or copy records, submit repayment 
          proposals, or request administrative review.
3.43 Non-centralized administrative offset.
3.44 Centralized administrative offset.
3.45 USDA payment authorizing agency offset of pro rata share of 
          payments due entity in which debtor participates.
3.46 Offset against tax refunds.
3.47 Offset against amounts payable from Civil Service Retirement and 
          Disability Fund.

                Subpart E_Administrative Wage Garnishment

3.50 Purpose.
3.51 Scope.
3.52 Definitions.
3.53 Procedures.

      Subpart F_Administrative Reviews for Administrative Offset, 
  Administrative Wage Garnishment, and Disclosure to Credit Reporting 
                                Agencies

3.60 Applicability.
3.61 Presiding employee.
3.62 Procedures.

                     Subpart G_Federal Salary Offset

3.70 Scope.
3.71 Definitions.
3.72 Coordinating offset with another Federal agency.
3.73 Determination of indebtedness.
3.74 Notice requirements before offset.
3.75 Request for a hearing.
3.76 Result if employee fails to meet deadlines.
3.77 Hearing.
3.78 Written decision following a hearing.
3.79 Review of USDA records related to the debt.
3.80 Written agreement to repay debts as alternative to salary offset.
3.81 Procedures for salary offset: when deductions may begin.
3.82 Procedures for salary offset: types of collection.
3.83 Procedures for salary offset: methods of collection.
3.84 Procedures for salary offset: imposition of interest, penalties, 
          and administrative costs.
3.85 Non-waiver of rights.
3.86 Refunds.
3.87 Agency regulations.

         Subpart H_Cooperation with the Internal Revenue Service

3.90 Reporting discharged debts to the Internal Revenue Service.

               Subpart I_Adjusted Civil Monetary Penalties

3.91 Adjusted civil monetary penalties.

    Authority: 5 U.S.C. 301; 31 U.S.C. 3701, 3711, 3716-18, 3720B; 31 
CFR parts 285 and 901-904.

    Source: 10 FR 807, Jan. 23, 1945, unless otherwise noted. 
Redesignated at 13 FR 6903, Nov. 24, 1948.



                            Subpart A_General

    Source: 73 FR 4, Jan. 2, 2008, unless otherwise noted.



Sec.  3.1  Purpose and scope.

    (a) In general. (1) The regulations in this part prescribe standards 
and procedures for use by USDA agencies in the collection, compromise, 
suspension, or termination of debts owed to the United States.
    (2) The regulations in this part apply to all debts of the United 
States subject to collection by USDA agencies, except as otherwise 
specified in this part or by statute.
    (3) The regulations in this part do not preclude the Secretary from 
collection, compromise, suspension, or termination of debts as otherwise 
authorized by law. In such cases the laws and implementing regulations 
that are specifically applicable to claims collection activities of a 
particular agency generally shall take precedence over this part.
    (b) Agency specific regulations. (1) The regulations of this part 
shall apply to the Commodity Credit Corporation to the extent specified 
in 7 CFR part 1403.
    (2) USDA agencies may issue regulations to supplement this part in 
order to meet the specific requirements of individual programs.
    (c) Inapplicability. The regulations of this part shall not apply 
to:
    (1) Collection of debts owed government travel card contractors by 
USDA employees;
    (2) Collection of debts owed by individual Food Stamp Program 
recipients for whom debt collection procedures are provided under 7 CFR 
273.18.

[[Page 325]]



Sec.  3.2  Authority.

    The regulations in this part are issued under the Debt Collection 
Act of 1982, as amended by the Debt Collection Improvement Act of 1996 
(DCIA) (31 U.S.C. 3701 et seq.) and the Federal Claims Collection 
Standards issued pursuant to the DCIA by Treasury and Justice (31 CFR 
parts 901-904) that prescribe government-wide standards for 
administrative collection, compromise, suspension, or termination of 
agency collection action, disclosure of debt information to credit 
reporting agencies, referral of claims to private collection contractors 
for resolution, and referral to Justice for litigation to collect debts 
owed the government. The regulations under this part also are issued 
under Treasury regulations implementing DCIA (31 CFR part 285) and 
related statutes and regulations governing the offset of Federal 
salaries (5 U.S.C. 5512 and 5514; 5 CFR part 550, subpart K) and 
administrative offset of tax refunds (31 U.S.C. 3720A).



Sec.  3.3  Definitions.

    For the purpose of this part, except as where otherwise specifically 
provided, the term or terms:
    Agency means a subagency, office, or corporation within USDA subject 
to the authority or general supervision of the Secretary.
    Centralized administrative offset means referral of a debt to the 
Treasury Offset Program (TOP) for offset of payments made to a debtor by 
Federal agencies other than USDA.
    Claim and debt are synonymous and interchangeable, and refer to an 
amount of money, funds, or property that has been determined by an 
agency official to be due the United States from any person, 
organization, or entity, except another Federal agency.
    Commercial debt means a debt arising out of a business activity.
    Consumer debt means a debt arising out of a personal activity.
    Contracting officer has the same meaning as in 41 U.S.C. 601.
    Credit reporting agencies (also known as credit bureaus) means major 
consumer credit reporting agencies that have signed agreements with 
agencies to receive and integrate credit information (data) from 
voluntary subscribers (Federal agencies and private sector entities) 
into their respective databases for the purpose of generating credit 
reports for sale to purchasers of credit data.
    Creditor agency means a Federal agency or USDA agency to which a 
debtor owes a debt, including a debt collection center when acting on 
behalf of a creditor agency in matters pertaining to collection of the 
debt.
    Day means calendar day unless otherwise specified.
    Debt collection center means Treasury or other government agency or 
division, designated by the Secretary of the Treasury with authority to 
collect debt on behalf of creditor agencies in accordance with 31 U.S.C. 
3711(g).
    Debtor means a person who owes a delinquent, nontax debt to the 
United States.
    Delinquent means a debt that has not been paid by the date specified 
in the agency's initial written demand for payment or applicable 
agreement or instrument (including a post-delinquency payment 
agreement), unless other satisfactory payment arrangements have been 
made, or as otherwise defined by program specific statutes or 
regulations.
    Federal agency means any other Department or entity within the 
Executive branch of the government.
    Government or Federal government means the government of the United 
States, unless otherwise specified.
    Internal administrative offset means a non-centralized 
administrative offset between a USDA creditor agency and a USDA payment 
authorizing agency.
    Justice means the United States Department of Justice.
    NAD means the USDA National Appeals Division.
    Non-centralized administrative offset means an agreement between a 
USDA creditor agency and a payment authorizing agency to offset the 
payments made by the payment authorizing agency to satisfy a USDA debt. 
An internal administrative offset is a type of non-centralized 
administrative offset.
    Offset means withholding funds payable by the United States to, or 
held by the United States for, a person to satisfy a debt owed by the 
payee.

[[Page 326]]

    OGC means the USDA Office of the General Counsel.
    Payee means a person who is due a payment from a payment authorizing 
agency, and includes a person who is entitled to all or part of a 
payment.
    Payment authorizing agency means a Federal agency or USDA agency 
that is authorized to disburse payments to a recipient.
    Person means an individual, corporation, partnership, association, 
organization, State or local government, or any other type of public or 
private entity other than a Federal agency.
    Recoupment means a special method for adjusting debts arising under 
the same transaction or occurrence, such as obligations arising under 
the same contract.
    Reviewing officer means a person designated by a creditor agency as 
responsible for conducting a hearing or providing documentary review on 
the existence of the debt and the propriety of an administrative 
collection action.
    Secretary means the Secretary of Agriculture, unless otherwise 
specified.
    Treasury means the United States Department of the Treasury.
    USDA means the United States Department of Agriculture.



Sec.  3.4  Delegations of authority.

    The head of an agency is authorized to exercise any or all of the 
functions provided by this part with respect to programs for which the 
head of the agency has delegated responsibility, and may delegate and 
authorize the redelegation of any of the functions vested in the head of 
the agency by this part, except as otherwise provided by this part.



Subpart B_Standards for the Administrative Collection and Compromise of 
                                 Claims

    Source: 73 FR 4, Jan. 2, 2008, unless otherwise noted.



Sec.  3.10  Aggressive agency collection activity.

    An agency shall aggressively collect all debts arising out of 
activities of, or referred or transferred for collection services to, 
that agency. Collection activities shall be undertaken promptly with 
follow-up action taken as necessary.



Sec.  3.11  Demand for payment.

    (a) Demand Letters. Generally, debt collection is initiated with a 
written demand for payment to the debtor unless an applicable agreement 
or instrument (including a post-delinquency payment agreement) provides 
otherwise (such as providing USDA an immediate right to collect upon 
delinquency). Written demand as described in paragraph (b) of this 
section shall be made promptly upon a debtor of the United States in 
terms that inform the debtor of the consequences of failing to cooperate 
with the agency to resolve the debt. The specific content, timing, and 
number of demand letters shall depend upon the type and amount of the 
debt and the debtor's response, if any, to the agency's letters or 
telephone calls. Where statutes or agency regulations are specific as to 
the requirements for demand letters, an agency shall follow its own 
procedures in formulating demand letters. Generally, one demand letter 
should suffice. In determining the timing of the demand letter(s), an 
agency shall give due regard to the need to refer debts promptly to 
Justice for litigation, in accordance with 31 CFR 904.1 or otherwise. 
When necessary to protect the government's interest (for example, to 
prevent the running of a statute of limitations), written demand may be 
preceded by other appropriate actions under this part, including 
immediate referral for litigation.
    (b) Required notices. In demand letters, the USDA creditor agency 
shall inform the debtor:
    (1) The nature and amount of the debt; and the facts giving rise to 
the debt;
    (2) How interest, penalties, and administrative costs are added to 
the debt, the date by which payment must be made to avoid such charges, 
and that such assessments must be made unless excused in accordance with 
Sec.  3.17;
    (3) The date by which payment should be made to avoid the enforced 
collection actions described in paragraph (b)(6) of this section;

[[Page 327]]

    (4) The willingness of the creditor agency to discuss alternative 
payment arrangements and how the debtor may enter into a written 
agreement to repay the debt under terms acceptable to the agency (see 
Sec.  3.16);
    (5) The name, address, telephone number and email address (optional) 
of a contact person or office within the creditor agency;
    (6) The intention of the creditor agency to enforce collection if 
the debtor fails to pay or otherwise resolve the debt, by taking one or 
more of the following actions:
    (i) Offset. Offset the debtor's USDA payments and refer the debtor's 
debt to TOP for offset against other Federal payments, including income 
tax refunds, in accordance with subpart D;
    (ii) Private collection agency. [Reserved]
    (iii) Credit reporting agency reporting. Report the debt to a credit 
reporting agency in accordance with Sec.  3.12;
    (iv) Administrative wage garnishment. Refer the debt to Treasury in 
accordance with subpart E for possible collection by garnishing the 
debtor's wages through administrative wage garnishment;
    (v) Litigation. Refer the debt to Justice in accordance with Sec.  
3.21 to initiate litigation to collect the debt;
    (vi) Referral to Treasury. Referral of the debt to Treasury for 
collection in accordance with subpart C of this part;
    (7) That USDA debts over 180 days delinquent must be referred to 
Treasury for the collection actions described in paragraph (b)(6) of 
this section;
    (8) How the debtor may inspect and copy records related to the debt;
    (9) How the debtor may request a review of the USDA creditor 
agency's determination that the debtor owes a debt and present evidence 
that the debt is not delinquent or legally enforceable (see subpart F of 
this part);
    (10) [Reserved]
    (11) How a debtor who is a Federal employee subject to Federal 
salary offset may request a hearing (see subpart G of this part);
    (12) How a debtor may request a waiver of the debt, if applicable;
    (13) How the debtor's spouse may claim his or her share of a joint 
income tax refund by filing Form 8379 with the Internal Revenue Service 
(see http://www.irs.gov);
    (14) How the debtor may exercise other statutory or regulatory 
rights and remedies available to the debtor;
    (15) That certain debtors may be ineligible for government loans, 
guarantees, and insurance (see Sec.  3.14);
    (16) If applicable, the creditor agency's intention to suspend or 
revoke licenses, permits, or privileges (see Sec.  3.14); and
    (17) That the debtor must advise the creditor agency of the filing 
of any bankruptcy proceedings of the debtor or of another person liable 
for the debt being collected.
    (c) Exceptions to notice requirements. A USDA creditor agency may 
omit from a demand letter one or more of the provisions contained in 
paragraphs (b)(6) through (b)(17) if the USDA creditor agency, in 
consultation with OGC, determines that any provision is not legally 
required given the collection remedies to be applied to a particular 
debt.
    (d) Agencies shall exercise care to ensure that demand letters are 
mailed or hand-delivered on the same day that they are dated. There is 
no prescribed format for demand letters. Agencies shall utilize demand 
letters and procedures that will lead to the earliest practicable 
determination of whether the debt can be resolved administratively or 
must be referred for litigation.
    (e) Agencies shall respond promptly to communications from debtors, 
within 30 days of receipt whenever feasible, and shall advise debtors 
who dispute debts to furnish available evidence to support their 
contentions.
    (f) Prior to the initiation of the demand process or at any time 
during or after completion of the demand process, if an agency 
determines to pursue, or is required to pursue, internal administrative 
offset, the procedures applicable to offset must be followed (see 
subpart D). The availability of funds or money for debt satisfaction by 
internal administrative offset, and the agency's determination to pursue 
collection by internal administrative offset, shall release the agency 
from the necessity of further compliance with paragraphs (a), (b), and 
(c) of this section.

[[Page 328]]

    (g) Prior to referring a debt for litigation under 31 CFR part 904, 
agencies shall advise each debtor determined to be liable for the debt 
that, unless the debt can be collected administratively, litigation may 
be initiated. This notification shall comply with Executive Order 12988 
(3 CFR, 1996 Comp., pp. 157-163) and may be given as part of a demand 
letter under paragraph (b) of this section or in a separate document. 
Litigation counsel for the government shall be advised that this notice 
has been given.
    (h) When an agency learns that a bankruptcy petition has been filed 
with respect to a debtor, before proceeding with further collection 
action, the agency shall immediately seek legal advice from OGC 
concerning the impact of the Bankruptcy Code on any pending or 
contemplated collection activities. Unless the agency is advised that 
the automatic stay imposed at the time of filing pursuant to 11 U.S.C. 
362 has been lifted or is no longer in effect, in most cases collection 
activity against the debtor must stop immediately. The agency should 
take the following steps:
    (1) After seeking legal advice, a proof of claim must be filed in 
most cases with the bankruptcy court or the Trustee. Agencies shall 
refer to the provisions of 11 U.S.C. 106 relating to the consequences on 
sovereign immunity of filing a proof of claim.
    (2) If the agency is a secured creditor, it may seek relief from the 
automatic stay regarding its security, subject to the provisions and 
requirements of 11 U.S.C. 362.
    (3) Offset is stayed in most cases by the automatic stay. However, 
agencies may seek legal advice from OGC to determine whether their 
payments to the debtor and payments of other agencies available for 
offset may be frozen by the agency until relief from the automatic stay 
can be obtained from the bankruptcy court. Agencies also may seek legal 
advice from OGC to determine whether recoupment is available.



Sec.  3.12  Reporting of consumer debts.

    (a) Notice. In demand letters to debtors sent in accordance with 
Sec.  3.11, agencies shall inform debtors:
    (1) The intent of the agency to report the delinquent consumer debt 
to credit reporting agencies after 60 days;
    (2) The specific information to be transmitted (i.e., name, address, 
and taxpayer identification number, information about the debt);
    (3) The actions which may be taken by the debtor to prevent the 
reporting (i.e., repayment in full or a repayment agreement); and
    (4) The rights of the debtor to seek review of the existence of the 
debt in accordance with subpart F.
    (b) Disclosure. Disclosure of delinquent consumer debts must be 
consistent with the requirements of 31 U.S.C. 3711(e), the Privacy Act 
of 1974 (5 U.S.C. 552a), the Bankruptcy Code, and 31 CFR 901.4.
    (c) Non-duplication of hearings. When an agency has given a debtor 
any of the notices required by this part and an opportunity for 
administrative review under subpart F, the agency need not duplicate 
such notice and review opportunities before reporting the delinquent 
debt to credit bureaus.
    (d) Stay of disclosure. Agencies shall not disclose a delinquent 
debt to a credit reporting agency if a debtor requests review under 
subpart F until a final determination is made by a reviewing official 
that upholds the agency intent to disclose.
    (e) Commercial debt. The requirement of this section does not apply 
to commercial debts, although agencies should report commercial debts to 
commercial credit bureaus.



Sec.  3.13  Contracting with private collection contractors and with 
entities that locate and recover unclaimed assets. [Reserved]



Sec.  3.14  Suspension or revocation of eligibility for loans and 
loan guarantees, licenses, permits, or privileges.

    (a) Agencies are not permitted to extend financial assistance in the 
form of a loan, loan guarantee, or loan insurance to any person 
delinquent on a nontax debt owed to a Federal agency, except as 
otherwise authorized by law or upon waiver of application of this 
section by the USDA Chief Financial Officer (CFO) or Deputy CFO. This 
prohibition does not apply to disaster loans. Agencies may extend credit 
after

[[Page 329]]

the delinquency has been resolved. The Secretary of the Treasury may 
exempt classes of debts from this prohibition and has prescribed 
standards defining when a ``delinquency'' is ``resolved'' for purposes 
of this prohibition. See 31 CFR 285.13 (Barring Delinquent Debtors From 
Obtaining Federal Loans or Loan Insurance or Guarantees).
    (b) Similarly, agencies also are not permitted to extend financial 
assistance (either directly or indirectly) in the form of grants, loans, 
or loan guarantees to judgment debtors who have a judgment lien placed 
against their property until the judgment is satisfied, unless the 
agency grants a waiver in accordance with agency regulations. See 31 
U.S.C. 3201(e).
    (c) In non-bankruptcy cases, agencies seeking the collection of 
statutory penalties, forfeitures, or other types of claims must consider 
the suspension or revocation of licenses, permits, or other privileges 
for any inexcusable or willful failure of a debtor to pay such a debt in 
accordance with the agency's regulations or governing procedures. The 
debtor shall be advised in the agency's written demand for payment of 
the agency's ability to suspend or revoke licenses, permits, or 
privileges.
    (d) Any agency making, guaranteeing, insuring, acquiring, or 
participating in, loans must consider suspending or disqualifying any 
lender, contractor, or broker from doing further business with the 
agency or engaging in programs sponsored by the agency if such lender, 
contractor, or broker fails to pay its debts to the government within a 
reasonable time or if such lender, contractor, or broker has been 
suspended, debarred, or disqualified from participation in a program or 
activity by another Federal agency. Failure to pay a single substantial 
debt, or a number of outstanding debts (including disallowed costs and 
overrun payments, but not including sums owed to the government under 
the Internal Revenue Code) owed to any Federal agency or instrumentality 
is grounds for nonprocurement suspension or debarment if the debt is 
uncontested and the debtor's legal administrative remedies for review of 
the debt are exhausted. See 7 CFR 3017.305(c)(3) and 405(a)(2).
    (e) The failure of any surety to honor its obligations in accordance 
with 31 U.S.C. 9305 shall be reported to Treasury. Treasury will forward 
to all interested agencies notification that a surety's certificate of 
authority to do business with the government has been revoked.
    (f) The suspension or revocation of licenses, permits, or privileges 
also may extend to USDA programs or activities that are administered by 
the States on behalf of the government, to the extent that they affect 
the government's ability to collect money or funds owed by debtors. 
Therefore, States that manage USDA activities, pursuant to approval from 
the agencies, shall ensure that appropriate steps are taken to safeguard 
against issuing licenses, permits, or privileges to debtors who fail to 
pay their debts to the government.
    (e) In bankruptcy cases, before advising the debtor of an agency's 
intention to suspend or revoke licenses, permits, or privileges, 
agencies may seek legal advice from OGC concerning the impact of the 
Bankruptcy Code, particularly 11 U.S.C. 362 and 525, which may restrict 
such action.



Sec.  3.15  Liquidation of collateral.

    (a) In accordance with applicable statutes and regulations, agencies 
may liquidate security or collateral through a sale or a nonjudicial 
foreclosure, and apply the proceeds to the applicable debt(s), if the 
debtor fails to pay the debt(s) within a reasonable time after demand 
and if such action is in the best interest of the United States. 
Collection from other sources, including liquidation of security or 
collateral, is not a prerequisite to requiring payment by a surety, 
insurer, or guarantor unless such action is expressly required by 
statute or contract.
    (b) When an agency learns that a bankruptcy petition has been filed 
with respect to a debtor, the agency may seek legal advice from OGC 
concerning the impact of the Bankruptcy Code, including, but not limited 
to, 11 U.S.C. 362, to determine the applicability of the automatic stay 
and the procedures for obtaining relief from such stay prior to 
proceeding under paragraph (a) of this section.

[[Page 330]]



Sec.  3.16  Collection in installments.

    (a) Whenever feasible, agencies shall collect the total amount of a 
debt in one lump sum. If a debtor is financially unable to pay a debt in 
one lump sum, agencies may accept payment in regular installments. 
Agencies shall obtain financial statements from debtors who represent 
that they are unable to pay in one lump sum and independently verify 
such representations whenever possible (see 31 CFR 902.2(g) for methods 
of verification). Agencies that agree to accept payments in regular 
installments shall obtain a legally enforceable written agreement from 
the debtor that specifies all terms of the arrangement and that contains 
a provision accelerating the debt in the event of default.
    (b) The size and frequency of installment payments shall bear a 
reasonable relation to the size of the debt and the debtor's ability to 
pay. If possible, the installment payments shall be sufficient in size 
and frequency to liquidate the debt in three years or less.
    (c) Security for deferred payments shall be obtained in appropriate 
cases. Agencies may accept installment payments notwithstanding the 
refusal of the debtor to execute a written agreement or to give 
security, at the agency's option.



Sec.  3.17  Interest, penalties, and administrative costs.

    (a) Except as provided in paragraphs (g) and (i) of this section, 
agencies shall charge interest, penalties, and administrative costs on 
debts owed to the United States pursuant to 31 U.S.C. 3717. If not 
included in the agency's demand notice, an agency shall mail or hand-
deliver a written notice to the debtor, at the debtor's most recent 
address available to the agency, explaining the agency's requirements 
concerning these charges except where these requirements are included in 
a contractual or repayment agreement. These charges shall continue to 
accrue until the debt is paid in full or otherwise resolved through 
compromise, termination, or waiver of the charges.
    (b) Agencies shall charge interest on debts owed the United States 
as follows, except as otherwise required by law:
    (1) Interest shall accrue from the date of delinquency, or as 
otherwise provided by law.
    (2) Unless otherwise established in a contract, repayment agreement, 
or by statute, the rate of interest charged shall be the rate 
established annually by the Secretary of the Treasury in accordance with 
31 U.S.C. 3717. Pursuant to 31 U.S.C. 3717, an agency may charge a 
higher rate of interest if it reasonably determines that a higher rate 
is necessary to protect the rights of the United States. The agency must 
document the reason(s) for its determination that the higher rate is 
necessary.
    (3) The rate of interest, as initially charged, shall remain fixed 
for the duration of the indebtedness. When a debtor defaults on a 
repayment agreement and seeks to enter into a new agreement, the agency 
may require payment of interest at a new rate that reflects the current 
value of funds to the Treasury at the time the new agreement is 
executed. Interest shall not be compounded, that is, interest shall not 
be charged on interest, penalties, or administrative costs required by 
this section. If, however, a debtor defaults on a previous repayment 
agreement, charges that accrued but were not collected under the 
defaulted agreement shall be added to the principal under the new 
repayment agreement.
    (c) Agencies shall assess administrative costs incurred for 
processing and handling delinquent debts. The calculation of 
administrative costs shall be based on actual costs incurred or upon 
estimated costs as determined by the assessing agency.
    (d) Unless otherwise established in a contract, repayment agreement, 
or by statute, agencies shall charge a penalty, pursuant to 31 U.S.C. 
3717(e)(2), not to exceed six percent a year on the amount due on a debt 
that is delinquent for more than 90 days. This charge shall accrue from 
the date of delinquency.
    (e) Agencies may increase an ``administrative debt'' by the cost of 
living adjustment in lieu of charging interest and penalties under this 
section. ``Administrative debt'' includes, but is not limited to, a debt 
based on fines, penalties, and overpayments, but does not

[[Page 331]]

include a debt based on the extension of government credit, such as 
those arising from loans and loan guarantees. The cost of living 
adjustment is the percentage by which the Consumer Price Index for the 
month of June of the calendar year preceding the adjustment exceeds the 
Consumer Price Index for the month of June of the calendar year in which 
the debt was determined or last adjusted. Increases to administrative 
debts shall be computed annually. Agencies may use this alternative only 
when there is a legitimate reason to do so, such as when calculating 
interest and penalties on a debt would be extremely difficult because of 
the age of the debt.
    (f) When a debt is paid in partial or installment payments, amounts 
received by the agency shall be applied first to outstanding penalties, 
second to administrative charges, third to interest, and last to 
principal, except as otherwise required by law.
    (g) Agencies shall waive the collection of interest and 
administrative charges imposed pursuant to this section (i.e., this does 
not apply to interest or administrative penalties determined by an 
applicable agreement or instrument such as a loan contract) on the 
portion of the debt that is paid within 30 days after the date on which 
interest began to accrue. Agencies may extend this 30-day period on a 
case-by-case basis. In addition, agencies may waive interest, penalties, 
and administrative costs charged under this section, in whole or in 
part, without regard to the amount of the debt, either under the 
criteria set forth in the Federal standards for the compromise of debts 
(31 CFR part 902), or if the agency determines that collection of these 
charges is against equity and good conscience or is not in the best 
interest of the United States.
    (h) [Reserved]
    (i) Agencies are authorized to impose interest and related charges 
on debts not subject to 31 U.S.C. 3717, in accordance with the common 
law. Agencies shall consult OGC before imposing interest and related 
charges under common law for any debt.



Sec.  3.18  Use and disclosure of mailing addresses.

    (a) When attempting to locate a debtor in order to collect or 
compromise a debt under this part or parts 902-904 of title 31 or other 
authority, agencies may send a request to Treasury to obtain a debtor's 
mailing address from the records of the Internal Revenue Service (IRS).
    (b) Agencies are authorized to use mailing addresses obtained under 
paragraph (a) of this section to enforce collection of a delinquent debt 
and may disclose such mailing addresses to other agencies and to 
collection agencies for collection purposes.



Sec.  3.19  Standards for the compromise of claims.

    An agency shall follow the standards set forth in 31 CFR part 902 
for the compromise of debts pursuant to 31 U.S.C. 3711 arising out of 
the activities of, or referred or transferred for collection services 
to, that agency, except where otherwise authorized or required by law.



Sec.  3.20  Standards for suspending or terminating collection activities.

    An agency shall follow the standards set forth in 31 CFR part 903 
for the suspension or termination of collection activity pursuant to 31 
U.S.C. 3711, except where otherwise authorized or required by law.



Sec.  3.21  Referrals of Debts to Justice.

    An agency shall promptly refer to Justice for litigation debts on 
which aggressive collection activity has been taken in accordance with 
this part, and that cannot be compromised by the agency or on which 
collection activity cannot be suspended or terminated in accordance with 
31 CFR parts 902 and 903. Agencies shall follow the procedures set forth 
in 31 CFR part 904 in making such referrals.



                 Subpart C_Referral of Debts to Treasury

    Source: 73 FR 4, Jan. 2, 2008, unless otherwise noted.

[[Page 332]]



Sec.  3.30  General requirements.

    (a) Agencies are required by law to transfer delinquent, nontax, 
legally enforceable debts to Treasury for collection through cross-
servicing and through centralized administrative offset. Additionally, 
USDA has chosen to transfer debts to Treasury for collection through 
administrative wage garnishment. Agencies need not make duplicate 
referrals to Treasury for all these purposes; a debt may be referred 
simultaneously for purposes of collection by cross-servicing, 
centralized administrative offset, and administrative wage garnishment 
where applicable. However, in some instances a debt exempt from 
collection via cross-servicing may be subject to collection by 
centralized administrative offset so simultaneous referrals are not 
always the norm. This subpart sets forth rules applicable to the 
transfer of debts to Treasury for collection by cross-servicing. Rules 
for transfer to Treasury for centralized administrative offset are set 
forth in subpart D, and for administrative wage garnishment in subpart 
E.
    (b) When debts are referred or transferred to Treasury, or Treasury-
designated debt collection centers under the authority of 31 U.S.C. 
3711(g), Treasury shall service, collect, or compromise the debts, or 
Treasury will suspend or terminate the collection action, in accordance 
with the statutory requirements and authorities applicable to the 
collection of such debts.



Sec.  3.31  Mandatory referral for cross-servicing.

    (a) Agencies shall transfer to Treasury any legally enforceable 
nontax debt in excess of $25, or combination of debts less than $25 that 
exceeds $25 (in the case of a debtor whose taxpayer identification 
number (TIN) is unknown the applicable threshold is $100), that has or 
have been delinquent for a period of 180 days in accordance with 31 CFR 
285.12 so that Treasury may take appropriate action on behalf of the 
creditor agency to collect or compromise, or to suspend or terminate 
collection, of the debt, including use of debt collection centers and 
private collection contractors to collect the debt or terminate 
collection action.
    (b) The requirement of paragraph (a) of this section does not apply 
to any debt that:
    (1) Is in litigation or foreclosure (see 31 CFR 385.12 (d)(2) for 
definition);
    (2) Will be disposed of under an approved asset sale program (see 31 
CFR 285.12(d)(3)(i) for definition);
    (3) Has been referred to a private collection contractor for a 
period of time acceptable to Treasury;
    (4) Is at a debt collection center for a period of time acceptable 
to Treasury;
    (5) Will be collected under internal offset procedures within three 
years after the debt first became delinquent;
    (6) Is exempt from this requirement based on a determination by the 
Secretary of the Treasury that exemption for a certain class of debt is 
in the best interest of the United States. Federal agencies may request 
that the Secretary of the Treasury exempt specific classes of debts. Any 
such request by an agency must be sent to the Fiscal Assistant Secretary 
of the Treasury by the USDA CFO.
    (c) A debt is considered 180 days delinquent for purposes of this 
section if it is 180 days past due and is legally enforceable. A debt is 
past due if it has not been paid by the date specified in the agency's 
initial written demand for payment or applicable agreement or instrument 
(including a post-delinquency payment agreement) unless other 
satisfactory payment arrangements have been made. A debt is legally 
enforceable if there has been a final agency determination that the 
debt, in the amount stated, is due and there are no legal bars to 
collection action. Where, for example, a debt is the subject of a 
pending administrative review process required by statute or regulation 
and collection action during the review process is prohibited, the debt 
is not considered legally enforceable for purposes of mandatory transfer 
to Treasury and is not to be transferred even if the debt is more than 
180 days past due. When a final agency determination is made after an 
administrative appeal or review process (including administrative review 
under subpart F), the creditor agency must transfer such debt to 
Treasury, if more than 180 days delinquent, within 30 days after the 
date of the final decision.

[[Page 333]]



Sec.  3.32  Discretionary referral for cross-servicing.

    Agencies shall consider referring legally enforceable nontax debts 
that are less than 180 days delinquent to Treasury or to Treasury-
designated ``debt collection centers'' in accordance with 31 CFR 285.12 
to accomplish efficient, cost effective debt collection if no USDA 
payments will be available to collect the debt through internal 
administrative offset under Sec.  3.43.



Sec.  3.33  Required certification.

    Agencies referring delinquent debts to Treasury for collection via 
cross-servicing must certify, in writing, that:
    (a) The debts being transferred are valid and legally enforceable;
    (b) There are no legal bars to collection; and
    (c) The agency has complied with all prerequisites to a particular 
collection action under the laws, regulations or policies applicable to 
the agency, unless the agency and Treasury agree that Treasury will do 
so on behalf of the agency.



Sec.  3.34  Fees.

    Federal agencies operating Treasury-designated debt collection 
centers are authorized to charge a fee for services rendered regarding 
referred or transferred debts. The fee may be paid out of amounts 
collected and may be added to the debt as an administrative cost.



                     Subpart D_Administrative Offset

    Source: 73 FR 4, Jan. 2, 2008, unless otherwise noted.



Sec.  3.40  Scope.

    (a) This subpart sets forth the procedures to be used by agencies in 
collecting debts by administrative offset. The term ``administrative 
offset'' has the meaning provided in 31 U.S.C. 3701(a)(1).
    (b) This section does not apply to:
    (1) Debts arising under the Social Security Act, except as provided 
in 42 U.S.C. 404;
    (2) Payments made under the Social Security Act, except as provided 
for in 31 U.S.C. 3716(c) (see 31 CFR 285.4, Federal Benefit Offset);
    (3) Debts arising under, or payments made under, the Internal 
Revenue Code (except for offset of tax refunds) or the tariff laws of 
the United States;
    (4) Offsets against Federal salaries (such offsets are covered by 
subpart F);
    (5) Offsets under 31 U.S.C. 3728 against a judgment obtained by a 
debtor against the United States;
    (6) Offsets or recoupments under common law, State law, or Federal 
statutes specifically prohibiting offsets or recoupments of particular 
types of debts;
    (7) Offsets in the course of judicial proceedings, including 
bankruptcy; or
    (8) Intracontractual offsets to satisfy contract debts taken by a 
contracting officer under the Contract Disputes Act, 41 U.S.C. 601-613.
    (c) Unless otherwise provided for by contract or law, debts or 
payments that are not subject to administrative offset under 31 U.S.C. 
3716 may be collected by administrative offset under the common law or 
other applicable statutory authority.
    (d) Supplemental provisions related to offsets by the Commodity 
Credit Corporation (CCC) may be found at 7 CFR part 1403 and for the 
Farm Service Agency at 7 CFR part 792.
    (e) Unless otherwise provided by law, administrative offset of 
payments under the authority of 31 U.S.C. 3716 to collect a debt may not 
be conducted more than 10 years after the government's right to collect 
the debt first accrued, unless facts material to the government's right 
to collect the debt were not known and could not reasonably have been 
known by the official or officials of the government who were charged 
with the responsibility to discover and collect such debts. This 
limitation does not apply to debts reduced to a judgment.
    (f) In bankruptcy cases, agencies may seek legal advice from OGC 
concerning the impact of the Bankruptcy Code, particularly 11 U.S.C. 
106, 362, and 553, on pending or contemplated collections by offset.

[[Page 334]]



Sec.  3.41  Procedures for notification of intent to collect by 
administrative offset.

    (a) Prior to initiation of collection by administrative offset, a 
creditor agency must:
    (1) Send the debtor a written Notice of Intent to Collect by 
Administrative Offset, by mail or hand-delivery, of the type and amount 
of the debt, the intention of the agency to use non-centralized 
administrative offset (which includes a USDA internal administrative 
offset) to collect the debt 30 days after the date of the Notice, the 
name of the Federal agency or USDA agency from which the creditor agency 
wishes to collect in the case of a non-centralized administrative 
offset, the intent to refer the debt to Treasury for collection through 
centralized administrative offset (including possible offset of tax 
refunds) 60 days after the date of the Notice if the debt is not 
satisfied by offset within USDA or by agreement with another Federal 
agency, and an explanation of the debtor's rights under 31 U.S.C. 3716; 
and
    (2) Give the debtor the opportunity:
    (i) To inspect and copy agency records related to the debt;
    (ii) For a review within the agency of the determination of 
indebtedness in accordance with subpart F; and
    (iii) To make a written agreement to repay the debt.
    (b) The procedures set forth in paragraph (a) of this section are 
not required when:
    (1) The offset is in the nature of a recoupment;
    (2) The debt arises under a contract subject to the Contracts 
Disputes Act;
    (3) In the case of a non-centralized administrative offset, the 
agency first learns of the existence of the amount owed by the debtor 
when there is insufficient time before payment would be made to the 
debtor/payee to allow for prior notice and an opportunity for review. 
When prior notice and an opportunity for review are omitted, the agency 
shall give the debtor such notice and an opportunity for review as soon 
as practicable and shall promptly refund any money ultimately found not 
to have been owed to the government; or
    (4) The agency previously has given a debtor any of the notice and 
review opportunities required under this part, with respect to a 
particular debt (see, e.g., Sec.  3.11). With respect to loans paid on 
an installment basis, notice and opportunity to review under this part 
may only be provided once for the life of the loan upon the occurrence 
of the first delinquent installment. Subsequently, if an agency elects 
this option, credit reporting agencies may be furnished periodically 
with updates as to the current or delinquent status of the loan account 
and the borrower may receive notice of referral to TOP for delinquent 
installments without further opportunity for review. Any interest 
accrued or any installments coming due after the offset is initiated 
also would not require a new notice and opportunity to review.
    (c) The Notice of Intent to Collect by Administrative Offset shall 
be included as part of a demand letter issued under Sec.  3.11 to advise 
the debtor of all debt collection possibilities that the agency will 
seek to employ.



Sec.  3.42  Debtor rights to inspect or copy records, submit repayment 
proposals, or request administrative review.

    (a) A debtor who intends to inspect or copy agency or USDA records 
with respect to the debt must notify the creditor agency in writing 
within 30 days of the date of the Notice of Intent to Collect by 
Administrative Offset. In response, the agency must notify the debtor of 
the location, time, and any other conditions, consistent with part 1, 
subpart A, of this title, for inspecting and copying, and that the 
debtor may be liable for reasonable copying expenses. A decision by the 
agency under this paragraph shall not be subject to review under subpart 
F or by NAD under 7 CFR part 11.
    (b) The debtor may, in response to the Notice of Intent to Collect 
by Administrative Offset, propose to the creditor agency a written 
agreement to repay the debt as an alternative to administrative offset. 
Any debtor who wishes to do this must submit a written proposal for 
repayment of the debt, which must be received by the creditor agency 
within 30 days of the date of the

[[Page 335]]

Notice of Intent to Collect by Administrative Offset or 15 days after 
the date of a decision adverse to the debtor under subpart F. In 
response, the creditor agency must notify the debtor in writing whether 
the proposed agreement is acceptable. In exercising its discretion, the 
creditor agency must balance the government's interest in collecting the 
debt against fairness to the debtor. A decision by the agency under this 
paragraph shall not be subject to review under subpart F or by NAD under 
7 CFR part 11.
    (c) A debtor must request an administrative review of the debt under 
subpart F within 30 days of the date of the Notice of Intent to Collect 
by Administrative Offset for purposes of a proposed collection by non-
centralized administrative offset and within 60 days of the date of the 
Notice of Intent to Collect by Administrative Offset for purposes of a 
proposed collection by referral to Treasury for offset against other 
Federal payments that would include tax refunds.



Sec.  3.43  Non-centralized administrative offset.

    (a) Scope. In cooperation with the Federal agency certifying or 
authorizing payments to the debtor, a creditor agency may make a request 
directly to a payment authorizing agency to offset a payment due a 
debtor to collect a delinquent debt from, for example, a Federal 
employee's lump sum payment upon leaving government service in order to 
pay an unpaid advance. Also, non-centralized administrative offsets 
include USDA internal administrative offsets, for example, of CCC 
payments to pay Farm Service Agency (FSA) delinquent debts. Unless 
prohibited by law, when centralized administrative offset is not 
available or appropriate, past due, legally enforceable nontax 
delinquent debts may be collected through non-centralized administrative 
offset.
    (b) Effectuation of offset. A non-centralized administrative offset 
may be effected 31 days after the date of the Notice of Intent to 
Collect by Administrative Offset, any time after the final determination 
in an administrative review conducted under subpart F upholds the 
creditor agency's decision to offset, or any time after the creditor 
agency notifies the debtor that its repayment proposal submitted under 
Sec.  3.42(c) is not acceptable if the 30-day period for the debtor to 
seek review of the Notice has expired, unless the creditor agency makes 
a determination under Sec.  3.41(b)(3) that immediate action to 
effectuate the offset is necessary.
    (c) Certification. A payment authorizing agency may conduct a non-
centralized administrative offset only after certification by a creditor 
agency that:
    (1) The debtor has been provided notice and opportunity for review 
as set forth in Sec.  3.41; and
    (2) The payment authorizing agency has received written 
certification from the creditor agency that the debtor owes the past 
due, legally enforceable delinquent debt in the amount stated, and that 
the creditor agency has fully complied with its regulations concerning 
administrative offset.
    (d) Responsibilities of payment authorizing agencies. Payment 
authorizing agencies shall comply with offset requests by creditor 
agencies to collect debts owed to the United States, unless the offset 
would not be in the best interests of the United States with respect to 
the program of the payment authorizing agency, or would otherwise be 
contrary to law. Appropriate use should be made of the cooperative 
efforts of other agencies in effecting collection by administrative 
offset.
    (e) Application of recovered amounts to satisfaction of debts. When 
collecting multiple debts by non-centralized administrative offset, 
agencies shall apply the recovered amounts to those debts in accordance 
with the best interests of the United States, as determined by the facts 
and circumstances of the particular case, particularly the applicable 
statute of limitations.



Sec.  3.44  Centralized administrative offset.

    (a) Mandatory referral. After the notice and review opportunity 
requirements of Sec.  3.41 are met, an agency shall refer debts which 
are over 180 days delinquent to Treasury for collection through 
centralized administrative offset 61 days after the date of the Notice 
of Intent to Collect by Administrative

[[Page 336]]

Offset provided in accordance with Sec.  3.41. If the debtor seeks 
review under subpart F, referral of the debt must occur within 30 days 
of the final decision upholding the agency decision to offset the debt 
if the debt is more than 180 days delinquent.
    (b) Discretionary referral. After the notice and review opportunity 
requirements of Sec.  3.41 are met, and administrative review under 
subpart F is not sought or is unsuccessful on the part of the debtor, an 
agency may refer a debt that is less than 180 days delinquent.
    (c) Procedures for referral. Agencies shall refer debts to Treasury 
for collection in accordance with Treasury procedures set forth in 31 
CFR part 285.5.
    (d) Payment authorizing agency responsibilities. (1) The names and 
TINs of debtors who owe debts referred to Treasury under this section 
shall be compared to the names and TINs on payments to be made by 
Federal disbursing officials. Federal disbursing officials include 
disbursing officials of Treasury, the Department of Defense, the United 
States Postal Service, other government corporations, and disbursing 
officials of the United States designated by Treasury. When the name and 
TIN of a debtor match the name and TIN of a payee and all other 
requirements for offset have been met, the payment authorizing agency 
must offset a payment to satisfy the debt.
    (2) Any USDA official serving as a Federal disbursing official for 
purposes of effecting centralized administrative offset under this 
section must notify a debtor/payee in writing that an offset has 
occurred to satisfy, in part or in full, a past due, legally enforceable 
delinquent debt. The notice must include the information set forth in 
paragraph (d)(4) of this section.
    (3) As described in 31 CFR 285.5(g)(1) and (2), any USDA official 
serving as a Federal disbursing official for purposes of centralized 
administrative offset under this section shall furnish a warning notice 
to a payee/debtor prior to beginning offset of recurring payments. Such 
warning notice shall include the information set forth in paragraph 
(d)(4) of this section.
    (4) The notice shall include a description of the type and amount of 
the payment from which the offset was taken, the amount of offset that 
was taken, the identity of the creditor agency requesting the offset, 
and a contact point within the creditor agency who will respond to 
questions regarding the offset.
    (5) The priorities for collecting multiple payments owed by a payee/
debtor shall be those set forth in 31 CFR 285.5(f)(3).



Sec.  3.45  USDA payment authorizing agency offset of pro rata share of 
payments due entity in which debtor participates.

    (a) A USDA payment authorizing agency, to satisfy either a non-
centralized or centralized administrative offset under Sec. Sec.  3.43 
and 3.44, may offset:
    (1) A debtor's pro rata share of USDA payments due any entity in 
which the debtor participates, either directly or indirectly, as 
determined by the creditor agency or the payment authorizing agency; or
    (2) USDA payments due any entity that the debtor has established, or 
reorganized, transferred ownership of, or changed in some other manner 
the operation of, for the purpose of avoiding payment on the claim or 
debt, as determined by the creditor agency or the payment authorizing 
agency.
    (b) Prior to exercising the authority of this section to offset any 
portion of a payment due an entity, the creditor agency must have 
provided notice to that entity in accordance with Sec.  3.41 of its 
intent to offset payments to the entity in satisfaction of the debt of 
an individual debtor participating in that entity.



Sec.  3.46  Offset against tax refunds.

    USDA will take action to effect administrative offset against tax 
refunds due to debtors under 26 U.S.C. 6402 in accordance with the 
provisions of 31 U.S.C. 3720A through referral for centralized 
administrative offset under Sec.  3.44.



Sec.  3.47  Offset against amounts payable from Civil Service 
Retirement and Disability Fund.

    Upon providing the Office of Personnel Management (OPM) written 
certification that a debtor has been afforded the procedures provided in 
Sec.  3.41, creditor agencies may request OPM to

[[Page 337]]

offset a debtor's anticipated or future benefit payments under the Civil 
Service Retirement and Disability Fund (Fund) in accordance with 
regulations codified at 5 CFR 831.1801 through 831.1808. Upon receipt of 
such a request, OPM will identify and ``flag'' a debtor's account in 
anticipation of the time when the debtor requests, or becomes eligible 
to receive, payments from the Fund. This will satisfy any requirement 
that offset be initiated prior to the expiration of the time limitations 
referenced in Sec.  3.40(e).



                Subpart E_Administrative Wage Garnishment

    Source: 73 FR 4, Jan. 2, 2008, unless otherwise noted.



Sec.  3.50  Purpose.

    This subpart provides USDA procedures for use of administrative wage 
garnishment to garnish a debtor's disposable pay to satisfy delinquent 
nontax debt owed to USDA creditor agencies.



Sec.  3.51  Scope.

    (a) This subpart applies to any agency that administers a program 
that gives rise to a delinquent nontax debt owed to the United States 
and to any agency that pursues recovery of such debt.
    (b) This subpart shall apply notwithstanding any provision of State 
law.
    (c) Nothing in this subpart precludes the compromise of a debt or 
the suspension or termination of collection action in accordance with 
the provisions of this part or other applicable law.
    (d) The receipt of payments pursuant to this subpart does not 
preclude an agency from pursuing other debt collection remedies under 
this part. An agency may pursue such debt collection remedies separately 
or in conjunction with administrative wage garnishment.
    (e) This subpart does not apply to the collection of delinquent 
nontax debt owed to the United States from the wages of Federal 
employees from their Federal employment. Federal pay is subject to the 
salary offset procedures of subpart G of this part.
    (f) Nothing in this subpart requires agencies to duplicate notices 
or administrative proceedings required by contract or other laws or 
regulations, or other provisions of this part.



Sec.  3.52  Definitions.

    As used in this subpart the following definitions shall apply:
    Disposable pay means that part of the debtor's compensation 
(including, but not limited to, salary, bonuses, commissions, and 
vacation pay) from an employer remaining after the deduction of health 
insurance premiums and any amounts required by law to be withheld. For 
purposes of this section, ``amounts required by law to be withheld'' 
include amounts for deductions such as social security taxes and 
withholding taxes, but do not include any amount withheld pursuant to a 
court order.
    Employer means a person or entity that employs the services of 
others and that pays their wages or salaries. The term employer 
includes, but is not limited to, State and local governments, but does 
not include an agency of the Federal government.
    Garnishment means the process of withholding amounts from an 
employee's disposable pay and the paying of those amounts to a creditor 
in satisfaction of a withholding order.
    Withholding order means any order for withholding or garnishment of 
pay issued by an agency, or judicial or administrative body. For 
purposes of this section, the terms ``wage garnishment order'' and 
``garnishment order'' have the same meaning as ``withholding order.''



Sec.  3.53  Procedures.

    (a) USDA has determined to pursue administrative wage garnishment of 
USDA debtors by referral of nontax legally enforceable debts to Treasury 
for issuance of garnishment orders by Treasury or its contractors.
    (b) Pursuant to Sec.  3.11, agencies must notify debtors of their 
intent to pursue garnishment of their disposable pay through referral of 
the debt to Treasury for issuance of an administrative wage garnishment 
order and provide debtors with the opportunity for review of the 
existence of the debt under

[[Page 338]]

subpart F within 60 days of the date of the demand letter.
    (c) Upon expiration of the 60-day period for review, or upon 
completion of a review under subpart F that upholds the agency's 
determination of the debt, USDA will transfer the debt for collection 
through administrative wage garnishment as well as other means through 
cross-servicing or centralized administrative offset.
    (d) If Treasury elects to pursue collection through administrative 
wage garnishment, Treasury, or its contractor, will notify the debtor of 
its intent to initiate garnishment proceedings and provide the debtor 
with the opportunity to inspect and copy agency records related to the 
debt, enter into a repayment agreement, or request a hearing as to the 
existence or amount of the debt or the terms of the proposed repayment 
schedule under the proposed garnishment order, in accordance with 31 CFR 
285.11.
    (e) If the debtor requests a hearing at any time, Treasury will 
forward the request to the USDA creditor agency to which the debt is 
owed, and the creditor agency will contact the Office of the CFO (OCFO) 
for selection of a hearing official. The issuance of proposed 
garnishment orders by Treasury shall not be subject to appeal to NAD 
under 7 CFR part 11. Hearings will be conducted in accordance with 31 
CFR 285.11(f).
    (f) OCFO shall provide a copy of the hearing official's final 
decision to Treasury for implementation with respect to the subject 
garnishment order.



      Subpart F_Administrative Reviews for Administrative Offset, 
  Administrative Wage Garnishment, and Disclosure to Credit Reporting 
                                Agencies

    Source: 73 FR 4, Jan. 2, 2008, unless otherwise noted.



Sec.  3.60  Applicability.

    (a) This section establishes consolidated administrative review 
procedures for debts subject to administrative offset, administrative 
wage garnishment, and disclosure to credit reporting agencies, under 
subparts D and E. A hearing or review under this section shall satisfy 
the required opportunity for administrative review by the agency of the 
determination of a debt for both administrative offset and 
administrative wage garnishment that is required before transfer to 
Treasury for collection or collection by the agency through non-
centralized administrative offset.
    (b) For debt collection proceedings initiated by FSA, CCC, the Rural 
Housing Service, the Rural Business-Cooperative Service, the Risk 
Management Agency, the Federal Crop Insurance Corporation, the Natural 
Resources Conservation Service, Rural Development, and the Rural 
Utilities Service (but not for programs authorized by the Rural 
Electrification Act of 1936 or the Rural Telephone Bank Act, 7 U.S.C. 
901 et seq.), unless otherwise specified, any administrative review will 
be conducted by NAD in accordance with 7 CFR part 11 and not the 
procedures of this subpart.



Sec.  3.61  Presiding employee.

    An agency reviewing officer may be an agency employee, or the agency 
may provide for reviews to be done by another agency through an 
interagency agreement. No agency employee may act as a reviewing officer 
for the consideration of collection by administrative offset in a matter 
for which the employee was a contracting officer or a debt management 
officer.



Sec.  3.62  Procedures.

    (a) A debtor who receives a Notice of Intent to Collect by 
Administrative Offset, Notice of Disclosure to Credit Reporting 
Agencies, or Notice of Intent to Collect by Administrative Wage 
Garnishment, or more than one of the above simultaneously, may request 
administrative review of the agency's determination that the debt exists 
and the amount of the debt. Any debtor who wishes to do this must submit 
a written explanation of why the debtor disagrees and seeks review. The 
request must be received by the creditor agency within 60 days of the 
date of the notice in the case of a Notice of Intent to Collect by 
Administrative Offset that includes referral to Treasury for offset

[[Page 339]]

against other Federal payments including tax refunds and 30 days in the 
case of all other notices.
    (b) In response, the creditor agency must notify the debtor in 
writing whether the review will be by documentary review or by hearing. 
An oral hearing is not necessary with respect to debt collection systems 
in which a determination of indebtedness rarely involves issues of 
credibility or veracity and the agency has determined that review of the 
written record is ordinarily an adequate means to correct prior 
mistakes. The agency shall provide the debtor with a reasonable 
opportunity for an oral hearing when the debtor requests reconsideration 
of the debt and the agency determines that the question of the 
indebtedness cannot be resolved by review of the documentary evidence, 
for example, when the validity of the debt turns on an issue of 
credibility or veracity. If the debtor requests a hearing, and the 
creditor agency decides to conduct a documentary review, the agency must 
notify the debtor of the reason why a hearing will not be granted. The 
agency must also advise the debtor of the procedures to be used in 
reviewing the documentary record, or of the date, location and 
procedures to be used if review is by a hearing.
    (c) An oral hearing may, at the debtor's option, be conducted either 
in-person or by telephone conference. All travel expenses incurred by 
the debtor in connection with an in-person hearing will be borne by the 
debtor. All telephonic charges incurred during the hearing will be the 
responsibility of the agency.
    (d) After the debtor requests a hearing, the hearing official shall 
notify the debtor of:
    (1) The date and time of a telephonic hearing;
    (2) The date, time, and location of an in-person oral hearing; or
    (3) The deadline for the submission of evidence for a documentary 
review.
    (e) Unless otherwise arranged by mutual agreement between the debtor 
and the agency, evidenced in writing, any documentary review or hearing 
will be conducted not less than 10 days and no more than 45 days after 
receipt of the request for review.
    (f) Unless otherwise arranged by mutual agreement between the debtor 
and the agency, evidenced in writing, a documentary review or hearing 
will be based on agency records plus other relevant documentary evidence 
which may be submitted by the debtor within 10 days after the request 
for review is received.
    (g)(1) Hearings. Hearings will be as informal as possible, and will 
be conducted by a reviewing officer in a fair and expeditious manner. 
The reviewing officer need not use the formal rules of evidence with 
regard to the admissibility of evidence or the use of evidence once 
admitted. However, clearly irrelevant material should not be admitted, 
whether or not any party objects. Any party to the hearing may offer 
exhibits, such as copies of financial records, telephone memoranda, or 
agreements, provided the opposing party is notified at least five days 
before the hearing.
    (2) Burden of proof. (i) The agency will have the burden of going 
forward to prove the existence or amount of the debt.
    (ii) Thereafter, if the debtor disputes the existence or amount of 
the debt, the debtor must prove by a preponderance of the evidence that 
no debt exists or that the amount of the debt is incorrect. In addition, 
the debtor may present evidence that repayment would cause a financial 
hardship to the debtor or that collection of the debt may not be pursued 
due to operation of law
    (3) Witnesses must testify under oath or affirmation.
    (4) Debtors may represent themselves or may be represented at their 
own expense by an attorney or other person.
    (5) The substance of all significant matters discussed at the 
hearing must be recorded. No official record or transcript of the 
hearing need be created, but if a debtor requested that a transcript be 
made, it will be at the debtor's expense.
    (h) In the absence of good cause shown, a debtor who fails to appear 
at a hearing scheduled pursuant to paragraph (f)(4) of this section will 
be deemed as not having timely filed a request for a hearing.
    (i)(1) Within no more than 30 days after the hearing or receipt of 
documentation for the documentary review,

[[Page 340]]

the reviewing officer will issue a written decision to the debtor and 
the agency, including the supporting rationale for the decision. The 
deadline for issuance of the decision may be extended by the reviewing 
officer for good cause for no more than 30 days.
    (2) The written decision shall include:
    (i) A summary of the facts presented;
    (ii) The hearing official's findings, analysis and conclusions; and
    (iii) Resolution of any significant procedural matter which was in 
dispute before or during the hearing or documentary review.
    (3) The reviewing officer's decision constitutes final agency action 
for purposes of judicial review under the Administrative Procedure Act 
(5 U.S.C. 701 et seq.) as to the following issues:
    (i) All issues of fact relating to the basis of the debt (including 
the existence of the debt and the propriety of administrative offset), 
in cases where the debtor previously had not been afforded due process; 
and
    (ii) The existence of the debt and the propriety of administrative 
offset, in cases where the debtor previously had been afforded due 
process as to issues of fact relating to the basis of the debt.
    (j) The reviewing officer will promptly distribute copies of the 
decision to the USDA CFO, the agency CFO (if any), the agency debt 
management officer, the debtor, and the debtor's representative, if any.



                     Subpart G_Federal Salary Offset

    Authority : 5 U.S.C. 5514; 5 CFR part 550, subpart K.

    Source: 73 FR 4, Jan. 2, 2008, unless otherwise noted.



Sec.  3.70  Scope.

    (a) The provisions of this subpart set forth USDA procedures for the 
collection of a Federal employee's pay by salary offset to satisfy 
certain valid and past due debts owed the government.
    (b) These regulations apply to:
    (1) Current USDA employees and employees of other agencies who owe 
debts to USDA; and
    (2) Current USDA employees who owe debts to other agencies.
    (c) These regulations do not apply to debts owed by FSA county 
executive directors or county office employees. Salaries of those 
employees are subject to administrative offset as provided in 7 CFR part 
792 or part 1403.
    (d) These regulations do not apply to debts or claims arising under 
the Internal Revenue Code of 1954 (26 U.S.C. 1 et seq.); the tariff laws 
of the United States; or to any case where collection of a debt by 
salary offset is explicitly provided for or prohibited by another 
statute (e.g. travel advances in 5 U.S.C. 5705 or employee training 
expense in 5 U.S.C. 4108).
    (e) These regulations identify the types of salary offset available 
to USDA, as well as certain rights provided to the employee, which 
include a written notice before deductions begin and the opportunity to 
petition for a hearing and to receive a written decision if a hearing is 
granted. The rights provided by this section do not extend to:
    (1) Any adjustment to pay arising out of an employee's election of 
coverage or a change in coverage under a Federal benefits program 
requiring periodic deductions from pay, if the amount to be recovered 
was accumulated over four pay periods or less;
    (2) A routine intra-agency adjustment of pay that is made to correct 
an overpayment of pay attributable to clerical or administrative errors 
or delays in processing pay documents, if the overpayment occurred 
within the four pay periods preceding the adjustment and, at the time of 
such adjustment, or as soon thereafter as practical, the individual is 
provided written notice of the nature and the amount of the adjustment 
and point of contact for contesting such adjustment; or
    (3) Any adjustment to collect a debt amounting to $50 or less, if, 
at the time of such adjustment, or as soon thereafter as practical, the 
individual is provided written notice of the nature and the amount of 
the adjustment and a point of contact for contesting such adjustment.
    (f) These regulations do not preclude an employee from:
    (1) Requesting waiver of an erroneous overpayment under 5 U.S.C. 
5584, 10 U.S.C. 2774, or 32 U.S.C. 716;

[[Page 341]]

    (2) Requesting waiver of any other type of debt, if waiver is 
available by statute; or
    (3) Questioning the amount or validity of a debt, in the manner 
prescribed by this part.
    (g) Nothing in these regulations precludes the compromise, 
suspension or termination of collection actions where appropriate under 
USDA regulations contained elsewhere.



Sec.  3.71  Definitions.

    As used in this subpart the following definitions shall apply:
    Agency means an executive department or agency; a military 
department; the United States Postal Service; the Postal Rate 
Commission; the United States Senate; the United States House of 
Representatives; any court, court administrative office, or 
instrumentality in the judicial or legislative branches of the 
government; or a government corporation.
    Debt means:
    (1) An amount owed to the United States from sources which include, 
but are not limited to, insured or guaranteed loans, fees, leases, 
rents, royalties, services, sales of real or personal property, 
overpayments, penalties, damages, interest, fines and forfeitures 
(except those arising under the Uniform Code of Military Justice).
    (2) An amount owed to the United States by an employee for pecuniary 
losses where the employee has been determined to be liable due to his or 
her negligent, willful, unauthorized or illegal acts, including but not 
limited to:
    (i) Theft, misuse, or loss of government funds;
    (ii) False claims for services and travel;
    (iii) Illegal, unauthorized obligations and expenditures of 
government appropriations;
    (iv) Using or authorizing the use of government-owned or leased 
equipment, facilities, supplies, and services for other than official or 
approved purposes;
    (v) Lost, stolen, damaged, or destroyed government property;
    (vi) Erroneous entries on accounting records or reports; and
    (vii) Deliberate failure to provide physical security and control 
procedures for accountable officers, if such failure is determined to be 
the proximate cause for a loss of government funds.
    Disposable pay means that part of current basic pay, special pay, 
incentive pay, retired pay, retainer pay, or in the case of an employee 
not entitled to basic pay, other authorized pay remaining after the 
deduction of any amount required by law to be withheld (other than 
deductions to execute garnishment orders in accordance with 5 CFR parts 
581 and 582). Among the legally required deductions that must be applied 
first to determine disposable pay are levies pursuant to the Internal 
Revenue Code (title 26, United States Code) and deductions described in 
section 581.105(b) through (f) of part 5 of this title.
    Employee means a current employee of an agency, including a current 
member of the Armed Forces or a Reserve of the Armed Forces, but does 
not include a FSA county executive director or county office employee.
    Hearing official means a USDA administrative law judge or some other 
individual not under the control of the Secretary.
    Salary offset means a reduction of a debt by offset(s) from the 
disposable pay of an employee without his or her consent.
    Waiver means the cancellation, remission, forgiveness, or non-
recovery of a debt owed by an employee to an agency as permitted or 
required by 5 U.S.C. 5584, 10 U.S.C. 2774, or 32 U.S.C. 716, 5 U.S.C. 
8346(b) or any other law.



Sec.  3.72  Coordinating offset with another Federal agency.

    (a) When USDA is owed the debt. When USDA is owed a debt by an 
employee of another agency, the other agency shall not initiate the 
requested offset until USDA provides the agency with a written 
certification that the debtor owes USDA a debt (including the amount and 
basis of the debt and the due date of the payment) and that USDA has 
complied with these regulations.
    (b) When another agency is owed the debt. USDA may use salary offset 
against one of its employees who is indebted to another agency, if 
requested to do so by that agency. Such a request

[[Page 342]]

must be accompanied by a certification by the requesting agency that the 
person owes the debt (including the amount and basis of the debt and the 
due date of the payment) and that the agency has complied with its 
regulations required by 5 U.S.C. 5514 and 5 CFR part 550, subpart K.
    (c) Mandatory centralized administrative offset. Debts may be 
referred to Treasury under Sec.  3.44 for collection through salary 
offset in accordance with 31 CFR 285.7.



Sec.  3.73  Determination of indebtedness.

    (a) In determining that an employee is indebted to USDA and that 31 
CFR parts 900 through 904 have been satisfied and that salary offset is 
appropriate, USDA will review the debt to make sure that it is valid and 
past due.
    (b) If USDA determines that any of the requirements of paragraph (a) 
of this section have not been met, no determination of indebtedness 
shall be made and salary offset will not proceed until USDA is assured 
that the requirements have been met.



Sec.  3.74  Notice requirements before offset.

    Except as provided in paragraph (b) of this section, salary offset 
will not be made unless USDA first provides the employee with a minimum 
of 30 days written notice. This Notice of Intent to Offset Salary will 
state:
    (a) That USDA has reviewed the records relating to the debt and has 
determined that a debt is owed, the amount of the debt, and the facts 
giving rise to the debt;
    (b) USDA's intention to collect the debt by means of deduction from 
the employee's current disposable pay until the debt and all accumulated 
interest are paid in full;
    (c) The approximate beginning date, frequency, and amount of the 
intended deduction (stated as a fixed dollar amount or as a percentage 
of pay, not to exceed 15 percent of disposable pay) and; and the 
intention to continue the deductions until the debt is paid in full or 
otherwise resolved;
    (d) An explanation of USDA requirements concerning interest, 
penalties and administrative costs; unless such payments are waived in 
accordance with 31 U.S.C. 3717 and Sec.  3.17;
    (e) The employee's right to inspect and copy USDA records relating 
to the debt;
    (f) The employee's right to enter into a written agreement with USDA 
for a repayment schedule differing from that proposed by USDA, so long 
as the terms of the repayment schedule proposed by the employee are 
agreeable to USDA;
    (g) The employee's right to a hearing conducted by a hearing 
official on USDA's determination of the debt, the amount of the debt, or 
percentage of disposable pay to be deducted each pay period, so long as 
a petition is filed by the employee as prescribed by USDA;
    (h) That the timely filing of a petition for hearing will stay the 
collection proceedings;
    (i) That a final decision on the hearing will be issued at the 
earliest practical date, but not later than 60 days after the filing of 
the petition requesting the hearing, unless the employee requests, and 
the hearing officer grants, a delay in the proceedings;
    (j) That any knowingly false or frivolous statements, 
representations, or evidence may subject the employee to:
    (1) Disciplinary procedures appropriate under 5 U.S.C. chapter 75, 5 
CFR part 752, or any other applicable statutes or regulations;
    (2) Penalties under the False Claims Act, 31 U.S.C. 3729-3731, or 
any other applicable statutory authority; or
    (3) Criminal penalties under 18 U.S.C. 286, 287, 1001, and 1002 or 
any other applicable statutory authority;
    (k) Any other rights and remedies available to the employee under 
statutes or regulations governing the program for which the collection 
is being made;
    (l) That amounts paid on or deducted for the debt which are later 
waived or found not owed to the United States will be promptly refunded 
to the employee, unless there are applicable contractual or statutory 
provisions to the contrary;
    (m) The method and time period for requesting a hearing; and
    (n) The name and address of an official of USDA to whom 
communications must be directed.

[[Page 343]]



Sec.  3.75  Request for a hearing.

    (a) Except as provided in paragraph (c) of this section, an employee 
must file a petition for a hearing that is received by USDA not later 
than 30 days from the date of the USDA notice described in Sec.  3.74, 
if an employee wants a hearing concerning:
    (1) The existence or amount of the debt; or
    (2) USDA's proposed offset schedule (including percentage).
    (b) The petition must be signed by the employee and must identify 
and explain with reasonable specificity and brevity the facts, evidence 
and witnesses which the employee believes support his or her position. 
If the employee objects to the percentage of disposable pay to be 
deducted from each check, the petition must state the objection and the 
reasons for it.
    (c) If the employee files a petition for a hearing later than the 30 
days as described in paragraph (a) of this section, the hearing officer 
may accept the request if the employee can show that the delay was 
because of circumstances beyond his or her control or because of failure 
to receive notice of the filing deadline (unless the employee has actual 
notice of the filing deadline).



Sec.  3.76  Result if employee fails to meet deadlines.

    An employee will not be granted a hearing and will have his or her 
disposable pay offset in accordance with USDA's offset schedule if the 
employee:
    (a) Fails to file a petition for a hearing as prescribed in Sec.  
3.75; or
    (b) Is scheduled to appear and fails to appear at the hearing.



Sec.  3.77  Hearing.

    (a) If an employee timely files a petition for a hearing under 
section 3.75, USDA shall select the time, date, and location for the 
hearing.
    (b)(1) Hearings shall be conducted by the hearing official 
designated in accordance with 5 CFR 550.1107; and
    (2) Rules of evidence shall not be adhered to, but the hearing 
official shall consider all evidence that he or she determines to be 
relevant to the debt that is the subject of the hearing and weigh it 
accordingly, given all of the facts and circumstances surrounding the 
debt.
    (c) USDA will have the burden of going forward to prove the 
existence of the debt.
    (d) The employee requesting the hearing shall bear the ultimate 
burden of proof.
    (e) The evidence presented by the employee must prove that no debt 
exists or cast sufficient doubt such that reasonable minds could differ 
as to the existence of the debt.



Sec.  3.78  Written decision following a hearing.

    Written decisions provided after a hearing will include:
    (a) A statement of the facts presented at the hearing to support the 
nature and origin of the alleged debt and those presented to refute the 
debt;
    (b) The hearing officer's analysis, findings, and conclusions, 
considering all the evidence presented and the respective burdens of the 
parties, in light of the hearing;
    (c) The amount and validity of the alleged debt determined as a 
result of the hearing;
    (d) The payment schedule (including percentage of disposable pay), 
if applicable;
    (e) The determination that the amount of the debt at this hearing is 
the final agency action on this matter regarding the existence and 
amount of the debt for purposes of executing salary offset under 5 
U.S.C. 5514. However, even if the hearing official determines that a 
debt may not be collected by salary offset, but the creditor agency 
finds that the debt is still valid, the creditor agency may still seek 
collection of the debt by other means authorized by this part; and
    (f) Notice that the final determination by the hearing official 
regarding the existence and amount of a debt is subject to referral to 
Treasury under Sec.  3.33 in the same manner as any other delinquent 
debt.



Sec.  3.79  Review of USDA records related to the debt.

    (a) Notification by employee. An employee who intends to inspect or 
copy USDA records related to the debt must send a letter to USDA stating 
his or

[[Page 344]]

her intention. The letter must be received by USDA within 30 days of the 
date of the Notice of Intent to Offset Salary.
    (b) USDA response. In response to the timely notice submitted by the 
debtor as described in paragraph (a) of this section, USDA will notify 
the employee of the location and time when the employee may inspect and 
copy USDA records related to the debt.



Sec.  3.80  Written agreement to repay debts as alternative to salary offset.

    (a) Notification by employee. The employee may propose, in response 
to a Notice of Intent to Offset Salary, a written agreement to repay the 
debt as an alternative to salary offset. Any employee who wishes to do 
this must submit a proposed written agreement to repay the debt that is 
received by USDA within 30 days of the date of the Notice of Intent to 
Offset Salary or 15 days after the date of a hearing decision issued 
under Sec.  3.78.
    (b) USDA response. USDA will notify the employee whether the 
employee's proposed written agreement for repayment is acceptable. USDA 
may accept a repayment agreement instead of proceeding by offset. In 
making this determination, USDA will balance the USDA interest in 
collecting the debt against hardship to the employee. If the debt is 
delinquent and the employee has not disputed its existence or amount, 
USDA will accept a repayment agreement, instead of offset, for good 
cause such as, if the employee is able to establish that offset would 
result in undue financial hardship or would be against equity and good 
conscience.



Sec.  3.81  Procedures for salary offset: when deductions may begin.

    (a) Deductions to liquidate an employee's debt will be by the method 
and in the amount stated in USDA's Notice of Intent to Offset Salary to 
collect from the employee's current pay.
    (b) If the employee filed a petition for a hearing with USDA before 
the expiration of the period provided for in Sec.  3.75, then deductions 
will begin after the hearing officer has provided the employee with a 
hearing, and a final written decision has been rendered in favor of 
USDA.
    (c) If an employee retires or resigns before collection of the 
amount of the indebtedness is completed, the remaining indebtedness will 
be collected according to the procedures for administrative offset (see 
subpart D of this part).



Sec.  3.82  Procedures for salary offset: types of collection.

    A debt will be collected in a lump-sum or in installments. 
Collection will be by lump-sum collection unless the employee is 
financially unable to pay in one lump-sum, or if the amount of the debt 
exceeds 15 percent of disposable pay for an ordinary pay period. In 
these cases, deduction will be by installments, as set forth in Sec.  
3.83.



Sec.  3.83  Procedures for salary offset: methods of collection.

    (a) General. A debt will be collected by deductions at officially-
established pay intervals from an employee's current pay account, unless 
the employee and USDA agree to alternative arrangements for repayment 
under Sec.  3.80.
    (b) Installment deductions. Installment deductions will be made over 
a period not greater than the anticipated period of employment. The size 
and frequency of installment deductions will bear a reasonable relation 
to the size of the debt and the employee's ability to pay. However, the 
amount deducted for any period will not exceed 15 percent of the 
disposable pay from which the deduction is made, unless the employee has 
agreed in writing to the deduction of a greater amount. If possible, the 
installment payment will be sufficient in size and frequency to 
liquidate the debt in no more than three years. Installment payments of 
less than $25 per pay period or $50 a month will be accepted only in the 
most unusual circumstances.
    (c) Sources of deductions. USDA will make deductions only from basic 
pay, special pay, incentive pay, retired pay, retainer pay, or in the 
case of an employee not entitled to basic pay, other authorized pay.

[[Page 345]]



Sec.  3.84  Procedures for salary offset: Imposition of interest, 
penalties, and administrative costs.

    Interest, penalties and administrative costs will be charged in 
accordance with Sec.  3.17.



Sec.  3.85  Non-waiver of rights.

    So long as there are no statutory or contractual provisions to the 
contrary, no employee payment (or all or portion of a debt) collected 
under these regulations will be interpreted as a waiver of any rights 
that the employee may have under 5 U.S.C. 5514.



Sec.  3.86  Refunds.

    USDA will refund promptly to the appropriate individual amounts 
offset under these regulations when:
    (a) A debt is waived or otherwise found not owed to the United 
States (unless expressly prohibited by statute or regulation); or
    (b) USDA is directed by an administrative or judicial order to 
refund amounts deducted from the employee's current pay.



Sec.  3.87  Agency regulations.

    USDA agencies may issue regulations or policies not inconsistent 
with OPM regulations (5 CFR part 550, subpart K) and regulations in this 
subpart governing the collection of a debt by salary offset.



         Subpart H_Cooperation With the Internal Revenue Service

    Authority: 26 U.S.C. 61; 31 U.S.C. 3720A; I TFRM 4055.50.



Sec.  3.90  Reporting discharged debts to the Internal Revenue Service.

    When USDA discharges a debt, whether for the full value or less, it 
will report the discharge to the Internal Revenue Service (IRS) in 
accordance with current IRS instructions.

[73 FR 4, Jan. 2, 2008]



               Subpart I_Adjusted Civil Monetary Penalties

    Authority: 28 U.S.C. 2461 note.



Sec.  3.91  Adjusted civil monetary penalties.

    (a) In general. (1) Adjustments. The Secretary will adjust the civil 
monetary penalties, listed in paragraph (b) of this section, to take 
account of inflation as mandated by the Federal Civil Penalties 
Inflation Adjustment Act Improvements Act of 2015, as amended.
    (2) Timing. Any increase in the dollar amount of a civil monetary 
penalty listed in paragraph (b) of this section applies only to 
violations occurring after December 5, 2017.
    (3) The descriptions of the civil monetary penalties listed in 
paragraph (b) of this section are for illustrative purposes only. This 
section does not amend, interpret, implement, or alter in any way the 
statutory provisions in which the civil monetary penalties listed in 
paragraph (b) are set. Moreover, the descriptions of the civil monetary 
penalties listed in paragraph (b) do not necessarily contain a complete 
description of the circumstances (e.g., requirements regarding the 
``state of mind'' of the violator(s), requirements regarding the type of 
law or issuance violated, etc.) under which the penalties are assessed. 
Persons should consult the statutory text in which the civil monetary 
penalties are set and any implementing regulations to make applicability 
determinations.
    (4) As used in this section, the following terms have the following 
meanings:
    (i) Secretary means the Secretary of Agriculture; and
    (ii) Department means the United States Department of Agriculture.
    (b) Penalties. (1)Agricultural Marketing Service--(i) Civil penalty 
for improper recordkeeping, codified at 7 U.S.C. 136i-1(d), has: A 
maximum of $905 in the case of the first offense, and a minimum of 
$1,759 in the case of subsequent offenses, except that the penalty will 
be less than $1,759 if the Secretary determines that the person made a 
good faith effort to comply.
    (ii) Civil penalty for a violation of the unfair conduct rule under 
the Perishable Agricultural Commodities Act, in lieu of license 
revocation or suspension, codified at 7 U.S.C. 499b(5), has a maximum of 
$4,928.

[[Page 346]]

    (iii) Civil penalty for violation of the licensing requirements 
under the Perishable Agricultural Commodities Act, codified at 7 U.S.C. 
499c(a), has a maximum of $1,573 for each such offense and not more than 
$393 for each day it continues, or a maximum of $393 for each offense if 
the Secretary determines the violation was not willful.
    (iv) Civil penalty in lieu of license suspension under the 
Perishable Agricultural Commodities Act, codified at 7 U.S.C. 499h(e), 
has a maximum penalty of $3,145 for each violative transaction or each 
day the violation continues.
    (v) Civil penalty for a violation of the Export Apple Act, codified 
at 7 U.S.C. 586, has a minimum of $144 and a maximum of $14,372.
    (vi) Civil penalty for a violation of the Export Grape and Plum Act, 
codified at 7 U.S.C. 596, has a minimum of $275 and a maximum of 
$27,500.
    (vii) Civil penalty for a violation of an order issued by the 
Secretary under the Agricultural Adjustment Act, reenacted with 
amendments by the Agricultural Marketing Agreement Act of 1937, codified 
at 7 U.S.C. 608c(14)(B), has a maximum of $2,750. Each day the violation 
continues is a separate violation.
    (viii) Civil penalty for failure to file certain reports under the 
Agricultural Adjustment Act, reenacted by the Agricultural Marketing 
Agreement Act of 1937, codified at 7 U.S.C. 610(c), has a maximum of 
$275.
    (ix) Civil penalty for a violation of a seed program under the 
Federal Seed Act, codified at 7 U.S.C. 1596(b), has a minimum of $94 and 
a maximum of $1,875.
    (x) Civil penalty for failure to collect any assessment or fee for a 
violation of the Cotton Research and Promotion Act, codified at 7 U.S.C. 
2112(b), has a maximum of $2,750.
    (xi) Civil penalty for failure to pay, collect, or remit any 
assessment or fee for a violation of a program under the Potato Research 
and Promotion Act, codified at 7 U.S.C. 2621(b)(1), has a minimum of 
$1,232 and a maximum of $12,319.
    (xii) Civil penalty for failure to obey a cease and desist order 
under the Potato Research and Promotion Act, codified at 7 U.S.C. 
2621(b)(3), has a maximum of $1,232. Each day the violation continues is 
a separate violation.
    (xiii) Civil penalty for failure to pay, collect, or remit any 
assessment or fee or for a violation of a program under the Egg Research 
and Consumer Information Act, codified at 7 U.S.C. 2714(b)(1), has a 
minimum of $1,425 and a maximum of $14,023.
    (xiv) Civil penalty for failure to obey a cease and desist order 
under the Egg Research and Consumer Information Act, codified at 7 
U.S.C. 2714(b)(3), has a maximum of $1,425. Each day the violation 
continues is a separate violation.
    (xv) Civil penalty for failure to remit any assessment or fee or for 
a violation of a program under the Beef Research and Information Act, 
codified at 7 U.S.C. 2908(a)(2), has a maximum of $11,119.
    (xvi) Civil penalty for failure to remit any assessment or for a 
violation of a program regarding wheat and wheat foods research, 
codified at 7 U.S.C. 3410(b), has a maximum of $2,750.
    (xvii) Civil penalty for failure to pay, collect, or remit any 
assessment or fee or for a violation of a program under the Floral 
Research and Consumer Information Act, codified at 7 U.S.C. 4314(b)(1), 
has a minimum of $1,294 and a maximum of $12,941.
    (xviii) Civil penalty for failure to obey a cease and desist order 
under the Floral Research and Consumer Information Act, codified at 7 
U.S.C. 4314(b)(3), has a maximum of $1,294. Each day the violation 
continues is a separate violation.
    (xix) Civil penalty for violation of an order under the Dairy 
Promotion Program, codified at 7 U.S.C. 4510(b), has a maximum of 
$2,393.
    (xx) Civil penalty for pay, collect, or remit any assessment or fee 
or for a violation of the Honey Research, Promotion, and Consumer 
Information Act, codified at 7 U.S.C. 4610(b)(1), has a minimum of $737 
and a maximum of $7,370.
    (xxi) Civil penalty for failure to obey a cease and desist order 
under the Honey Research, Promotion, and Consumer Information Act, 
codified at 7 U.S.C. 4610(b)(3), has a maximum of $737. Each day the 
violation continues is a separate violation.

[[Page 347]]

    (xxii) Civil penalty for a violation of a program under the Pork 
Promotion, Research, and Consumer Information Act of 1985, codified at 7 
U.S.C. 4815(b)(1)(A)(i), has a maximum of $2,224.
    (xxiii) Civil penalty for failure to obey a cease and desist order 
under the Pork Promotion, Research, and Consumer Information Act of 
1985, codified at 7 U.S.C. 4815(b)(3)(A), has a maximum of $1,112. Each 
day the violation continues is a separate violation.
    (xxiv) Civil penalty for failure to pay, collect, or remit any 
assessment or fee or for a violation of a program under the Watermelon 
Research and Promotion Act, codified at 7 U.S.C. 4910(b)(1), has a 
minimum of $1,112 and a maximum of $11,119.
    (xxv) Civil penalty for failure to obey a cease and desist order 
under the Watermelon Research and Promotion Act, codified at 7 U.S.C. 
4910(b)(3), has a maximum of $1,112. Each day the violation continues is 
a separate violation.
    (xxvi) Civil penalty for failure to pay, collect, or remit any 
assessment or fee or for a violation of a program under the Pecan 
Promotion and Research Act of 1990, codified at 7 U.S.C. 6009(c)(1), has 
a minimum of $1,811 and a maximum of $18,107.
    (xxvii) Civil penalty for failure to obey a cease and desist order 
under the Pecan Promotion and Research Act of 1990, codified at 7 U.S.C. 
6009(e), has a maximum of $1,811.
    (xxviii) Civil penalty for failure to pay, collect, or remit any 
assessment or fee or for a violation of a program under the Mushroom 
Promotion, Research, and Consumer Information Act of 1990, codified at 7 
U.S.C. 6107(c)(1), has a minimum of $880 and a maximum of $8,797.
    (xxix) Civil penalty for failure to obey a cease and desist order 
under the Mushroom Promotion, Research, and Consumer Information Act of 
1990, codified at 7 U.S.C. 6107(e), has a maximum of $880. Each day the 
violation continues is a separate violation.
    (xxx) Civil penalty for failure to pay, collect, or remit any 
assessment or fee or for a violation of the Lime Research, Promotion, 
and Consumer Information Act of 1990, codified at 7 U.S.C. 6207(c)(1), 
has a minimum of $880 and a maximum of $8,797.
    (xxxi) Civil penalty for failure to obey a cease and desist order 
under the Lime Research, Promotion, and Consumer Information Act of 
1990, codified at 7 U.S.C. 6207(e), has a maximum of $880. Each day the 
violation continues is a separate violation.
    (xxxii) Civil penalty for failure to pay, collect, or remit any 
assessment or fee or for a violation of a program under the Soybean 
Promotion, Research, and Consumer Information Act, codified a 7 U.S.C. 
6307(c)(1)(A), has a maximum of $1,811.
    (xxxiii) Civil penalty for failure to obey a cease and desist order 
under the Soybean Promotion, Research, and Consumer Information Act, 
codified at 7 U.S.C. 6307(e), has a maximum of $9,054. Each day the 
violation continues is a separate violation.
    (xxxiv) Civil penalty for failure to pay, collect, or remit any 
assessment or fee or for a violation of a program under the Fluid Milk 
Promotion Act of 1990, codified at 7 U.S.C. 6411(c)(1)(A), has a minimum 
of $880 and a maximum of $8,797, or in the case of a violation that is 
willful, codified at 7 U.S.C. 6411(c)(1)(B), has a minimum of $17,593 
and a maximum of $175,931.
    (xxxv) Civil penalty for failure to obey a cease and desist order 
under the Fluid Milk Promotion Act of 1990, codified at 7 U.S.C. 
6411(e), has a maximum of $9,054. Each day the violation continues is a 
separate violation.
    (xxxvi) Civil penalty for knowingly labeling or selling a product as 
organic except in accordance with the Organic Foods Production Act of 
1990, codified at 7 U.S.C. 6519(c), has a maximum of $17,593.
    (xxxvii) Civil penalty for failure to pay, collect, or remit any 
assessment or fee or for a violation of a program under the Fresh Cut 
Flowers and Fresh Cut Greens Promotion and Information Act of 1993, 
codified at 7 U.S.C. 6808(c)(1)(A)(i), has a minimum of $830 and a 
maximum of $8,295.
    (xxxviii) Civil penalty for failure to obey a cease and desist order 
under the Fresh Cut Flowers and Fresh Cut Greens Promotion and 
Information Act of 1993, codified at 7 U.S.C. 6808(e)(1), has a maximum 
of $8,295. Each day the

[[Page 348]]

violation continues is a separate violation.
    (xxxix) Civil penalty for a violation of a program under the Sheep 
Promotion, Research, and Information Act of 1994, codified at 7 U.S.C. 
7107(c)(1)(A), has a maximum of $1,617.
    (xl) Civil penalty for failure to obey a cease and desist order 
under the Sheep Promotion, Research, and Information Act of 1994, 
codified at 7 U.S.C. 7107(e), has a maximum of $808. Each day the 
violation continues is a separate violation.
    (xli) Civil penalty for a violation of an order or regulation issued 
under the Commodity Promotion, Research, and Information Act of 1996, 
codified at 7 U.S.C. 7419(c)(1), has a minimum of $1,527 and a maximum 
of $15,270 for each violation.
    (xlii) Civil penalty for failure to obey a cease and desist order 
under the Commodity Promotion, Research, and Information Act of 1996, 
codified at 7 U.S.C. 7419(e), has a minimum of $1,527 and a maximum of 
$15,270. Each day the violation continues is a separate violation.
    (xliii) Civil penalty for a violation of an order or regulation 
issued under the Canola and Rapeseed Research, Promotion, and Consumer 
Information Act, codified at 7 U.S.C. 7448(c)(1)(A)(i), has a maximum of 
$1,527 for each violation.
    (xliv) Civil penalty for failure to obey a cease and desist order 
under the Canola and Rapeseed Research, Promotion, and Consumer 
Information Act, codified at 7 U.S.C. 7448(e), has a maximum of $7,635. 
Each day the violation continues is a separate violation.
    (xlv) Civil penalty for violation of an order or regulation issued 
under the National Kiwifruit Research, Promotion, and Consumer 
Information Act, codified at 7 U.S.C. 7468(c)(1), has a minimum of $764 
and a maximum of $7,635 for each violation.
    (xlvi) Civil penalty for failure to obey a cease and desist order 
under the National Kiwifruit Research, Promotion, and Consumer 
Information Act, codified at 7 U.S.C. 7468(e), has a maximum of $764. 
Each day the violation continues is a separate violation.
    (xlvii) Civil penalty for a violation of an order or regulation 
under the Popcorn Promotion, Research, and Consumer Information Act, 
codified at 7 U.S.C. 7487(a), has a maximum of $1,527 for each 
violation.
    (xlviii) Civil penalty for certain violations under the Egg Products 
Inspection Act, codified at 21 U.S.C. 1041(c)(1)(A), has a maximum of 
$8,797 for each violation.
    (xlix) Civil penalty for violation of an order or regulation issued 
under the Hass Avocado Promotion, Research, and Information Act of 2000, 
codified at 7 U.S.C. 7807(c)(1)(A)(i), has a minimum of $1,389 and a 
maximum of $13,893 for each violation.
    (l) Civil penalty for failure to obey a cease and desist order under 
the Hass Avocado Promotion, Research, and Information Act of 2000, 
codified at 7 U.S.C. 7807(e)(1), has a maximum of $13,893 for each 
offense. Each day the violation continues is a separate violation.
    (li) Civil penalty for violation of certain provisions of the 
Livestock Mandatory Reporting Act of 1999, codified a 7 U.S.C. 
1636b(a)(1), has a maximum of $14,372 for each violation.
    (lii) Civil penalty for failure to obey a cease and desist order 
under the Livestock Mandatory Reporting Act of 1999, codified a 7 U.S.C. 
1636b(g)(3), has a maximum of $14,372 for each violation. Each day the 
violation continues is a separate violation.
    (liii) Civil penalty for failure to obey an order of the Secretary 
issued pursuant to the Dairy Product Mandatory Reporting program, 
codified at 7 U.S.C. 1637b(c)(4)(D)(iii), has a maximum of $13,893 for 
each offense.
    (liv) Civil penalty for a willful violation of the Country of Origin 
Labeling program by a retailer or person engaged in the business of 
supplying a covered commodity to a retailer, codified at 7 U.S.C. 
1638b(b)(2), has a maximum of $1,116 for each violation.
    (lv) Civil penalty for violations of the Dairy Research Program, 
codified at 7 U.S.C. 4535 & 4510(b), has a maximum of $2,393 for each 
violation.
    (2) Animal and Plant Health Inspection Service--(i) Civil penalty 
for a violation of the imported seed provisions of the Federal Seed Act, 
codified at 7 U.S.C. 1596(b), has a minimum of $94 and a maximum of 
$1,875.

[[Page 349]]

    (ii) Civil penalty for a violation of the Animal Welfare Act, 
codified at 7 U.S.C. 2149(b), has a maximum of $11,162, and knowing 
failure to obey a cease and desist order has a civil penalty of $1,674.
    (iii) Civil penalty for any person that causes harm to, or 
interferes with, an animal used for the purposes of official inspection 
by the Department, codified at 7 U.S.C. 2279e(a), has a maximum of 
$13,893.
    (iv) Civil penalty for a violation of the Swine Health Protection 
Act, codified at 7 U.S.C. 3805(a), has a maximum of $27,500.
    (v) Civil penalty for any person that violates the Plant Protection 
Act (PPA), or that forges, counterfeits, or, without authority from the 
Secretary, uses, alters, defaces, or destroys any certificate, permit, 
or other document provided for in the PPA, codified a 7 U.S.C. 
7734(b)(1), has a maximum of the greater of: $69,463 in the case of any 
individual (except that the civil penalty may not exceed $1,389 in the 
case of an initial violation of the PPA by an individual moving 
regulated articles not for monetary gain), $347,313 in the case of any 
other person for each violation, $558,078 for all violations adjudicated 
in a single proceeding if the violations do not include a willful 
violation, and $1,116,156 for all violations adjudicated in a single 
proceeding if the violations include a willful violation; or twice the 
gross gain or gross loss for any violation, forgery, counterfeiting, 
unauthorized us, defacing, or destruction of a certificate, permit, or 
other document provided for in the PPA that results in the person 
deriving pecuniary gain or causing pecuniary loss to another.
    (vi) Civil penalty for any person (except as provided in 7 U.S.C. 
8309(d)) that violates the Animal Health Protection Act (AHPA), or that 
forges, counterfeits, or, without authority from the Secretary, uses, 
alters, defaces, or destroys any certificate, permit, or other document 
provided under the AHPA, codified at 7 U.S.C. 8313(b)(1), has a maximum 
of the greater of: $66,666 in the case of any individual, except that 
the civil penalty may not exceed $1,333 in the case of an initial 
violation of the AHPA by an individual moving regulated articles not for 
monetary gain, $333,328 in the case of any other person for each 
violation, $558,078 for all violations adjudicated in a single 
proceeding if the violations do not include a willful violation, and 
$1,116,156 for all violations adjudicated in a single proceeding if the 
violations include a willful violation; or twice the gross gain or gross 
loss for any violation, forgery, counterfeiting, unauthorized use, 
defacing, or destruction of a certificate, permit, or other document 
provided under the AHPA that results in the person's deriving pecuniary 
gain or causing pecuniary loss to another person.
    (vii) Civil penalty for any person that violates certain regulations 
under the Agricultural Bioterrorism Protection Act of 2002 regarding 
transfers of listed agents and toxins or possession and use of listed 
agents and toxins, codified at 7 U.S.C. 8401(i)(1), has a maximum of 
$333,328 in the case of an individual and $666,656 in the case of any 
other person.
    (viii) Civil penalty for violation of the Horse Protection Act, 
codified at 15 U.S.C. 1825(b)(1), has a maximum of $5,500.
    (ix) Civil penalty for failure to obey Horse Protection Act 
disqualification, codified at 15 U.S.C. 1825(c), has a maximum of 
$10,750.
    (x) Civil penalty for knowingly violating, or, if in the business as 
an importer or exporter, violating, with respect to terrestrial plants, 
any provision of the Endangered Species Act of 1973, any permit or 
certificate issued thereunder, or any regulation issued pursuant to 
section 9(a)(1)(A) through (F), (a)(2)(A) through (D), (c), (d) (other 
than regulations relating to record keeping or filing reports), (f), or 
(g) of the Endangered Species Act of 1973 (16 U.S.C. 1538(a)(1)(A) 
through (F), (a)(2)(A) through (D), (c), (d), (f), and (g)), as set 
forth at 16 U.S.C. 1540(a), has a maximum of $50,277.
    (xi) Civil penalty for knowingly violating, or, if in the business 
as an importer or exporter, violating, with respect to terrestrial 
plants, any other regulation under the Endangered Species Act of 1973, 
as set forth at 16 U.S.C. 1540(a), has a maximum of $24,133.
    (xii) Civil penalty for violation, with respect to terrestrial 
plants, of the Endangered Species Act of 1973, or any

[[Page 350]]

regulation, permit, or certificate issued thereunder, as set forth at 16 
U.S.C. 1540(a), has a maximum of $1,801.
    (xiii) Civil penalty for knowingly and willfully violating 49 U.S.C. 
80502 with respect to the transportation of animals by any rail carrier, 
express carrier, or common carrier (except by air or water), a receiver, 
trustee, or lessee of one of those carriers, or an owner or master of a 
vessel, codified at 49 U.S.C. 80502(d), has a minimum of $162 and a 
maximum of $808.
    (xiv) Civil penalty for a violation of the Commercial Transportation 
of Equine for Slaughter Act, 7 U.S.C. 1901 note, and its implementing 
regulations in 9 CFR part 88, as set forth in 9 CFR 88.6, has a maximum 
of $5000. Each horse transported in violation of Part 88 is a separate 
violation.
    (3) Food and Nutrition Service--(i) Civil penalty for violating a 
provision of the Food and Nutrition Act of 2008 (Act), or a regulation 
under the Act, by a retail food store or wholesale food concern, 
codified at 7 U.S.C. 2021(a) and (c), has a maximum of $111,616 for each 
violation.
    (ii) Civil penalty for trafficking in food coupons, codified at 7 
U.S.C. 2021(b)(3)(B), has a maximum of $39,574 for each violation, 
except that the maximum penalty for violations occurring during a single 
investigation is $71,262.
    (iii) Civil penalty for the sale of firearms, ammunitions, 
explosives, or controlled substances for coupons, codified at 7 U.S.C. 
2021(b)(3)(C), has a maximum of $40,221 for each violation, except that 
the maximum penalty for violations occurring during a single 
investigation is $72,428.
    (iv) Civil penalty for any entity that submits a bid to supply 
infant formula to carry out the Special Supplemental Nutrition Program 
for Women, Infants and Children and discloses the amount of the bid, 
rebate, or discount practices in advance of the bid opening or for any 
entity that makes a statement prior to the opening of bids for the 
purpose of influencing a bid, codified at 42 U.S.C. 1786(h)(8)(H)(i), 
has a maximum of $170,472,030.
    (v) Civil penalty for a vendor convicted of trafficking in food 
instruments, codified at 42 U.S.C. 1786(o)(1)(A) and 42 U.S.C. 
1786(o)(4)(B), has a maximum of $14,740 for each violation, except that 
the maximum penalty for violations occurring during a single 
investigation is $58,958.
    (vi) Civil penalty for a vendor convicted of selling firearms, 
ammunition, explosive, or controlled substances in exchange for food 
instruments, codified at 42 U.S.C. 1786(o)(1)(B) and 42 U.S.C. 
1786(o)(4)(B), has a maximum of $14,740 for each violation, except that 
the maximum penalty for violations occurring during a single 
investigation is $58,958.
    (4) Food Safety and Inspection Service--(i) Civil penalty for 
certain violations under the Egg Products Inspection Act, codified at 21 
U.S.C. 1041(c)(1)(A), has a maximum of $8,797 for each violation.
    (ii) [Reserved]
    (5) Forest Service--(i) Civil penalty for willful disregard of the 
prohibition against the export of unprocessed timber originating from 
Federal lands, codified at 16 U.S.C. 620d(c)(1)(A), has a maximum of 
$905,353 per violation or three times the gross value of the unprocessed 
timber, whichever is greater.
    (ii) Civil penalty for a violation in disregard of the Forest 
Resources Conservation and Shortage Relief Act or the regulations that 
implement such Act regardless of whether such violation caused the 
export of unprocessed timber originating from Federal lands, codified at 
16 U.S.C. 620d(c)(2)(A)(i), has a maximum of $135,803 per violation.
    (iii) Civil penalty for a person that should have known that an 
action was a violation of the Forest Resources Conservation and Shortage 
Relief Act or the regulations that implement such Act regardless of 
whether such violation caused the export of unprocessed timber 
originating from Federal lands, codified at 16 U.S.C. 620d(c)(2)(A)(ii), 
has a maximum of $90,535 per violation.
    (iv) Civil penalty for a willful violation of the Forest Resources 
Conservation and Shortage Relief Act or the regulations that implement 
such Act regardless of whether such violation caused the export of 
unprocessed timber originating from Federal lands, codified at 16 U.S.C. 
620d(c)(2)(A)(iii), has a maximum of $905,353.

[[Page 351]]

    (v) Civil penalty for a violation involving protections of caves, 
codified at 16 U.S. C. 4307(a)(2), has a maximum of $19,787.
    (6) Grain Inspection, Packers and Stockyards Administration--(i) 
Civil penalty for a packer or swine contractor violation, codified at 7 
U.S.C. 193(b), has a maximum of $27,500.
    (ii) Civil penalty for a livestock market agency or dealer failure 
to register, codified at 7 U.S.C. 203, has a maximum of $1,875 and not 
more than $94 for each day the violation continues.
    (iii) Civil penalty for operating without filing, or in violation 
of, a stockyard rate schedule, or of a regulation or order of the 
Secretary made thereunder, codified at 7 U.S.C. 207(g), has a maximum of 
$1,875 and not more than $94 for each day the violation continues.
    (iv) Civil penalty for a stockyard owner, livestock market agency, 
and dealer violation, codified at 7 U.S.C. 213(b), has a maximum of 
$27,500.
    (v) Civil penalty for a stockyard owner, livestock market agency, 
and dealer compliance order, codified at 7 U.S.C. 215(a), has a maximum 
of $1,875.
    (vi) Civil penalty for live poultry dealer violations, codified at 7 
U.S.C. 228b-2(b), has a maximum of $80,000.
    (vii) Civil penalty for a violation, codified at 7 U.S.C. 86(c), has 
a maximum of $268,750.
    (7) Federal Crop Insurance Corporation--(i) Civil penalty for any 
person who willfully and intentionally provides any false or inaccurate 
information to the Federal Crop Insurance Corporation or to an approved 
insurance provider with respect to any insurance plan or policy that is 
offered under the authority of the Federal Crop Insurance Act, or who 
fails to comply with a requirement of the Federal Crop Insurance 
Corporation, codified at 7 U.S.C. 1515(h)(3)(A), has a maximum of the 
greater of: The amount of the pecuniary gain obtained as a result of the 
false or inaccurate information or the noncompliance; or $11,744.
    (ii) [Reserved]
    (8) Rural Housing Service--(i) Civil penalty for a violation of 
section 536 of Title V of the Housing Act of 1949, codified at 42 U.S.C. 
1490p(e)(2), has a maximum of $192,459 in the case of an individual, and 
a maximum of $1,924,589 in the case of an applicant other than an 
individual.
    (ii) Civil penalty for equity skimming under section 543(a) of the 
Housing Act of 1949, codified at 42 U.S.C. 1490s(a)(2), has a maximum of 
$34,731.
    (iii) Civil penalty under section 543b of the Housing Act of 1949 
for a violation of regulations or agreements made in accordance with 
Title V of the Housing Act of 1949, by submitting false information, 
submitting false certifications, failing to timely submit information, 
failing to maintain real property in good repair and condition, failing 
to provide acceptable management for a project, or failing to comply 
with applicable civil rights statutes and regulations, codified at 42 
U.S.C. 1490s(b)(3)(A), has a maximum of the greater of: Twice the 
damages the Department, guaranteed lender, or project that is secured 
for a loan under Title V, suffered or would have suffered as a result of 
the violation; or $69,463 per violation.
    (9) Farm Service Agency--(i) Civil penalty for failure to comply 
with certain provisions of the U.S. Warehouse Act, codified at 7 U.S.C. 
254, has a maximum of $34,731 per violation if an agricultural product 
is not involved in the violation.
    (ii) [Reserved]
    (10) Commodity Credit Corporation--(i) Civil penalty for willful 
failure or refusal to furnish information, or willful furnishing of 
false information under of section 156 of the Federal Agricultural 
Improvement and Reform Act of 1996, codified at 7 U.S.C. 7272(g)(5), has 
a maximum of $15,270 for each violation.
    (ii) Civil penalty for willful failure or refusal to furnish 
information or willful furnishing of false data by a processor, refiner, 
or importer of sugar, syrup and molasses under section 156 of the 
Federal Agriculture Improvement and Reform Act of 1996, codified at 7 
U.S.C. 7272(g)(5), has a maximum of $15,270 for each violation.
    (iii) Civil penalty for filing a false acreage report that exceeds 
tolerance under section 156 of the Federal Agriculture Improvement and 
Reform Act of 1996, codified at 7 U.S.C. 7272(g)(5), has a maximum of 
$15,270 for each violation.

[[Page 352]]

    (iv) Civil penalty for knowingly violating any regulation of the 
Secretary of the Commodity Credit Corporation pertaining to flexible 
marketing allotments for sugar under section 359h(b) of the Agricultural 
Adjustment Act of 1938, codified at 7 U.S.C. 1359hh(b), has a maximum of 
$11,162 for each violation.
    (v) Civil penalty for knowing violation of regulations promulgated 
by the Secretary pertaining to cotton insect eradication under section 
104(d) of the Agricultural Act of 1949, codified at 7 U.S.C. 1444a(d), 
has a maximum of $13,750 for each offense.
    (11) Office of the Secretary--(i) Civil penalty for making, 
presenting, submitting or causing to be made, presented or submitted, a 
false, fictitious, or fraudulent claim as defined under the Program 
Fraud Civil Remedies Act of 1986, codified at 31 U.S.C. 3802(a)(1), has 
a maximum of $10,958.
    (ii) Civil penalty for making, presenting, submitting or causing to 
be made, presented or submitted, a false, fictitious, or fraudulent 
written statement as defined under the Program Fraud Civil Remedies Act 
of 1986, codified at 31 U.S.C. 3802(a)(2), has a maximum of $10,958.

[70 FR 29575, May 24, 2005. Redesignated at 73 FR 4, Jan. 2, 2008, as 
amended at 75 FR 17556, Apr. 7, 2010; 82 FR 57332, Dec. 5, 2017]

                            PART 4 [RESERVED]



PART 5_DETERMINATION OF PARITY PRICES--Table of Contents



Sec.
5.1 Parity index and index of prices received by farmers.
5.2 Marketing season average price data.
5.3 Selection of calendar year price data.
5.4 Commodities for which parity prices shall be calculated.
5.5 Publication of season average, calendar year, and parity price data.
5.6 Revision of the parity price of a commodity.

    Authority: 7 U.S.C. 1301, 1375.

    Editorial Note: Nomenclature changes to part 5 appear at 62 FR 8361, 
Feb. 25, 1997.



Sec.  5.1  Parity index and index of prices received by farmers.

    (a) The parity index and related indices for the purpose of 
calculating parity prices after May 1, 1976, according to the formula 
contained in section 301(a) of the Agricultural Adjustment Act of 1938, 
as amended by the Agricultural Acts of 1948, 1949, 1954, and 1956 
(hereinafter referred to as section 301(a)) shall be the index of prices 
paid by farmers, interest, taxes, and farm wage rates, as revised May 
1976 and published in the May 28, 1976, and subsequent issues of the 
monthly report, ``Agricultural Prices.'' The publication of these 
indices by the National Agricultural Statistics Service in the monthly 
report, ``Agricultural Prices'', shall be continued.
    (b) The measure of the general level of prices received by farmers 
as provided for in section 301(a)(1)(B)(ii) after January 1, 1959, shall 
be the index of prices received by farmers as revised January 1959 and 
published in the January 30, 1959, and subsequent issues of 
``Agricultural Prices''. The simple average of the 120 monthly indices 
included in the preceding 10 calendar years plus an adjustment to take 
account of the effect on the index of any adjustment made on average 
prices of individual commodities as hereinafter specified shall be used 
in the calculation of the adjusted base prices. Parity prices heretofore 
published for periods prior to January 1, 1959 shall not be revised.
    (c) The term milkfat as used in these regulations is synonymous with 
the term butterfat, and when any statute requires calculation of the 
parity price of butterfat, the parity price of milkfat shall be the 
parity price of butterfat.

[24 FR 697, Jan. 31, 1959, as amended by Amdt. 6, 24 FR 9778, Dec. 5, 
1959; Amdt. 29, 41 FR 22333, June 3, 1976]



Sec.  5.2  Marketing season average price data.

    It is hereby found that it is impractical to use averages of prices 
received by farmers on a calendar year basis for the following 
agricultural commodities for the purpose of calculating adjusted base 
prices and, therefore, marketing season average prices will be used. An

[[Page 353]]

allowance for any supplemental payment resulting from price support 
operations shall be included in the determination of the adjusted base 
prices. For cigar binder tobacco, types 51-52, for each of the marketing 
seasons beginning in the years 1949 through 1958, 37.9 cents per pound 
shall be used in lieu of the average of prices received by farmers for 
such tobacco during each such marketing season.

                            Basic Commodities

    Extra long staple cotton; peanuts; rice, and the following types of 
tobacco: Flue-cured, types 11-14; Virginia fire-cured, type 21; 
Kentucky-Tennessee fire-cured, types 22-23; burley, type 31; dark air-
cured, types 35-36; sun-cured, type 37; Pennsylvania seedleaf, type 41; 
cigar filler and binder, types 42-44 and 53-55; Puerto Rican filler, 
type 46 (price refers to year of harvest); and cigar binder, types 51-
52.

                     Designated Nonbasic Commodities

    Tung nuts; honey, wholesale extracted.

                             Wool and Mohair

    Wool and mohair.

                       Other Nonbasic Commodities

                              citrus fruit

    Grapefruit; lemons; limes; oranges; tangerines; and Temples.

                        deciduous and other fruit

    Apples for processing; apricots for fresh consumption; apricots for 
processing (except dried); dried apricots; avocados; blackberries; 
boysenberries; gooseberries; loganberries; black raspberries; red 
raspberries; youngberries; tart cherries; sweet cherries; cranberries; 
dates; grapes, raisins, dried; all grapes excluding raisins, dried; 
nectarines for fresh consumption, nectarines for processing; olives for 
processing (except crushed for oil); olives, crushed for oil; olives for 
canning; papayas (Hawaii), for fresh consumption; peaches for fresh 
consumption; clingstone peaches for processing (except dried); freestone 
peaches for processing (except dried); dried peaches; pears for fresh 
consumption; pears for processing (except dried); dried pears; plums 
(California), for fresh consumption; plus (California), for processing; 
dried prunes (California); prunes and plums (excluding California), for 
processing (except dried); strawberries for fresh consumption; and 
strawberries for processing.

                               Seed Crops

    Alfalfa, bentgrass, crimson clover, Chewings fescue, red fescue, 
tall fescue, Marion Kentucky bluegrass, Ladino clover, lespedeza, 
orchard grass, red clover, timothy, and hairy vetch.

                               sugar crops

    Sugar beets and sugarcane for sugar.

                                tree nuts

    Almonds; filberts; pecans, all; and walnuts.

                       vegetables for fresh market

    Artichokes, asparagus, snap beans, broccoli, cabbage, cantaloupe, 
carrots, cauliflower, celery, sweet corn, cucumbers, eggplant, escarole, 
garlic, honeydew melons, lettuce, onions, green peppers, spinach, 
tomatoes, and watermelons.

                        vegetables for processing

    Asparagus, lima beans, snap beans, beets, cabbage, sweet corn, 
cucumbers, green peas, spinach, and tomatoes.

                            Other Commodities

    Beeswax; cottonseed; hops; peas; dry field; peppermint oil; popcorn; 
potatoes; spearmint oil; and tobacco, types 61-62. All other commodities 
for which monthly price data are not available.

[21 FR 761, Feb. 3, 1956]

    Editorial Note: For Federal Register citations affecting Sec.  5.2, 
see the List of CFR Sections Affected, which appears in the Finding Aids 
section of the printed volume and at www.fdsys.gov.



Sec.  5.3  Selection of calendar year price data.

    In computing the adjusted base price for those commodities for which 
calendar year price data are used, ``* * * the average of the prices 
received by farmers for such commodity, at such times as the Secretary 
may select during each year * * *,'' as used in section 301(a)(1)(B)(i), 
shall be the simple average of the 12 monthly estimates of the prices 
received by farmers as published by the National Agricultural Statistics 
Service in ``Agricultural Prices'' for those commodities for which such 
prices are available. An allowance for unredeemed loans and purchase 
agreement deliveries, any supplemental payments resulting from price 
support operations, and the value of marketing certificates, such as 
those received by

[[Page 354]]

producers of wheat pursuant to the Agricultural Adjustment Act of 1938, 
as amended, and others of generally similar character and effect, shall 
be added to the price specified above. Prices received for milk 
wholesale, milkfat, beef cattle, sheep, and lambs shall include wartime 
subsidy payments as provided by section 301(a)(1)(B). For Maryland 
Tobacco, type 32, the price data for each calendar year shall be the 
weighted average price of type 32 tobacco sold during the period January 
1-December 31.

[Amdt. 14, 29 FR 12451, Sept. 1, 1964]



Sec.  5.4  Commodities for which parity prices shall be calculated.

    Parity prices shall be calculated for the following commodities:

                            Basic Commodities

    Wheat; corn; American upland cotton; extra long staple cotton; rice; 
peanuts;\1\ and the following types of tobacco: flue-cured, types 11-14; 
Virginia fire-cured, type 21; Kentucky-Tennessee fire-cured, types 22-
23; burley, type 31; Maryland, type 32; dark air-cured, types 35-36; 
sun-cured, type 37; Pennsylvania seedleaf, type 41; cigar filler and 
binder, types 42-44 and 53-55; Puerto Rican filler, type 46; and cigar 
binder, types 51-52.
---------------------------------------------------------------------------

    \1\ For the purpose of calculating parity prices the commodity 
peanuts shall exclude peanuts produced for oil in 1950 and 1951 under 
the provisions of subsections (g) and (h) of section 359 of the 
Agricultural Adjustment Act of 1938 as amended.
---------------------------------------------------------------------------

                     Designated Nonbasic Commodities

    Milk sold to plants; milkfat in cream; tung nuts; honey, wholesale 
extracted.

                             Wool and Mohair

    Wool and mohair.

                       Other Nonbasic Commodities

                              citrus fruit

    Grapefruit; lemons; limes; oranges; tangerines; and Temples.

                        deciduous and other fruit

    Apples (primarily for fresh use); apples for processing; apricots 
for fresh consumption; apricots for processing (except dried); dried 
apricots; avocados; blackberries; boysenberries; gooseberries; 
loganberries; black raspberries; red raspberries; youngberries; tart 
cherries; sweet cherries; cranberries; dates; grapes, raisins, dried; 
all grapes, excluding raisins, dried; nectarines for fresh consumption; 
nectarines for processing; olives for processing (excluding crushed for 
oil); olives, crushed for oil; olives for canning; papayas (Hawaii), for 
fresh consumption; peaches for fresh consumption; clingstone peaches for 
processing (except dried); freestone peaches for processing (except 
dried); dried peaches; pears for fresh consumption; pears for processing 
(except dried); dried pears; plums (California), for fresh consumption; 
plums (California), for processing; dried prunes (California); prunes 
and plums (excluding California), for processing (except dried); 
strawberries for fresh consumption; and strawberries for processing.

                               seed crops

    Alfalfa, bentgrass, crimson clover, Chewings fescue, red fescue, 
tall fescue, Marion Kentucky bluegrass, Ladino clover, lespedeza, 
orchard grass, red clover, timothy, and hairy vetch.

                               sugar crops

    Sugar beets, and sugarcane for sugar.

                                tree nuts

    Almonds; filberts; pecans, all; and walnuts.

                       vegetables for fresh market

    Artichokes, asparagus, snap beans, broccoli, cabbage, cantaloups, 
carrots, cauliflower, celery, sweet corn, cucumbers, eggplant, escarole, 
garlic, honeydew melons, lettuce, onions, green peppers, spinach, 
tomatoes, and watermelons.

                        vegetables for processing

    Asparagus, lima beans, snap beans, beets, cabbage, sweet corn, 
cucumbers, green peas, spinach and tomatoes.

                            other commodities

    Beef cattle; hogs; lambs; calves; sheep; turkeys; eggs; beeswax; 
potatoes; hops; peppermint oil; popcorn; spearmint oil; tobacco, Types 
61 and 62; barley; beans, dry edible; cottonseed; peas, dry field; 
flaxseed; hay, all baled; oats; rye; sorghum grain; soybeans; 
sweetpotatoes; and crude pine gum.

[21 FR 763, Feb. 3, 1956, as amended by Amdt. 1, 22 FR 693, Feb. 2, 
1957; Amdt. 3, 23 FR 1565, Mar. 5, 1958; Amdt. 17, 31 FR 10767, Aug. 13, 
1966; Amdt. 23, 34 FR 1132, Jan. 24, 1969; Amdt. 25, 34 FR 15785, Oct. 
14, 1969; Amdt. 26, 35 FR 3158, Feb. 19, 1970; Amdt. 27, 36 FR 15516, 
Aug. 17, 1971; 38 FR 10795, May 2, 1973]

[[Page 355]]



Sec.  5.5  Publication of season average, calendar year, and 
parity price data.

    (a) New adjusted base prices for all of the commodities on a 
calendar year basis and for as many of the commodities on a marketing 
season average basis as are practicable shall be published on or about 
January 31 of each year. In cases where preliminary marketing season 
average price data are used in estimating the adjusted base prices 
published in January, any additional price data which becomes available 
shall be used in estimating a revised adjusted base price which shall be 
published prior to the beginning of the marketing season for the 
commodity.
    (b) The official parity prices determined under section 301(a)(1) 
and the regulations in this part and the indexes and relevant price data 
shall be published in the monthly report ``Agricultural Prices'' issued 
by the National Agricultural Statistics Service. Parity prices for all 
commodities for which parity prices are computed shall be so published 
in the January and July issues each year. The parity prices published in 
other issues may be restricted to those which the National Agricultural 
Statistics Service, after consultation with the Agricultural Marketing 
Service, the Farm Service Agency, and any other interested government 
agency, considers necessary or desirable. The parity prices determined 
in accordance with this part shall be the parity prices used in other 
reports, determinations, or documents of the Department.

[21 FR 763, Feb. 3, 1956, as amended by Amdt. 16, 30 FR 2521, Feb. 26, 
1965]



Sec.  5.6  Revision of the parity price of a commodity.

    (a) Initiation of hearings. The ``modernized'' parity formula 
specified in section 301(a)(1) of the Agricultural Adjustment Act of 
1938, as amended, takes into consideration the average prices received 
by farmers for agricultural commodities during the last ten years and is 
designed gradually to adjust relative parity prices of specific 
commodities for persistent or continuing changes in demand and supply 
conditions which are reflected in market prices. Accordingly, only in 
rare cases is it possible for the parity price of any agricultural 
commodity to become seriously out of line with the parity prices of 
other agricultural commodities. In any case, however, in which producers 
of any agricultural commodity believe that the parity price of such 
commodity, as computed pursuant to the provisions of section 301(a)(1), 
is seriously out of line with the parity prices of other agricultural 
commodities, a request for a public hearing under section 301(a)(1)(F) 
may be submitted to the Secretary of Agriculture by a substantial number 
of interested producers. The producers shall also furnish to the 
Secretary, with such request or separately, data supporting their 
conclusion that the parity price of such commodity is seriously out of 
line with the parity prices of other commodities. Upon receipt of such a 
request with supporting data, or at any time upon the Secretary's own 
motion, this Department will make a preliminary study of the 
relationship between the parity price of such commodity and the parity 
prices of other commodities, and if the Secretary concludes that there 
appears to be reasonable grounds for believing that the parity price of 
such commodity is seriously out of line with the parity prices of other 
agricultural commodities, a hearing will be held pursuant to the 
provisions of section 301(a)(1)(F).
    (b) Notice of hearing. If the Secretary of Agriculture determines 
that such a hearing shall be held, he shall issue a notice of the 
hearing, which shall be filed with the Hearing Clerk of the United 
States Department of Agriculture, who shall promptly (1) cause such 
notice to be published in the Federal Register, and (2) mail a copy 
thereof to each of the producers who requested the hearing and to grower 
organizations known to be interested in the hearing. Legal notice of the 
hearing shall be deemed to be given upon filing such notice with the 
Federal Register for publication, and failure to give notice in the 
manner otherwise provided in this paragraph shall not affect the 
legality of the notice. The notice of hearing shall state the purpose of 
the hearing and the time and place of the hearing. The time of the 
hearing shall not be less than fifteen days after

[[Page 356]]

the date of publication of the notice in the Federal Register, unless 
the Secretary shall determine that an emergency exists which requires a 
shorter period of notice, in which case the period of notice shall be 
that which the Secretary determines to be reasonable in the 
circumstances.
    (c) Conduct of hearing--(1) Presiding officer. Each hearing held 
under section 301(a)(1)(F) shall be presided over by a Hearing Examiner 
of the Office of Administrative Law Judges or such other employee of the 
Department as the Secretary may designate for the purpose.
    (2) Time and place of hearing. Each hearing shall be heard at the 
time and place set forth in the notice of hearing but may be continued 
by the presiding officer from day to day or adjourned to a later date or 
to a different place without notice other than the announcement thereof 
at the hearing.
    (3) Order of procedure. At the commencement of the hearing, the 
presiding officer shall file as an exhibit a copy of the Federal 
Register containing the notice of the hearing and shall then outline 
briefly the procedure to be followed. Evidence shall then be received 
from interested persons in such order as the presiding officer shall 
prescribe.
    (4) Submission of evidence. The hearing shall be conducted in such a 
way as to obtain a clear and orderly record. All interested persons 
appearing at the hearing shall be given reasonable opportunity to offer 
data, views, or arguments relevant to (i) whether the parity price for 
the agricultural commodity involved is or is not seriously out of line 
with the parity prices of other agricultural commodities, and (ii) the 
proper relationship between the parity price of such commodity and the 
parity prices of other agricultural commodities and the revisions, if 
any, which should be made in computing the parity price of such 
commodity. All documentary exhibits shall be submitted in duplicate. The 
presiding officer shall, insofar as possible, exclude irrelevant, 
immaterial, or unduly repetitious evidence but shall not apply technical 
judicial rules of evidence. Every witness shall be subject to 
questioning by the presiding officer or by any other representative of 
the Department, but cross-examination by other persons shall not be 
allowed, except in the discretion of the presiding officer. The 
proceedings at the hearing shall be transcribed verbatim.
    (5) Written arguments. The presiding officer shall fix a time, not 
to exceed ten days from the close of the hearing, within which 
interested persons may file written arguments with the Hearing Clerk.
    (d) Preparation and issuance of determination--(1) Preparation of 
recommendation. As soon as practicable after the close of the hearing, 
the presiding officer, or such employees of the Department as may be 
assigned for the purpose, shall review, consider, and weigh all evidence 
of probative value, views, and arguments which have been submitted, and 
may consider other pertinent information and data which is available in 
the Department of Agriculture, and shall submit a recommendation thereon 
to the Secretary.
    (2) Determination by the Secretary. As soon as possible after 
receipt of the recommendation, the Secretary shall determine whether the 
parity price of such commodity computed in accordance with section 
301(a)(1) appears to be seriously out of line with the parity prices of 
other agricultural commodities whether the facts require a revision of 
the method of computing the parity price of such commodity, and the 
revision, if any, which is required in the method of computing the 
parity price of such commodity. Such determination by the Secretary 
shall be final. The Secretary's determination shall be filed with the 
Hearing Clerk who shall cause the determination to be published promptly 
in the Federal Register. The Hearing Clerk shall also mail a copy of the 
determination to each producer and grower organization which 
participated in or is known to be interested in the hearing. Upon 
application to the Hearing Clerk, any person shall be entitled to a copy 
of the determination.

[23 FR 9252, Nov. 29, 1958]

[[Page 357]]



PART 6_IMPORT QUOTAS AND FEES--Table of Contents



                       Subpart_General Provisions

Sec.
6.2 Responsibility for actions under section 22 and section 8(a).
6.3 Requests by interested persons for action by Department of 
          Agriculture.
6.4 Investigations.
6.5 Hearings under section 22.
6.6 Submission of recommendations under section 22.
6.7 Submission of recommendations under section 8(a) (emergency 
          treatment).
6.8 Representation at Tariff Commission hearings.
6.9 Information.

            Subpart_Dairy Tariff-Rate Quota Import Licensing

6.20 Introduction.
6.21 Definitions.
6.22 Requirement for a license.
6.23 Eligibility to apply for a license.
6.24 Application for a license.
6.25 Allocation of licenses.
6.26 Surrender and reallocation.
6.27 Limitations on use of license.
6.28 Transfer of license.
6.29 Use of licenses.
6.30 Record maintenance and inspection.
6.31 Debarment and suspension.
6.32 Globalization of licenses.
6.33 License fee.
6.34 Adjustment of Appendices.
6.35 Correction of errors.
6.36 Miscellaneous.

     Subpart_Price-Undercutting of Domestic Cheese by Quota Cheeses

6.40 General.
6.41 Definitions.
6.42 Complaints of price-undercutting.
6.43 Determinations.
6.44 Delegation of authority.

    Cross Reference: For United States International Trade Commission 
regulations on investigations of effects of imports on agricultural 
programs, see 19 CFR part 204.



                       Subpart_General Provisions

    Authority: Sec. 8, 65 Stat. 75; 19 U.S.C. 1365.

    Source: 17 FR 8287, Sept. 16, 1952; 19 FR 57, Jan. 6, 1954, unless 
otherwise noted.



Sec.  6.2  Responsibility for actions under section 22 and section 8(a).

    The primary responsibility within the Department of Agriculture for 
action on matters for which the Secretary is responsible under section 
22 of the Agricultural Adjustment Act of 1933, as amended, and section 
8(a) of the Trade Agreements Extension Act of 1951 is assigned to the 
Administrator, Foreign Agricultural Service (referred to in this part as 
the ``Administrator''), but the other offices, agencies, and bureaus of 
the Department whose activities will be affected by any action under 
section 22 or section 8(a) shall be consulted by the Administrator in 
discharging his responsibility under this part.



Sec.  6.3  Requests by interested persons for action by Department 
of Agriculture.

    (a) Section 22. A request for action under section 22 should be 
submitted in duplicate to the Administrator, Foreign Agricultural 
Service, United States Department of Agriculture, Washington 25, D.C. 
Such request shall include a statement of the reasons why action would 
be warranted under section 22 and shall be supported by appropriate 
information and data.
    (b) Section 8(a). A request for action under section 8(a) should be 
submitted in duplicate to the Administrator, Foreign Agricultural 
Service, United States Department of Agriculture, Washington 25, D.C. 
Such request shall include a statement of the reasons why the commodity 
is perishable, and why, due to such perishability, a condition exists 
requiring emergency treatment, and shall be supported by appropriate 
information and data. A request under section 8(a) submitted in 
connection with a proposed section 7 (Trade Agreements Extension Act of 
1951) investigation shall not be acted upon until a section 7 
application has been properly filed by the person making the request 
with the Tariff Commission, and a copy of such application and 
supporting information and data are furnished the Administrator.



Sec.  6.4  Investigations.

    (a) Section 22. The Administrator shall cause an investigation to be 
made

[[Page 358]]

whenever, based upon a request submitted pursuant to Sec.  6.3 or upon 
other information available to him, he determines that there is 
reasonable ground to believe that the imposition of import quotas or 
fees under section 22 may be warranted, or that the termination or 
modification of import quotas or fees in effect under section 22 may be 
warranted.
    (b) Section 8(a). The Administrator shall cause an immediate 
investigation to be made whenever (1) a request is received for 
emergency treatment in connection with an application properly filed 
with the Tariff Commission under section 7; (2) a request is received 
for emergency treatment under section 22 if the Administrator determines 
that there is reasonable ground to believe that the imposition of import 
quotas or fees under section 22 may be warranted; or (3) the 
Administrator, upon the basis of other information available to him, has 
reasonable ground for believing that emergency treatment under section 
8(a) is necessary. The Administrator shall expedite to the fullest 
practicable extent his attention to requests for emergency treatment 
under section 8(a), and such requests shall receive priority over 
requests for other action under section 22. The investigation shall 
cover (1) whether the commodity is a perishable agricultural commodity; 
(2) whether, due to the perishability of the commodity, a condition 
exists requiring emergency treatment as indicated by such factors as (i) 
the marketing season for the commodity, (ii) past and prospective 
domestic production, stocks, requirements, and prices, (iii) past and 
prospective imports; and (3) such other matters as the Administrator 
determines are relevant to a determination as to whether emergency 
treatment for the commodity is necessary. No public hearing shall be 
held in connection with investigations under this paragraph.



Sec.  6.5  Hearings under section 22.

    The Administrator is authorized to provide for such public hearings 
as he deems necessary to discharge the responsibility for action under 
section 22 vested in him by Sec. Sec.  6.2 and 6.4(a). In view of the 
need, however, for prompt action on requests for action under section 
22, public hearings shall be held in connection with investigations 
conducted under Sec.  6.4(a) only when the Administrator determines that 
a public hearing is necessary to obtain supplementary information not 
otherwise available. Any public hearing which is held shall be conducted 
by representatives designated for the purpose by the Administrator; 
shall be preceded by such public notice as, in the opinion of the 
Administrator, will afford interested persons reasonable opportunity to 
attend and present information; and minutes of the proceedings at such 
hearing shall be obtained. Hearings shall be informal and technical 
rules of evidence shall not apply. Such hearings are for the purpose of 
obtaining information for the assistance of the Secretary. However, in 
discharging his responsibilities under section 22, the Secretary is not 
restricted to the information adduced at the hearings.



Sec.  6.6  Submission of recommendations under section 22.

    (a) The Administrator shall make a report to the Secretary upon the 
completion of each investigation made by him pursuant to Sec.  6.4(a). 
The report shall summarize the information disclosed by the 
investigation; shall contain the recommendations of the Administrator; 
and, in case action under section 22 is recommended, shall be 
accompanied by a suggested letter from the Secretary to the President 
recommending that the Tariff Commission be directed to conduct an 
investigation. Such report shall be submitted to the other offices, 
agencies, and bureaus of the Department of Agriculture whose activities 
would be affected, for concurrence or comment.
    (b) The Secretary will recommend that the President direct the 
Tariff Commission to conduct an investigation under section 22 only if 
he has reason to believe, upon the basis of the information available to 
him, that import quotas or fees should be imposed.



Sec.  6.7  Submission of recommendations under section 8(a) 
(emergency treatment).

    (a) Section 22. The Administrator's report submitted pursuant to 
Sec.  6.6 shall

[[Page 359]]

indicate whether or not emergency treatment is necessary. If emergency 
treatment is recommended, the report shall discuss the condition which 
requires emergency treatment and be accompanied by suggested letters 
from the Secretary to the President, to the Tariff Commission, and to 
the petitioner (if any) advising them of the Secretary's determination. 
The suggested letter from the Secretary to the President shall include a 
recommendation as to whether such emergency treatment should take the 
form of action by the President prior to receiving the recommendations 
of the Tariff Commission, or whether a decision by the President may 
appropriately be withheld until the recommendations of the Tariff 
Commission are received. If emergency treatment requested is not 
recommended, the report to the Secretary shall be accompanied by 
suggested letters from the Secretary to the petitioner and the Tariff 
Commission stating the action taken.
    (b) Section 7. The Administrator shall make a report to the 
Secretary upon the completion of each investigation made by him pursuant 
to Sec.  6.4(b). The report shall summarize the information disclosed by 
the investigation, including the points listed in Sec.  6.4(b) which 
were considered in reaching the recommendation, and shall contain the 
recommendations of the Administrator as to whether or not emergency 
treatment is required. If emergency treatment is recommended, the report 
shall discuss the condition which requires emergency treatment and shall 
be accompanied by suggested letters from the Secretary to the President, 
to the Tariff Commission, and to the petitioner advising them of the 
Secretary's determination. The suggested letter from the Secretary to 
the President shall include a recommendation as to whether such 
emergency treatment should take the form of action by the President 
prior to receiving the recommendations of the Tariff Commission, or 
whether a decision by the President may appropriately be withheld until 
the recommendations of the Tariff Commission are received. If emergency 
treatment is not recommended, the report to the Secretary shall be 
accompanied by suggested letters from the Secretary to the petitioner 
and to the Tariff Commission stating the action taken. Each such report 
shall be submitted to the other offices, agencies, and bureaus of the 
Department of Agriculture whose activities would be affected, for 
concurrence or comment.



Sec.  6.8  Representation at Tariff Commission hearings.

    The Department of Agriculture shall be represented at all hearings 
conducted by the Tariff Commission under section 22 by persons 
designated by the Administrator, assisted by a representative of the 
Office of the General Counsel. Such representatives shall present the 
recommendations of the Department of Agriculture, shall submit such 
information and data in support thereof as are available, and shall 
exercise the right of examining other witnesses which is granted to the 
Secretary.

[17 FR 8287, Sept. 16, 1952; 20 FR 1830, Mar. 25, 1955]



Sec.  6.9  Information.

    Persons desiring information from the Department of Agriculture 
regarding section 22 or section 8(a), or any action with respect 
thereto, should address such inquiries to the Administrator, Foreign 
Agricultural Service, United States Department of Agriculture, 
Washington 25, DC.



            Subpart_Dairy Tariff-Rate Quota Import Licensing

    Authority: Additional U.S. Notes 6, 7, 8, 12, 14, 16-23 and 25 to 
Chapter 4 and General Note 15 of the Harmonized Tariff Schedule of the 
United States (19 U.S.C. 1202), Pub. L. 97-258, 96 Stat. 1051, as 
amended (31 U.S.C. 9701), and secs. 103 and 404, Pub. L. 103-465, 108 
Stat. 4819 (19 U.S.C. 3513 and 3601).

    Source: 61 FR 53007, Oct. 9, 1996, unless otherwise noted.



Sec.  6.20  Introduction.

    (a) Presidential Proclamation 6763 of December 23, 1994, modified 
the Harmonized Tariff Schedule of the United States affecting the import 
regime for certain articles of dairy products. The Proclamation 
terminated quantitative restrictions that had been imposed pursuant to 
section 22 of the Agricultural

[[Page 360]]

Adjustment Act of 1933, as amended (7 U.S.C. 624); proclaimed tariff-
rate quotas for such articles pursuant to Public Law 103-465; and 
specified which of such articles may be entered only by or for the 
account of a person to whom a license has been issued by the Secretary 
of Agriculture.
    (b) Effective January 1, 1995, the prior regime of absolute quotas 
for certain dairy products was replaced by a system of tariff-rate 
quotas. The articles subject to licensing under the tariff-rate quotas 
are listed in Appendices 1, 2, and 3 to be published annually in a 
notice in the Federal Register. Licenses permit the holder to import 
specified quantities of the subject articles into the United States at 
the applicable in-quota rate of duty. If an importer has no license for 
an article subject to licensing, such importer will, with certain 
exceptions, be required to pay the applicable over-quota rate of duty.
    (c) The Secretary of Agriculture has determined that this subpart 
will, to the fullest extent practicable, result in fair and equitable 
allocation of the right to import articles subject to such tariff-rate 
quotas. The subpart will also maximize utilization of the tariff-rate 
quotas for such articles, taking due account of any special factors 
which may have affected or may be affecting the trade in the articles 
concerned.

[80 FR 44254, July 27, 2015]



Sec.  6.21  Definitions.

    As used in this subpart and the appendices thereto, the following 
terms are defined as follows:
    Article. One of the products listed in Appendices 1, 2, or 3, which 
are the same as those described in Additional U.S. Notes 6, 7, 8, 12, 
14, 16-23 and 25 to Chapter 4 of the Harmonized Tariff Schedule.
    Article other than cheese or cheese products. Any article that is a 
dairy product, but not a cheese or cheese product.
    CBP. United States Customs and Border Protection, U.S. Department of 
Homeland Security.
    Cheese or cheese products. Articles in headings 0406, 1901.90.34, 
and 1901.90.36 of the Harmonized Tariff Schedule.
    Commercial entry. Any entry except those made by or for the account 
of the United States Government or for a foreign government, for the 
personal use of the importer or for sampling, taking orders, research, 
or the testing of equipment.
    Country. Country of origin as determined in accordance with CBP 
rules and regulations, except that ``EC'', and ``Other countries'' shall 
each be treated as a country.
    DAIRIES. The ``Dairy Accelerated Importer Retrieval and Information 
Exchange System''. The web-based user interface system which persons 
must utilize to apply for and manage licenses, and through which the 
Licensing Authority will communicate all program notices.
    Dairy products. Articles in headings 0401 through 0406, margarine 
cheese listed under headings 1901.90.34 and 1901.90.36, ice cream listed 
under heading 2105, and casein listed under heading 3501 of the 
Harmonized Tariff Schedule.
    Department. The United States Department of Agriculture.
    EC. Those countries listed in Additional U.S. Note 2 to Chapter 4 of 
the Harmonized Tariff Schedule.
    Enter or Entry. To make or making entry for consumption, or 
withdrawal from warehouse for consumption in accordance with CBP 
regulations and procedures.
    Harmonized Tariff Schedule or HTS. The Harmonized Tariff Schedule of 
the United States.
    Licensee. A person to whom a license has been issued under this 
subpart.
    Licensing Authority. Any officer or employee of the U.S. Department 
of Agriculture designated to act in this position by the Director of the 
Division charged with managing the Dairy Tariff-Rate Quota Import 
Licensing System.
    Other countries. Countries not listed by name as having separate 
tariff-rate quota allocations for an article.
    Person. An individual, firm, corporation, partnership, association, 
trust, estate or other legal entity.
    Process or processing. Any additional preparation of a dairy 
product, such as melting, grating, shredding, cutting

[[Page 361]]

and wrapping, or blending with any additional ingredient.
    Quota year. The 12-month period beginning on January 1 of a given 
year.
    Tariff-rate quota amount or TRQ amount. The amount of an article 
subject to the applicable in-quota rate of duty established under a 
tariff-rate quota.
    United States. The customs territory of the United States, which is 
limited to the 50 states, the District of Columbia, and Puerto Rico.

[80 FR 44254, July 27, 2015]



Sec.  6.22  Requirement for a license.

    A person who seeks to enter, or cause to be entered an article as a 
commercial entry, shall obtain a license, in accordance with this 
subpart.

[80 FR 44254, July 27, 2015]



Sec.  6.23  Eligibility to apply for a license.

    (a) In general. To apply for any license, a person shall have:
    (1) A business office, and be doing business, in the United States, 
and
    (2) An agent in the United States for service of process, and
    (3) An email address to be used for correspondence regarding 
licensing activities and reports.
    The licensee is responsible to continuously maintain a valid email 
address in DAIRIES for use in communicating with the Licensing 
Authority.
    (b) Eligibility for 2016 and subsequent quota years. (1) Historical 
licenses (Appendix 1). A person issued a historical license for an 
article for the current quota year may apply for a historical license 
(Appendix 1) for the next quota year for the same article from the same 
country, if such person was, during the 12-month period ending August 31 
prior to the quota year, either:
    (i) Where the article is cheese or cheese product,
    (A) The owner of and importer of record for at least three separate 
commercial entries of cheese or cheese products totaling not less than 
57,000 kilograms net weight, each of the three entries not less than 
2,000 kilograms net weight;
    (B) The owner of and importer of record for at least eight separate 
commercial entries of cheese or cheese products, from at least eight 
separate shipments, totaling not less than 19,000 kilograms net weight, 
each of the eight entries not less than 450 kilograms net weight, with a 
minimum of two entries in each of at least three quarters during that 
period; or
    (C) The owner or operator of a plant listed in Section II or listed 
in Section I as a processor of cheese of the most current issue of 
``Dairy Plants Surveyed and Approved for USDA Grading Service'' and had 
processed or packaged at least 450,000 kilograms of cheese or cheese 
products in its own plant in the United States; or
    (ii) Where the article is not cheese or cheese product,
    (A) The owner of and importer of record for at least three separate 
commercial entries of dairy products totaling not less than 57,000 
kilograms net weight, each of the three entries not less than 2,000 
kilograms net weight;
    (B) The owner of and importer of record for at least eight separate 
commercial entries of dairy products, from at least eight separate 
shipments, totaling not less than 19,000 kilograms net weight, each of 
the eight entries not less than 450 kilograms net weight, with a minimum 
of two entries in each of at least three quarters during that period;
    (C) The owner or operator of a plant listed in the most current 
issue of ``Dairy Plants Surveyed and Approved for USDA Grading Service'' 
and had manufactured, processed or packaged at least 450,000 kilograms 
of dairy products in its own plant in the United States; or
    (D) The exporter of dairy products in the quantities and number of 
shipments required under (A) or (B) above.
    (2) Nonhistorical licenses for cheese or cheese products (Appendix 
2). A person may annually apply for a nonhistorical license for cheese 
or cheese products (Appendix 2) if such person meets the requirements of 
paragraph (b)(1)(i) of this section.
    (3) Nonhistorical licenses for articles other than cheese or cheese 
products (Appendix 2). A person may annually apply for a nonhistorical 
license for articles other than cheese or cheese products (Appendix 2) 
if such person meets

[[Page 362]]

the requirements of paragraph (b)(1)(ii) of this section.
    (4) Designated license (Appendix 3). A designated license may be 
issued to a person who has applied for a license, has met the 
requirements of paragraph (b)(1)(i) of this section, and is designated 
by the government of a country for such license according to Sec.  
6.25(d).
    (c) Exceptions. (1) A licensee that fails in a quota year to enter 
at least 85 percent of the amount of an article permitted under a 
license shall not be eligible to receive a license for the same article 
from the same country for the next quota year. For the purpose of this 
paragraph, the amount of an article permitted under the license will 
exclude any amounts surrendered pursuant to Sec.  6.26(a), but will 
include any additional allocations received pursuant to Sec.  6.26(b).
    (2) Paragraph (c)(1) of this section will not apply where the 
licensee demonstrates to the satisfaction of the Licensing Authority 
that the failure resulted from breach by a carrier of its contract of 
carriage, breach by a supplier of its contract to supply the article, 
act of God or force majeure.
    (3) Paragraph (c)(1) of this section may not apply in the case of 
historical or nonhistorical licenses, where the licensee demonstrates to 
the satisfaction of the Licensing Authority that the country specified 
on the license maintains or permits an export monopoly to control the 
dairy articles concerned and the licensee petitions the Licensing 
Authority to waive this requirement. The licensee shall submit evidence 
that the country maintains an export monopoly as defined in this 
paragraph. For the purposes of this paragraph ``export monopoly'' means 
a privilege vested in one or more persons consisting of the exclusive 
right to carry on the exportation of any article of dairy products from 
a country to the United States.
    (4) The Licensing Authority will not issue a nonhistorical license 
(Appendix 2) for an article from a country during a quota year to an 
applicant who is affiliated with another applicant to whom the Licensing 
Authority is issuing a non-historical license for the same article from 
the same country for that quota year. Further, the Licensing Authority 
will not issue a nonhistorical license for butter to an applicant who is 
affiliated with another applicant to whom the Licensing Authority is 
issuing a historical butter license of 57,000 kilograms or greater. For 
the purpose of this paragraph, an applicant will be deemed affiliated 
with another applicant if:
    (i) The applicant is the spouse, brother, sister, parent, child or 
grandchild of such other applicant;
    (ii) The applicant is the spouse, brother, sister, parent, child or 
grandchild of an individual who owns or controls such other applicant;
    (iii) The applicant is owned or controlled by the spouse, brother, 
sister, parent, child or grandchild of an individual who owns or 
controls such other applicant.
    (iv) Both applicants are 5 percent or more owned or directly or 
indirectly controlled, by the same person;
    (v) The applicant, or a person who owns or controls the applicant, 
benefits from a trust that controls such other applicant.
    (5) The Licensing Authority will not issue a nonhistorical license 
(Appendix 2) for an article from a country during a quota year to an 
applicant who is associated with another applicant to whom the Licensing 
Authority is issuing a nonhistorical license for the same article from 
the same country for that quota year. Further, the Licensing Authority 
will not issue a nonhistorical license for butter to an applicant who is 
associated with another applicant to whom the Licensing Authority is 
issuing a historical butter license for 57,000 kilograms or greater. For 
the purpose of this paragraph, an applicant will be deemed associated 
with another applicant if:
    (i) The applicant is an employee of, or is controlled by an employee 
of, such other applicant;
    (ii) The applicant manages or is managed by such other applicant, or 
economically benefits, directly or indirectly, from the use of the 
license issued to such other applicant.
    (6) The Licensing Authority will not issue a nonhistorical license 
for an article from a country during a quota

[[Page 363]]

year, for which the applicant receives a designated license.

[80 FR 44254, July 27, 2015]



Sec.  6.24  Application for a license.

    (a) Application for license shall be made on electronic forms 
designated for the purpose by the Licensing Authority. All parts of the 
application shall be completed. The application shall be transmitted no 
earlier than September 1 and no later than midnight October 15 of the 
year preceding that for which license application is made. The Licensing 
Authority will not accept incomplete applications.
    (b)(1) Where the applicant seeks to establish eligibility on the 
basis of imports, applications shall include identification of entries 
sufficient to establish the applicant as the importer of record of 
entries required under Sec.  6.23, during the 12-month period ending 
August 31 prior to the quota year for which license is being sought. For 
qualifying licensed entries, verification will be only processed through 
DAIRIES and cross checked with entries in the CBP system. For qualifying 
unlicensed entries, the applicant will submit an electronic copy (e.g. 
scanned PDF) of CBP Form 7501 to the Licensing Authority.
    (2) Where the applicant seeks to establish eligibility on the basis 
of exports, applications shall include:
    (i) Census Form 7525 or a copy of the electronic submission of such 
form, and
    (ii) The commercial invoice or bill of sale for the quantities and 
number of export shipments required under Sec.  6.23, during the 12-
month period ending August 31 prior to the quota year for which license 
is being sought.
    (c) An applicant requesting more than one nonhistorical license must 
rank order these requests by the applicable Additional U.S. Note number. 
Cheese and cheese products must be ranked separately from dairy articles 
other than cheese or cheese products.

[80 FR 44254, July 27, 2015]



Sec.  6.25  Allocation of licenses.

    (a) Licensing Authority. The Licensing Authority will issue 
historical, nonhistorical and designated licenses.
    (b) Historical licenses for the 2016 and subsequent quota years 
(Appendix 1). A person issued a historical license for the current quota 
year will be issued a historical license in the same amount for the same 
article from the same country for the next quota year except that 
beginning with the 2023 quota year, a person who has surrendered more 
than 50 percent of such historical license in at least three of the 
prior 5 quota years will thereafter be issued a license in an amount 
equal to the average annual quantity entered during those 5 quota years.
    (c) Nonhistorical licenses (Appendix 2). The Licensing Authority 
will allocate nonhistorical licenses on the basis of a rank-order 
lottery system, which will operate as follows:
    (1) The minimum license size shall be:
    (i) Where the article is cheese or cheese product:
    (A) The total amount available for nonhistorical license where such 
amount is less than 9,500 kilograms;
    (B) 9,500 kilograms where the total amount available for 
nonhistorical license is between 9,500 kilograms and 500,000 kilograms, 
inclusive;
    (C) 19,000 kilograms where the total amount available for 
nonhistorical license is between 500,001 kilograms and 1,000,000 
kilograms, inclusive;
    (D) 38,000 kilograms where the total amount available for 
nonhistorical license is greater than 1,000,000 kilograms; or
    (E) An amount less than the minimum license size established in 
paragraphs (c)(1)(i) (A) through (D) of this section, if requested by 
the licensee;
    (ii) Where the article is not cheese or cheese product:
    (A) The total amount available for nonhistorical license where such 
amount is less than 19,000 kilograms;
    (B) 19,000 kilograms where the total amount available for 
nonhistorical license is between 19,000 kilograms and 550,000 kilograms, 
inclusive;
    (C) 38,000 kilograms where the total amount available for 
nonhistorical license is between 550,001 kilograms and 1,000,000 
kilograms, inclusive; and

[[Page 364]]

    (D) 57,000 kilograms where the total amount available for 
nonhistorical license is greater than 1,000,000 kilograms;
    (E) An amount less than the minimum license sizes established in 
paragraphs (c)(1)(i)(A) through (D) of this section, if requested by the 
licensee.
    (2) Taking into account the order of preference expressed by each 
applicant, as required by Sec.  6.24(c), the Licensing Authority will 
allocate licenses for an article from a country by a series of random 
draws. A license of minimum size will be issued to each applicant in the 
order established by such draws until the total amount of such article 
in Appendix 2 has been allocated. An applicant that receives a license 
for an article will be removed from the pool for subsequent draws until 
every applicant has been allocated at least one license, provided that 
the licenses for which they applied are not already fully allocated. Any 
amount remaining after the random draws which is less than the 
applicable minimum license size may, at the discretion of the licensing 
Authority, be prorated equally among the licenses awarded for that 
article.
    (d) Designated licenses (Appendix 3). (1) With respect to an article 
listed in Appendix 3, the government of the applicable country may, not 
later than October 31 prior to the beginning of a quota year, submit 
directly by email to the Licensing Authority:
    (i) The names, addresses and emails of the importers that it is 
designating to receive licenses; and
    (ii) The amount, in kilograms, of such article for which each such 
importer is being designated. Where quantities for designation result 
from both Tokyo Round concessions and Uruguay Round concessions, the 
designations should be made in terms of each.
    (2) To the extent practicable, the Licensing Authority will issue 
designated licenses to those importers, and in those amounts, indicated 
by the government of the applicable country, provided that the importer 
designated meets the eligibility requirements set forth in Sec.  6.23. 
Consistent with the international obligations of the United States, the 
Licensing Authority may disregard a designation if the Licensing 
Authority determines that the person designated is not eligible for any 
of the reasons set forth in Sec.  6.23(c)(1) or (2).
    (3) If a government of a country which negotiated in the Uruguay 
Round for the right to designate importers has not done so, but 
determines to designate importers for the next quota year, it shall 
indicate its intention to do so directly and in writing to the Licensing 
Authority not later than July 1 prior to the beginning of such next 
quota year. Furthermore, if a government that has designated importers 
for a quota year determines that it will not continue to designate 
importers for the next quota year, it shall so indicate directly and in 
writing to the Licensing Authority, not later than July 1 prior to such 
next quota year.

[80 FR 44254, July 27, 2015]



Sec.  6.26  Surrender and reallocation.

    (a) If a licensee determines that it will not enter the entire 
amount of an article permitted under its license, such licensee shall 
surrender its license right to enter the amount that it does not intend 
to enter. Surrender shall be made to the Licensing Authority no later 
than October 1. Any surrender shall be final and shall be only for that 
quota year, except as provided in Sec.  6.25(b). The amount of the 
license not surrendered shall be subject to the license use requirements 
of Sec.  6.23(c)(1).
    (b) For each quota year, the Licensing Authority will, to the extent 
practicable, reallocate any amounts surrendered.
    (c) Any person who qualified for or was issued a cheese or cheese 
product license for a quota year may apply to receive additional 
license, or addition to an existing license for a portion of the amount 
being reallocated. A person who did not qualify for a cheese or cheese 
product license for a quota year, but qualified only for a license for 
articles other than cheese or cheese products, may only apply to receive 
an additional license for articles other than cheese or cheese products, 
or addition to an existing license for articles other than cheese or 
cheese products for a portion of the amount being reallocated. The 
application shall be submitted to the Licensing Authority no

[[Page 365]]

earlier than September 1 and not later than September 15, and shall 
specify:
    (1) The name and control number of the applicant;
    (2) The article and country being requested, the applicable HTS 
Additional U.S. Note number and, if more than one article is requested, 
a rank-order by Additional U.S. Note number; and
    (3) If applicable, the number of the license issued to the applicant 
for that quota year permitting entry of the same article from the same 
country.
    (d) The Licensing Authority will reallocate surrendered amounts 
among applicants as follows:
    (1) The minimum license size, or addition to an existing license, 
will be the total amount of the article from a country surrendered, or 
10,000 kilograms, whichever is less;
    (2) Minimum size licenses, or additions to an existing license, will 
be allocated among applicants requesting articles on the basis of the 
rank-order lottery system described in Sec.  6.25(c);
    (3) If there is any amount of an article from a country left after 
minimum size licenses have been issued, the Licensing Authority may 
allocate the remainder in any manner it determines equitable among 
applicants who have requested that article; and
    (4) No amount will be reallocated to a licensee who has surrendered 
a portion of its license for the same article from the same country 
during that quota year unless all other licensees applying for a 
reallocated quantity have been allocated a license;
    (e) However, if the government of an exporting country chooses to 
designate eligible importers for surrendered amounts under Appendix 3, 
the Licensing Authority shall issue the licenses in accordance with 
Sec.  6.25(d)(2), provided that the government of the exporting country 
notifies the Licensing Authority of its designations no later than 
September 1. Such notification shall contain the names, addresses, and 
emails addresses of the importers that it is designating and the amount 
in kilograms of such article for which each importer is being 
designated. In such case the requirements of paragraph (c) of this 
section shall not apply.

[80 FR 44254, July 27, 2015]



Sec.  6.27  Limitations on use of license.

    (a) A licensee shall not obtain or use a license for speculation, 
brokering, or offering for sale, or permit any other person to use the 
license for profit.
    (b) A licensee who is eligible as a manufacturer or processor, 
pursuant to Sec.  6.23, shall process at least 75 percent of its 
licensed imports in such person's own facilities and maintain the 
records necessary to so substantiate.

[80 FR 44254, July 27, 2015]



Sec.  6.28  Transfer of license.

    (a) If a licensee sells or conveys its business involving articles 
covered by this subpart to another person, including the complete 
transfer of the attendant assets, the Licensing Authority will transfer 
to such other person the historical, nonhistorical or designated license 
issued for that quota year. Such sale or conveyance must be 
unconditional, except that it may be in escrow with the sole condition 
for return of escrow being that the Licensing Authority determines that 
such sale does not meet the requirements of this paragraph.
    (b) The parties seeking transfer of license shall give written 
notice to the Licensing Authority of the intended sale or conveyance 
described in paragraph (a) of this section by email. The notice must be 
received by the Licensing Authority at least 20 working days prior to 
the intended consummation of the sale or conveyance. Such notice shall 
include electronic copies of the documents of sale or conveyance. The 
Licensing Authority will review the documents for compliance with the 
requirements of paragraph (a) of this section and advise the parties in 
writing of its findings by the end of the 20-day period. The parties 
shall have the burden of demonstrating to the satisfaction of the 
Licensing Authority that the contemplated sale or conveyance complies 
with the requirements of paragraph (a) of this section. Within 15 days 
of the consummation of the sale or conveyance, the parties shall email 
the final documents to the Licensing Authority. The Licensing Authority 
will not transfer the licenses unless the documents are submitted in 
accordance with this paragraph.

[[Page 366]]

    (c) The eligibility for a license of a person to whom a business is 
sold or conveyed will be determined for the next quota year in 
accordance with Sec.  6.23. For the purposes of Sec.  6.23(b)(1) the 
person to whom a business is sold or conveyed shall be deemed to be the 
person to whom the historical licenses were issued during the quota year 
in which the sale or conveyance occurred. Further, for the purposes of 
Sec.  6.23(b) and (c), the entries made under such licenses by the 
original licensee during the year in which the sale of conveyance is 
made, shall be considered as having been made by the person to whom the 
business was sold or conveyed.

[80 FR 44254, July 27, 2015]



Sec.  6.29  Use of licenses.

    (a) An article entered under a license shall be an article produced 
in the country specified on the license.
    (b) An article entered or withdrawn from warehouse for consumption 
under a license must be entered in the name of the licensee as the 
importer of record by the licensee or its agent, and must be owned by 
the licensee at the time of such entry.
    (c) If the article entered or withdrawn from warehouse for 
consumption was purchased by the licensee through a direct sale from a 
foreign supplier, the licensee shall present the following documents or 
their authorized electronic equivalent, when available, at the time of 
entry:
    (1) A true and correct copy of a through bill of lading from the 
country; and
    (2) A commercial invoice or bill of sale from the seller, showing 
the quantity and value of the product, the date of purchase and the 
country; or
    (3) Where the article was entered into warehouse by the foreign 
supplier, CBP Form 7501 endorsed by the foreign supplier, and the 
commercial invoice.
    (d) If the article entered was purchased by the licensee via sale-
in-transit, the licensee shall present the following documents or their 
authorized electronic equivalent, when available, at the time of entry:
    (1) A true and correct copy of a through bill of lading endorsed by 
the original consignee of the goods;
    (2) A certified copy of the commercial invoice or bill of sale from 
the foreign supplier to the original consignee of the goods; and
    (3) A commercial invoice or bill of sale from the original consignee 
to the licensee.
    (e) If the article entered was purchased by the licensee in 
warehouse, the licensee shall present the following documents or their 
authorized electronic equivalent, when available, at the time of entry:
    (1) CBP Form 7501 endorsed by the original consignee of the goods;
    (2) A certified copy of the commercial invoice or bill of sale from 
the foreign supplier to the original consignee of the goods; and
    (3) A commercial invoice or bill of sale from the original consignee 
to the licensee.
    (f) The Licensing Authority may waive the requirements of paragraphs 
(c), (d) or (e), if it determines that because of strikes, lockouts or 
other unusual circumstances, compliance with those requirements would 
unduly interfere with the entry of such articles.
    (g) Nothing in this subpart shall prevent the use of immediate 
delivery in accordance with the provisions of CBP regulations relating 
to tariff-rate quotas.

[80 FR 44254, July 27, 2015, as amended at 81 FR 87802, Dec. 6, 2016]



Sec.  6.30  Record maintenance and inspection.

    A licensee shall retain all records relating to its purchases, sales 
and transactions governed by this subpart, including all records 
necessary to establish the licensee's eligibility, for five years 
subsequent to the end of the quota year in which such purchases, sales 
or transactions occurred. During that period, the licensee shall, upon 
reasonable notice and during ordinary hours of business, grant officials 
of the U.S. Department of Agriculture full and complete access to the 
licensee's premises to inspect, audit or copy such records.

[80 FR 44254, July 27, 2015]

[[Page 367]]



Sec.  6.31  Debarment and suspension.

    The provisions in 7 CFR part 3017-- Government-wide Debarment and 
Suspension (Nonprocurement) and Government Requirements for Drug-Free 
Workplace (Grants), subparts A through E, apply to this subpart.

[80 FR 44254, July 27, 2015]



Sec.  6.32  Globalization of licenses.

    If the Licensing Authority determines that entries of an article 
from a country are likely to fall short of that country's allocated 
amount as indicated in Appendices 1, 2, and 3, the Licensing Authority 
may permit, with the approval of the Office of the United States Trade 
Representative, the applicable licensees to enter the remaining balance 
or a portion thereof from any country during that quota year. Requests 
for consideration of such adjustments must be submitted to the Licensing 
Authority no later than September 1. The Licensing Authority will obtain 
prior consent for such an adjustment of licenses from the government of 
the exporting country for quantities in accordance with the Uruguay 
Round commitment of the United States. No globalization requests will be 
considered prior to April 1 of each year.

[80 FR 44254, July 27, 2015]



Sec.  6.33  License fee.

    (a) A fee will be assessed each quota year for each license to 
defray the Department's costs of administering the licensing system. To 
the extent practicable, the fee will be announced by the Licensing 
Authority in a notice published in the Federal Register no later than 
August 31 of the year preceding the quota year for which the fee is 
assessed.
    (b) The license fee for each license issued is due and payable in 
full no later than March 15 of the year for which the license is issued. 
The fee for any license issued after March 15 of any quota year is due 
and payable in full no later than 10 days from the date of issuance of 
the license. Fee payments are payable to the Treasurer of the United 
States and shall be made solely utilizing the electronic software 
designated for the purpose by the Licensing Authority as provided in 
Sec.  6.36(b).
    (c) If the license fees for all licenses issued to a licensee are 
not paid by the final payment date, a hold will be placed on the use of 
all licenses issued to the licensee and no articles will be permitted 
entry under those licenses. The Licensing Authority shall send a warning 
by email advising the licensee that if payment is not made in accordance 
with Sec.  6.36(b) and received within 10 calendar days from the date of 
the email, all licenses issued to that licensee will be revoked. Where 
the license at issue is a historical license, this will result, pursuant 
to Sec.  6.23(b), in the person's loss of historical eligibility for 
such license.

[80 FR 44254, July 27, 2015]



Sec.  6.34  Adjustment of appendices.

    (a) Whenever a historical license (Appendix 1) is not issued to an 
applicant pursuant to the provisions of Sec.  6.23, is permanently 
surrendered or is revoked by the Licensing Authority, the amount of such 
license will be transferred to Appendix 2.
    (b) The cumulative annual transfers to Appendix 2 made in accordance 
with paragraph (a) of this section will be published by Notice in the 
Federal Register each year. If a transfer results in the addition of a 
new article, or an article from a country not previously listed in 
Appendix 2, the Licensing Authority shall afford all eligible applicants 
for that quota year the opportunity to apply for a license for such 
article.

[80 FR 44254, July 27, 2015]



Sec.  6.35  Correction of errors.

    (a) If a person demonstrates, to the satisfaction of the Licensing 
Authority, that errors were made by officers or employees of the United 
States Government, the Licensing Authority will review and rectify the 
errors to the extent permitted under this subpart.
    (b) To be considered, a person must provide sufficient documentation 
regarding the error to the Licensing Authority by email, not later than 
August 31 of the calendar year following the calendar year in which the 
error was alleged to have been committed.

[[Page 368]]

    (c) If the error resulted in the loss of a historical license by a 
license holder, the Licensing Authority will transfer the amount of such 
license from Appendix 2 to Appendix 1 in order to provide for the 
issuance of such license in the calendar year following the calendar 
year for which the license was revoked. The cumulative annual transfers 
to Appendix 1 in accordance with this paragraph will be published in the 
Federal Register.

[80 FR 44254, July 27, 2015]



Sec.  6.36  Miscellaneous.

    (a) If any deadline date in this subpart falls on a Saturday, 
Sunday, or a Federal holiday, then the deadline shall be the next 
business day.
    (b) All applications and fee payments required under this subpart 
shall be made utilizing the electronic software designated for this 
purpose by the Licensing Authority, and official correspondence with the 
Licensing Authority, except as provided under Sec.  6.28(b), shall be by 
email. Digital scanned versions (e.g. PDF, JPEG, TIF, etc.) of hardcopy 
documents submitted by email are acceptable electronic communications.

[80 FR 44254, July 27, 2015]



     Subpart_Price-Undercutting of Domestic Cheese by Quota Cheeses

    Authority: Sec. 702, Pub. L. 96-39, 93 Stat. 144, 19 U.S.C. 1202 
note.

    Source: 45 FR 9883, Feb. 13, 1980, unless otherwise noted.



Sec.  6.40  General.

    This subpart sets forth the procedures applicable to the 
determination by the Secretary of Agriculture as to whether the price at 
which any article of quota cheese is being offered for sale in the 
United States on a duty-paid wholesale basis is less than the domestic 
wholesale market price of similar articles produced in the United States 
(i.e., price-undercutting) in accordance with section 702 of the Trade 
Agreements Act of 1979 (Pub. L. 96-39, 93 Stat. 144, 19 U.S.C. 1202 
note) (hereinafter referred to as the Act).



Sec.  6.41  Definitions.

    (a) Complainant means the person who has filed with the 
Investigating Authority, in accordance with the procedures set forth in 
this subpart, a written complaint alleging that price-undercutting is 
occurring.
    (b) Country of origin means the country, as defined in 19 CFR 
134.1(b), in which the quota article subject to this regulation was 
produced or manufactured.
    (c) Foreign government means the government of the country of origin 
or, for purposes of determining whether a subsidy has been provided for 
the member states of the European Economic Community, the subsidy 
granting bodies of the European Economic Community.
    (d) Investigating Authority means the Director, Dairy, Livestock and 
Poultry Division, Commodity Programs, Foreign Agricultural Service.
    (e) Quota cheese means the articles provided for in the following 
items of the Tariff Schedules of the United States:

117.00 (except Stilton produced in the United Kingdom);
117.05 (except Stilton produced in the United Kingdom);
117.15;
117.20;
117.25;
117.42;
117.44;
117.55;
117.60 (except Gammelost and Nokkelost);
117.75 (except goat's milk cheeses and soft-ripened cow's milk cheeses);
117.81;
117.86;
117.88 (except goat's milk cheeses and soft-ripened cow's milk cheeses);

    (f) Secretary means the Secretary of Agriculture.
    (g) Subsidy has the same meaning as such term has in section 771(5) 
of the Tariff Act of 1930 as added by section 101 of the Trade 
Agreements Act of 1979 (19 U.S.C. 1677(5)).
    (h) The United States means the Customs Territory of the United 
States, which is limited to the United States, District of Columbia and 
Puerto Rico.



Sec.  6.42  Complaints of price-undercutting.

    (a) Submission of complaint. Any person who has reason to believe 
that the

[[Page 369]]

price at which any article of quota cheese is offered for sale or sold 
in the United States on a duty-paid wholesale price basis is less than 
the domestic wholesale market price of similar articles produced in the 
United States and that a foreign government is providing a subsidy with 
respect to such article of quota cheese may file with the Investigating 
Authority a written complaint making such allegation.
    (b) Contents of complaint. Such complaint shall contain, or be 
accompanied by, information to substantiate complainant's allegations, 
in substantially the following form:
    (1) The name and address of the complainant.
    (2) The location of the domestic wholesale market in which price-
undercutting is alleged to be occurring.
    (3) The article of quota cheese involved in the alleged price-
undercutting.
    (4) The country of origin of such article of quota cheese.
    (5) The similar domestic article, the price of which the complainant 
believes is being undercut.
    (6) The month and year that the complainant first concluded that the 
price-undercutting was taking place.
    (7) To extent known to the complainant, all pertinent facts with 
regard to the alleged subsidy, and, if known, the statutory or other 
authority under which it is paid, the manner in which it is paid, and 
the value of such subsidy when received and used by producers or sellers 
of such quota cheese.
    (8) All other information which the complainant believes 
substantiates the allegation of price-undercutting, including the 
complainant's estimate of the domestic wholesale market price of the 
similar article produced in the United States and the duty-paid 
wholesale price of the quota cheese involved. If available, samples of 
the domestic and imported cheese products should be submitted.



Sec.  6.43  Determinations.

    (a) Making determinations. Not later than 30 days after receiving an 
acceptable complaint, as described in Sec.  6.42(b), alleging price-
undercutting, the Secretary shall make a determination as to the 
validity of the allegation. In making such determination, the following 
shall apply:
    (1) The ``domestic wholesale market'' shall be one or more of the 
three major U.S. market areas, viz., New York City, Chicago, and San 
Francisco, and/or any other market area within the Customs Territory of 
the United States, which the Investigating Authority determines most 
representative of the area specified by the complainant as the one in 
which price-undercutting is alleged to be occurring (hereinafter 
referred to as ``designated area'').
    (2) The ``duty-paid wholesale price'' determined by the 
Investigating Authority shall be the average of prices at which 
wholesalers have sold or offered for sale in the designated area the 
article of quota cheese alleged to be involved in price-undercutting, as 
obtained in a survey directed by the Investigating Authority during the 
investigation: Provided, That whenever the designated area is not or 
does not include one of the major market areas specified in paragraph 
(a)(1) of this section, the Investigating Authority may adjust the 
average of prices determined for such designated area on the basis of 
the average of prices determined for the major market area which is 
determined to be the most representative of the designated area, taking 
into consideration any special factors which may be affecting prices in 
the designated area.
    (3) The ``domestic wholesale market price'' determined by the 
Investigating Authority for a similar article produced in the United 
States to that article of quota cheese which is alleged to be involved 
in price-undercutting shall be the average of prices at which 
wholesalers have sold the similar article produced in the United States 
in the designated area, as obtained in a survey directed by the 
Investigating Authority during the investigation: Provided, That 
whenever the designated area is not or does not include one of the major 
market areas specified in paragraph (a)(1) of this section, the 
Investigating Authority may adjust the average of prices determined for 
such designated area on the basis of the average of prices determined 
for the major market area which is determined to be the most 
representative of

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the designated area, taking into consideration any special factors which 
may be affecting prices in the designated area.
    (4) ``Similar article produced in the United States'' shall be an 
article of cheese, cheese product, or imitation cheese produced in the 
United States and marketed in the domestic wholesale market, which is 
determined by the Investigating Authority, based upon available 
information to be most like the imported article of quota cheese alleged 
to be involved in price-undercutting, in terms of its physical 
properties and end use. In making this determination, first 
consideration shall be given to the normal end uses of the article 
produced in the United States in comparison with the end use of the 
article of quota cheese alleged to be involved in price-undercutting. If 
the end use of both articles is determined to be the same (e.g., 
processing or retail sale), the physical characteristics of the two 
articles shall be considered.

If the common end use of the two articles is processing, the 
representative samples of the two articles shall be examined in terms of 
processing quality, taking special note of processing yields. If the 
common end use of the two articles is retail sale, representative 
samples of the two articles shall be examined in terms of similarities 
of taste, texture, general appearance, quality, age, and packaging. 
Imported imitation quota cheese shall only be compared with imitation 
domestic cheese. If it is determined that the domestic cheese the price 
of which is claimed to be undercut is not similar to the quota cheese 
allegedly undercutting it, there shall be no finding of price-
undercutting.
    (b) Reporting determinations. Determinations by the Secretary as to 
the validity of allegations of price-undercutting made under this 
subpart shall be published in the Federal Register not later than 5 days 
after the date the determination is made.



Sec.  6.44  Delegation of authority.

    The powers vested in the Administrator, FAS, insofar as such powers 
relate to the functions of the Investigating Authority by this 
regulation are hereby delegated to the Investigating Authority. This 
final rule has been reviewed under the USDA criteria established to 
implement Executive Order 12044, ``Improving Government Regulations.'' a 
determination has been made that this action should not be classified 
``significant'' under those criteria. A Final Impact Statement has been 
prepared and is available from Carol M. Harvey in room 6622, South 
Agriculture Building, 14th and Independence Ave., SW., Washington, DC 
20250.



PART 7_SELECTION AND FUNCTIONS OF FARM SERVICE AGENCY STATE
AND COUNTY COMMITTEES--Table of Contents



Sec.
7.1 Administration.
7.2 General.
7.3 Definitions.
7.4 Selection of committee members.
7.5 Eligible voters.
7.6 Establishment of local administrative areas.
7.7 Calling of elections.
7.8 Nominations for county committee.
7.9 Slate of candidates.
7.10 Conduct of county committee elections.
7.11 Election of county committee members.
7.12 Composition of a county committee.
7.13 Tie votes.
7.14 Vacancies.
7.15 Challenges and appeals.
7.16 Report of election.
7.17 Remedial measures.
7.18 Eligibility requirements of county committee members.
7.19 Eligibility requirements of all other personnel.
7.20 Prohibition on dual office.
7.21 Terms of office of county committee members.
7.22 State committee duties.
7.23 County committee duties.
7.24 Chairperson of the county committee duties.
7.25 County executive director duties.
7.26 Private business activity and conflicts of interest.
7.27 Political activity.
7.28 Removal from office or employment for cause.
7.29 Delegation of authority to Deputy Administrator.
7.30 Custody and use of books, records, and documents.
7.31 Administrative operations.
7.34 Retention of authority.


[[Page 371]]


    Authority: 7 U.S.C. 2279-1, 16 U.S.C. 590d and 590h.

    Source: 77 FR 33070, June 5, 2012, unless otherwise noted.



Sec.  7.1  Administration.

    (a) The regulations in this part apply to the election and functions 
of the Farm Service Agency (FSA) county committees and the functions of 
FSA State committees (``county committees'' and ``State committees,'' 
respectively). State and county committees will be under the general 
supervision of the FSA Administrator.
    (b) State and county committees, and representatives and employees 
of those committees, do not have authority to modify or waive any of the 
provisions of this part.
    (c) State committees will take any actions required by these 
regulations that have not been taken by a county committee. State 
committees will also:
    (1) Correct, or require a county committee to correct, any action 
taken by such county committee that is not in accordance with this part, 
or
    (2) Require a county committee to withhold taking any action that is 
not in accordance with this part.
    (d) No provision or delegation to a State or county committee will 
preclude the FSA Administrator, or designee, from determining any 
question arising under this part, or from reversing or modifying any 
determination made by a State or county committee.
    (e) These regulations will be administered in accordance with the 
Uniform Guidelines for Conducting FSA County Committee Elections.
    (f) Unless specifically provided in this part, the Deputy 
Administrator, Field Operations, FSA (Deputy Administrator), is 
authorized to issue the official instructions and procedures referred to 
in this part to implement the provisions of this part.
    (g) This part applies to the United States, its territories, and 
Puerto Rico.



Sec.  7.2  General.

    State and county committees will, as directed by the Secretary, or a 
designee of the Secretary, carry out the programs and functions of the 
Secretary.



Sec.  7.3  Definitions.

    The following definitions apply to this part. The definitions in 
Sec.  718.2 of this title also apply to this part, except where they 
conflict with the definitions in this section.
    Cooperate means to enroll a farming operation or agricultural 
property with a county office.
    Deputy Administrator means Deputy Administrator for Field 
Operations, Farm Service Agency, U.S. Department of Agriculture or the 
designee.
    Local administrative area means an elective area for FSA committees 
in a single county or multi-county jurisdiction.
    Participate means to receive assistance, services, or benefits 
directly from the United States Department of Agriculture (USDA), or 
from USDA indirectly through another governmental agency.
    Socially disadvantaged farmer or rancher is an individual or entity 
who is a member of a group whose members have been subject to racial, 
ethnic, or gender prejudice because of their identity as members of a 
group without regard to their individual qualities. These groups consist 
of: American Indians or Alaskan Natives, Asians, Blacks or African 
Americans, Native Hawaiians or other Pacific Islanders, Hispanics, and 
women.
    State committee means the FSA State committee.
    Uniform Guidelines means the Uniform Guidelines for Conducting Farm 
Service Agency County Committee Elections, which are available in FSA 
Handbook 15-AO.



Sec.  7.4  Selection of committee members.

    (a) State committee members will be selected by the Secretary and 
will serve at the pleasure of the Secretary.
    (b) County committee members will be elected as specified in Sec.  
7.11 of this part or appointed as specified in Sec.  7.17 of this part.



Sec.  7.5  Eligible voters.

    (a) Persons must meet the requirements of paragraphs (b) or (c) of 
this section to be eligible to vote in direct elections of county 
committee members.

[[Page 372]]

    (b) Farmers and ranchers who are of legal voting age in the State in 
which their farms or ranches are located, regardless of race, color, 
national origin, gender, religion, age, disability, political beliefs, 
sexual orientation, and marital or family status, and any farmers or 
ranchers not of legal voting age who are in charge of the supervision 
and conduct of the farming operations on an entire farm, are eligible to 
vote for direct election of county committee members, if they:
    (1) Participated in a program administered within a county, or area 
under the jurisdiction of the county committee, within 1 year of the 
date of the election; or
    (2) Not later than the final date to return ballots, cooperate as 
evidenced in county office records.
    (c) In any State having a community property law, the spouse of a 
person who is eligible to vote in accordance with paragraph (b) of this 
section is also eligible to vote.
    (d) If an eligible voter is a legal entity, the eligible voter's 
vote may be cast by a duly authorized representative of such entity, as 
determined by the Deputy Administrator, Field Operations, FSA.
    (e) Each county office will maintain a list of eligible voters for 
each local administrative area within the county. A county office must 
disclose a list containing the names of eligible voters to the public. A 
county office must disclose a list containing the names and addresses of 
eligible voters to a candidate for a county committee position at the 
request of the candidate.
    (f) Farmers and ranchers who are not on the list of eligible voters 
who believe that they meet eligibility requirements may file a written 
challenge with the county committee and may appeal county committee 
voting ineligibility determinations to the State committee.
    (g) Each eligible voter will be entitled to only one ballot in any 
election held in any one local administrative area. If the eligible 
voter has an interest in land located in more than one local 
administrative area in a single county, such voter will not be entitled 
to vote in more than one local administrative area in that county. There 
will be no voting by proxy.



Sec.  7.6  Establishment of local administrative areas.

    (a) The Secretary, or the Secretary's designee, may designate local 
administrative areas within a county or a larger area under the 
jurisdiction of a county committee.
    (1) There will be a minimum of three local administrative areas in 
each county. In counties that have been combined or consolidated into a 
multiple county office, there will be 3 to 11 local administrative 
areas. In single-county offices, there will be three to five local 
administrative areas. With respect to Alaska and Puerto Rico, the county 
will be the area so designated by the State committees. In Louisiana, 
the term ``county'' applies to parishes.
    (2) Each local administrative area will have not more than one 
elected county committee member.
    (3) The boundaries of the local administrative areas will be 
determined by the State committee after considering recommendations by 
the county committee in which the local administrative areas are 
located.
    (4) The county committee must give public notice of the local 
administrative area boundaries in advance of the election and nomination 
processes.
    (b) [Reserved]



Sec.  7.7  Calling of elections.

    (a) The Secretary will establish a county committee in each county 
or area under the jurisdiction of a multiple county office.
    (b) Each election of county committee members must be held on a 
date, or within a specified period of time, determined by the Deputy 
Administrator. Each such election must be held in accordance with 
instructions issued by the Deputy Administrator, and the instructions 
must be available for public examination in each county office.
    (c) If the number of eligible voters voting in any election of 
county committee members is so small that the State committee determines 
that the

[[Page 373]]

result of that election does not represent the views of a substantial 
number of eligible voters, the State committee may declare the election 
void and call a new election. If it is determined by the State committee 
that the election for any position on a county committee has not been 
held substantially in accordance with official instructions, the State 
committee will declare such election void and call a new election.



Sec.  7.8  Nominations for county committee.

    (a) Nominations to the county committee will be publicly solicited 
with a closing date for nominations not less than 90 days prior to the 
election date.
    (b) Each solicitation for nomination will include the 
nondiscrimination statement used by the Secretary.
    (c) To be eligible for nomination for election in a single county 
jurisdiction in the local administrative area conducting the election, a 
person must be a farmer or rancher residing within that local 
administrative area under the jurisdiction of the county committee. In a 
multiple county jurisdiction, or in the case where an local 
administrative area or county boundary runs through a farm, a person 
will only be eligible for nomination in the jurisdiction and local 
administrative area in which the person's records are administered.
    (d) To be eligible, nominees must be farmers or ranchers who:
    (1) Participated in a program administered within an area under the 
jurisdiction of the county committee; or
    (2) At the time of the deadline to submit nominations, cooperate as 
evidenced in county office records.
    (e) Nominations of eligible farmers and ranchers will be solicited 
and accepted from organizations representing the interests of socially 
disadvantaged farmers and ranchers.
    (f) Eligible farmers and ranchers may nominate themselves or other 
farmers and ranchers who meet the nomination criteria in paragraph (d) 
of this section, and who certify their willingness to serve on the 
county committee.
    (g) If elected, nominees must meet all the eligibility requirements 
in Sec.  7.18 to serve as county committee members.



Sec.  7.9  Slate of candidates.

    (a) Except as provided in paragraph (b) of this section, a slate of 
candidates will consist of one or more eligible farmers and ranchers 
nominated through public solicitation of nominees as specified in Sec.  
7.8.
    (b) If no nominations are received by the closing date for 
nominations, the county committee must develop a slate of candidates in 
accordance with the Uniform Guidelines.
    (c) A slate developed by the county committee must include at least 
one individual representing the interests of socially disadvantaged 
farmers and ranchers.
    (d) Candidates must certify their willingness to serve on the county 
committee if elected as a member or alternate.
    (e) The county committee must accept write-in candidates on ballots.
    (f) Write-in candidates, if elected as a member or an alternate, 
must meet the eligibility requirements of Sec.  7.18 and must certify 
their willingness to serve on the county committee before they will be 
certified as a member or alternate.



Sec.  7.10  Conduct of county committee elections.

    (a) The county committee serving at the time of the election will be 
responsible for the conduct of the county committee election in 
accordance with the Uniform Guidelines and with any instructions issued 
by the Deputy Administrator.
    (b) County committee elections must not be associated with, or held 
in conjunction with, any other election or referendum conducted for any 
other purpose.
    (c) The county committee must give advance public notice at least 30 
calendar days prior to the election date of how, when, and where 
eligible voters may vote.
    (d) The county committee must provide at least 10 calendar days of 
public notice of the date, time, and place at which election ballots 
will be opened and counted.

[[Page 374]]

    (e) The county committee must provide at least 10 calendar days of 
public notice that any person may observe the opening and counting of 
the election ballots.
    (f) The county executive director must notify all nominees of the 
outcome of the election within 5 calendar days of the election date. The 
notification must be in writing.



Sec.  7.11  Election of county committee members.

    (a) Where there are three local administrative areas as specified in 
Sec.  7.6, there will be an election of a county committee member and, 
if available, any alternates, for a term of not more than 3 years, or 
until such person's successor is elected and qualified, in only one of 
the local administrative areas so that the term of office of one county 
committee member and any alternates within one of the local 
administrative areas will expire each year.
    (b) Where there are more than three local administrative areas as 
specified in Sec.  7.6, there will be an election in at least one of the 
local administrative areas each year, such that the term of office of 
the county committee member(s) and any alternates within at least one-
third of the local administrative areas will expire each year.
    (c) Every 3 years, the eligible voters in a local administrative 
area will elect a county committee member and may elect first and second 
alternates, as available, to serve. The alternates will serve, in the 
order of the number of votes received, as acting members of the county 
committee, in case of the temporary absence of a member, or to become a 
member of the county committee in that same order elected in case of the 
resignation, disqualification, removal, or death of a member. In other 
words, the candidate receiving the most votes will be elected as the 
committee member, and the candidates receiving the second and third most 
votes, if there are multiple candidates, will be elected as first and 
second alternates, respectively.
    (d) An alternate serving as an acting member of the county committee 
will have the same duties, responsibilities, and authority as a regular 
member of such committee. In the event an alternate fills a permanent 
vacancy on the county committee, such person will assume the remainder 
of the unexpired term of the county committee member who was replaced.
    (e) The election must be conducted in all counties by mail or other 
distribution of ballots in accordance with the Uniform Guidelines, 
except that the Deputy Administrator may authorize use of the meeting or 
polling place method in any county where such exception is deemed 
justified.
    (f) Elections will be by secret ballot with each eligible voter 
allowed to cast one vote and having the option of writing in the name of 
a candidate.
    (g) Failure to elect alternates at the regular election will not 
invalidate such election or require a special election to elect 
alternates.



Sec.  7.12  Composition of a county committee.

    (a) A committee established under this part will consist of not 
fewer than 3 nor more than 11 elected members.
    (b) Committee members must be fairly representative of the farmers 
and ranchers within their respective LAA from which they are elected.
    (c) The county committee must select a secretary who must be the 
county executive director or other employee of the county committee. The 
secretary cannot be a county committee member.
    (d) The county committee must select a chairperson and vice-
chairperson.



Sec.  7.13  Tie votes.

    Tie votes in county committee elections will be settled by lot in a 
manner that is open to the public.



Sec.  7.14  Vacancies.

    (a) In case of a vacancy in the office of chairperson of a county 
committee, the respective vice chairperson will become chairperson. In 
case of a vacancy in the office of vice chairperson of a three member 
committee, the respective third member will become vice chairperson. In 
case of a vacancy in the office of a member, a respective first 
alternate, if available, will become a member. In case of a vacancy in 
the office of vice chairperson of a four to five

[[Page 375]]

member county committee, the first alternate, if available, for the LAA 
of the vice chairperson will become a member and the county committee 
will conduct an organizational meeting to select a vice chairperson; and 
in case of a vacancy in the office of the first alternate, a respective 
second alternate, if available, will become the first alternate. When 
unanimously recommended by the members of the county committee, as 
constituted under this paragraph, and approved by the State committee, 
the offices of chairperson and vice chairperson of the county committee 
may be filled by any county committee member without regard to the order 
of succession specified in this paragraph.
    (b) In the event that a vacancy, other than one caused by temporary 
absence, occurs in the membership of the county committee and no 
alternate is available to fill the vacancy, a special election may be 
held to fill such vacancies as exist in the membership.
    (c) In the event that a vacancy, other than one caused by temporary 
absence, occurs in the membership of the county committee and no 
alternate is available to fill the vacancy, the State committee may 
designate a person to serve out the balance of the term of the vacant 
position on the county committee.



Sec.  7.15  Challenges and appeals.

    (a) Challenges and appeals by nominees regarding voter eligibility 
or the results of a county committee election must be handled in 
accordance with the Uniform Guidelines.
    (b) Any nominee has the right to challenge an election in writing, 
in person, or both within 15 calendar days after the results of the 
election are posted.
    (c) Challenges to the election must be made to the county committee, 
which will provide a decision on the challenge to the appellant within 7 
calendar days of the receipt of the challenge.
    (d) The county committee's decision may be appealed to the State 
Committee within 15 calendar days of receipt of the notice of the 
decision if the appellant desires.
    (e) In the event that an election is nullified as a result of a 
challenge or appeal, or an error in the election process, a special 
election must be conducted by the county office and closely monitored by 
the FSA State office.



Sec.  7.16  Report of election.

    (a) The county committee must file an election report with the 
Secretary through the Deputy Administrator's office not later than 20 
days after the date an election is held.
    (b) The election report must include:
    (1) The number of eligible voters in the local administrative area;
    (2) The number of ballots cast in the election by eligible voters;
    (3) The percentage of eligible voters that cast ballots;
    (4) The number of ballots disqualified in the election;
    (5) The percentage of ballots disqualified;
    (6) The number of nominees for each seat up for election;
    (7) The race, ethnicity, and gender of each nominee, as provided by 
the voluntary self identification of each nominee; and
    (8) The final election results, including the number of ballots 
received by each nominee.



Sec.  7.17  Remedial measures.

    (a) FSA will consider additional efforts to achieve the objective 
that county committees are fairly representative of farmers and ranchers 
within areas covered by the committees. Such efforts may include, but 
are not limited to, compliance reviews of selected counties, further 
centralization of the election process, and the appointment of socially 
disadvantaged farmers and ranchers to particular committees in 
accordance with a notice published in the Federal Register issued by the 
Secretary authorizing such appointments.
    (b) The Secretary may ensure inclusion of socially disadvantaged 
farmers and ranchers by appointment of 1 additional voting member to a 
county committee when a significant population of socially disadvantaged 
farmers and ranchers exist in the committee jurisdiction and no member 
is elected from that socially disadvantaged population.

[[Page 376]]

The appointment of the socially disadvantaged voting member will be in 
accordance with standards and qualifications furnished by the State 
committee.



Sec.  7.18  Eligibility requirements of county committee members.

    (a) To be eligible to hold office as a county committee member or an 
alternate to any county office, a person must meet the conditions 
specified in this section.
    (b) Such person must:
    (1) Meet the eligibility for nomination criteria specified in Sec.  
7.8;
    (2) Reside in the local administrative area in which the election is 
held, in cases where a State line, a county line, or a local 
administrative area boundary runs through a farm, eligible farmers and 
ranchers residing on such farm may hold office in the county and local 
administrative area in which the farm has been determined to be located 
for program participation purposes;
    (3) Not be ineligible based on prohibited political activities, as 
specified in the Uniform Guidelines;
    (4) Not have been dishonorably discharged from any branch of the 
armed services; removed for cause from any public office; convicted of 
any fraud, larceny, embezzlement, or felony, unless any such 
disqualification is waived by the State committee or the Deputy 
Administrator;
    (5) Not have been removed as a county committee member, alternate to 
any county office, or as an employee for: Failure to perform the duties 
of the office; committing, attempting, or conspiring to commit fraud; 
incompetence; impeding the effectiveness of any program administered in 
the county; refusal to carry out or failure to comply with the 
Department's policy relating to equal opportunity and civil rights, 
including the equal employment policy, or interfering with others in 
carrying out such policy; or for violation of official instructions, 
unless any such disqualification is waived by the State committee or the 
Deputy Administrator;
    (6) Not have been disqualified for future service because of a 
determination by a State committee that during previous service as a 
county committee member, alternate to any county office, or as an 
employee of the county committee, the person has: Failed to perform the 
duties of such office or employment; committed, attempted, or conspired 
to commit fraud; impeded the effectiveness of any program administered 
in the county; in the course of their official duties, refused to carry 
out or failed to comply with the Department's policy relating to equal 
opportunity and civil rights, including the equal employment policy, or 
interfered with others in carrying out such policy; or violated official 
instructions, unless any such disqualification is waived by the State 
committee or the Deputy Administrator;
    (7) Not be an employee of the U.S. Department of Agriculture during 
the term of office;
    (8) Not be a sales agent or employee of the Risk Management Agency 
or their affiliates during the term of office;
    (9) Not be already serving as a county committee member with 1 or 
more years remaining in their current term of office; and
    (10) Not have served more than 9 consecutive years (three 
consecutive terms as an elected member) as an elected or appointed 
county committee member just prior to the current election in which 
elected office is sought. After a break in service of at least 1 year, a 
member who has previously served 9 consecutive years may run for re-
election or be re-appointed.



Sec.  7.19  Eligibility requirements of all other personnel.

    (a) The county executive director and other employees of the county 
committee must not have been: Dishonorably discharged from any branch of 
the armed services; removed for cause from any public office; or 
convicted of any fraud, larceny, embezzlement, or any other felony, 
unless any such disqualification is waived by the State committee or the 
Deputy Administrator.
    (b) The county executive director or any other employee of the 
county committee must not have been removed as a county committee 
member, alternate to any county office, county executive director, or 
other employee of the

[[Page 377]]

county committee for: Failure to perform the duties of the office; 
committing, attempting, or conspiring to commit fraud; incompetence; 
impeding the effectiveness of any program administered in the county; 
refusal to carry out or failure to comply with the Department's policy 
relating to equal opportunity and civil rights, including equal 
employment policy, or interfering with others in carrying out such 
policy; or for violation of official instructions, unless such 
disqualification is waived by the State committee or the Deputy 
Administrator.
    (c) The county executive director or any other employee of the 
county committee must not have been disqualified for future employment 
because of a determination by a State committee that during previous 
service as a county committee member, alternate to any county office, or 
as an employee of the county committee, the person has: Failed to 
perform the duties of such office or employment; committed, attempted, 
or conspired to commit fraud; impeded the effectiveness of any program 
administered in the county; refused to carry out or failed to comply 
with the Department's policy relating to equal opportunity and civil 
rights, including the equal employment policy, or interfered with others 
in carrying out such policy; or violated official instructions, unless 
such disqualification is waived by the State committee or the Deputy 
Administrator.



Sec.  7.20  Prohibition on dual office.

    (a) A member of the county committee cannot, during the time they 
are a committee member, also serve as:
    (1) The secretary to the county committee;
    (2) A member of the State committee; or
    (3) A county executive director or any other county office employee.
    (b) [Reserved]



Sec.  7.21  Terms of office of county committee members.

    (a) The term of office of county committee members and alternates to 
such office will begin on a date fixed by the Deputy Administrator, 
which will be after their election or appointment.
    (b) Before any county committee member or alternate to the county 
committee may take office as a county committee member, such person must 
sign an oath of office to pledge that they will faithfully, fairly, and 
honestly perform to the best of their ability all of the duties 
devolving on them as committee members.
    (c) A term of office will continue until a successor is elected and 
qualified as specified in Sec. Sec.  7.8 and 7.9 or appointed as 
specified in Sec.  7.17.



Sec.  7.22  State committee duties.

    The State committee, subject to the general direction and 
supervision of the Deputy Administrator, will be generally responsible 
for carrying out all Farm Programs in the State or any other functions 
assigned by the Secretary or a designee of the Secretary.



Sec.  7.23  County committee duties.

    (a) The county committee, subject to the general direction and 
supervision of the State committee, will be generally responsible for 
carrying out in the county Farm Programs and any other program or 
function assigned by the Secretary or a designee of the Secretary.
    (b) The county committee will:
    (1) Employ the county executive director, subject to standards and 
qualifications furnished by the State committee, except that incumbent 
directors must not be removed except as specified in Sec.  7.28. There 
must be no employment discrimination due to race, color, national 
origin, gender, religion, age, disability, political beliefs, sexual 
orientation, or marital or family status. The county executive director 
may not be removed for advocating or carrying out the Department's 
policy on equal opportunity and civil rights, including the equal 
employment policy. In the event it is claimed that dismissal is for such 
reasons, the dismissal will not become effective until the State 
committee and the Deputy Administrator have determined that dismissal 
was not because of such reasons;

[[Page 378]]

    (2) Direct outreach activities to reach and inform socially 
disadvantaged farmers and ranchers of all programs and county committee 
election processes;
    (3) Follow official instructions to review, approve, and certify 
forms, reports, and documents requiring such action;
    (4) Recommend to the State committee needed changes in boundaries of 
local administrative areas;
    (5) Make available to farmers, ranchers, and the public information 
concerning the objectives and operations of the programs administered 
through the county committee;
    (6) Make available to agencies of the Federal Government and others 
information with respect to the county committee activities in 
accordance with official instructions issued;
    (7) Give public notice of the designation and boundaries of each 
local administrative area within the county prior to the election of 
county committee members;
    (8) Direct the giving of notices in accordance with applicable 
regulations and official instructions;
    (9) Recommend to the State committee desirable changes in or 
additions to existing programs;
    (10) Conduct such hearings and investigations as the State committee 
may request; and
    (11) Perform such other duties as may be prescribed by the State 
committee.



Sec.  7.24  Chairperson of the county committee duties.

    The chairperson of the county committee or the person acting as the 
chairperson will preside at meetings of the county committee, certify 
such documents as may require the chairperson's certification, and 
perform such other duties as may be prescribed by the State committee.



Sec.  7.25  County executive director duties.

    (a) The county executive director will execute the policies 
established by the county committee and be responsible for the day-to-
day operations of the county office.
    (b) The county executive director will:
    (1) In accordance with standards and qualifications furnished by the 
State committee, employ the personnel of the county office. There must 
be no employment discrimination due to race, color, national origin, 
gender, religion, age, disability, political beliefs, sexual 
orientation, and marital or family status. An employee may not be 
removed under this paragraph for advocating or carrying out the 
Department's policy on equal opportunity and civil rights, including the 
equal employment policy. In the event it is claimed that the dismissal 
is for such reason, the dismissal will not become effective until the 
State committee and the Deputy Administrator have determined that 
dismissal was not because of such reason;
    (2) Receive, dispose of, and account for all funds, negotiable 
instruments, or property coming into the custody of the county 
committee.



Sec.  7.26  Private business activity and conflicts of interest.

    (a) No county committee member, alternate to any such office, or 
county office employee, may at any time use such office or employment to 
promote any private business interest.
    (b) County committee members, alternates, and any person employed in 
the county office will be subject to the official instructions issued 
with respect to conflicts of interest and proper conduct.



Sec.  7.27  Political activity.

    Permitted and prohibited political activities, with respect to any 
State committee member, county committee member, county executive 
director, or any other county employee, will be determined in accordance 
with applicable policies specified in FSA handbooks and directives.



Sec.  7.28  Removal from office or employment for cause.

    (a) Adverse personnel actions involving any county committee member 
or alternate member, county executive director, or other county office 
employee will be taken for failing to perform the

[[Page 379]]

duties of their office, impeding the effectiveness of any program 
administered in the county, violating official instructions, or for 
misconduct.
    (b) Any person whom FSA proposes to suspend or remove from office or 
employment must be given advance written notice of the reason for such 
action and must be advised of the right to reply to such a proposal and 
any right of further review and appeal if the person is removed or 
suspended.



Sec.  7.29  Delegation of authority to Deputy Administrator.

    (a) Notwithstanding the authority vested by this part to a State 
committee, a county committee, and the county executive director, the 
Deputy Administrator has the authority to take adverse personnel actions 
involving any county committee member or alternate member, county 
executive director, or other county office employee for failing to 
perform the duties of their office or for misconduct.
    (b) Any person whom FSA proposes to suspend or remove from office or 
employment must be given advance written notice of the reason for such 
action and must be advised of the right to reply to such a proposal and 
any right of further review and appeal if the person is removed or 
suspended.



Sec.  7.30  Custody and use of books, records, and documents.

    (a) All books, records, and documents of or used by the county 
committee in the administration of programs assigned to it, or in the 
conduct of elections, will be the property of FSA or the United States 
Department of Agriculture, as applicable, and must be maintained in good 
order in the county office.
    (b) Voted ballots must be placed into and remain in sealed 
containers, such containers not being opened until the prescribed date 
and time for counting. Following the counting of ballots, the ballots 
must be placed in sealed containers and retained for 1 year unless 
otherwise determined by the Deputy Administrator.
    (c) The books, records, and documents referred to in paragraph (a) 
of this section must be available for use and examination:
    (1) At all times by authorized representatives of the Secretary, the 
Administrator, or a designee of the Administrator.
    (2) By State and county committee members, and authorized employees 
of the State and county office in the performance of duties assigned to 
them under this part, subject to instructions issued by the Deputy 
Administrator;
    (3) At any reasonable time to any program participant insofar as 
such person's interests under the programs administered by the county 
committee may be affected, subject to instructions issued by the Deputy 
Administrator; and
    (4) To any other person only in accordance with instructions issued 
by the Deputy Administrator.



Sec.  7.31  Administrative operations.

    The administrative operations of county committees including, but 
not limited to, the following, must be conducted, except as otherwise 
provided in this part, in accordance with official instructions issued: 
Annual, sick, and other types of employee leave; the calling and conduct 
of elections; and the maintenance of records of county committee 
meetings.



Sec.  7.34  Retention of authority.

    (a) Nothing in this part will preclude the Secretary, the 
Administrator, or the Deputy Administrator from administering any or all 
programs, or exercising other functions delegated to the county 
committee, State committee, or any employee of such committees.
    (b) In exercising this authority, the Secretary, the Administrator, 
or the Deputy Administrator may designate for such period of time as 
deemed necessary a person or persons of their choice to be in charge 
with full authority to carry out the programs or other functions without 
regard to the normal duties of such committees or employees.



PART 8_4-H CLUB NAME AND EMBLEM--Table of Contents



Sec.
8.1 Policy.
8.2 Delegation of authority.
8.3 Definitions.

[[Page 380]]

8.4 Basic premises.
8.5 Revocation of present authorizations.
8.6 Authorization for use.
8.7 Continued use.
8.8 Use by public informational services.
8.9 Use in 4-H fund raising.

    Authority: 5 U.S.C. 301; 18 U.S.C. 707.

    Source: 50 FR 31582, Aug. 2, 1985, unless otherwise noted.



Sec.  8.1  Policy.

    The Cooperative Extension Service, of which the 4-H Club program is 
a part, invites and appreciates the cooperation of all organizations, 
agencies, and individuals whose interest, products, or services will 
contribute to the educational effort of the Cooperative Extension 
Service as conducted through the 4-H Club program.



Sec.  8.2  Delegation of authority.

    The Director of the National Institute of Food and Agriculture, 
United States Department of Agriculture, may authorize the use of the 4-
H Club Name and Emblem in accordance with the regulations in this part.

[50 FR 31582, Aug. 2, 1985, as amended at 60 FR 52293, Oct. 6, 1995; 76 
FR 4803, Jan. 27, 2011]



Sec.  8.3  Definitions.

    4-H Club Name and Emblem as used in this part means the emblem 
consisting of a green four-leaf clover with stem and the letter ``H'' in 
white or gold on each leaflet, or any insignia in colorable imitation 
thereof, or the words, ``4-H Club,'' ``4-H Clubs'' or any combination of 
these or other words or characters in colorable imitation thereof.
    Cooperative Extension Service, as used in this part includes the 
entire Cooperative Extension System consisting of the National Institute 
of Food and Agriculture, United States Department of Agriculture; the 
State Cooperative Extension Services; and the County Cooperative 
Extension Services.
    County Cooperative Extension Service as used in this part refers to 
a county Extension office or equivalent Extension office operating under 
a State Cooperative Extension Service.
    National Institute of Food and Agriculture as used in this part 
means the Federal agency within the United States Department of 
Agriculture that administers Federal agricultural cooperative extension 
programs.
    State Cooperative Extension Service as used in this part means an 
organization established at the land-grant college or university under 
the Smith-Lever Act of May 8, 1914, as amended (7 U.S.C. 341-349); 
section 209(b) of the Act of October 26, 1974, as amended (D.C. Code, 
through section 31-1719(b)); or section 1444 of the National 
Agricultural Research, Extension, and Teaching Policy Act of 1977, as 
amended (7 U.S.C. 3221).

[50 FR 31582, Aug. 2, 1985, as amended at 52 FR 8432, Mar. 17, 1987; 52 
FR 47660, Dec. 15, 1987; 60 FR 52293, Oct. 6, 1995; 76 FR 4803, Jan. 27, 
2011]



Sec.  8.4  Basic premises.

    (a) The 4-H Club Name and Emblem are held in trust by the Secretary 
of Agriculture of the United States Department of Agriculture for the 
educational and character-building purposes of the 4-H program and can 
be used only as authorized by the statute and according to the 
authorization of the Secretary or designated representative.
    (b) The 4-H Club Name and Emblem may be used by authorized 
representatives of the United States Department of Agriculture, the 
Cooperative Extension Services, the land-grant institutions, and the 
National 4-H Council, according to these regulations, for serving the 
educational needs and interests of 4-H youth.
    (c) Any use of the 4-H Club Name and Emblem is forbidden if it 
exploits the 4-H programs, its volunteer leaders or 4-H youth 
participants or the United States Department of Agriculture, the 
Cooperative Extension Services, or the land-grant institutions, or their 
employees.
    (d) The 4-H Club Name and Emblem shall not be used to imply 
endorsement of commercial firms, products, or services.



Sec.  8.5  Revocation of present authorizations.

    Effective September 16, 1985, authorization permits for the use of 
the 4-H Club Name and Emblem presently in effect will be revoked. 
However, such

[[Page 381]]

authorizations may be renewed upon written request.



Sec.  8.6  Authorization for use.

    (a) The Director of the National Institute of Food and Agriculture 
may grant authorization for use of the 4-H Club Name and Emblem:
    (1) For educational or informational uses which the Cooperative 
Extension Service deems to be in the best interests of the 4-H program 
and which can be properly controlled by the Cooperative Extension 
Service.
    (2) For services to youth which the Cooperative Extension Service 
determines it is not in a position itself to perform.
    (b) Authorizations, when issued, will be valid for specified 
purposes and periods of time only. Application forms for requesting 
authorization to use the 4-H Club Name and Emblem may be obtained from 
the Director of the National Institute of Food and Agriculture, United 
States Department of Agriculture, Washington, D.C. 20250.
    (c) Granting an authorization to an individual, organization, or 
institution for a specific use does not preclude granting a similar 
authorization to another individual, organization, or institution for 
the same or a similar purpose.
    (d) All uses of the 4-H Club Name or Emblem shall be consistent with 
the educational purposes, character-building objectives, and dignity of 
the 4-H program and the 4-H Club Name or Emblem shall be given a 
position of prominence. It is not permissible to superimpose any letter, 
design, or object on the 4-H Club Emblem, or to materially alter its 
intended shape.
    (e) Specific authorization is not required to use the 4-H Club Name 
or Emblem in media such as newspapers, periodicals, and radio and 
television programs when such use is primarily for educational or 
informational purposes. Likewise, specific authorization is not required 
to use the 4-H Club Name or Emblem in those exhibits, displays, etc., 
which are designed primarily to pay tribute to or salute the 4-H program 
and are in keeping with the policies enunciated herein.
    (f) Authorization must be obtained for use of the 4-H Club Name or 
Emblem by other than representatives of the Cooperative Extension 
Services, the land-grant institutions, and the National 4-H Council in 
connection with contests and awards, books, booklets, charts, posters, 
and all other forms of publications; all calendars regardless of origin 
or use; theatrical and nontheatrical motion pictures; slides, slide 
films, and other visual and audio-visual materials; supplies (whether to 
be sold or provided without charge); and titles of persons.
    (g) Any authorization or permission for use of the 4-H Club Name and 
Emblem may be revoked at any time after written notice.

[50 FR 31582, Aug. 2, 1985, as amended at 60 FR 52293, Oct. 6, 1995; 76 
FR 4803, Jan. 27, 2011]



Sec.  8.7  Continued use.

    (a) The Cooperative Extension Services, land-grant institutions, 
local 4-H Clubs and groups and other officially affiliated 4-H 
organziations recognized by the Secretary of Agriculture and the 
Cooperative Extension Service are authorized to use the 4-H Club Name or 
Emblem:
    (1) For their own educational or informational purposes according to 
these regulations;
    (2) On materials which are originated, requested, purchased, 
distributed, or sold by them for use in their respective geographical 
areas of responsibilities;
    (3) Except as specifically authorized by the above-named 
organizations for use within the respective geographic boundaries 
specified (club or group, county, area, State) and as provided for in 
paragraph (a)(4) of this section, manufacturers, wholesalers, jobbers, 
retailers, purchasers or others cannot manufacture, sell, or distribute 
materials bearing the 4-H Club Name or Emblem.
    (4) Any proposal for distribution on an interstate, regional, or 
nationwide basis of materials, supplies, and similar items bearing the 
4-H Club Name or Emblem which originates with an organization or 
individual not affiliated with the Cooperative Extension Service shall 
be brought to the attention of the Director of the National Institute of 
Food and Agriculture, United States

[[Page 382]]

Department of Agriculture, for approval.
    (b) [Reserved]

[50 FR 31582, Aug. 2, 1985, as amended at 60 FR 52293, Oct. 6, 1995; 76 
FR 4803, Jan. 27, 2011]



Sec.  8.8  Use by public informational services.

    (a) In any advertisement, display, exhibit, visual and audio-visual 
material, news release, publication in any form, radio and television 
program devoted in whole or in part to 4-H, the 4-H message or salute 
must be distinctly set apart from any commercial product message or 
reference.
    (b) Advertisements, news releases, publications in any form, visuals 
and audio-visuals, or displays in any form must not include actual or 
implied testimonials or endorsements of business firms, commercial 
products or services, either by 4-H Clubs, other 4-H organizations and 
affiliated groups, 4-H youth participants, volunteer 4-H leaders, the 
Cooperative Extension Services, the land-grant institutions, USDA, or by 
any employees associated with any of the foregoing. Statements that a 
product is used or preferred to the exclusion of similar products are 
not permitted.
    (c) The granting of an authorization to a non-Extension affiliated 
agency, organization or individual, for production of films, visual and 
audio-visual materials, books, publications in any form, etc., is 
contingent upon approval of the initial proposal and subject to review 
of the script of the visual or audio-visual or draft of the publication 
when the draft is in the final working form.



Sec.  8.9  Use in 4-H fund raising.

    (a) Fund-raising programs using the 4-H Name or Emblem may be 
carried out for specific educational purposes. Such fund-raising 
programs and use of the 4-H name and emblem on, or associated with, 
products, and services for such purposes must have the approval of 
appropriate Cooperative Extension office, as follows:
    (1) Approval of the County Cooperative Extension Service, or the 
appropriate land-grant institution, if the fund-raising program is 
confined to the area served by the County Cooperative Extension Service.
    (2) Approval of the State Cooperative Extension Service, or the 
appropriate land-grant institution, if the fund-raising program is 
multi-county or Statewide.
    (3) Approval of the Director of the National Institute of Food and 
Agriculture, United States Department of Agriculture, or a designee, if 
the fund-raising program is multi-State or Nationwide.
    (b) When used to promote 4-H educational programs, the 4-H Club name 
and emblem, subject to obtaining authorization as provided in these 
regulations, may be used on or associated with products and services 
sold in connection with 4-H fund-raising programs so long as no 
endorsement or the appearance of an endorsement of a commercial firm, 
product or service is either intended or effected. Tributes to 4-H 
contained on or associated with commerical products or services, when 
such products or services are used for the fund-raising activities, are 
subject to the requirements of this paragraph. All moneys received from 
4-H fund-raising programs, except those necessary to pay reasonable 
expenses, must be expended to further the 4-H educational programs.

[52 FR 8432, Mar. 17, 1987, as amended at 60 FR 52293, Oct. 6, 1995; 76 
FR 4803, Jan. 27, 2011]

                          PARTS 9	10 [RESERVED]



PART 11_NATIONAL APPEALS DIVISION--Table of Contents



         Subpart A_National Appeals Divison Rules of Procedures

Sec.
11.1 Definitions.
11.2 General statement.
11.3 Applicability.
11.4 Other laws and regulations.
11.5 Informal review of adverse decisions.
11.6 Director review of agency determination of appealability and right 
          of participants to Division hearing.
11.7 Ex parte communications.
11.8 Division hearings.
11.9 Director review of determinations of Hearings Officers.
11.10 Basis for determinations.

[[Page 383]]

11.11 Reconsideration of Director determinations.
11.12 Effective date and implementation of final determinations of the 
          Division.
11.13 Judicial review.
11.14 Filing of appeals and computation of time.
11.15 Participation of third parties and interested parties in Division 
          proceedings.

                  Subpart B_Organization And Functions

11.20 General statement.
11.21 Organization.
11.22 Functions.

           Subpart C_Availability of Information to the Public

11.30 General statement.
11.31 Public inspection and copying.
11.32 Initial request for records.
11.33 Appeals.

Appendix A to Subpart C of Part 11--List of Addresses

    Authority: 5 U.S.C. 301; Title II, Subtitle H, Pub. L. 103-354, 108 
Stat. 3228 (7 U.S.C. 6991 et seq.); Reorganization Plan No. 2 of 1953 (5 
U.S.C. App.).

    Source: 64 FR 33373, June 23, 1999, unless otherwise noted.



         Subpart A_National Appeals Divison Rules of Procedures



Sec.  11.1  Definitions.

    For purposes of this part:
    Adverse decision means an administrative decision made by an 
officer, employee, or committee of an agency that is adverse to a 
participant. The term includes a denial of equitable relief by an agency 
or the failure of an agency to issue a decision or otherwise act on the 
request or right of the participant within timeframes specified by 
agency program statutes or regulations or within a reasonable time if 
timeframes are not specified in such statutes or regulations. The term 
does not include a decision over which the Board of Contract Appeals has 
jurisdiction.
    Agency means:
    (1) The Commodity Credit Corporation (CCC);
    (2) The Farm Service Agency (FSA);
    (3) The Federal Crop Insurance Corporation (FCIC);
    (4) The Natural Resources Conservation Service (NRCS);
    (5) The Risk Management Agency (RMA);
    (6) The Rural Business-Cooperative Service (RBS);
    (7) Rural Development (RD);
    (8) The Rural Housing Service (RHS);
    (9) The Rural Utilities Service (RUS) (but not for programs 
authorized by the Rural Electrification Act of 1936 or the Rural 
Telephone Bank Act, 7 U.S.C. 901 et seq.);
    (10) A State, county, or area committee established under section 
8(b)(5) of the Soil Conservation and Domestic Allotment Act (16 U.S.C. 
590h (b)(5)); and
    (11) Any predecessor or successor agency to the above-named 
agencies, and any other agency or office of the Department which the 
Secretary may designate.
    Agency record means all the materials maintained by an agency 
related to an adverse decision which are submitted to the Division by an 
agency for consideration in connection with an appeal under this part, 
including all materials prepared or reviewed by the agency during its 
consideration and decisionmaking process, but shall not include records 
or information not related to the adverse decision at issue. All 
materials contained in the agency record submitted to the Division shall 
be deemed admitted as evidence for purposes of a hearing or a record 
review under Sec.  11.8.
    Agency representative means any person, whether or not an attorney, 
who is authorized to represent the agency in an administrative appeal 
under this part.
    Appeal means a written request by a participant asking for review by 
the National Appeals Division of an adverse decision under this part.
    Appellant means any participant who appeals an adverse decision in 
accordance with this part. Unless separately set forth in this part, the 
term ``appellant'' includes an authorized representative.
    Authorized representative means any person, whether or not an 
attorney, who is authorized in writing by a participant, consistent with 
Sec.  11.6(c), to act for the participant in an administrative appeal 
under this part. The authorized representative may act on behalf of the 
participant except when the provisions of this part require action

[[Page 384]]

by the participant or appellant personally.
    Case record means all the materials maintained by the Secretary 
related to an adverse decision: The case record includes both the agency 
record and the hearing record.
    Days means calendar days unless otherwise specified.
    Department means the United States Department of Agriculture (USDA).
    Director means the Director of the Division or a designee of the 
Director.
    Division means the National Appeals Division established by this 
part.
    Equitable relief means relief which is authorized under section 326 
of the Food and Agriculture Act of 1962 (7 U.S.C. 1339a) and other laws 
administered by the agency.
    Ex parte communication means an oral or written communication to any 
officer or employee of the Division with respect to which reasonable 
prior notice to all parties is not given, but it shall not include 
requests for status reports, or inquiries on Division procedure, in 
reference to any matter or proceeding connected with the appeal 
involved.
    Hearing, except with respect to Sec.  11.5, means a proceeding 
before the Division to afford a participant the opportunity to present 
testimony or documentary evidence or both in order to have a previous 
determination reversed and to show why an adverse determination was in 
error.
    Hearing Officer means an individual employed by the Division who 
conducts the hearing and determines appeals of adverse decisions by any 
agency.
    Hearing record means all documents, evidence, and other materials 
generated in relation to a hearing under $11.8.
    Implement means the taking of action by an agency of the Department 
in order fully and promptly to effectuate a final determination of the 
Division.
    Participant means any individual or entity who has applied for, or 
whose right to participate in or receive, a payment, loan, loan 
guarantee, or other benefit in accordance with any program of an agency 
to which the regulations in this part apply is affected by a decision of 
such agency. The term does not include persons whose claim(s) arise 
under:
    (1) Programs subject to various proceedings provided for in 7 CFR 
part 1;
    (2) Programs governed by Federal contracting laws and regulations 
(appealable under other rules and to other forums, including to the 
Department's Board of Contract Appeals under 7 CFR part 24);
    (3) The Freedom of Information Act (appealable under 7 CFR part 1, 
subpart A);
    (4) Suspension and debarment disputes, including, but not limited 
to, those falling within the scope of 7 CFR parts 1407 and 3017;
    (5) Export programs administered by the Commodity Credit 
Corporation;
    (6) Disputes between reinsured companies and the Federal Crop 
Insurance Corporation;
    (7) Tenant grievances or appeals prosecutable under the provisions 
of 7 CFR part 1944, subpart L, under the multi-family housing program 
carried out by RHS;
    (8) Personnel, equal employment opportunity, and other similar 
disputes with any agency or office of the Department which arise out of 
the employment relationship;
    (9) The Federal Tort Claims Act, 28 U.S.C. 2671 et seq., or the 
Military Personnel and Civilian Employees Claims Act of 1964, 31 U.S.C. 
3721;
    (10) Discrimination complaints prosecutable under the 
nondiscrimination regulations at 7 CFR parts 15, 15a, 15b, 15e, and 15f; 
or
    (11) Section 361, et seq., of the Agricultural Adjustment Act of 
1938, as amended (7 U.S.C. 1361, et seq.) involving Tobacco Marketing 
Quota Review Committees.
    Record review means an appeal considered by the Hearing Officer in 
which the Hearing Officer's determination is based on the agency record 
and other information submitted by the appellant and the agency, 
including information submitted by affidavit or declaration.
    Secretary means the Secretary of Agriculture.

[[Page 385]]



Sec.  11.2  General statement.

    (a) This part sets forth procedures for proceedings before the 
National Appeals Division within the Department. The Division is an 
organization within the Department, subject to the general supervision 
of and policy direction by the Secretary, which is independent from all 
other agencies and offices of the Department, including Department 
officials at the state and local level. The Director of the Division 
reports directly to the Secretary of Agriculture. The authority of the 
Hearing Officers and the Director of the Division, and the 
administrative appeal procedures which must be followed by program 
participants who desire to appeal an adverse decision and by the agency 
which issued the adverse decision, are included in this part.
    (b) Pursuant to section 212(e) of the Federal Crop Insurance Reform 
and Department of Agriculture Reorganization Act of 1994, Pub. L. 103-
354 (the Act), 7 U.S.C. 6912(e), program participants shall seek review 
of an adverse decision before a Hearing Officer of the Division, and may 
seek further review by the Director, under the provisions of this part 
prior to seeking judicial review.



Sec.  11.3  Applicability.

    (a) Subject matter. The regulations contained in this part are 
applicable to adverse decisions made by an agency, including, for 
example, those with respect to:
    (1) Denial of participation in, or receipt of benefits under, any 
program of an agency;
    (2) Compliance with program requirements;
    (3) The making or amount of payments or other program benefits to a 
participant in any program of an agency; and
    (4) A determination that a parcel of land is a wetland or highly 
erodible land.
    (b) Limitation. The procedures contained in this part may not be 
used to seek review of statutes or USDA regulations issued under Federal 
Law.



Sec.  11.4  Other laws and regulations.

    (a) The provisions of the Administrative Procedure Act generally 
applicable to agency adjudications (5 U.S.C. 554-557), and the Equal 
Access to Justice Act (5 U.S.C. 504) and its implementing regulations at 
7 CFR part 1, subpart J, shall apply to proceedings under this part 
except for proceedings under Sec.  11.5 and Sec.  11.6(a).
    (b) The Federal Rules of Evidence, 28 U.S.C. App., shall not apply 
to proceedings under this part.

[64 FR 33373, June 23, 1999, as amended at 74 FR 57401, Nov. 6, 2009]



Sec.  11.5  Informal review of adverse decisions.

    (a) Required informal review of FSA adverse decisions. Except with 
respect to farm credit programs, a participant must seek an informal 
review of an adverse decision issued at the field service office level 
by an officer or employee of FSA, or by any employee of a county or area 
committee established under section 8(b)(5) of the Soil Conservation and 
Domestic Allotment Act, 16 U.S.C. 590h(b)(5), before NAD will accept an 
appeal of a FSA adverse decision. Such informal review shall be done by 
the county or area committee with responsibility for the adverse 
decision at issue. The procedures for requesting such an informal review 
before FSA are found in 7 CFR part 780. After receiving a decision upon 
review by a county or area committee, a participant may seek further 
informal review by the State FSA committee or may appeal directly to NAD 
under Sec.  11.6(b).
    (b) Optional informal review. With respect to adverse decisions 
issued at the State office level of FSA and adverse decisions of all 
other agencies, a participant may request an agency informal review of 
an adverse decision of that agency prior to appealing to NAD. Procedures 
for requesting such an informal review are found at 7 CFR part 780 
(FSA), 7 CFR part 614 (NRCS), 7 CFR part 1900, subpart B (RUS), 7 CFR 
part 1900, subpart B (RBS), and 7 CFR part 1900, subpart B (RHS).
    (c) Mediation. A participant also shall have the right to utilize 
any available alternative dispute resolution (ADR) or mediation program, 
including any mediation program available under title V of the 
Agricultural Credit Act of 1987, 7 U.S.C. 5101 et seq., in order to 
attempt

[[Page 386]]

to seek resolution of an adverse decision of an agency prior to a NAD 
hearing. If a participant:
    (1) Requests mediation or ADR prior to filing an appeal with NAD, 
the participant stops the running of the 30-day period during which a 
participant may appeal to NAD under Sec.  11.6(b)(1), and will have the 
balance of days remaining in that period to appeal to NAD once mediation 
or ADR has concluded.
    (2) Requests mediation or ADR after having filed an appeal to NAD 
under Sec.  11.6(b), but before the hearing, the participant will be 
deemed to have waived his right to have a hearing within 45 days under 
Sec.  11.8(c)(1) but shall have a right to have a hearing within 45 days 
after conclusion of mediation or ADR.



Sec.  11.6  Director review of agency determination of appealability 
and right of participants to Division hearing.

    (a) Director review of agency determination of appealability. (1) 
Not later than 30 days after the date on which a participant receives a 
determination from an agency that an agency decision is not appealable, 
the participant must submit a written request personally signed by the 
participant to the Director to review the determination in order to 
obtain such review by the Director.
    (2) The Director shall determined whether the decision is adverse to 
the individual participant and thus appealable or is a matter of general 
applicability and thus not subject to appeal, and will issue a final 
determination notice that upholds or reverses the determination of the 
agency. This final determination is not appealable. If the Director 
reverses the determination of the agency, the Director will notify the 
participant and the agency of that decision and inform the participant 
of his or her right to proceed with an appeal.
    (3) The Director may delegate his or her authority to conduct a 
review under this paragraph to any subordinate official of the Division 
other than a Hearing Officer. In any case in which such review is 
conducted by such a subordinate official, the subordinate official's 
determination shall be considered to be the determination of the 
Director and shall be final and not appealable.
    (b) Appeals of adverse decisions. (1) To obtain a hearing under 
Sec.  11.8, a participant personally must request such hearing not later 
than 30 days after the date on which the participant first received 
notice of the adverse decision or after the date on which the 
participant receives notice of the Director's determination that a 
decision is appealable. In the case of the failure of an agency to act 
on the request or right of a recipient, a participant personally must 
request such hearing not later than 30 days after the participant knew 
or reasonably should have known that the agency had not acted within the 
timeframes specified by agency program regulations, or, where such 
regulations specify no timeframes, not later than 30 days after the 
participant reasonably should have known of the agency's failure to act.
    (2) A request for a hearing shall be in writing and personally 
signed by the participant, and shall include a copy of the adverse 
decision to be reviewed, if available, along with a brief statement of 
the participant's reasons for believing that the decision, or the 
agency's failure to act, was wrong. The participant also shall send a 
copy of the request for a hearing to the agency, and may send a copy of 
the adverse decision to be reviewed to the agency, but failure to do 
either will not constitute grounds for dismissal of the appeal. Instead 
of a hearing, the participant may request a record review.
    (c) If a participant is represented by an authorized representative, 
the authorized representative must file a declaration with NAD, executed 
in accordance with 28 U.S.C. 1746, stating that the participant has duly 
authorized the declarant in writing to represent the participant for 
purposes of a specified adverse decision or decisions, and attach a copy 
of the written authorization to the declaration.



Sec.  11.7  Ex parte communications.

    (a)(1) At no time between the filing of an appeal and the issuance 
of a final determination under this part shall any officer or employee 
of the Division engage in ex parte communications regarding the merits 
of the appeal with

[[Page 387]]

any person having any interest in the appeal pending before the 
Division, including any person in an advocacy or investigative capacity. 
This prohibition does not apply to:
    (i) Discussions of procedural matters related to an appeal; or
    (ii) Discussions of the merits of the appeal where all parties to 
the appeal have been given notice and an opportunity to participate.
    (2) In the case of a communication described in paragraph (a)(1)(ii) 
of this section, a memorandum of any such discussion shall be included 
in the hearing record.
    (b) No interested person shall make or knowingly cause to be made to 
any officer or employee of the Division an ex parte communication 
relevant to the merits of the appeal.
    (c) If any officer or employee of the Division receives an ex parte 
communication in violation of this section, the one who receives the 
communication shall place in the hearing record:
    (1) All such written communications;
    (2) Memoranda stating the substance of all such oral communications; 
and
    (3) All written responses to such communications, and memoranda 
stating the substance of any oral responses thereto.
    (d) Upon receipt of a communication knowingly made or knowingly 
caused to be made by a party in violation of this section the Hearing 
Officer or Director may, to the extent consistent with the interests of 
justice and the policy of the underlying program, require the party to 
show cause why such party's claim or interest in the appeal should not 
be dismissed, denied, disregarded, or otherwise adversely affected on 
account of such violation.



Sec.  11.8  Division hearings.

    (a) General rules. (1) The Director, the Hearing Officer, and the 
appellant shall have access to the agency record of any adverse decision 
appealed to the Division for a hearing. Upon request by the appellant, 
the agency shall provide the appellant a copy of the agency record.
    (2) The Director and Hearing Officer shall have the authority to 
administer oaths and affirmations, and to require, by subpoena, the 
attendance of witnesses and the production of evidence. A Hearing 
Officer shall obtain the concurrence of the Director prior to issuing a 
subpoena.
    (i) A subpoena requiring the production of evidence may be requested 
and issued at any time while the case is pending before the Division.
    (ii) An appellant or an agency, acting through any appropriate 
official, may request the issuance of a subpoena requiring the 
attendance of a witness by submitting such a request in writing at least 
14 days before the scheduled date of a hearing. The Director or Hearing 
Officer shall issue a subpoena at least 7 days prior to the scheduled 
date of a hearing.
    (iii) A subpoena shall be issued only if the Director or a Hearing 
Officer determined that:
    (A) For a subpoena of documents, the appellant or the agency has 
established that production of documentary evidence is necessary and is 
reasonably calculated to lead to information which would affect the 
final determination or is necessary to fully present the case before the 
Division; or
    (B) For a subpoena of a witness, the appellant or the agency has 
established that either a representative of the Department or a private 
individual possesses information that is pertinent and necessary for 
disclosure of all relevant facts which could impact the final 
determination, that the information cannot be obtained except through 
testimony of the person, and that the testimony cannot be obtained 
absent issuance of a subpoena.
    (iv) The party requesting issuance of a subpoena shall arrange for 
service. Service of a subpoena upon a person named therein may be made 
by registered or certified mail, or in person. Personal service shall be 
made by personal delivery of a copy of the subpoena to the person named 
therein by any person who is not a party and who is not less than 18 
years of age. Proof of service shall be made by filing with the Hearing 
Officer or Director who issued the subpoena a statement of the date and 
manner of service and of the names of the persons served, certified by 
the person who made the service in person or by return receipts for 
certified or registered mail.

[[Page 388]]

    (v) A party who requests that a subpoena be issued shall be 
responsible for the payment of any reasonable travel and subsistence 
costs incurred by the witness in connection with his or her appearance 
and any fees of a person who serves the subpoena in person. The 
Department shall pay the costs associated with the appearance of a 
Department employee whose role as a witness arises out of his or her 
performance of official duties, regardless of which party requested the 
subpoena. The failure to make payment of such charges on demand may be 
deemed by the Hearing Officer or Director as sufficient ground for 
striking the testimony of the witness and the evidence the witness has 
produced.
    (vi) If a person refuses to obey a subpoena, the Director, acting 
through the Office of the General Counsel of the Department and the 
Department of Justice, may apply to the United States District Court in 
the jurisdiction where that person resides to have the subpoena enforced 
as provided in the Federal Rules of Civil Procedure (28 U.S.C. App.).
    (3) Testimony required by subpoena pursuant to paragraph (a)(2) of 
this section may, at the discretion of the Director or a Hearing 
Officer, be presented at the hearing either in person or telephonically.
    (b) Hearing procedures applicable to both record review and 
hearings. (1) Upon the filing of an appeal under this part of an adverse 
decision by any agency, the agency promptly shall provide the Division 
with a copy of the agency record. If requested by the applicant prior to 
the hearing, a copy of such agency record shall be provided to the 
appellant by the agency within 10 days of receipt of the request by the 
agency.
    (2) The Director shall assign the appeal to a Hearing Officer and 
shall notify the appellant and agency of such assignment. The notice 
also shall advise the appellant and the agency of the documents required 
to be submitted under paragraph (c)(2) of this section, and notify the 
appellant of the option of having a hearing by telephone.
    (3) The Hearing Officer will receive evidence into the hearing 
record without regard to whether the evidence was known to the agency 
officer, employee, or committee making the adverse decision at the time 
the adverse decision was made.
    (c) Procedures applicable only to hearings. (1) Upon a timely 
request for a hearing under Sec.  11.6(b), an appellant has the right to 
have a hearing by the Division on any adverse decision within 45 days 
after the date of receipt of the request for the hearing by the 
Division.
    (2) The Hearing Officer shall set a reasonable deadline for 
submission of the following documents:
    (i) By the appellant;
    (A) A short statement of why the decision is wrong;
    (B) A copy of any document not in the agency record that the 
appellant anticipates introducing at the hearing; and
    (C) A list of anticipated witnesses and brief descriptions of the 
evidence such witnesses will offer.
    (ii) By the agency:
    (A) A copy of the adverse decision challenged by the appellant;
    (B) A written explanation of the agency's position, including the 
regulatory or statutory basis therefor;
    (C) A copy of any document not in the agency record that the agency 
anticipates introducing at the hearing; and
    (D) A list of anticipated witnesses and brief descriptions of the 
evidence such witnesses will offer.
    (3) Not less than 14 days prior to the hearing, the Division must 
provide the appellant, the authorized representative, and the agency a 
notice of hearing specifying the date, time, and place of the hearing. 
The hearing will be held in the State of residence of the appellant, as 
determined by the Hearing Officer, or at a location that is otherwise 
convenient to the appellant, the agency, and the Division. The notice 
also shall notify all parties of the right to obtain an official record 
of the hearing.
    (4) Pre-hearing conference. Whenever appropriate, the Hearing 
Officer shall hold a pre-hearing conference in order to attempt to 
resolve the dispute or to narrow the issues involved. Such pre-hearing 
conference shall be held by telephone unless the Hearing Officer and all 
parties agree to hold such conference in person.

[[Page 389]]

    (5) Conduct of the hearing. (i) A hearing before a Hearing Officer 
will be in person unless the appellant agrees to a hearing by telephone.
    (ii) The hearing will be conducted by the Hearing Officer in the 
manner determined by the Division most likely to obtain the facts 
relevant to the matter or matters at issue. The Hearing Officer will 
allow the presentation of evidence at the hearing by any party without 
regard to whether the evidence was known to the officer, employee, or 
committee of the agency making the adverse decision at the time the 
adverse decision was made. The Hearing Officer may confine the 
presentation of facts and evidence to pertinent matters and exclude 
irrelevant, immaterial, or unduly repetitious evidence, information, or 
questions. Any party shall have the opportunity to present oral and 
documentary evidence, oral testimony of witnesses, and arguments in 
support of the party's position; controvert evidence relied on by any 
other party; and question all witnesses. When appropriate, agency 
witnesses requested by the appellant will be made available at the 
hearing. Any evidence may be received by the Hearing Officer without 
regard to whether that evidence could be admitted in judicial 
proceedings.
    (iii) An official record shall be made of the proceedings of every 
hearing. This record will be made by an official tape recording by the 
Division. In addition, either party may request that a verbatim 
transcript be made of the hearing proceedings and that such transcript 
shall be made the official record of the hearing. The party requesting a 
verbatim transcript shall pay for the transcription service, shall 
provide a certified copy of the transcript to the Hearing Officer free 
of charge, and shall allow any other party desiring to purchase a copy 
of the transcript to order it from the transcription service.
    (6) Absence of parties. (i) If at the time scheduled for the hearing 
either the appellant or the agency representative is absent, and no 
appearance is made on behalf of such absent party, or no arrangements 
have been made for rescheduling the hearing, the Hearing Officer has the 
option to cancel the hearing unless the absent party has good cause for 
the failure to appear. If the Hearing Officer elects to cancel the 
hearing, the Hearing Officer may:
    (A) Treat the appeal as a record review and issue a determination 
based on the agency record as submitted by the agency and the hearing 
record developed prior to the hearing date;
    (B) Accept evidence into the hearing record submitted by any party 
present at the hearing (subject to paragraph (c)(6)(ii) of this 
section), and then issue a determination; or
    (C) Dismiss the appeal.
    (ii) When a hearing is cancelled due to the absence of a party, the 
Hearing Officer will add to the hearing record any additional evidence 
submitted by any party present, provide a copy of such evidence to the 
absent party or parties, and allow the absent party or parties 10 days 
to provide a response to such additional evidence for inclusion in the 
hearing record
    (iii) Where an absent party has demonstrated good cause for the 
failure to appear, the Hearing Officer shall reschedule the hearing 
unless all parties agree to proceed without a hearing.
    (7) Post-hearing procedure. The Hearing Officer will leave the 
hearing record open after the hearing for 10 days, or for such other 
period of time as the Hearing Officer shall establish, to allow the 
submission of information by the appellant or the agency, to the extent 
necessary to respond to new facts, information, arguments, or evidence 
presented or raised at the hearing. Any such new information will be 
added by the Hearing Office to the hearing record and sent to the other 
party or parties by the submitter of the information. The Hearing 
Officer, in his or her discretion, may permit the other party or parties 
to respond to this post-hearing submission.
    (d) Interlocutory review. Interlocutory review by the Director of 
rulings of a Hearing Officer are not permitted under the procedures of 
this part.
    (e) Burden of proof. The appellant has the burden of proving that 
the adverse decision of the agency was erroneous by a preponderance of 
the evidence.
    (f) Timing of issuance of determination. The Hearing Officer will 
issue a notice of the determination on the appeal to

[[Page 390]]

the named appellant, the authorized representative, and the agency not 
later than 30 days after a hearing or the closing date of the hearing 
record in cases in which the Hearing Officer receives additional 
evidence from the agency or appellant after a hearing. In the case of a 
record review, the Hearing Officer will issue a notice of determination 
within 45 days of receipt of the appellant's request for a record 
review. Upon the Hearing Officer's request, the Director may establish 
an earlier or later deadline. A notice of determination shall be 
accompanied by a copy of the procedures for filing a request for 
Director review under Sec.  11.9. If the determination is not appealed 
to the Director for review under Sec.  11.9, the notice provided by the 
Hearing Officer shall be considered to be a notice of a final 
determination under this part.



Sec.  11.9  Director review of determinations of Hearing Officers.

    (a) Requests for Director review. (1) Not later than 30 days after 
the date on which an appellant receives the determination of a Hearing 
Officer under Sec.  11.8, the appellant must submit a written request, 
signed personally by the named appellant, to the Director to review the 
determination in order to be entitled to such review by the Director. 
Such request shall include specific reasons why the appellant believes 
the determination is wrong.
    (2) Not later than 15 business days after the date on which an 
agency receives the determination of a Hearing Officer under Sec.  11.8, 
the head of the agency may make a written request that the Director 
review the determination. Such request shall include specific reasons 
why the agency believes the determination is wrong, including citations 
of statutes or regulations that the agency believes the determination 
violates. Any such request may be made by the head of an agency only, or 
by a person acting in such capacity, but not by any subordinate officer 
of such agency.
    (3) A copy of a request for Director review submitted under this 
paragraph shall be provided simultaneously by the submitter to each 
party to the appeal.
    (b) Notification of parties. The Director promptly shall notify all 
parties of receipt of a request for review.
    (c) Responses to request for Director review. Other parties to an 
appeal may submit written responses to a request for Director review 
within 5 business days from the date of receipt of a copy of the request 
for review.
    (d) Determination of Director. (1) The Director will conduct a 
review of the determination of the Hearing Officer using the agency 
record, the hearing record, the request for review, any responses 
submitted under paragraph (c) of this section, and such other arguments 
or information as may be accepted by the Director, in order to determine 
whether the decision of the Hearing Officer is supported by substantial 
evidence. Based on such review, the Director will issue a final 
determination notice that upholds, reverses, or modifies the 
determination of the Hearing Officer. The Director's determination upon 
review of a Hearing Officer's decision shall be considered to be the 
final determination under this part and shall not be appealable. 
However, if the Director determines that the hearing record is 
inadequate or that new evidence has been submitted, the Director may 
remand all or a portion of the determination to the Hearing Officer for 
further proceedings to complete the hearing record or, at the option of 
the Director, to hold a new hearing.
    (2) The Director will complete the review and either issue a final 
determination or remand the determination not later than--
    (i) 10 business days after receipt of the request for review, in the 
case of a request by the head of an agency; or
    (ii) 30 business days after receipt of the request for review, in 
the case of a request by an appellant.
    (3) In any case or any category of cases, the Director may delegate 
his or her authority to conduct a review under this section to any 
Deputy or Assistant Directors of the Division. In any case in which such 
review is conducted by a Deputy or Assistant Director under authority 
delegated by the

[[Page 391]]

Director, the Deputy or Assistant Director's determination shall be 
considered to be the determination of the Director under this part and 
shall be final and not appealable.
    (e) Equitable relief. In reaching a decision on an appeal, the 
Director shall have the authority to grant equitable relief under this 
part in the same manner and to the same extent as such authority is 
provided an agency under applicable laws and regulations.



Sec.  11.10  Basis for determinations.

    (a) In making a determination, the Hearing Officers and the Director 
are not bound by previous findings of facts on which the agency's 
adverse decision was based.
    (b) In making a determination on the appeal, Hearing Officers and 
the Director shall ensure that the decision is consistent with the laws 
and regulations of the agency, and with the generally applicable 
interpretations of such laws and regulations.
    (c) All determinations of the Hearing Officers and the Director must 
be based on information from the case record, laws applicable to the 
matter at issue, and applicable regulations published in the Federal 
Register and in effect on the date of the adverse decision or the date 
on which the acts that gave rise to the adverse decision occurred, 
whichever date is appropriate under the applicable agency program laws 
and regulations.



Sec.  11.11  Reconsideration of Director determinations.

    (a) Reconsideration of a determination of the Director may be 
requested by the appellant or the agency within 10 days of receipt of 
the determination. The Director will not consider any request for 
reconsideration that does not contain a detailed statement of a material 
error of fact made in the determination, or a detailed explanation of 
how the determination is contrary to statute or regulation, which would 
justify reversal or modification of the determination.
    (b) The Director shall issue a notice to all parties as to whether a 
request for reconsideration meets the criteria in paragraph (a) of this 
section. If the request for reconsideration meets such criteria, the 
Director shall include a copy of the request for reconsideration in the 
notice to the non-requesting parties to the appeal. The non-requesting 
parties shall have 5 days from receipt of such notice from the Director 
to file a response to the request for reconsideration with the Director.
    (c) The Director shall issue a decision on the request for 
reconsideration within 5 days of receipt of responses from the non-
requesting parties. If the Director's decision upon reconsideration 
reverses or modifies the final determination of the Director rendered 
under Sec.  11.9(d), the Director's decision on reconsideration will 
become the final determination of the Director under Sec.  11.9(d) for 
purposes of this part.



Sec.  11.12  Effective date and implementation of final determinations 
of the Division.

    (a) On the return of a case to an agency pursuant to the final 
determination of the Division, the head of the agency shall implement 
the final determination not later than 30 days after the effective date 
of the notice of the final determination.
    (b) A final determination will be effective as of the date of filing 
of an application, the date of the transaction or event in question, or 
the date of the original adverse decision, whichever is applicable under 
the applicable agency program statutes or regulations.



Sec.  11.13  Judicial review.

    (a) A final determination of the Division shall be reviewable and 
enforceable by any United States District Court of competent 
jurisdiction in accordance with chapter 7 of title 5, United States 
Code.
    (b) An appellant may not seek judicial review of any agency adverse 
decision appealable under this part without receiving a final 
determination from the Division pursuant to the procedures of this part.



Sec.  11.14  Filing of appeals and computation of time.

    (a) An appeal, a request for Director Review, or any other document 
will be considered ``filed'' when delivered in

[[Page 392]]

writing to the Division, when postmarked, or when a complete facsimile 
copy is received by the Division.
    (b) Whenever the final date for any requirement of this part falls 
on a Saturday, Sunday, Federal holiday, or other day on which the 
Division is not open for the transaction of business during normal 
working hours, the time for filing will be extended to the close of 
business on the next working day.
    (c) The time for filing an appeal, a request for Director review, or 
any other document expires at 5:00 p.m. local time at the office of the 
Division to which the filing is submitted on the last day on which such 
filing may be made.



Sec.  11.15  Participation of third parties and interested parties in 
Division proceedings.

    In two situations, parties other than the appellant or the agency 
may be interested in participating in Division proceedings. In the first 
situation, a Division proceeding may in fact result in the adjudication 
of the rights of a third party, e.g., an appeal of a tenant involving a 
payment shared with a landlord, an appeal by one recipient of a portion 
of a payment shared by multiple parties, an appeal by one heir of an 
estate. In the second situation, a party may desire to receive notice of 
and perhaps participate in an appeal because of the derivative impact 
the appeal determination will have on that party, e.g., guaranteed 
lenders and reinsurance companies. The provisions in this section set 
forth rules for the participation of such third and interested parties.
    (a) Third parties. When an appeal is filed, the Division shall 
notify any potential third party whose rights may be adjudicated of its 
right to participate as an appellant in the appeal. This includes the 
right to seek Director review of the Hearing Officer determination. Such 
third parties may be identified by the Division itself, by an agency, or 
by the original appellant. The Division shall issue one notice to the 
third party of its right to participate, and if such party declines to 
participate, the Division determination will be binding as to that third 
party as if it had participated. For purposes of this part, a third 
party includes any party for which a determination of the Division could 
lead to an agency action on implementation that would be adverse to the 
party thus giving such party a right to a Division appeal.
    (b) Interested parties. With respect to a participant who is a 
borrower under a guaranteed loan or an insured under a crop insurance 
program, the respective guaranteed lender or reinsurance company having 
an interest in a participant's appeal under this part may participate in 
the appeal as an interested party, but such participation does not 
confer the status of an appellant upon the guaranteed lender or 
reinsurance company such that it may request Director review of a final 
determination of the Division.



                  Subpart B_Organization And Functions

    Authority: 5 U.S.C. 301 and 552; 7 CFR part 2.

    Source: 63 FR 44773, Aug. 21, 1998, unless otherwise noted.



Sec.  11.20  General statement.

    This subpart provides guidance for the general public as to the 
organization and functions of NAD.



Sec.  11.21  Organization.

    NAD was established on October 13, 1994. Delegation of authority to 
the Director, NAD, appears at Sec.  2.34 of this title. The organization 
is comprised of three regional offices: Eastern Regional Office, 
Indianapolis, Indiana; Southern Regional Office, Memphis, Tennessee; and 
Western Regional Office, Lakewood, Colorado; and the headquarters staff 
located in Alexandria, Virginia. NAD is headed by a Director. NAD is 
assigned responsibility for certain administrative appeals as set forth 
in subpart A of this part.



Sec.  11.22  Functions.

    (a) Director. Provides executive direction for NAD. The Director is 
responsible for developing and implementing nationwide plans, policies, 
and procedures for the timely and orderly hearing and disposition of 
appeals filed by individuals or entities in accordance

[[Page 393]]

with subpart A of this part. The Director will respond to all FOIA 
requests concerning appeal decisions and case records maintained by NAD.
    (b) Deputy Director for Hearings and Administration. Responsible for 
all administrative functions of NAD, including budget, correspondence, 
personnel, travel, equipment, and regulation review and development.
    (c) Deputy Director for Planning, Training, and Quality Control. 
Responsible for NAD strategic planning, including the organization's 
compliance with the Government Performance and Results Act, Pub. L. 103-
62, employee training, and the establishment and maintenance of a 
quality assurance program.
    (d) Assistant Directors for Regions. Responsible for oversight of 
the adjudication process for cases filed in the NAD regional offices. 
Assistant Directors ensure statutory and administrative time frames are 
met, and oversee the administrative functions, training, and supervision 
of the support staff located in the regional offices and the large 
dispersed staff of professional hearing officers located throughout the 
regions. The three regional offices serve as the custodian for all NAD 
determinations and case records.



           Subpart C_Availability of Information to the Public

    Authority: 5 U.S.C. 301 and 552; 7 CFR 1.1-1.16.

    Source: 63 FR 44774, Aug. 21, 1998, unless otherwise noted.



Sec.  11.30  General statement.

    This subpart implements the regulations of the Secretary of 
Agriculture at 7 CFR 1.1 through 1.16 concerning FOIA (5 U.S.C. 552). 
The Secretary's regulations, as implemented by the regulations in this 
part, govern the availability of the records of NAD to the public.



Sec.  11.31  Public inspection and copying.

    Section 1.5 of this title requires that certain materials be made 
available by each USDA agency for public inspection and copying in 
accordance with 5 U.S.C. 522(a)(2). Members of the public wishing to 
gain access to these NAD records should write to the appropriate address 
shown in appendix A of this subpart.



Sec.  11.32  Initial requests for records.

    (a) Requests for NAD records should be in writing and addressed to 
the NAD official having custody of the records desired as indicated in 
Sec.  11.22(d). Addresses are found in Appendix A of this subpart. In 
his or her petition, the requester may ask for a fee waiver if there is 
likely to be a charge for the requested information. The criteria for 
waiver of fees are found in section 6 of appendix A, subpart A of part 1 
of this title. All requests for records shall be deemed to have been 
made pursuant to FOIA, regardless of whether FOIA is specifically 
mentioned. To facilitate processing of a request, the phrase ``FOIA 
REQUEST'' should be placed in capital letters on the front of the 
envelope.
    (b) A request must reasonably describe records to enable NAD 
personnel to locate them with reasonable effort. Where possible, a 
requester should supply specific information, such as dates, titles, 
appellant name or appeal number, that may help identify the records. If 
the request relates to a matter in pending litigation, the court and its 
location should be identified.
    (c) If NAD determines that a request does not reasonably describe 
the records, it shall inform the requester of this fact and extend the 
requester an opportunity to clarify the request or to confer promptly 
with knowledgeable NAD personnel to attempt to identify the records he 
or she is seeking. The ``date of receipt'' in such instances, for 
purposes of Sec.  1.12(a) of this title, shall be the date of receipt of 
the amended or clarified request.
    (d) Nothing in this subpart shall be interpreted to preclude NAD 
from honoring an oral request for information, but if the requester is 
dissatisfied with the response, the NAD official involved shall advise 
the requester to submit a written request in accordance with paragraph 
(a) of this section. The ``date of receipt'' of such a request for 
purposes of Sec.  1.12(a) of this title shall be the date of receipt of 
the written request. For recordkeeping purposes, the

[[Page 394]]

NAD official responding to an oral request for information may ask the 
requester to also submit his or her request in writing.
    (e) If a request for records or a fee waiver under this subpart is 
denied, the person making the request shall have the right to appeal the 
denial. Requesters also may appeal NAD decisions regarding a requester's 
status for purposes of fee levels under section 5 of Appendix A, subpart 
A of part 1 of this title. All appeals must be in writing and addressed 
to the official designated in Sec.  11.33. To facilitate processing of 
an appeal, the phrase ``FOIA APPEAL'' should be placed in capital 
letters on the front of the envelope.
    (f) NAD shall develop and maintain a record of all written and oral 
FOIA requests and FOIA appeals received by NAD, which shall include, in 
addition to any other information, the name of the requester, brief 
summary of the information requested, an indication of whether the 
request or appeal was denied or partially denied, the FOIA exemption(s) 
cited as the basis for any denials, and the amount of fees associated 
with the request or appeal.



Sec.  11.33  Appeals.

    Any person whose initial FOIA request is denied in whole or in part 
may appeal that denial to the Director, National Appeals Division, U.S. 
Department of Agriculture, 3101 Park Center Drive, Suite 1113, 
Alexandria, Virginia 22302. The Director will make the final 
determination on the appeal.



       Sec. Appendix A to Subpart C of Part 11--List of Addresses

    This list provides the titles and mailing addresses of officials who 
have custody of NAD records. This list also identifies the normal 
working hours, Monday through Friday, excluding holidays, during which 
public inspection and copying of certain kinds of records is permitted.

Director, National Appeals Division, U.S. Department of Agriculture, 
3101 Park Center Drive, Suite 1113, Alexandria, Virginia 22302, Hours: 8 
a.m.-5 p.m.
Regional Assistant Director, Eastern Region, National Appeals Division, 
U.S. Department of Agriculture, 3500 DePauw Boulevard, Suite 2052, 
Indianapolis, Indiana 46268, Hours: 8 a.m.-5 p.m.
Regional Assistant Director, Southern Region, National Appeals Division, 
U.S. Department of Agriculture, 7777 Walnut Grove Road, LLB-1, Memphis, 
Tennessee 38120, Hours: 8 a.m.-5 p.m.
Regional Assistant Director, Western Region, National Appeals Division, 
U.S. Department of Agriculture, 755 Parfet Street, Suite 494, Lakewood, 
Colorado 80215-5506, Hours: 8 a.m.-5 p.m.



PART 12_HIGHLY ERODIBLE LAND CONSERVATION AND WETLAND
CONSERVATION--Table of Contents



                      Subpart A_General Provisions

Sec.
12.1 General.
12.2 Definitions.
12.3 Applicability.
12.4 Determination of ineligibility.
12.5 Exemption.
12.6 Administration.
12.7 Certification of compliance.
12.8 Affiliated persons.
12.9 Landlords and tenants.
12.10 Scheme or device.
12.11 Action based upon advice or action of USDA.
12.12 Appeals.
12.13 Special Federal crop insurance premium subsidy provisions.

               Subpart B_Highly Erodible Land Conservation

12.20 NRCS responsibilities regarding highly erodible land.
12.21 Identification of highly erodible lands criteria.
12.22 Highly erodible field determination criteria.
12.23 Conservation plans and conservation systems.

                     Subpart C_Wetland Conservation

12.30 NRCS responsibilities regarding wetlands.
12.31 On-site wetland identification criteria.
12.32 Converted wetland identification criteria.
12.33 Use of wetland and converted wetland.

    Authority: 16 U.S.C. 3801, 3811-12, 3812a, 3813-3814, and 3821-3824.

    Source: 61 FR 47025, Sept. 6, 1996, unless otherwise noted.



                      Subpart A_General Provisions



Sec.  12.1  General.

    (a) Scope. This part sets forth the terms and conditions under which 
a

[[Page 395]]

person who produces an agricultural commodity on highly erodible land or 
designates such land for conservation use, plants an agricultural 
commodity on a converted wetland, or converts a wetland shall be 
determined to be ineligible for certain benefits provided by the United 
States Department of Agriculture (USDA) and agencies and 
instrumentalities of USDA.
    (b) Purpose. The purpose of the provisions of this part are to 
remove certain incentives for persons to produce agricultural 
commodities on highly erodible land or converted wetland and to 
thereby--
    (1) Reduce soil loss due to wind and water erosion;
    (2) Protect the Nation's long-term capability to produce food and 
fiber;
    (3) Reduce sedimentation and improve water quality; and
    (4) Assist in preserving the values, acreage, and functions of the 
Nation's wetlands.

[61 FR 47025, Sept. 6, 1996, as amended at 76 FR 82077, Dec. 30, 2011]



Sec.  12.2  Definitions.

    (a) General. The following definitions shall be applicable for the 
purposes of this part:
    Agricultural commodity means any crop planted and produced by annual 
tilling of the soil, including tilling by one-trip planters, or 
sugarcane.
    Approved insurance provider means a private insurance company that 
has been approved and reinsured by FCIC to provide insurance coverage to 
persons participating in programs authorized by the Federal Crop 
Insurance Act, as amended (7 U.S.C. 1501-1524).
    CCC means the Commodity Credit Corporation, a wholly-owned 
government corporation within USDA organized under the provisions of 15 
U.S.C. 714 et seq.
    Conservation District (CD) means a subdivision of a State or local 
government organized pursuant to the applicable law to develop and 
implement soil and water conservation activities or programs.
    Conservation plan means the document that--
    (1) Applies to highly erodible cropland;
    (2) Describes the conservation system applicable to the highly 
erodible cropland and describes the decisions of the person with respect 
to location, land use, tillage systems, and conservation treatment 
measures and schedules; and
    (3) Is approved by the local soil conservation district in 
consultation with the local committees established under section 8(b)(5) 
of the Soil Conservation and Domestic Allotment Act (16 U.S.C. 
590h(b)(5)) and the Natural Resources Conservation Service (NRCS) for 
purposes of compliance with this part.
    Conservation system means a combination of one or more conservation 
measures or management practices that are--
    (1) Based on local resource conditions, available conservation 
technology, and the standards and guidelines contained in the NRCS field 
office technical guides (available from NRCS State offices); and
    (2) Designed for purposes of this part to achieve, in a cost-
effective and technically practicable manner, a substantial reduction in 
soil erosion or a substantial improvement in soil conditions on a field 
or group of fields containing highly erodible cropland when compared to 
the level of erosion or soil conditions that existed before the 
application of the conservation measures and management practices.
    Conservation use or set aside means cropland that is designated as 
conservation-use acreage, set aside, or other similar designation for 
the purpose of fulfilling provisions under any acreage-limitation or 
land-diversion program administered by the Secretary of Agriculture 
requiring that the producer devote a specified acreage to conservation 
or other non-crop production uses.
    Creation of a wetland means the development of the hydrologic, 
geochemical, and biological components necessary to support and maintain 
a wetland where a wetland did not previously exist. Any wetland 
established on a non-hydric soil will be considered a created wetland.
    Department means the United States Department of Agriculture (USDA).
    Enhancement of a wetland means the alteration of an existing wetland 
to increase its specific functions and values.

[[Page 396]]

Enhancement actions include new capabilities, management options, 
structures, or other actions to influence one or several functions and 
values.
    Erodibility index means a numerical value that expresses the 
potential erodibility of a soil in relation to its soil loss tolerance 
value without consideration of applied conservation practices or 
management.
    FCIC means the Federal Crop Insurance Corporation, a wholly owned 
corporation within USDA whose programs are administered by RMA.
    FSA means the Farm Service Agency, an agency of USDA which is 
generally responsible for administering commodity production adjustment 
and certain conservation programs of USDA.
    Field means a part of a farm that is separated from the balance of 
the farm by permanent boundaries such as fences, roads, permanent 
waterways, or other similar features. At the option of the owner or 
operator of the farm, croplines may also be used to delineate a field if 
farming practices make it probable that the croplines are not subject to 
change. Any highly erodible land on which an agricultural commodity is 
produced after December 23, 1985, and is not exempt under Sec.  12.5(a), 
shall be considered part of the field in which the land was included on 
December 23, 1985, unless, to carry out this title, the owner and FSA 
agree to modify the boundaries of the field.
    Highly erodible land means land that has an erodibility index of 8 
or more.
    Hydric soils means soils that, in an undrained condition, are 
saturated, flooded, or ponded long enough during a growing season to 
develop an anaerobic condition that supports the growth and regeneration 
of hydrophytic vegetation.
    Hydrophytic vegetation means plants growing in water or in a 
substrate that is at least periodically deficient in oxygen during a 
growing season as a result of excessive water content.
    Landlord means a person who rents or leases farmland to another 
person.
    Local FSA office means the county office of the Farm Service Agency 
serving the county or a combination of counties in the area in which a 
person's land is located for administrative purposes.
    NIFA means the National Institute of Food and Agriculture, an agency 
of USDA which is generally responsible for coordinating the information 
and educational programs of USDA.
    NRCS means the Natural Resources Conservation Service, an agency 
within USDA which is generally responsible for providing technical 
assistance in matters of natural resources conservation and for 
administering certain conservation programs of USDA.
    Operator means the person who is in general control of the farming 
operations on the farm during the crop year.
    Owner means a person who is determined to have legal ownership of 
farmland and shall include a person who is purchasing farmland under 
contract.
    Person means an individual, partnership, association, corporation, 
cooperative, estate, trust, joint venture, joint operation, or other 
business enterprise or other legal entity and, whenever applicable, a 
State, a political subdivision of a State, or any agency thereof, and 
such person's affiliates as provided in Sec.  12.8 of this part.
    Reinsurance year means a 1-year period beginning July 1 and ending 
on June 30 of the following year, identified by reference to the year 
containing June.
    Restoration of a wetland means the re-establishment of wetland 
conditions, including hydrologic condition or native hydrophytic 
vegetation, to an area where a wetland had previously existed.
    RMA means the Risk Management Agency, an agency within USDA that 
administers the programs of the FCIC through which Federally reinsured 
crop insurance is provided to American farmers and ranchers.
    Secretary means the Secretary of USDA.
    Sharecropper means a person who performs work in connection with the 
production of a crop under the supervision of the operator and who 
receives a share of such crop for such labor.
    Soil map unit means an area of the landscape shown on a soil map 
which consists of one or more soils.

[[Page 397]]

    State means each of the 50 states, the District of Columbia, the 
Commonwealth of Puerto Rico, Guam, the Virgin Islands of the United 
States, American Samoa, the Commonwealth of the Northern Mariana 
Islands, or the Trust Territory of the Pacific Islands.
    Tenant means a person usually called a ``cash tenant'', ``fixed-rent 
tenant'', or ``standing rent tenant'' who rents land from another for a 
fixed amount of cash or a fixed amount of a commodity to be paid as 
rent; or a person (other than a sharecropper) usually called a ``share 
tenant'' who rents land from another person and pays as rent a share of 
the crops or proceeds therefrom. A tenant shall not be considered the 
farm operator unless the tenant is determined to be the operator 
pursuant to this part and 7 CFR part 718.
    Wetland, except when such term is a part of the term ``converted 
wetland'', means land that--
    (1) Has predominance of hydric soils;
    (2) Is inundated or saturated by surface or groundwater at a 
frequency and duration sufficient to support a prevalence of hydrophytic 
vegetation typically adapted for life in saturated soil conditions; and
    (3) Under normal circumstances does support a prevalence of such 
vegetation, except that this term does not include lands in Alaska 
identified as having a high potential for agricultural development and a 
predominance of permafrost soils.
    Wetland determination means a decision regarding whether or not an 
area is a wetland, including identification of wetland type and size. A 
wetland determination may include identification of an area as one of 
the following types of wetland--
    (1) Artificial wetland is an area that was formerly non-wetland, but 
now meets wetland criteria due to human activities, such as:
    (i) An artificial lake or pond created by excavating or diking land 
that is not a wetland to collect and retain water that is used primarily 
for livestock, fish production, irrigation, wildlife, fire control, 
flood control, cranberry growing, or rice production, or as a settling 
pond; or
    (ii) A wetland that is temporarily or incidentally created as a 
result of adjacent development activity;
    (2) Commenced-conversion wetland is a wetland, farmed wetland, 
farmed-wetland pasture, or a converted wetland on which conversion 
began, but was not completed, prior to December 23, 1985.
    (3) Converted wetland is a wetland that has been drained, dredged, 
filled, leveled, or otherwise manipulated (including the removal of 
woody vegetation or any activity that results in impairing or reducing 
the flow and circulation of water) for the purpose of or to have the 
effect of making possible the production of an agricultural commodity 
without further application of the manipulations described herein if:
    (i) Such production would not have been possible but for such 
action, and
    (ii) Before such action such land was wetland, farmed wetland, or 
farmed-wetland pasture and was neither highly erodible land nor highly 
erodible cropland;
    (4) Farmed wetland is a wetland that prior to December 23, 1985, was 
manipulated and used to produce an agricultural commodity, and on 
December 23, 1985, did not support woody vegetation and met the 
following hydrologic criteria:
    (i) Is inundated for 15 consecutive days or more during the growing 
season or 10 percent of the growing season, whichever is less, in most 
years (50 percent chance or more), or
    (ii) If a pothole, playa, or pocosion, is ponded for 7 or more 
consecutive days during the growing season in most years (50 percent 
chance of more) or is saturated for 14 or more consecutive days during 
the growing season in most years (50 percent chance or more);
    (5) Farmed-wetland pasture is wetland that was manipulated and 
managed for pasture or hayland prior to December 23, 1985, and on 
December 23, 1985, met the following hydrologic criteria:
    (i) Inundated or ponded for 7 or more consecutive days during the 
growing season in most years (50) percent chance or more), or
    (ii) Saturated for 14 or more consecutive days during the growing 
season in most years (50 percent chance or more);

[[Page 398]]

    (6) Not-inventoried land, is an area for which no evaluation of 
soils, vegetation, or hydrology has been conducted to determine if 
wetland criteria are met;
    (7) Non-wetland is;
    (i) Land that under natural conditions does not meet wetland 
criteria, or
    (ii) Is converted wetland the conversion of which occurred prior to 
December 23, 1985, and on that date, the land did not meet wetland 
criteria but an agricultural commodity was not produced and the area was 
not managed for pasture or hay;
    (8) Prior-converted cropland is a converted wetland where the 
conversion occurred prior to December 23, 1985, an agricultural 
commodity had been produced at least once before December 23, 1985, and 
as of December 23, 1985, the converted wetland did not support woody 
vegetation and met the following hydrologic criteria:
    (i) Inundation was less than 15 consecutive days during the growing 
season or 10 percent of the growing season, whichever is less, in most 
years (50 percent chance or more); and
    (ii) If a pothole, playa or pocosin, ponding was less than 7 
consecutive days during the growing season in most years (50 percent 
chance or more) and saturation was less than 14 consecutive days during 
the growing season most years (50 percent chance or more); or
    (9) Wetland, as defined above in this section.
    Wetland delineation means outlining the boundaries of a wetland 
determination on aerial photography, digital imagery, other graphic 
representation of the area, or on the land.
    (b) Terms for FSA operations. In the regulations in this part, and 
in all instructions, forms, and documents in connection therewith, all 
other words and phrases specifically relating to FSA operations shall, 
unless required by the subject matter or the specific provisions of this 
part, have the meanings assigned to them in the regulations at part 718 
of this title that govern reconstitutions of farms, allotments, and 
bases and any subsequent amendment thereto.

[61 FR 47025, Sept. 6, 1996; 61 FR 53491, Oct. 11, 1996; 76 FR 4803, 
Jan. 27, 2011; 80 FR 22879, Apr. 24, 2015]



Sec.  12.3  Applicability.

    (a) The provisions of this part apply to all land, including Indian 
tribal land, in the 50 States, the District of Columbia, the 
Commonwealth of Puerto Rico, Guam, the Virgin Islands of the United 
States, American Samoa, and the Commonwealth of the Northern Mariana 
Islands.
    (b) The rules in this part are applicable to all current and future 
determinations on matters within the scope of this part. Nothing in 
these rules relieves any person of any liability under previous versions 
of these rules.
    (c) Notwithstanding paragraph (b) of this section, for the purpose 
of eligibility for Federal crop insurance premium subsidy for a policy 
or plan of insurance under the Federal Crop Insurance Act (7 U.S.C. 
1501-1524), the provisions of this part apply to final HEL and wetland 
conservation determinations, including all administrative appeals, after 
February 7, 2014, on matters within the scope of this part.
    (1) For acts or situations of non-compliance or failure to certify 
compliance according to this part, ineligibility for Federal crop 
insurance premium subsidies will be applied beginning with the 2016 
reinsurance year for any Federally reinsured policy or plan of insurance 
with a sales closing date on or after July 1, 2015.
    (2) [Reserved]

[80 FR 22879, Apr. 24, 2015]



Sec.  12.4  Determination of ineligibility.

    (a) Actions. Except as provided in Sec. Sec.  12.5 or 12.13, a 
person shall be ineligible for all or a portion of USDA program benefits 
listed in this section if:
    (1) The person produces an agricultural commodity on a field in 
which highly erodible land is predominant, or designates such a field 
for conservation use;
    (2) The person produces an agricultural commodity on a wetland that 
was converted after December 23, 1985; or

[[Page 399]]

    (3) After November 28, 1990, the person converts a wetland by 
draining, dredging, filling, leveling, removing woody vegetation, or 
other means for the purpose, or to have the effect, of making the 
production of an agricultural commodity possible.
    (b) Highly erodible land. A person determined to be ineligible under 
paragraph (a)(1) of this section may be ineligible for all program 
benefits listed in (d) and (e) of this section.
    (c) Wetland conservation. Except as provided in Sec.  12.13, a 
person determined to be ineligible under paragraph (a)(2) of this 
section is ineligible for all or a portion of the USDA program benefits 
listed in paragraph (d) of this section for which the person otherwise 
would have been eligible during the crop year of the commodity that was 
planted on the converted wetland. Except as provided in Sec.  12.13, a 
person determined to be ineligible under paragraph (a)(3) of this 
section for the conversion of a wetland is ineligible for all or a 
portion of the USDA program benefits listed in paragraph (d) of this 
section for which the person otherwise would have been eligible during 
the crop year which is equal to the calendar year during which the 
violation occurred and each subsequent crop year until the converted 
wetland is restored or the loss of wetland values, acreage, and 
functions have been mitigated prior to the beginning of such calendar 
year in accordance with Sec.  12.5(b)(4)(i) (A) and (C) through (F) of 
this part. Ineligibility under paragraph (a)(2) of this section may be 
reduced, in lieu of the loss of all benefits specified under paragraph 
(d) of this section for such crop year, based on the seriousness of the 
violation, as determined by the FSA Deputy Administrator for Farm 
Programs or designee upon recommendation by the FSA County Committee. 
Factors such as the information that was available to the affected 
person prior to the violation, previous land use patterns, the existence 
of previous wetland violations under this part or under other Federal, 
State, or local wetland provisions, the wetland values, acreage, and 
functions affected, the recovery time for full mitigation of the wetland 
values, acreage, and functions, and the impact that a reduction in 
payments would have on the person's ability to repay a USDA farm loan 
will be considered in making this determination.
    (d) Programs subject to either highly erodible land or wetland 
conservation. USDA program benefits covered by a determination of 
ineligibility under this rule are:
    (1) Contract payments, marketing assistance loans, and any type of 
price support or payment made available under the Agricultural Act of 
2014, the Commodity Credit Corporation Charter Act (15 U.S.C. 714b and 
714c), or successor Acts.
    (2) A farm credit program loan made or guaranteed under the 
Consolidated Farm and Rural Development Act (7 U.S.C. 1921 et seq.) or 
any other provision of law administered by FSA if the Secretary 
determines that the proceeds of such loan will be used for a purpose 
that contributes to the conversion of wetlands that would make 
production of an agricultural commodity possible or for a purpose that 
contributes to excessive erosion of highly erodible land (i.e., 
production of an agricultural commodity on highly erodible land without 
a conservation plan or conservation system as required by this part);
    (3) A payment made pursuant to a contract entered into under the 
Environmental Quality Incentives Program under chapter 4 of subtitle D 
of the Food Security Act of 1985, as amended; or a payment under any 
other provision of Subtitle D of that Act;
    (4) A payment made under section 401 or 402 of the Agricultural 
Credit Act of 1978 (16 U.S.C. 2201 or 2202);
    (5) A payment, loan, or other assistance under section 3 or 8 of the 
Watershed Protection and Flood Prevention Act (16 U.S.C. 1003 or 1006a) 
and;
    (6) Federal crop insurance premium subsidies for a policy or plan of 
insurance offered under the Federal Crop Insurance Act (7 U.S.C. 1501-
1524).
    (e) Programs subject to highly erodible land only. In addition to 
programs listed in paragraph (d) of this section, a person determined to 
be ineligible under paragraph (a)(1) of this section shall be ineligible 
as determined by FSA for the following USDA program benefits for which 
the person otherwise would have been eligible during the

[[Page 400]]

crop year for which the determination applies:
    (1) A farm storage facility loan made under section 4(h) of the 
Commodity Credit Corporation Charter Act (15 U.S.C. 714b(h));
    (2) A disaster payment made under the Federal Agricultural 
Improvement and Reform Act, Pub. L. 104-127, or any other act; and
    (3) A payment made under section 4 or 5 of the Commodity Credit 
Corporation Charter Act (15 U.S.C. 714b or 714c) for the storage of an 
agricultural commodity acquired by the Commodity Credit Corporation.
    (f) Determination of ineligibility. For the purpose of paragraph (a) 
of this section, a person shall be determined to have produced an 
agricultural commodity on a field in which highly erodible land is 
predominant or to have designated such a field for conservation use, to 
have produced an agricultural commodity on converted wetland, or to have 
converted a wetland if:
    (1) NRCS has determined that--
    (i) Highly erodible land is predominant in such field, or
    (ii) All or a portion of the field is converted wetland; and
    (2) FSA has determined that the person is or was the owner or 
operator of the land, or entitled to share in the crops available from 
the land, or in the proceeds thereof; and
    (3) With regard to the provisions of paragraph (a)(1) and (a)(2) of 
this section, FSA has determined that the land is or was planted to an 
agricultural commodity or was designated as conservation use during the 
year for which the person is requesting benefits.
    (g) Intent to participate in USDA programs. Persons who wish to 
participate in any of the USDA programs described in paragraph (d) or 
(e) of this section are responsible for contacting the appropriate 
agency of USDA well in advance of the intended participated date so that 
Form AD-1026 can be completed. This contact will help assure that the 
appropriate determinations regarding highly erodible land or wetland, 
and conservation plans or conservation systems are scheduled in a timely 
manner. A late contact may not allow sufficient time for USDA to service 
the request and could result in a substantial delay in receiving a USDA 
determination of eligibility or ineligibility.

[61 FR 47025, Sept. 6, 1996; 61 FR 53491, Oct. 11, 1996; 76 FR 82077, 
Dec. 30, 2011; 80 FR 22880, Apr. 24, 2015]



Sec.  12.5  Exemption.

    (a) Exemptions regarding highly erodible land--(1) Highly erodible 
cropland in production or in USDA programs during 1981 through 1985 crop 
years. During the period beginning on December 23, 1985, and ending on 
the later of January 1, 1990, or the date that is two years after the 
date the cropland on which an agricultural commodity is produced was 
surveyed by NRCS to determine if such land is highly erodible, no person 
shall be determined to be ineligible for benefits as provided in Sec.  
12.4 as the result of the production of an agricultural commodity on any 
highly erodible land:
    (i) That was planted to an agricultural commodity in any year 1981 
through 1985; or
    (ii) That was set aside, diverted, or otherwise not cultivated in 
any such crop years under a program administered by the Secretary for 
any such crops to reduce production of an agricultural commodity.
    (2) Compliance with a conservation plan or conservation system. As 
further specified in this part, no person shall be ineligible for the 
program benefits described in Sec.  12.4 as the result of production of 
an agricultural commodity on highly erodible land or the designation of 
such land for conservation use if such production or designation is in 
compliance with a conservation plan or conservation system approved 
under paragraph (a)(2)(i) or (a)(2)(ii) of this section. A person shall 
not be ineligible for program benefits under Sec.  12.4 as the result of 
the production of an agricultural commodity on highly erodible land or 
as the result of designation of such land as conservation use if the 
production or designation is:
    (i) In an area within a CD, under a conservation system that has 
been approved by the CD after the CD determines that the conservation 
system is in conformity with technical standards set forth in the NRCS 
field office technical guide for such district; or

[[Page 401]]

    (ii) In an area not within a CD, under a conservation system that 
has been approved by NRCS to be adequate for the production of such 
agricultural commodity on highly erodible land or for the designation of 
such land as conservation use.
    (3) Reliance upon NRCS determination for highly erodible land. A 
person may be relieved from ineligibility for program benefits as the 
result of the production of an agricultural commodity which was produced 
on highly erodible land or for the designation of such land as 
conservation use in reliance on a determination by NRCS that such land 
was not highly erodible land, except that this paragraph shall not apply 
to any agricultural commodity that was planted on highly erodible land, 
or for the designation of highly erodible land as conservation use after 
NRCS determines that such land is highly erodible land, and the person 
is notified of such determinations.
    (4) Areas of 2 acres or less. No person shall be determined to be 
ineligible under Sec.  12.4 for noncommercial production of agricultural 
commodities on highly erodible land on an area of 2 acres or less if it 
is determined by FSA that such production is not intended to circumvent 
the conservation requirements otherwise applicable under this part.
    (5) Good faith. (i) No person will become ineligible under Sec.  
12.4 as a result of the failure of such person to apply a conservation 
system on highly erodible land if all of the following apply:
    (A) FSA determines such person has acted in good faith and without 
the intent to violate the provisions of this part;
    (B) NRCS determines that the person complies with paragraph 
(a)(5)(ii) of this section; and
    (C) The good faith determination of the FSA county or State 
committee has been reviewed and approved by the applicable State 
Executive Director, with the technical concurrence of the State 
Conservationist; or district director, with the technical concurrence of 
the area conservationist.
    (ii) A person who otherwise meets the requirements of paragraphs 
(a)(5)(i)(A) and (a)(5)(i)(C) of this section will be allowed a 
reasonable period of time, as determined by NRCS, but not to exceed one 
year, during which to implement the measures and practices necessary to 
be considered actively applying the person's conservation plan, as 
determined by USDA. If a person does not take the required corrective 
actions, the person may be determined to be ineligible for the crop year 
during which such actions were to be taken, as well as any subsequent 
crop year.
    (iii) Notwithstanding the good-faith requirements of paragraph 
(a)(5)(i) of this section, if NRCS observes a possible compliance 
deficiency while providing on-site technical assistance, NRCS will 
provide to the responsible person, not later than 45 days after 
observing the possible violation, information regarding actions needed 
to comply with the plan and this subtitle. NRCS will provide this 
information in lieu of reporting the observation as a violation, if the 
responsible person attempts to correct the deficiencies as soon as 
practicable, as determined by NRCS, after receiving the information, but 
not later than one year after receiving the information. If a person 
does not take the required corrective actions, the person may be 
determined to be ineligible for the crop year during which the 
compliance deficiencies occurred, as well as any subsequent crop year.
    (iv) A person who meets the requirements of paragraphs (a)(5)(i) and 
(a)(5)(ii) of this section will, in lieu of the loss of all benefits 
specified under Sec.  12.4(d) and (e) for such crop year, be subject to 
a reduction in benefits by an amount commensurate with the seriousness 
of the violation, as determined by FSA. The dollar amount of the 
reduction will be determined by FSA and may be based on the number of 
acres and the degree of erosion hazard for the area in violation, as 
determined by NRCS, or upon such other factors as FSA determines 
appropriate.
    (v) Any person whose benefits are reduced in a crop year under 
paragraph (a)(5) of this section may be eligible for all of the benefits 
specified under Sec.  12.4(d) and (e) for any subsequent crop year if, 
prior to the beginning of the subsequent crop year, NRCS determines that 
such person is actively applying a conservation plan according to

[[Page 402]]

the schedule specified in the plan on all highly erodible land planted 
to an agricultural commodity or designated as conservation use.
    (6) Allowable variances. (i) Notwithstanding any other provisions of 
this part, no person shall be determined to be ineligible for benefits 
as a result of the failure of such person to apply a conservation system 
if NRCS determines that--
    (A) The failure is technical and minor in nature and that such 
violation has little effect on the erosion control purposes of the 
conservation plan applicable to the land on which the violation has 
occurred; or
    (B) The failure is due to circumstances beyond the control of the 
person; or
    (C) NRCS grants a temporary variance from the practices specified in 
the plan for the purpose of handling a specific problem, including 
weather, pest, and disease problems, which NRCS determines cannot 
reasonably be addressed except through such variance.
    (ii) If the person's request for a temporary variance involves the 
use of practices or measures to address weather, pest, or disease 
problems, NRCS shall make a decision on whether to grant the variance 
during the 30-day period beginning on the date of receipt of the 
request. If NRCS fails to render a decision during the period, the 
temporary variance shall be considered granted unless the person seeking 
the variance had reason to know that the variance would not be granted. 
In determining whether to grant a variance for natural disasters such as 
weather, pest, or disease problems, NRCS will consider such factors as:
    (A) The percent of a stand damaged or destroyed by the event;
    (B) The percent of expected crop production compared to normal 
production for that crop;
    (C) The documented invasion of non-native insects, weeds, or 
diseases for which no recognized treatment exists;
    (D) Whether an event is severe or unusual based on historical 
weather records; and
    (E) Other specific circumstances caused by a natural event that 
prevented the implementation of conservation practices or systems, 
installation of structures, or planting of cover crops.
    (7) Technical and minor violations. Notwithstanding any other 
provisions of this part, a reduction in benefits in an amount 
commensurate with the seriousness of the violation, as determined by 
FSA, and consistent with paragraph (a)(5)(iv) of this section, will be 
applied if NRCS determines that a violation involving highly erodible 
land that would otherwise lead to a loss of benefits is both of the 
following:
    (i) Technical and minor in nature; and
    (ii) Has a minimal effect on the erosion control purposes of the 
conservation plan applicable to the land on which the violation 
occurred.
    (b) Exemptions for wetlands and converted wetlands--(1) General 
exemptions. A person shall not be determined to be ineligible for 
program benefits under Sec.  12.4 as the result of the production of an 
agricultural commodity on converted wetland or the conversion of wetland 
if:
    (i) The land is a prior-converted cropland and meets the definition 
of a prior-converted cropland as of the date of a wetland determination 
by NRCS;
    (ii) The land has been determined by NRCS to be a prior-converted 
cropland and such determination has been certified, and NRCS determines 
that the wetland characteristics returned after the date of the wetland 
certification as a result of--
    (A) The lack of maintenance of drainage, dikes, levees, or similar 
structures,
    (B) The lack of management of the lands containing the wetland, or
    (C) Circumstances beyond the control of the person;
    (iii) The land was determined by NRCS to be a farmed wetland or a 
farmed-wetland pasture and--
    (A) Such land meets wetland criteria through a voluntary 
restoration, enhancement, or creation action after that determination,
    (B) The technical determinations regarding the baseline site 
conditions and the restoration, enhancement, or creation action have 
been adequately documented by NRCS,

[[Page 403]]

    (C) The proposed conversion action is documented by the NRCS prior 
to implementation, and
    (D) The extent of the proposed conversion is limited so that the 
conditions will be at least equivalent to the wetland values, acreage, 
and functions that existed at the time of implementation of the 
voluntary wetland restoration, enhancement, or creation action;
    (iv) NRCS has determined that the conversion if for a purpose that 
does not make the production of an agricultural commodity possible, such 
as conversions for fish production, trees, vineyards, shrubs, 
cranberries, agricultural waste management structures, livestock ponds, 
fire control, or building and road construction and no agricultural 
commodity is produced on such land;
    (v) NRCS has determined that the actions of the person with respect 
to the conversion of the wetland or the combined effect of the 
production of an agricultural commodity on a wetland converted by the 
person or by someone else, individually and in connection with all other 
similar actions authorized by NRCS in the area, would have only a 
minimal effect on the wetland functions and values of wetlands in the 
area;
    (vi)(A) After December 23, 1985, the Army Corps of Engineers issued 
an individual permit pursuant to section 404 of the Clean Water Act, 33 
U.S.C. 1344, authorizing such action and the permit required mitigation 
that adequately replaced the values, acreage, and functions of the 
wetlands converted, as determined by NRCS, or
    (B) After December 23, 1985, the action is encompassed under section 
404 of the Clean Water Act, 33 U.S.C. 1344, by an Army Corps of 
Engineers nationwide or regional general permit and the wetland values, 
acreage, and functions were adequately mitigated, as determined by NRCS; 
or
    (vii) The land is determined by NRCS to be--
    (A) An artificial wetland,
    (B) A wet area created by a water delivery system, irrigation, 
irrigation system, or application of water for irrigation,
    (C) A nontidal drainage or irrigation ditch excavated in non-
wetland, or
    (D) A wetland converted by actions of persons other than the person 
applying for USDA program benefits or any of the person's predecessors 
in interest after December 23, 1985, if such conversion was not the 
result of a scheme or device to avoid compliance with this part. Further 
drainage improvement on such land is not permitted without loss of 
eligibility for USDA program benefits, unless NRCS determines under 
paragraph (b)(1)(v) of this section that further drainage activities 
applied to such land would have minimal effect on the wetland functions 
and values in the area. In applying this paragraph, a converted wetland 
shall be presumed to have been converted by the person applying for USDA 
program benefits unless the person can show that the conversion was 
caused by a third party with whom the person was not associated through 
a scheme or device as described under Sec.  12.10 of this part. In this 
regard, activities of a water resource district, drainage district, or 
similar entity will be attributed to all persons within the jurisdiction 
of the district or other entity who are assessed for the activities of 
the district or entity. Accordingly, where a person's wetland is 
converted due to the actions of the district or entity, the person shall 
be considered to have caused or permitted the drainage. Notwithstanding 
the provisions of the preceding sentences and as determined by FSA to be 
consistent with the purposes of this part, the activities of a drainage 
district or other similar entity will not be attributed to a person to 
the extent that the activities of the district or entity were beyond the 
control of the person and the wetland converted is not used by the 
person for the production of an agricultural commodity or a forage crop 
for harvest by mechanical means or mitigation for the converted wetland 
occurs in accordance with this part.
    (2) Commenced conversion wetlands. (i) The purpose of a 
determination of a commenced conversion made under this paragraph is to 
implement the legislative intent that those persons who had actually 
started conversion of a wetland or obligated funds for conversion prior 
to December 23, 1985, would

[[Page 404]]

be allowed to complete the conversion so as to avoid unnecessary 
economic hardship.
    (ii) All persons who believed they had a wetland or converted 
wetland for which conversion began but was not completed prior to 
December 23, 1985, must have requested by September 19, 1988, FSA to 
make a determination of commencement in order to be considered exempt 
under this section.
    (iii) Any conversion activity considered by FSA to be commenced 
under this section lost its exempt status if such activity as not 
completed on or before January 1, 1995. For purposes of this part, land 
on which such conversion activities were completed by January 1, 1995, 
shall be evaluated by the same standards and qualify for the same 
exemptions as prior-converted croplands. For purposes of this part, land 
on which such conversion activities were not completed by January 1, 
1995, shall be evaluated by the same standards and qualify for the same 
exemptions as wetlands or farmed wetlands, as applicable.
    (iv) Only those wetlands for which the construction had begun, or to 
which the contract or purchased supplies and materials related, 
qualified for a determination of commencement. However, in those 
circumstances where the conversion of wetland did not meet the specific 
requirements of this paragraph, the person could have requested a 
commencement of conversion determination from the FSA Deputy 
Administrator for Farm Programs, upon a showing that undue economic 
hardship would have resulted because of substantial financial 
obligations incurred prior to December 23, 1985, for the primary and 
direct purpose of converting the wetland.
    (3) Wetlands farmed under natural conditions. A person shall not be 
determined to be ineligible for program benefits under Sec.  12.4 of 
this part as a result of the production of an agricultural commodity on 
a wetland on which the owner or operator of a farm or ranch uses normal 
cropping or ranching practices to produce agricultural commodities in a 
manner that is consistent for the area, where such production is 
possible as a result of natural conditions, such as drought, and is 
without action by the producer that alters the hydrology or removes 
woody vegetation.
    (4) Mitigation. (i) No person shall be determined to be ineligible 
under Sec.  12.4 for any action associated with the conversion of a 
wetland if the wetland values, acreage, and functions are adequately 
mitigated, as determined by NRCS, through the restoration of a converted 
wetland, the enhancement of an existing wetland, or the creation of a 
new wetland, if the mitigation--
    (A) Is in accordance with a mitigation plan approved by NRCS;
    (B) Is in advance of, or concurrent with, the wetland conversion or 
the production of an agricultural commodity, as applicable;
    (C) Is not at the expense of the federal government in either 
supporting the direct or indirect costs of the restoration activity or 
costs associated with acquiring or securing mitigation sites, except if 
conducted under a mitigation banking program established by USDA;
    (D) Occurs on lands in the same general area of the local watershed 
as the converted wetlands, provided that for purposes of this paragraph, 
lands in the same general area of the local watershed may include 
regional mitigation banks;
    (E) Is on lands for which the owner has granted an easement to USDA 
or in the case of a mitigation bank operated under a USDA program, an 
entity approved by USDA, recorded the easement on public land records, 
and has agreed to the maintenance of the restored, created, or enhanced 
wetland for as long as the converted wetland for which the mitigation 
occurred remains in agricultural use or is not returned to its original 
wetland classification with equivalent values, acreage, and functions; 
and
    (F) Provides the equivalent values, acreage, and functions that will 
be lost as a result of the wetland conversion.
    (ii) A mitigation plan is a record of decisions that document the 
actions necessary to compensate for the loss of wetland values, acreage, 
and functions that result from converting a wetland. The mitigation plan 
may be a component of a larger natural resources conservation plan.

[[Page 405]]

    (iii) The State Conservationist, in consultation with the State 
Technical Committee, may name certain types or classes of wetland not 
eligible for exemption under paragraph (b)(4)(i) of this section where 
the State Conservationist determines that mitigation will not achieve 
equivalent replacement of wetland values, acreage, and functions within 
a reasonable time frame or for other reasons identified by the State 
Conservationist. Any type or class of wetland that a State 
Conservationist identifies as not eligible for exemption under paragraph 
(b)(4)(i) of this section will be published in the Federal Register for 
inclusion in this part.
    (5) Good faith violations. (i) A person who is determined under 
Sec.  12.4 of this part to be ineligible for benefits as the result of 
the production of an agricultural commodity on a wetland converted after 
December 23, 1985, or as the result of the conversion of a wetland after 
November 28, 1990, may regain eligibility for benefits if all of the 
following apply:
    (A) FSA determines that such person acted in good faith and without 
the intent to violate the wetland provisions of this part; and
    (B) NRCS determines that the person is implementing all practices in 
a mitigation plan within an agreed-to period, not to exceed one year; 
and
    (C) The good faith determination of the FSA county or State 
committee has been reviewed and approved by the applicable State 
Executive Director, with the technical concurrence of the State 
Conservationist; or district director, with the technical concurrence of 
the area conservationist.
    (ii) In determining whether a person acted in good faith under 
paragraph (b)(5)(i)(A) of this section, the FSA shall consider such 
factors as whether--
    (A) The characteristics of the site were such that the person should 
have been aware that a wetland existed on the subject land,
    (B) NRCS had informed the person about the existence of a wetland on 
the subject land,
    (C) The person did not convert the wetland, but planted an 
agricultural commodity on converted wetland when the person should have 
known that a wetland previously existed on the subject land,
    (D) The person has a record of violating the wetland provisions of 
this part or other Federal, State, or local wetland provisions, or
    (E) There exists other information that demonstrates that the person 
acted with the intent to violate the wetland provisions of this part.
    (iii) After the requirements of paragraph (b)(5)(i) of this section 
are met, USDA may waive applying the ineligibility provisions of Sec.  
12.4.
    (6) Reliance upon NRCS wetland determination. (i) A person shall not 
be ineligible for program benefits as a result of taking an action in 
reliance on a previous certified wetland determination by NRCS.
    (ii) A person who may be ineligible for program benefits as the 
result of the production of an agricultural commodity on converted 
wetland or for the conversion of a wetland may seek relief under Sec.  
12.11 of this part if such action was taken in reliance on an incorrect 
technical determination by NRCS as to the status of such land. If the 
error caused the person to make a substantial financial investment, as 
determined by the NRCS, for the conversion of a wetland, the person may 
be relieved of ineligibility for actions related to that portion of the 
converted wetland for which the substantial financial investment was 
expended in conversion activities. The relief available under this 
paragraph shall not apply to situations in which the person knew or 
reasonably should have known that the determination was in error because 
the characteristics of the site were such that the person should have 
been aware that a wetland existed on the subject land, or for other 
reasons.
    (7) Responsibility to provide evidence. It is the responsibility of 
the person seeking an exemption related to converted wetlands under this 
section to provide evidence, such as receipts, crop-history data, 
drawings, plans or similar information, for purposes of determining 
whether the conversion or other action is exempt in accordance with this 
section.

[61 FR 47025, Sept. 6, 1996; 61 FR 53491, Oct. 11, 1996; 76 FR 82077, 
Dec. 30, 2011; 80 FR 22880, Apr. 24, 2015]

[[Page 406]]



Sec.  12.6  Administration.

    (a) General. In general determinations will be made as follows:
    (1) Except as provided in paragraph (a)(2) of this section, a 
determination of ineligibility for benefits in accordance with the 
provisions of this part will be made by the agency of USDA to which the 
person has applied for benefits. All determinations required to be made 
under the provisions of this part will be made by the agency responsible 
for making such determinations, as provided in this section.
    (2) Eligibility for Federal crop insurance premium subsidies will be 
based on final determinations, including all administrative appeals, 
made by NRCS and FSA. Neither RMA, FCIC, approved insurance providers, 
or any employee, agent, or contractors thereof, will make any 
determination regarding compliance with the highly erodible land or 
wetland provisions of this part, unless specifically provided for in 
Sec.  12.13.
    (b) Administration by FSA. (1) The provisions of this part which are 
applicable to FSA will be administered under the general supervision of 
the Administrator, FSA, and shall be carried out in the field in part by 
State FSA committees and county FSA committees (COC).
    (2) The FSA Deputy Administrator for Farm Programs may determine any 
question arising under the provisions of this part which are applicable 
to FSA and may reverse or modify any determination of eligibility with 
respect to programs administered by FSA made by a State FSA committee or 
COC or any other FSA office or FSA official (except the Administrator) 
in connection with the provisions of this part.
    (3) FSA shall make the following determinations which are required 
to be made in accordance with this part:
    (i) Whether a person produced an agricultural commodity on a 
particular field as determined under Sec.  12.5(a)(1);
    (ii) The establishment of field boundaries;
    (iii) Whether land was planted to an agricultural commodity in any 
of the years, 1981 through 1985, for the purposes of Sec.  12.5(a)(1);
    (iv) Whether land was set aside, diverted, or otherwise not 
cultivated under a program administered by the Secretary for any crop to 
reduce production of an agricultural commodity under Sec. Sec.  12.4(g) 
and 12.5(a)(1);
    (v) Whether for the purposes of Sec.  12.9, the production of an 
agricultural commodity on highly erodible land or converted wetland by a 
landlord's tenant or sharecropper is required under the terms and 
conditions of the agreement between the landlord and such tenant or 
sharecropper;
    (vi) Whether the conversion of a particular wetland was commenced 
before December 23, 1985, for the purposes of Sec.  12.5(b)(3);
    (vii) Whether the conversion of a wetland was caused by a third 
party under Sec.  12.5(b)(1)(vii)(D);
    (viii) Whether certain violations were made in good faith under 
Sec. Sec.  12.5(a)(5) or 12.5(b)(5);
    (ix) The determination of the amount of reduction in benefits based 
on the seriousness of the violation, based on technical information 
provided by NRCS;
    (x) The determination of whether the application of the producer's 
conservation plan or system would impose an undue economic hardship on 
the producer; and
    (xi) Whether the proceeds of a farm loan made, insured, or 
guaranteed by FSA will be used for a purpose that will contribute to 
excessive erosion of highly erodible land or to the conversion of 
wetland.
    (4) A representative number of farms selected in accordance with 
instructions issued by the Deputy Administrator shall be inspected by an 
authorized representative of FSA to determine compliance with any 
requirement specified in this part as a prerequisite for obtaining 
program benefits.
    (5) FSA may consult with U.S. Fish and Wildlife Service on third-
party determinations.
    (c) Administration by NRCS. (1) The provisions of this part that are 
applicable to NRCS shall be administered under the general supervision 
of the Associate Chief for Conservation, and shall be carried out in the 
field by the regional conservationist, state conservationist, area 
conservationist, and

[[Page 407]]

district conservationist or other NRCS representative.
    (2) An NRCS representative shall make the following determinations 
which are required to be made in accordance with this part:
    (i) Whether land is highly erodible or has a wetland type or a 
converted wetland identified in accordance with the provisions of this 
part;
    (ii) Whether highly erodible land is predominant on a particular 
field under Sec.  12.22;
    (iii) Whether the conservation plan that a person is applying is 
based on the local NRCS field office technical guide and is approved 
by--
    (A) The CD and NRCS, or
    (B) NRCS;
    (iv) Whether the conservation system that a person is using has been 
approved by the CD under Sec.  12.5(a)(2) or, in an area not within a 
CD, a conservation system approved by NRCS to be adequate for the 
production of an agricultural commodity on highly erodible land;
    (v) Whether the actions of a person(s) with respect to the 
conversion of a wetland or production of an agricultural commodity on 
converted wetland would have only a minimal effect on the functions and 
values of wetlands in the area;
    (vi) Whether an approved conservation plan is being applied on 
highly erodible fields in accordance with the schedule specified therein 
or whether a failure to apply the plan is technical and minor in nature, 
due to circumstances beyond the control of the person, or whether a 
temporary variance form the requirements of the plan should be granted;
    (vii) Whether an approved conservation system is being used on a 
highly erodible field;
    (viii) Whether the conversion of a wetland is for the purpose or has 
the effect of making the production of an agricultural commodity 
possible;
    (ix) Whether a farmed wetland or farmed-wetland pasture is 
abandoned;
    (x) Whether the planting of an agricultural commodity on a wetland 
is possible under natural conditions;
    (xi) Whether maintenance of existing drainage of a wetland described 
in Sec.  12.33 exceeds the scope and effect of the original drainage;
    (xii) Whether a plan for the mitigation of a converted wetland will 
be approved and whether the mitigation of a converted wetland is 
accomplished according to the approved mitigation plan;
    (xiii) Whether all technical information relating to the 
determination of a violation and severity of a violation has been 
provided to FSA for making payment-reduction determinations; and
    (xiv) Whether or not a commenced-conversion activity was completed 
by January 1, 1995.
    (3) NRCS may provide such other technical assistance for 
implementation of the provisions of this part as is determined to be 
necessary.
    (4) A person may obtain a highly erodible land or a wetland scope-
and-effect determination by making a written request on Form AD-1026. 
The determination will be made in writing, and a copy will be provided 
to the person.
    (5) A determination of whether or not an area meets the highly 
erodible land criteria or whether wetland criteria, identified in 
accordance with the current Federal wetland delineation methodology in 
use at the time of the determination and that are consistent with 
current mapping conventions, may be made by the NRCS representative 
based upon existing records or other information and without the need 
for an on-site determination. This determination will be made by the 
NRCS representative as soon as possible following a request for such a 
determination.
    (6) An on-site determination as to whether an area meets the 
applicable criteria shall be made by an NRCS representative if the 
person has disagreed with the determination made under paragraph (c)(5) 
of this section, or if adequate information is not otherwise available 
to an NRCS representative on which to make an off-site determination.
    (7) An on-site determination, where applicable, will be made by the 
NRCS representative as soon as possible following a request for such a 
determination, but only when site conditions are

[[Page 408]]

favorable for the evaluation of soils, hydrology, or vegetation.
    (8) With regard to wetland determinations, if an area is 
continuously inundated or saturated for long periods of time during the 
growing season to such an extent that access by foot to make a 
determination of predominance of hydric soils or prevalence of 
hydrophytic vegetation is not feasible, the area will be determined to 
be a wetland.
    (9) Persons who are adversely affected by a determination made under 
this section and believe that the requirements of this part were 
improperly applied may appeal, under Sec.  12.12 of this part, any 
determination by NRCS.
    (10) NRCS will operate a program or work with third parties to 
establish mitigation banks to assist persons in complying with 
Sec. Sec.  12.4(c) and 12.5(b)(4). Persons will be able to access 
mitigation banks established or approved through this program without 
requiring the Secretary to hold an easement in a mitigation bank.
    (d) Administration by NIFA. The NIFA shall coordinate the related 
information and education program for USDA concerning implementation of 
this rule.
    (e) Assistance of other Federal agencies. If NRCS determines, 
through agreement or otherwise, that the purposes of this part would be 
furthered by the assistance of other Federal agencies with wetland 
responsibilities, NRCS may accept such assistance and adopt any or all 
such actions by these agencies as an action by an NRCS representative 
under this part.
    (f) Administration by RMA. The provisions of this part that are 
applicable to RMA will be administered under the general supervision of 
the Administrator, RMA.
    (1) Eligibility for Federal crop insurance premium subsidies will be 
based on the person's:
    (i) Accurate and timely filing of a certification of compliance 
(Form AD-1026 or successor form) with the conservation compliance 
provisions; and
    (ii) Compliance with the conservation compliance provisions.
    (2) Ineligibility for Federal crop insurance premium subsidies due 
to violations of the conservation compliance provisions will be based on 
final determinations, including all administrative appeals, made by NRCS 
and FSA as provided in this part.
    (3) Neither RMA nor FCIC will make any determination of eligibility 
regarding compliance with the highly erodible land or wetland provisions 
in this part, unless specifically provided for in Sec.  12.13.
    (4) RMA will provide the applicable information regarding 
determinations made by NRCS and FSA to the appropriate approved 
insurance providers to ensure those determinations affecting Federal 
crop insurance premium subsidy eligibility are implemented according to 
this part.
    (g) Approved insurance providers. No approved insurance provider or 
any employee, agent, or contractor of an approved insurance provider 
will:
    (1) Make any determination of eligibility regarding compliance with 
the highly erodible land or wetland provisions of this part; or
    (2) Be responsible or liable for a person's eligibility for Federal 
crop insurance premium subsidy under this part, except in cases of 
fraud, misrepresentation, or scheme and device by the approved insurance 
provider or any employee, agent, or contractor thereof.

[61 FR 47025, Sept. 6, 1996; 61 FR 53491, Oct. 11, 1996; 76 FR 4804, 
Jan. 27, 2011; 80 FR 22880, Apr. 24, 2015]



Sec.  12.7  Certification of compliance.

    (a) Self-certification. In order for a person to be determined to be 
eligible for any of the benefits specified in Sec.  12.4:
    (1) It must be determined by USDA whether any field in which the 
person applying for the benefits has an interest and intends to produce 
an agricultural commodity contains highly erodible land;
    (2) The person applying for or receiving the benefits must certify 
in writing on Form AD-1026 that such person will not produce an 
agricultural commodity on highly erodible land, or designate such land 
for conservation use; or plant an agricultural commodity on a converted 
wetland; or convert a wetland to make possible the production of an 
agricultural commodity during the crop year in which the person is 
seeking

[[Page 409]]

such benefits, unless such actions are exempt, under Sec. Sec.  12.5 or 
12.13 from the provisions of Sec.  12.4 of this part;
    (3) A person may certify application of practices required by the 
person's conservation plan. NRCS shall permit a person who makes such a 
certification with respect to a conservation plan to revise the 
conservation plan in any manner, if the same level of conservation 
treatment provided for by the conservation system under the person's 
conservation plan is maintained. NRCS may not revise the person's 
conservation plan without the concurrence of the person;
    (4) The person applying for a FSA direct or guaranteed farm credit 
program loan must certify that such person shall not use the proceeds of 
the loan for a purpose that will contribute to excessive erosion on 
highly erodible land or to conversion of wetlands for the purpose, or to 
have the effect, of making the production of an agricultural commodity 
possible; and
    (5) The person applying for the benefits must authorize and provide 
representatives of USDA access to all land in which such person has an 
interest for the purpose of verifying any such certification.
    (b) Availability to other agencies. Each agency of USDA shall make 
all certifications of compliance received by such agency and the results 
of investigations concerning such certifications of compliance available 
to other agencies.
    (c) Compliance. A certification made in accordance with this section 
does not relieve any person from compliance with provisions of this 
part.
    (d) Timely filing. In order for a person to be determined eligible 
for Federal crop insurance premium subsidies for a policy or plan of 
insurance under the Federal Crop Insurance Act (7 U.S.C. 1501-1524), the 
person must have Form AD-1026 or successor form on file with FSA, as 
specified in Sec.  12.13.

[61 FR 47025, Sept. 6, 1996, as amended at 80 FR 22880, Apr. 24, 2015]



Sec.  12.8  Affiliated persons.

    (a) Ineligibility of affiliated persons. Ineligibility of an 
individual or entity under this part for benefits shall also be an 
ineligibility for benefits for ``affiliated persons'' as defined in this 
section.
    (b) Affiliated persons of an individual. If the person requesting 
benefits is an individual, the affiliated persons are:
    (1) The spouse and minor child of such person or guardian of such 
child; except that spouses who establish to the satisfaction of the COC 
that operations of the husband and wife are maintained separately and 
independently shall not be considered affiliates;
    (2) Any partnership, joint venture, or other enterprise in which the 
person or any person listed in paragraphs (b)(1) has an ownership 
interest or financial interest; unless such interest is held indirectly 
through another business enterprise; or
    (3) Any trust in which the individual, business enterprise, or any 
person listed in paragraph (b)(1) is a beneficiary or has a financial 
interest, unless such interest is held indirectly through another 
business enterprise.
    (c) Affiliated persons of an entity. If the person who has requested 
benefits from USDA is a corporation, partnership, or other joint 
venture, the affiliated persons are any participant or stockholder 
therein of the corporation, partnership, or other joint venture, except 
for persons who have an indirect interest through another business 
enterprise in such corporation, partnership, or other joint venture or 
persons with a 20 percent or less share in a corporation.
    (d) Limitation. Any reduction in payments which results only from 
the application of the affiliation provisions of this section to a 
partnership, joint venture, trust, or other enterprise shall be limited 
to the extent of interest held in such partnership, joint venture, 
trust, or other enterprise by the person or business enterprise that 
committed the violation. However, for violations for which the business 
enterprise is considered directly responsible under the provisions of 
this part, the business enterprise shall be subject to a full loss of 
benefits, including those instances in which the business enterprise has 
an interest in the land where the violation occurred or where the 
business enterprise had an interest in the crops produced on the land.

[[Page 410]]

    (e) Avoidance of this part. Limitations on affiliation shall not 
apply as needed to correct for any action that would otherwise tend to 
defeat the purposes of this part.



Sec.  12.9  Landlords and tenants.

    (a) Landlord eligibility. Landlord eligibility will include the 
following:
    (1) Except as provided in paragraph (a)(2) of this section, the 
ineligibility of a tenant or sharecropper for:
    (i) Program benefits (as specified in Sec.  12.4) except as provided 
in paragraph (a)(1)(ii) of this section will not cause a landlord to be 
ineligible for USDA program benefits accruing with respect to land other 
than those in which the tenant or sharecropper has an interest; and
    (ii) Federal crop insurance premium subsidies for a policy or plan 
of insurance under the Federal Crop Insurance Act (7 U.S.C. 1501-1524) 
will, in lieu of ineligibility for premium subsidy, result in a 
reduction in the amount of premium subsidy paid by FCIC on all policies 
and plans of insurance for the landlord.
    (A) The percentage reduction will be determined by comparing the 
total number of cropland acres on the farm on which the violation 
occurred to the total number of cropland acres on all farms in which 
landlord has an interest, as determined by FSA.
    (B) The farms and cropland acres used to determine the premium 
subsidy reduction percentage will be the farms and cropland acres of the 
landlord for the reinsurance year in which the tenant or sharecropper is 
determined ineligible.
    (C) The percentage reduction will be applied to all policies and 
plans of insurance of the landlord in the reinsurance year subsequent to 
the reinsurance year in which the tenant or sharecropper is determined 
ineligible.
    (D) If the landlord and tenant or sharecropper are insured under the 
same policy, the landlord will be ineligible for premium subsidy on that 
policy in lieu of a percentage reduction on that policy.
    (2) If the production of an agricultural commodity on highly 
erodible land or converted wetland by the landlord's tenant or 
sharecropper is required under the terms and conditions of the agreement 
between the landlord and such tenant or sharecropper and such agreement 
was entered into after December 23, 1985, or if the landlord has 
acquiesced in such activities by the tenant or sharecropper:
    (i) The provisions of paragraph (a)(1)(i) of this section will not 
be applicable to a landlord; and
    (ii) A landlord will be ineligible for premium subsidy on all 
policies and plans of insurance in the reinsurance year subsequent to 
the reinsurance year in which the tenant or sharecropper is determined 
ineligible.
    (b) Tenant or sharecropper eligibility. Tenant or sharecropper 
eligibility will include the following:
    (1) If all of the requirements in paragraph (b)(2) of this section 
are met:
    (i) The ineligibility of a tenant or sharecropper, except as 
provided in paragraph (b)(1)(ii) of this section, may be limited to the 
program benefits listed in Sec.  12.4(b) accruing with respect to only 
the farm on which the violation occurred; and
    (ii) In lieu of ineligibility for Federal crop insurance premium 
subsidies for all policies or plans of insurance under the Federal Crop 
Insurance Act (7 U.S.C. 1501-1524), the premium subsidy on all policies 
and plans of insurance of the ineligible tenant or sharecropper will be 
reduced.
    (A) The percentage reduction will be determined by comparing the 
total number of cropland acres on the farm on which the violation 
occurred to the total number of cropland acres on all farms in which 
tenant or sharecropper has an interest, as determined by FSA.
    (B) The farms and cropland acres used to determine the premium 
subsidy reduction percentage will be the farms and cropland acres of the 
tenant or sharecropper for the reinsurance year in which the tenant or 
sharecropper is determined ineligible.
    (C) The percentage reduction will be applied to all policies and 
plans of insurance of the tenant or sharecropper in the reinsurance year 
subsequent to the reinsurance year in which the tenant or sharecropper 
is determined ineligible.
    (D) If the landlord and tenant or sharecropper are insured under the

[[Page 411]]

same policy, the tenant or sharecropper will be ineligible for premium 
subsidy on that policy in lieu of a percentage reduction on that policy.
    (2) The provisions of paragraph (b)(1) of this section will not 
apply unless all the following are met:
    (i) The tenant or sharecropper shows that a good-faith effort was 
made to comply by developing an approved conservation plan for the 
highly erodible land in a timely manner and prior to any violation of 
the provisions of this part;
    (ii) The owner of such farm refuses to apply such a plan and 
prevents the tenant or sharecropper from implementing certain practices 
that are a part of the approved conservation plan; and
    (iii) FSA determines that the lack of compliance is not a part of a 
scheme or device as described in Sec.  12.10.
    (3) If relief is granted under paragraph (b)(1) of this section, the 
tenant or sharecropper must actively apply those conservation treatment 
measures that are determined to be within the control of the tenant or 
sharecropper.

[61 FR 47025, Sept. 6, 1996, as amended at 80 FR 22881, Apr. 24, 2015]



Sec.  12.10  Scheme or device.

    All or any part of the benefits listed in Sec.  12.4 otherwise due a 
person from USDA may be withheld or required to be refunded if the 
person adopts or participates in adopting any scheme or device designed 
to evade, or which has the effect of evading, the provisions of this 
part. Such acts shall include, but are not limited to, concealing from 
USDA any information having a bearing on the application of the 
provisions of this part or submitting false information to USDA or 
creating entities for the purpose of concealing the interest of a person 
in a farming operation or to otherwise avoid compliance with the 
provisions of this part. Such acts shall also include acquiescence in, 
approval of, or assistance to acts which have the effect of, or the 
purpose of, circumventing these regulations.



Sec.  12.11  Action based upon advice or action of USDA.

    The provisions of part 718 of this Title, as amended, relating to 
performance based upon the action or advice of a County Committee (COC) 
or State FSA Committee shall be applicable to the provisions of this 
part. In addition, if it is determined by the appropriate USDA agency 
that the action of a person which would form the basis of any 
ineligibility under this part was taken by such person in good-faith 
reliance on erroneous advice, information, or action of any other 
authorized representative of USDA, the appropriate agency may make such 
benefits available to the extent that similar relief would be allowed 
under 7 CFR part 718.



Sec.  12.12  Appeals.

    Any person who has been or who would be denied program benefits in 
accordance with Sec.  12.4 as the result of any determination made in 
accordance with the provisions of this part may obtain a review of such 
determination in accordance with the administrative appeals procedures 
of the agency which rendered such determination. Agency appeal 
procedures are contained in the Code of Federal Regulations as follows: 
FSA, part 780 of this title; NRCS, part 614 of this title; Rural 
Utilities Service, part 1900, subpart B of this title.



Sec.  12.13  Special Federal crop insurance premium subsidy provisions.

    (a) General. The provisions and exemptions in this section are only 
applicable to Federal crop insurance premium subsidies for a policy or 
plan of insurance under the Federal Crop Insurance Act (7 U.S.C. 1501-
1524). The exemptions in this section are in addition to any that apply 
under Sec.  12.5. Any conflict between this section and another will be 
resolved by applying this section, but only for Federal crop insurance 
premium subsidies. Any exemptions or relief under this section apply to 
Federal crop insurance premium subsidies and do not apply to other 
benefits even for the same person for the same crop year or reinsurance 
year. Unless otherwise specified in this section, the provisions in this 
section apply to both highly erodible land and wetlands.
    (b) Ineligibility for failing to certify compliance. Subject to 
paragraph (b)(2) of this section, failing to certify compliance as 
specified in Sec.  12.7 will result in ineligibility as follows:

[[Page 412]]

    (1) A Form AD-1026, or successor form, for the person must be filed 
with FSA for the reinsurance year in order for the person to be eligible 
for any Federal crop insurance premium subsidies for the reinsurance 
year. Persons will be ineligible for Federal crop insurance premium 
subsidy on their crop insurance policy if form AD-1026, or successor 
form, has not been filed with FSA for the reinsurance year by the 
premium billing date for their Federally-reinsured crop insurance 
policy.
    (2) A person that has not filed an AD-1026 for the reinsurance year 
by the premium billing date may be eligible for premium subsidy for the 
reinsurance year if they provide information necessary for the person's 
filing of a Form AD-1026 if the person:
    (i) Is unable to file a Form AD-1026 due to circumstances beyond the 
person's control, as determined by FSA; or
    (ii) Files a Form AD-1026 in good faith and FSA subsequently 
determines that additional information is needed, but the person is 
unable to comply due to circumstances beyond the control of the person.
    (3) A person who does not have Form AD-1026, or successor form, on 
file with FSA for the reinsurance year may be eligible for Federal crop 
insurance premium subsidy for the initial reinsurance year if the person 
can demonstrate they meet RMA's conditions for new to farming, new to 
crop insurance, a new entity, or have not previously been required to 
file form AD-1026.
    (c) Ineligibility for violations. If a person is ineligible due to a 
violation of the provisions of this part, the timing and results will be 
as follows:
    (1) Unless an exemption in this section or Sec.  12.5 applies, 
ineligibility for Federal crop insurance premium subsidy for a policy or 
plan of insurance under the Federal Crop Insurance Act (7 U.S.C. 1501-
1524) due to a violation of the provisions of this part will:
    (i) Not apply to the reinsurance year in which the violation 
occurred or any reinsurance year prior to the date of the final 
determination of a violation, including all administrative appeals of 
the determination, as determined by NRCS or FSA as applicable; and
    (ii) Only apply to reinsurance years subsequent to the date of a 
final determination of a violation, including all administrative appeals 
of the determination, as determined by NRCS or FSA as applicable. A 
person who is in violation of the provisions of this part, as determined 
by FSA or NRCS, in a reinsurance year, will, unless otherwise exempted, 
be ineligible for any Federal crop insurance premium subsidy beginning 
with the subsequent reinsurance year. For example, a person who is 
determined to be in violation of the provisions of this part and has 
exhausted all administrative appeals on June 1, 2015, (2015 reinsurance 
year) will, unless otherwise exempted, be ineligible for Federal crop 
insurance premium subsidy effective July 1, 2015, the start of the 2016 
reinsurance year, and will not be eligible for any Federal crop 
insurance premium subsidy for any policy or plan of insurance during the 
2016 reinsurance year. Even if the person becomes compliant during the 
2016 reinsurance year, the person will not be eligible for Federal crop 
insurance premium subsidy until the 2017 reinsurance year starting on 
July 1, 2016.
    (2) Eligibility for Federal crop insurance premium subsidy for a 
policy or plan of insurance under the Federal Crop Insurance Act (7 
U.S.C. 1501-1524) due to a violation of the provisions of this part will 
be based on FSA and NRCS final determinations, including all 
administrative appeals, regarding compliance with the provisions of this 
part.
    (3) The amount of premium subsidy for an insured person will be 
reduced when any person with a substantial beneficial interest in the 
insured person is ineligible for premium subsidy under this part. The 
amount of reduction will be commensurate with the ineligible person's 
substantial beneficial interest in the insured person. The ineligible 
person's substantial beneficial interest in the insured person will be 
determined according to the policy provisions of the insured person.
    (4) Administrative appeals include appeals made in accordance with 
Sec.  12.12 and part 11 of this title, but do not include any judicial 
review or appeal, or any other legal action.

[[Page 413]]

    (d) Exemption to develop and comply with an approved HEL 
conservation plan. The following exemptions provide a delay in the 
requirement to develop and comply with an NRCS approved HEL conservation 
plan for certain persons.
    (1) Persons subject to the provisions of this part regarding highly 
erodible land, specifically those related to section 1211(a) of the Food 
Security Act of 1985, as amended, for the first time solely due to 
amendments to that section by section 2611(a) of the Agricultural Act of 
2014 (16 U.S.C. 3811(a)(1)), will have 5 reinsurance years after the 
date the person is determined to have HEL and has exhausted all 
administrative appeals, if applicable, to develop and comply with a 
conservation plan approved by NRCS before being ineligible for Federal 
crop insurance premium subsidies. The additional time to develop and 
comply with a conservation plan approved by NRCS applies only to persons 
who have not previously been subject to the highly erodible land 
conservation provisions of this part. The additional time provided in 
this paragraph does not apply to any person who had any interest in any 
land or crop, including an affiliated person, that was subject to the 
provisions of this part before February 7, 2014. The 5 reinsurance years 
to develop and comply with a conservation plan approved by NRCS starts:
    (i) For persons who have no land with an NRCS HEL determination, the 
5 reinsurance years begins the start of the reinsurance year (July 1) 
following the date NRCS makes a HEL determination and the person 
exhausts all their administrative appeals; or
    (ii) For persons who have any land for which an NRCS HEL 
determination has been made and all administrative appeals have been 
exhausted, the 5 reinsurance years begins the start of the reinsurance 
year (July 1) following the date the person certifies compliance with 
FSA to be eligible for USDA benefits subject to the conservation 
compliance provisions.
    (2) Persons who meet all the following criteria will have 2 
reinsurance years from the start of the reinsurance year (July 1) 
following the date the person certifies compliance with FSA to be 
eligible for USDA benefits subject to the conservation compliance 
provisions to develop and comply with a conservation plan approved by 
NRCS before being ineligible for Federal crop insurance premium 
subsidies:
    (i) Were subject to the provisions of this part regarding highly 
erodible land, specifically those related to section 1211(a) of the Food 
Security Act of 1985 (16 U.S.C. 3811(a)(1)), as amended, any time before 
February 7, 2014;
    (ii) Before February 7, 2014, stopped participating in all USDA 
programs subject to the provisions of this part regarding highly 
erodible land;
    (iii) Would have been in violation of the provisions of this part 
regarding highly erodible land had they continued to participate in 
those programs after February 7, 2014; and
    (iv) Are currently in violation of the provisions of this part 
regarding highly erodible land.
    (e) Exemption for prior wetland conversions completed prior to 
February 7, 2014. No person will be ineligible for Federal crop 
insurance premium subsidies for a policy or plan of insurance under the 
Federal Crop Insurance Act (7 U.S.C. 1501-1524) for:
    (1) Converting a wetland if the wetland conversion was completed, as 
determined by NRCS, before February 7, 2014; or
    (2) Planting or producing an agricultural commodity on a converted 
wetland if the wetland conversion was completed, as determined by NRCS, 
before February 7, 2014.
    (f) Exemption for wetland conversion that impacts less than 5 acres. 
The following exemption is for wetland conversion that impacts less than 
5 acres of an entire farm:
    (1) In lieu of ineligibility for Federal crop insurance premium 
subsidies for a policy or plan of insurance under the Federal Crop 
Insurance Act (7 U.S.C. 1501-1524) due to a wetland conversion violation 
or concurrent with a planned wetland conversion occurring after February 
7, 2014, a person may, if approved by NRCS, pay a contribution to NRCS 
in an amount equal to 150 percent of the cost of mitigating the 
converted wetland, as determined by NRCS.

[[Page 414]]

    (2) A person is limited to only one exemption, as determined by 
NRCS, described in paragraph (f)(1) of this section per farm.
    (3) NRCS will not refund this payment even if the person later 
conducts actions which will mitigate the earlier conversion.
    (g) Exemption for wetland conversion when a policy or plan of 
insurance is available to a person for the first time. The following 
exemption is for wetland conversion when a policy or plan of insurance 
is available to the person for the first time.
    (1) When a policy or plan of insurance that provides coverage for an 
agricultural commodity is available to the person, including as a person 
who is a substantial beneficial interest holder, for the first time 
after February 7, 2014, as determined by RMA, ineligibility for Federal 
crop insurance premium subsidies for such policy or plan of insurance 
due to a wetland conversion violation will only apply to wetland 
conversions that are completed, as determined by NRCS, after the date 
the policy or plan of insurance first becomes available to the person.
    (2) The exemption described in paragraph (g)(1) of this section:
    (i) Applies only to the policy or plan of insurance that becomes 
available to the person for the first time after February 7, 2014, as 
determined by RMA;
    (ii) Does not exempt or otherwise negate the person's ineligibility 
for Federal crop insurance premium subsidies on any other policy or plan 
of insurance; and
    (iii) Applies only if the person takes steps necessary, as 
determined by NRCS, to mitigate all wetlands converted after February 7, 
2014, in a timely manner, as determined by NRCS, but not to exceed 2 
reinsurance years.
    (3) For the purposes of the paragraph (g)(1) of this section:
    (i) A policy or plan of insurance is considered to have been 
available to the person after February 7, 2014, if, after February 7, 
2014, in any county in which the person had any interest in any acreage, 
including as a person who is a substantial beneficial interest holder:
    (A) There was a policy or plan of insurance available on the county 
actuarial documents that provided coverage for the agricultural 
commodity; or
    (B) The person obtained a written agreement to insure the 
agricultural commodity in any county; and
    (ii) Changing, adding, or removing options, endorsements, or 
coverage to an existing policy or plan of insurance will not be 
considered as a policy or plan of insurance being available for the 
first time to a person.
    (h) Wetland conversion mitigation exemption. Unless another 
exemption applies, the following exemption provides additional time to 
mitigate wetland conversions.
    (1) A person determined to be in violation of the provisions of this 
part due to a wetland conversion occurring after February 7, 2014, will 
have 1 reinsurance year after the final determination of violation, 
including all administrative appeals, as determined by NRCS, to initiate 
a mitigation plan to remedy the violation, as determined by NRCS, before 
becoming ineligible for Federal crop insurance premium subsidies for a 
policy or plan of insurance under the Federal Crop Insurance Act (7 
U.S.C. 1501-1524.). For example, if in May 2017, after NRCS has 
determined that a person is in violation for converting a wetland and 
the person has exhausted all administrative appeals, the person will 
have until June 30, 2018, to initiate a mitigation plan to remedy the 
violation before becoming ineligible for Federal crop insurance premium 
subsidies starting with the 2019 reinsurance year.
    (2) Notwithstanding paragraph (h)(1) of this section, if a person 
determined to be in violation of the provisions of this part due to a 
wetland conversion occurring after February 7, 2014, as determined by 
NRCS, and is subject to the provisions of this part for the first time 
solely due to section 2611(b) of the Agricultural Act of 2014, such 
person will have 2 reinsurance years after the final determination of 
violation, including all administrative appeals, as determined by NRCS, 
to be implementing all practices in a mitigation plan to remedy the 
violation, as determined by NRCS, before becoming ineligible for Federal 
crop insurance premium subsidies for a policy or plan of insurance under 
the Federal Crop Insurance Act (7 U.S.C. 1501-1524).

[[Page 415]]

    (3) Administrative appeals include appeals made in accordance with 
Sec.  12.12 and part 11 of this title, but do not include any judicial 
review or appeal, or any other legal action.
    (i) Good faith exemption. The following is a good faith exemption 
for wetland conservation:
    (1) A person determined by FSA or NRCS to be in violation, including 
all administrative appeals, of the provisions of this part due to 
converting a wetland after February 7, 2014, or producing an 
agricultural commodity on a wetland that was converted after February 7, 
2014, may regain eligibility for Federal crop insurance premium 
subsidies for a policy or plan of insurance under the Federal Crop 
Insurance Act (7 U.S.C. 1501-1524) if all of the following criteria are 
met:
    (i) FSA determines that such person acted in good faith and without 
the intent to violate the wetland conservation provisions of this part;
    (ii) NRCS determines that the person is implementing all practices 
in a mitigation plan to remedy or mitigate the violation within an 
agreed-to period, not to exceed 2 reinsurance years; and
    (iii) The good faith determination of the FSA county or State 
committee has been reviewed and approved by the applicable State 
Executive Director, with the technical concurrence of the State 
Conservationist; or District Director, with the technical concurrence of 
the area conservationist.
    (2) In determining whether a person acted in good faith under 
paragraph (i)(1)(i) of this section, FSA will consider such factors as 
whether:
    (i) The characteristics of the site were such that the person should 
have been aware that a wetland existed on the subject land;
    (ii) NRCS had informed the person about the existence of a wetland 
on the subject land;
    (iii) The person has a record of violating the wetland provisions of 
this part or other Federal, State, or local wetland provisions; or
    (iv) There exists other information that demonstrates the person 
acted with the intent to violate the wetland conservation provisions of 
this part.
    (3) After the requirements of paragraph (i)(1) of this section are 
met, FSA may waive applying the ineligibility provisions of this section 
to allow the person to implement the mitigation plan approved by NRCS. 
The waiver will apply for up to two reinsurance years.
    (j) Landlord and Tenant wetland violations relief. The following 
provides landlord and tenant relief for wetland violations:
    (1) Except as provided in (j)(2) of this section, the ineligibility 
of a tenant or sharecropper for Federal crop insurance premium subsidies 
for a policy or plan of insurance under the Federal Crop Insurance Act 
(7 U.S.C. 1501-1524) will, in lieu of ineligibility for premium subsidy, 
result in a reduction in the amount of premium subsidy paid by FCIC on 
all policies and plans of insurance for the landlord.
    (i) The percentage reduction will be determined by comparing the 
total number of cropland acres on the farm on which the violation 
occurred to the total number of cropland acres on all farms in which 
landlord has an interest, as determined by FSA.
    (ii) The farms and cropland acres used to determine the premium 
subsidy reduction percentage will be the farms and cropland acres of the 
landlord for the reinsurance year in which the tenant or sharecropper is 
determined ineligible.
    (iii) The percentage reduction will be applied to all policies and 
plans of insurance of the landlord in the reinsurance year subsequent to 
the reinsurance year in which the tenant or sharecropper is determined 
ineligible.
    (iv) If the landlord and tenant or sharecropper are insured under 
the same policy, the landlord will be ineligible for premium subsidy on 
that policy in lieu of a percentage reduction on that policy.
    (2) A landlord will be ineligible for the premium subsidy on all 
policies and plans of insurance in the reinsurance year subsequent to 
the reinsurance year in which the tenant or sharecropper is determined 
ineligible if the production of an agricultural commodity on a converted 
wetland by the landlord's tenant or sharecropper is required under the 
terms and conditions of the agreement between the landlord and such 
tenant or sharecropper and

[[Page 416]]

such agreement was entered into after February 7, 2014, or if the 
landlord has acquiesced in such activities by the tenant or 
sharecropper.
    (3) If all the requirements in paragraph (j)(4) of this section are 
met, in lieu of ineligibility for Federal crop insurance premium 
subsidies for all policies or plans of insurance under the Federal Crop 
Insurance Act (7 U.S.C. 1501-1524) for producing or planting an 
agricultural commodity on a wetland converted after February 7, 2014, 
the premium subsidy on all policies and plans of insurance of the 
ineligible tenant or sharecropper will be reduced.
    (i) The percentage reduction will be determined by comparing the 
total number of cropland acres on the farm on which the violation 
occurred to the total number of cropland acres on all farms in which 
tenant or sharecropper has an interest, as determined by FSA.
    (ii) The farms and cropland acres used to determine the premium 
subsidy reduction percentage will be the farms and cropland acres of the 
tenant or sharecropper for the reinsurance year in which the tenant or 
sharecropper is determined ineligible.
    (iii) The percentage reduction will be applied to all policies and 
plans of insurance of the tenant or sharecropper in the reinsurance year 
subsequent to the reinsurance year in which the tenant or sharecropper 
is determined ineligible.
    (iv) If the landlord and tenant or sharecropper are insured under 
the same policy, the tenant or sharecropper will be ineligible for 
premium subsidy on that policy in lieu of a percentage reduction on that 
policy.
    (4) The provisions of paragraph (j)(3) of this section will not 
apply unless all the following are met:
    (i) The tenant or sharecropper shows that a good-faith effort was 
made to comply by developing a plan, approved by NRCS, for the 
restoration or mitigation of the converted wetland in a timely manner 
and prior to any violation;
    (ii) The owner of such farm refuses to apply such a plan and 
prevents the tenant or sharecropper from implementing the approved plan;
    (iii) FSA determines the lack of compliance is not a part of a 
scheme or device as described in Sec.  12.10; and
    (iv) The tenant or sharecropper actively applies the practices and 
measures of the approved plan that are within their control.
    (k) Evaluation of certification. NRCS will evaluate the 
certification in a timely manner.
    (1) A person who properly completes, signs, and files Form AD-1026, 
or successor form, with FSA certifying compliance with the provisions of 
this part will be eligible for Federal crop insurance premium subsidies 
for a policy or plan of insurance under the Federal Crop Insurance Act 
(7 U.S.C. 1501-1524) during the period of time such certification is 
being evaluated by NRCS, if an evaluation is required.
    (2) A person will not be ineligible for Federal crop insurance 
premium subsidies for a policy or plan of insurance under the Federal 
Crop Insurance Act (7 U.S.C. 1501-1524) if:
    (i) NRCS fails to complete a required evaluation of the person's 
Form AD-1026, or successor form in a timely manner after all 
documentation has been provided to NRCS; and
    (ii) The person is subsequently determined to have been in violation 
of the provisions of this part during the time NRCS was completing the 
evaluation.
    (3) The relief from ineligibility provided in paragraph (k)(2) of 
this section:
    (i) Applies only to violations that occurred prior to or during the 
time NRCS is completing the required evaluation;
    (ii) Does not apply to any violations that occur subsequent to NRCS 
completing the evaluation;
    (iii) Does not apply if FSA or NRCS determines the person employed, 
adopted, or participated in employing or adopting a scheme or device, as 
provided in Sec.  12.10, to evade the provisions of this part or to 
become eligible for the relief provided in paragraph (k)(2) of this 
section; and
    (iv) Does not apply if the required evaluation is delayed due to 
unfavorable site conditions for the evaluation of soils, hydrology, or 
vegetation.

[[Page 417]]

    (l) Failing to notify FSA of a change. Requirements to pay equitable 
contribution for failing to notify FSA of a change are as follows.
    (1) A person who fails to notify FSA of any change that could alter 
their status as compliant with the provisions of this part and is 
subsequently determined, by FSA or NRCS, to have committed a violation 
of the wetland conservation provisions of this part after February 7, 
2014, will be required to pay to NRCS an equitable contribution.
    (2) The amount of equitable contribution will be determined by NRCS, 
but will not exceed the total amount of Federal crop insurance premium 
subsidy paid by FCIC on behalf of the person for all policies and plans 
of insurance for all years in which the person is determined to have 
been in violation.
    (3) A person who fails to pay the full equitable contribution amount 
by the due date determined by NRCS will be ineligible for Federal crop 
insurance premium subsidy on any policy or plan of insurance beginning 
with the subsequent reinsurance year. The person will be ineligible for 
Federal crop insurance premium subsidy for the entire reinsurance year 
even if full payment of the equitable contribution amount is received by 
NRCS during the reinsurance year.

[80 FR 22881, Apr. 24, 2015, as amended at 82 FR 58334, Dec. 12, 2017]



               Subpart B_Highly Erodible Land Conservation



Sec.  12.20  NRCS responsibilities regarding highly erodible land.

    In implementing the provisions of this part, NRCS shall, to the 
extent practicable:
    (a) Develop and maintain criteria for identifying highly erodible 
lands;
    (b) Prepare and make available to the public lists of highly 
erodible soil map units;
    (c) Make soil surveys for purposes of identifying highly erodible 
land; and
    (d) Provide technical guidance to conservation districts which 
approve conservation plans and systems, in consultation with local 
county FSA committees, for the purposes of this part.



Sec.  12.21  Identification of highly erodible lands criteria.

    (a) Basis for identification as highly erodible. Soil map units and 
an erodibility index will be used as the basis for identifying highly 
erodible land. The erodibility index for a soil is determined by 
dividing the potential average annual rate of erosion for each soil by 
its predetermined soil loss tolerance (T) value. The T value represents 
the maximum annual rate of soil erosion that could occur without causing 
a decline in long-term productivity. The equation for measuring erosion 
is described below.
    (1) The potential average annual rate of sheet and rill erosion is 
estimated by multiplying the following factors of the Universal Soil 
Loss Equation (USLE):
    (i) Rainfall and runoff (R);
    (ii) The degree to which the soil resists water erosion (K); and
    (iii) The function (LS), which includes the effects of slope length 
(L) and steepness (S).
    (2) The potential average annual rate of wind erosion is estimated 
by multiplying the following factors of the Wind Erosion Equation (WEQ): 
Climatic characterization of windspeed and surface soil moisture (C) and 
the degree to which soil resists wind erosion (I).
    (3) The USLE is explained in the U.S. Department of Agriculture 
Handbook 537, ``Predicting Rainfall Erosion Losses.'' The WEQ is 
explained in the paper by Woodruff, N.P., and F. H. Siddaway, 1965, ``A 
Wind Erosion Equation,'' Soil Science Society of America Proceedings, 
Vol. 29. No. 5, pages 602-608. Values for all the factors used in these 
equations are contained in the NRCS field office technical guide and the 
references which are a part of the guide. The Universal Soil Loss 
Equation, the Revised Universal Soil Loss Equation, and the Wind Erosion 
Equation and the rules under which NRCS uses the equations are published 
at Sec. Sec.  610.11 through 610.15 of this title.
    (b) Highly erodible. A soil map unit shall be determined to be 
highly erodible if either the RKLS/T or the CI/T

[[Page 418]]

value for the map unit equals or exceeds 8.
    (c) Potentially highly erodible. Whenever a soil map unit 
description contains a range of a slope length and steepness 
characteristics that produce a range of LS values which result in RKLS/T 
quotients both above and below 8, the soil map unit will be entered on 
the list of highly erodible soil map units as ``potentially highly 
erodible.'' The final determination of erodibility for an individual 
field containing these soil map unit delineations will be made by an on-
site investigation.

[61 FR 47025, Sept. 6, 1996; 61 FR 53491, Oct. 11, 1996]



Sec.  12.22  Highly erodible field determination criteria.

    (a) Predominance. Highly erodible land shall be considered to be 
predominant on a field if either:
    (1) 33.33 percent or more of the total field acreage is identified 
as soil map units which are highly erodible; or
    (2) 50 or more acres in such field are identified as soil map units 
which are highly erodible.
    (b) Modification of field boundaries. A person may request the 
modification of field boundaries for the purpose of excluding highly 
erodible land from a field. Such a request must be submitted to, and is 
subject to the approval of, FSA. FSA shall use the technical 
determination of NRCS in approving this request.
    (c) Impact of changing field boundaries. When field boundaries are 
changed to include areas of land that were included in a field that was 
previously determined to be predominately highly erodible according to 
paragraph (a) of this section, such areas shall continue to be subject 
to the requirements for predominately highly erodible fields, except as 
provided in paragraph (b) of this section.
    (d) Small area of noncropland. Small areas of noncropland within or 
adjacent to the boundaries of existing highly erodible crop fields such 
as abandoned farmsteads, areas around filled or capped wells, rock 
piles, trees, or brush which are converted to cropland are considered to 
meet the requirement of Sec.  12.5(a)(2) if they are included in an 
approved conservation plan for the entire highly erodible field.

[61 FR 47025, Sept. 6, 1996; 61 FR 53491, Oct. 11, 1996]



Sec.  12.23  Conservation plans and conservation systems.

    (a) Use of field office technical guide. A conservation plan or 
conservation system developed for the purposes of Sec.  12.5(a) must be 
based on, and to the extent practicable conform with, the NRCS field 
office technical guide in use at the time the plan is developed or 
revised. For highly erodible croplands which were used to produce 
agricultural commodities prior to December 23, 1985, the applicable 
conservation systems in the field office technical guide are designed to 
achieve substantial reductions in soil erosion. Conservation systems 
shall be technically and economically feasible; based on local resource 
conditions and available conservation technology; cost-effective; and 
shall not cause undue economic hardship on the person applying the 
conservation system. Any conservation plans or systems that were 
approved prior to July 3, 1996, are deemed to be in compliance with this 
paragraph.
    (b) Substantial reduction in soil erosion. For the purpose of 
determining whether there is a substantial reduction in soil erosion on 
a field containing highly erodible cropland which was used to produce an 
agricultural commodity prior to December 23, 1985, the measurement of 
erosion reduction achieved by applying a conservation plan or system 
shall be based on a comparison of the estimated annual level of erosion 
that is expected to occur on that portion of the field for which a 
conservation plan or system was developed and is being applied, to the 
estimated annual level of erosion that existed on that same portion of 
the field before the application of a conservation plan or system. On a 
field that is converted from native vegetation after July 3, 1996, and 
where any crop production will result in increased erosion, in no case 
will the required conservation plan or system permit a substantial 
increase in erosion.

[[Page 419]]

    (c) Field trials. NRCS may allow a person to include in the person's 
conservation plan or a conservation system under the plan, on a field-
trial basis, practices that are not currently approved but that NRCS 
considers have a reasonable likelihood of success. These trials must 
have prior approval by NRCS, and must be documented in the person's 
conservation plan specifying the limited time period during which the 
field trial is in effect. If, at the end of the conservation field trial 
period, NRCS finds that the practice does not meet conservation 
compliance requirements, the person will not be ineligible for USDA 
program benefits during the period of the field trial.
    (d) Highly erodible land previously under a Conservation Reserve 
Program contract. Any person who owns or operates highly erodible land 
that was under a Conservation Reserve Program contract as authorized by 
section 1231 of the Food Security Act of 1985, as amended, shall have 2 
years after the expiration of termination of the contract to fully apply 
a conservation system if the conservation plan for such land requires 
the installation of structural measures for the production of an 
agricultural commodity. NRCS officials may extend this period one 
additional year for circumstances beyond the control of the person. The 
person shall not be required to meet a higher conservation standard than 
the standard applied to other highly erodible cropland located within 
the area served by the field office technical guide for the area in 
which the field is located.
    (e) Information regarding conservation options. NRCS, in providing 
assistance to a person for the preparation or revision of a conservation 
plan under this part, will provide such person with information 
concerning cost-effective and applicable erosion control alternatives, 
crop flexibility, or other conservation assistance options that may be 
available.
    (f) Timely request for assistance. Persons who require NRCS 
assistance for the development of a conservation plan or the 
installation of a conservation system are encouraged to request this 
assistance well in advance of deadline dates for compliance; otherwise 
the person may not be able to comply with these provisions and maintain 
eligibility for USDA program benefits.
    (g) Action by conservation districts. Conservation districts approve 
or disapprove conservation plans or conservation systems after NRCS 
determines that the plans or systems conform to the NRCS field office 
technical guide. If a conservation district fails, without due cause, to 
act on a request for conservation plan or conservation system approval 
within 45 days, or if no conservation district exists, NRCS will approve 
or disapprove, as appropriate, the conservation plan or system in 
question.
    (h) Application of a conservation plan or system. A person is 
considered to be applying a conservation plan for purposes of Sec.  
12.5(a) if the conservation system or plan being applied achieves or 
exceeds the substantial reduction in soil erosion as described in 
paragraph (b) which the conservation system or plan was designed to 
achieve. It is the responsibility of the person to:
    (1) Certify that the conservation plan or system is being applied; 
and
    (2) Arrange for a revision of the conservation plan with NRCS, if 
changes are made in land use, crop rotation or management, conservation 
practices, or in the original schedule of practice installation that 
would affect the achievement of substantial reduction in soil erosion in 
a given crop year.
    (i) Appeal to FSA. Persons who are adversely affected by the 
determinations made under this subpart and believe that the requirements 
of this subpart were improperly applied may appeal the decision to FSA 
under Sec.  12.12.
    (j) Undue economic hardship. After a technical determination has 
been made, the FSA county committee shall, if a person asserts that the 
application of the person's conservation system would impose an undue 
economic hardship on the person, make a recommendation to the State FSA 
Committee as to whether or not the application of the conservation 
system would impose an undue economic hardship. The State FSA Committee 
may provide the person with a variance on the basis of the hardship. 
Under this variance, and any conditions that may be required in the 
variance, the person will be considered to be in compliance

[[Page 420]]

with the applicable provisions of this part. The State FSA Committee 
will consider relevant factors, such as the cost of installation of 
required conservation practices and benefits earned through programs 
subject to compliance with this part, and the person's general economic 
situation.



                     Subpart C_Wetland Conservation



Sec.  12.30  NRCS responsibilities regarding wetlands.

    (a) Technical and coordination responsibilities. In carrying out the 
provisions of this part, NRCS shall:
    (1) Oversee the development and application of criteria to identify 
hydric soils in consultation with the National Technical Committee for 
Hydric Soils and make available to the public an approved county list of 
hydric soil map units, which is based upon the National List of Hydric 
Soils;
    (2) Coordinate with the U.S. Fish and Wildlife Service and others in 
updating the National List of Plant Species that Occur in Wetlands;
    (3) Make or approve wetland determinations, delineations and 
certifications, functional assessments, mitigation plans, categorical 
minimal effects, and other technical determinations relative to the 
implementation of the wetland conservation provisions of this part;
    (4) Develop and utilize off-site and on-site wetland identification 
procedures;
    (5) Assure quality of service and determinations through procedures 
developed by NRCS in consultation with other Federal agencies that have 
wetland responsibilities;
    (6) Investigate complaints and make technical determinations 
regarding potential violations;
    (7) Develop a process at the state level, in coordination with the 
U.S. Fish and Wildlife Service, to ensure that these provisions are 
carried out in a technically defensible and timely manner, seek 
assistance as appropriate, and annually review the progress being made 
on implementation; and
    (b) Technical assistance from others In carrying out the provisions 
of this part, NRCS may request technical assistance from the U.S. Fish 
and Wildlife Service, State or local agencies, conservation districts, 
or qualified private entities when NRCS determines that additional staff 
resources or technical expertise are needed to address adequately the 
requirements of this part or to enhance the quality of implementation of 
this part.
    (c) Certification of wetland determinations and wetland 
delineations. (1) Certification of a wetland determination means that 
the wetland determination is of sufficient quality to make a 
determination of ineligibility for program benefits under Sec.  12.4 of 
this part. NRCS may certify a wetland determination without making a 
field investigation. NRCS will notify the person affected by the 
certification and provide an opportunity to appeal the certification 
prior to the certification becoming final. All wetland determinations 
made after July 3, 1996, will be done on a tract basis and will be 
considered certified wetland determinations. A not-inventoried 
designation within a certified wetland is subject to change when the 
soil, hydrology, and vegetation evaluation is completed and identified 
as to type of wetland or as a non-wetland. This change from a not-
inventoried designation to an approved wetland designation will be done 
at the request of the landowner or during a formal investigation of a 
potential violation.
    (2) The wetland determination and wetland delineation shall be 
certified as final by the NRCS official 30 days after providing the 
person notice of certification or, if an appeal is filed with USDA, 
after the administrative appeal procedures are exhausted.
    (3) In the case of an appeal, NRCS will review and certify the 
accuracy of the determination of all lands subject to the appeal to 
ensure that the subject lands have been accurately delineated. Prior to 
a decision being rendered on the appeal, NRCS will conduct an on-site 
investigation of the subject land.
    (4) Before any benefits are withheld, an on-site investigation of a 
potential wetland violation will be made by NRCS. The affected person 
will be provided an opportunity to appeal the on-site determination to 
USDA if the on-site determination differs from the

[[Page 421]]

original determination. Such action by NRCS shall be considered a review 
of the prior determination and certification of the delineation. If the 
prior determination was a certified wetland determination, an appeal of 
the NRCS on-site determination shall be limited to the determination 
that the wetland was converted in violation of this part.
    (5) A copy of the information from the final certified wetland 
determination and the wetland delineation shall be recorded on official 
USDA aerial photography, digital imagery, or other graphic 
representation of the area.
    (6) As long as the affected person is in compliance with the wetland 
conservation provision of this part, and as long as the area is devoted 
to the use and management of the land for production of food, fiber, or 
horticultural crops, a certification made under this section will remain 
valid and in effect until such time as the person affected by the 
certification requests review of the certification by NRCS. A person may 
request review of a certification only if a natural event alters the 
topography or hydrology of the subject land to the extent that the final 
certification is no longer a reliable indication of site conditions, or 
if NRCS concurs with an affected person that an error exists in the 
current wetland determination

[61 FR 47025, Sept. 6, 1996; 61 FR 53491, Oct. 11, 1996; 76 FR 22785, 
Apr. 25, 2011]



Sec.  12.31  On-site wetland identification criteria.

    (a) Hydric soils. (1) NRCS shall identify hydric soils through the 
use of published soil maps which reflect soil surveys completed by NRCS 
or through the use of on-site reviews. If a published soil map is 
unavailable for a given area, NRCS may use unpublished soil maps which 
were made according to the specifications of the National Cooperative 
Soil Survey or may conduct an on-site evaluation of the land.
    (2) NRCS shall determine whether an area of a field or other parcel 
of land has a predominance of hydric soils that are inundated or 
saturated as follows:
    (i) If a soil map unit has hydric soil as all or part of its name, 
that soil map unit or portion of the map unit related to the hydric soil 
shall be determined to have a predominance of hydric soils;
    (ii) If a soil map unit is named for a miscellaneous area that meets 
the criteria for hydric soils (i.e., riverwash, playas, beaches, or 
water) the soil map unit shall be determined to have a predominance of 
hydric soils; or
    (iii) If a soil map unit contains inclusions of hydric soils, that 
portion of the soil map unit identified as hydric soil shall be 
determined to have a predominance of hydric soils.
    (3) List of hydric soils. (i) Hydric soils are those soils which 
meet criteria set forth in the publication ``Hydric Soils of the United 
States 1985'' which was developed by the National Technical Committee 
for Hydric Soils and which is incorporated by reference. This 
publication may be obtained upon request by writing NRCS at U.S. 
Department of Agriculture, P.O. Box 2890, Washington, DC 20013, and is 
available for inspection at the National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, call 202-741-6030, or go to: http://www.archives.gov/
federal_register/code_of_federal_regulations/ibr_locations.html. 
Incorporation of this publication by reference was approved by the 
Director of the Federal Register on June 24, 1986. The materials are 
incorporated as they exist on the date of the approval and a notice of 
any change in these materials will be published in the Federal Register.
    (ii) An official list of hydric soil map units shall be maintained 
at the local NRCS office and shall include--
    (A) All soils from the National List of Hydric Soils that can be 
found in that field office area, and
    (B) Any soil map units or areas which the state conservationist 
determines to meet such hydric soil criteria.
    (iii) Any deletions of a hydric soil unit from the hydric soil map 
unit list must be made according to the established procedure contained 
in the publication ``Hydric Soils of the United States 1985'' for adding 
or deleting soils from the National List of Hydric Soils.
    (b) Hydrophytic vegetation. Hydrophytic vegetation consists of

[[Page 422]]

plants growing in water or in a substrate that is at least periodically 
deficient in oxygen during a growing season as a result of excessive 
water content.
    (1) A plant shall be considered to be a plant species that occurs in 
wetland if such plant is listed in the National Wetland Plant List, or 
(as determined by NRCS) successor publication. The publication may be 
accessed at: http://rsgisias.crrel.usace.army.mil/NWPL/.
    (2) For the purposes of the definition of ``wetland'' in Sec.  12.2 
of this part, land shall be determined to have a prevalence of 
hydrophytic vegetation if:
    (i) NRCS determines through the criteria specified in paragraph 
(b)(3) of this section that under normal circumstances such land 
supports a prevalence of hydrophytic vegetation. The term ``normal 
circumstances'' refers to the soil and hydrologic conditions that are 
normally present, without regard to whether the vegetation has been 
removed; or
    (ii) In the event the vegetation on such land has been altered or 
removed, NRCS will determine if a prevalence of hydrophytic vegetation 
typically exists in the local area on the same hydric soil map unit 
under non-altered hydrologic conditions.
    (3) The determination of prevalence of hydrophytic vegetation will 
be made in accordance with the current Federal wetland delineation 
methodology in use by NRCS at the time of the determination.
    (c) Mitigation wetlands. Notwithstanding the provisions of this 
section, wetlands which are created in order to mitigate the loss of 
other wetlands as a result of irrigation, recreation, municipal water, 
flood control, or other similar projects shall not be considered to be 
artificial wetland for the purposes of Sec.  12.5(b)(1)(vii)(A) of this 
part.
    (d) Minimal effect determination. For the purposes of Sec.  
12.5(b)(1)(v) of this part, NRCS shall determine whether the effect of 
any action of a person associated with the conversion of a wetland, the 
conversion of wetland and the production of an agricultural commodity on 
converted wetland, or the combined effect of the production of an 
agricultural commodity on a wetland converted by someone else has a 
minimal effect on the functions and values of wetlands in the area. Such 
determination shall be based upon a functional assessment of functions 
and values of the wetland under consideration and other related wetlands 
in the area, and will be made through an on-site evaluation. A request 
for such determination will be made prior to the beginning of activities 
that would convert the wetland. If a person has converted a wetland and 
then seeks a determination that the effect of such conversion on wetland 
was minimal, the burden will be upon the person to demonstrate to the 
satisfaction of NRCS that the effect was minimal.

The production of an agricultural commodity on any portion of a 
converted wetland in conformance with a minimal-effect determination by 
NRCS is exempt under Sec.  12.5(b)(1)(v) of this part. However, any 
additional action of a person that will change the functions and values 
of a wetland for which a minimal-effect determination has been made 
shall be reported to NRCS for a determination of whether the effect 
continues to be minimal. The loss of a minimal effect determination will 
cause a person who produces an agricultural commodity on the converted 
wetland after such change in status to be ineligible, under Sec.  12.4, 
for certain program benefits. In situations where the wetland values, 
acreage, and functions are replaced by the restoration, enhancement or 
creation of a wetland in accordance with a mitigation plan approved by 
NRCS, the exemption provided by the determination will be effective 
after NRCS determines that all practices in a mitigation plan are being 
implemented.
    (e) Categorical Minimal Effect Exemptions. (1) The state 
conservationist, in consultation with the state technical committee 
established under 16 U.S.C. 3861, shall identify any categories of 
conversion activities and conditions which are routinely determined by 
NRCS to have minimal effect on wetland functions and values, as 
described in paragraph (d) of this section, and recommend to the Chief, 
NRCS, or a designee, inclusion on a list of categorical minimal effect 
exemptions.

[[Page 423]]

    (2) The Chief, or designee, shall evaluate the conversion practices 
recommended by the state conservationists in the region to ensure 
consistency across State and regional lines, and to determine whether 
any categories of conversion activities identified pursuant to paragraph 
(e)(1) of this section, if such activities were exempt from the 
ineligibility provisions of Sec.  12.4, would only have a minimal effect 
on wetland functions and values in a wetland system within the region.
    (3) Any categories of conversion activities which meet the criteria 
of paragraph (e)(2) of this section will be published in the Federal 
Register for inclusion in this part and shall be exempt under Sec.  
12.5(b)(1)(v) of this part.
    (4) The NRCS local field office shall maintain a list of any 
activities and conditions which are determined by the Chief, or 
designee, exempt pursuant to this section and will provide the list to a 
person upon request.

[61 FR 47025, Sept. 6, 1996, as amended at 69 FR 18803, Apr. 9, 2004; 76 
FR 82077, Dec. 30, 2011; 80 FR 22885, Apr. 24, 2015]



Sec.  12.32  Converted wetland identification criteria.

    (a) Converted wetland shall be identified by determining whether the 
wetland was altered so as to meet the definition of converted wetland. 
In making this determination, the following factors are to be 
considered:
    (1) Where hydric soils have been used for production of an 
agricultural commodity and the effect of the drainage or other altering 
activity is not clearly discernible, NRCS will compare the site with 
other sites containing the same hydric soils in a natural condition to 
determine if the hydric soils can or cannot be used to produce an 
agricultural commodity under natural conditions. If the soil on the 
comparison site could not produce an agricultural commodity under 
natural conditions, the subject wetland will be considered to be 
converted wetland.
    (2) Where woody hydrophytic vegetation has been removed from hydric 
soils for the purpose of or permitting the production of an agricultural 
commodity, the area will be considered to be converted wetland.
    (b) A wetland shall not be considered to be converted if:
    (1) Production of an agricultural commodity on such land is possible 
as a result of a natural condition, such as drought, and it is 
determined that the actions of the person producing such agricultural 
commodity does not permanently alter or destroy natural wetland 
characteristics. Destruction of herbaceous hydrophytic vegetation (i.e., 
plants other than woody shrubs or trees) as a result of the production 
of an agricultural commodity shall not be considered as altering or 
destroying natural wetland characteristic if such vegetation could 
return following cessation of the natural condition which made 
production of the agricultural commodity possible; or
    (2) Such land is correctly identified as farmed wetland or farmed-
wetland pasture.



Sec.  12.33  Use of wetland and converted wetland.

    (a) The provisions of Sec.  12.32(b)(2) are intended to protect 
remaining values, acreage, and functions of the wetlands described 
therein. Persons may continue to farm such wetlands under natural 
conditions or as they did prior to December 23, 1985. However, no action 
can be taken to increase effects on the water regime beyond that which 
existed on such lands on or before December 23, 1985, unless NRCS 
determines the effect on losing remaining wetland values would be 
minimal under Sec.  12.5(b)(1)(v). If, after December 23, 1985, changes 
due to human activity occurred in the watershed and resulted in an 
increase in the water regime on a person's land, the person may be 
allowed to adjust the existing drainage system to accommodate the 
increased water regime on the condition that the person affected by this 
additional water provides NRCS with appropriate documentation of the 
increased water regime, the causes thereof, and the planned changes in 
the existing drainage system. In order to maintain program eligibility, 
a person must provide sufficient documentation and receive approval from 
NRCS prior to making any changes that will have the effect of increasing 
the capacity of the existing drainage systems.

[[Page 424]]

    (b) Unless otherwise provided in this part, the production of an 
agricultural commodity on land determined by NRCS to be prior-converted 
cropland is exempted by law from these regulations for the area which 
was converted. Maintenance or improvement of drainage systems on prior-
converted croplands are not subject to this rule so long as the prior-
converted croplands are used for the production of food, forage, or 
fiber and as long as such actions do not alter the hydrology of nearby 
wetlands or do not make possible the production of an agricultural 
commodity on these other wetlands. Other wetlands under this section 
means any natural wetland, farmed wetland, farmed-wetland pasture, or 
any converted wetland that is not exempt under Sec.  12.5 of this part.
    (c) Abandonment is the cessation for five consecutive years of 
management or maintenance operations related to the use of a farmed 
wetland or a farmed-wetland pasture. Unless the criteria for receiving 
an exemption under Sec.  12.5(b)(1)(iii) are met, such land is 
considered to be abandoned when the land meets the wetland criteria of 
Sec.  12.31. In order for documentation of site conditions to be 
considered adequate under Sec.  12.5(b)(1)(iii), the affected person 
must provide to NRCS available information concerning the extent of 
hydrological manipulation, the extent of woody vegetation, and the 
history of use. In accordance with Sec.  12.5(b)(1)(iii), participation 
in a USDA approved wetland restoration, set-aside, diverted acres, or 
similar programs shall not be deemed to constitute abandonment.
    (d) The maintenance of the drainage capacity or any alteration or 
manipulation, including the maintenance of a natural waterway operated 
and maintained as a drainage outlet, that affects the circulation and 
flow of water made to a farmed wetland or farmed-wetland pasture would 
not cause a person to be determined to be ineligible under this part, 
provided that the maintenance does not exceed the scope and effect of 
the original alteration or manipulation, as determined by NRCS, and 
provided that the area is not abandoned. Any resultant conversion of 
wetlands is to be at the minimum extent practicable, as determined by 
NRCS.

[61 FR 47025, Sept. 6, 1996, as amended at 76 FR 82077, Dec. 30, 2011]

                           PART 13 [RESERVED]



PART 14_DETERMINING THE PRIMARY PURPOSE OF CERTAIN PAYMENTS FOR 
FEDERAL TAX PURPOSES--Table of Contents



Sec.
14.1 Purpose.
14.2 Applicability.
14.3 Objective.
14.4 Policy.
14.5 Procedure.
14.6 Criteria for determining the primary purpose of payments with 
          respect to potential exclusion from gross income.
14.7 Non-Federal programs and payments.

    Authority: Sec. 543, Pub. L. 95-600; as amended by sec. 105, Pub. L. 
96-222; 26 U.S.C. 126, 1255 and 5 U.S.C. 301.

    Source: 45 FR 58507, Sept. 4, 1980, unless otherwise noted.



Sec.  14.1  Purpose.

    (a) Part 14 sets forth criteria to be used by the Secretary of 
Agriculture in determining the primary purpose of certain payments 
received by persons under applicable programs. Determining the primary 
purpose for which applicable payments are made is one step toward the 
exclusion of all or part of the payments from gross income for Federal 
income tax purposes.
    (b) The criteria set forth in part 14 apply only to the 
determinations to be made by the Secretary of Agriculture.



Sec.  14.2  Applicability.

    (a) Part 14 applies only to payments received under the programs 
listed in paragraphs (a)(1) through (10) of this section. Payments 
received under programs not listed in paragraphs (a)(1) through (10) of 
this section, are not considered eligible for exclusion from gross 
income under this part.
    (1) The rural clean water program authorized by section 208(j) of 
the Federal Water Pollution Control Act (33 U.S.C. 1288(j)).
    (2) The rural abandoned mine program authorized by section 406 of 
the

[[Page 425]]

Surface Mining Control and Reclamation Act of 1977 (30 U.S.C. 1236).
    (3) The water bank program authorized by the Water Bank Act (16 
U.S.C. 1301 et seq.).
    (4) The emergency conservation measures program authorized by title 
IV of the Agricultural Credit Act of 1978 (16 U.S.C. 2201 et seq.).
    (5) The agricultural conservation program authorized by the Soil 
Conservation and Domestic Allotment Act (16 U.S.C. 590a).
    (6) The Great Plains conservation program authorized by section 16 
of the Soil Conservation and Domestic Allotment Act (16 U.S.C. 590p(b)).
    (7) The resource conservation and development program authorized by 
the Bankhead-Jones Farm Tenant Act and by the Soil Conservation and 
Domestic Allotment Act (7 U.S.C. 1010; 16 U.S.C. 590a et seq.).
    (8) The forestry incentives program authorized by section 4 of the 
Cooperative Forestry Assistance Act of 1978 (16 U.S.C. 2103).
    (9) Any small watershed program administered by the Secretary of 
Agriculture that is determined by the Secretary of the Treasury or his 
delegate to be substantially similar to the type of programs described 
in paragraphs (a)(1) through (8) of this section.
    (10) Any program of a State, a possession of the United States, a 
political subdivision of a State or a possession of the United States, 
the District of Columbia, or a combination of any of the foregoing under 
which payments are made primarily for the purpose of conserving soil and 
water resources, protecting or restoring the environment, improving 
forests, or providing a habitat for wildlife.
    (b) The criteria set forth in Sec.  14.5 for determining the primary 
purpose of payments with respect to their eligibility for exclusion from 
gross income shall also be used to determine the applicability of this 
part to payments received under non-Federal programs as provided in 
Sec.  14.2(a)(10).



Sec.  14.3  Objective.

    The objective of the determinations made under part 14 is to provide 
maximum conservation, environmental, forestry improvement, and wildlife 
benefits to the general public from the operation of applicable 
programs.



Sec.  14.4  Policy.

    Federal tax, conservation, natural resource, and environmental 
policies should complement rather than conflict with one another. 
Therefore, the Federal income tax liability on applicable payments 
should be reduced or eliminated to the extent that the payments yield 
conservation, environmental, forestry improvement, or wildlife benefits 
to the general public beyond the benefits that accrue to those who 
receive the payments.



Sec.  14.5  Procedure.

    (a) The portion of an applicable payment that may be excluded from 
gross income under part 14 shall be that portion or all, as appropriate, 
that--
    (1) Is determined to be made primarily for the purpose of conserving 
soil and water resources, protecting or restoring the environment, 
improving forests, or providing wildlife habitat; and
    (2) Is determined by the Secretary of the Treasury as not increasing 
substantially the annual income derived from the property associated 
with the payment.
    (b) Primary purpose means the principal, fundamental, predominant, 
or independent objective for which a payment is made. The following 
shall be considered in determining the primary purpose of a payment:
    (1) Single-purpose payments shall be considered as having that 
purpose as their primary purpose.
    (2) Multiple-purpose payments. If a payment is made for several 
purposes, it may be considered as having soil and water conservation, 
environmental protection or restoration, forestry improvement, or 
providing wildlife habitat as its primary purpose to the extent of the 
portion of the payment that is made for one or more of such purposes.
    (3) Where a purpose of a payment, or portion thereof, is in doubt, 
the following sources should be considered--
    (i) Authorizing legislation, legislative history, administrative 
regulation, administrative history, interpretive

[[Page 426]]

case law, and the administrative policies and procedures under which the 
applicable program operates and the payment is made; and
    (ii) Agreements or other documentation accompanying the transfer of 
the payment;
    (iii) Use made of the payment by the recipient.



Sec.  14.6  Criteria for determining the primary purpose of payments with 
respect to potential exclusion from gross income.

    (a) Soil conservation. (1) Payments shall be considered to be made 
primarily for the purpose of soil conservation if they are intended to 
finance activities, measures, or practices to reduce soil deterioration.
    (2) Soil deterioration refers to impairments of the physical or 
chemical properties of soil that are largely irreversible and that can 
be expected to result in a long-term or permanent reduction in the 
productive capacity of the resource regardless of the level of 
technology available or applied. Erosion by water and wind and the 
associated changes that result in permanent or long-term reductions in 
the productive capacity of the soil are forms of soil deterioration.
    (b) Water conservation. (1) Water conservation includes actions 
that, for a given level of water supply, reduce the demand for or use of 
water by--
    (i) Improving efficiency in use;
    (ii) Reducing loss and waste;
    (iii) Increasing the recycling or reuse of water, thereby making 
existing supplies available for other current or future uses; or
    (iv) Improving land management practices for the purpose of reducing 
water use, loss, waste, increasing the efficiency of water use, or 
increasing the recycling or reuse of water.
    (2) Payments shall be considered to be made primarily for the 
purpose of water conservation if they are intended to finance actions, 
measures, or practices that can be expected to result in water 
conservation as defined in paragraph b(1) of this section.
    (c) Protecting the environment. (1) Payments shall be considered to 
be made primarily for the purpose of protecting the environment if they 
are intended to finance actions, measures, or practices undertaken to 
prevent man-caused or man-induced reductions or degradations in the 
quantity or quality of the natural external or extrinsic conditions 
directly or indirectly affecting people.
    (2) External or extrinsic conditions refer to the complex of natural 
conditions or circumstances, including but not limited to those 
affecting public health and safety, in which people reside or otherwise 
carry out their lives.
    (d) Restoring the environment. (1) Payments shall be considered to 
be made primarily for the purpose of restoring the environment if they 
are intended to finance actions, measures, or practices undertaken to 
reestablish, return, or enhance the quantity or quality of the natural 
external or extrinsic conditions directly or indirectly affecting people 
that existed before the man-caused or man-induced degradation.
    (2) External or extrinsic conditions have the same meaning with 
respect to restoring the environment as they do for protecting the 
environment.
    (e) Improving forests. (1) Payments shall be considered to be made 
primarily for the purpose of improving forests if they are intended to 
finance actions, measures, or practices undertaken for the direct or 
indirect conservation or enhancement of the quantity or quality of 
timber resources.
    (2) Improving forests includes the generation and regeneration of 
timber stands as well as the silvicultural improvement of such timber 
stands but excludes harvest cuttings not undertaken primarily for 
silvicultural improvement.
    (f) Providing habitat for wildlife. (1) Payments shall be considered 
to be made primarily for the purpose of providing habitat for wildlife 
if they are intended to finance actions, measures, or practices leading 
directly to the establishment of those physical and biological 
conditions or resources that can be expected to support primarily 
noncultivated and nondomesticated animal and plant life. The animal and 
plant life must be of value to the public in their natural state apart 
from any value that may be realized from them as private economic gain.

[[Page 427]]

    (2) Wildlife includes but is not limited to species of terrestrial 
or aquatic animals and plants.
    (3) Habitat includes, but is not limited to, the food supply, water 
supply, and nesting and escape cover necessary to support populations of 
wildlife species. Included in the definition of wildlife habitat are 
domestic crops raised for the primary purpose of providing food supply 
or cover for specific wildlife species.



Sec.  14.7  Non-Federal programs and payments.

    (a) Definition of non-Federal programs. Non-Federal program means 
any program of a State, a possession of the United States, a political 
subdivision of any State or possession of the United States, the 
District of Columbia, or a combination of any of the foregoing.
    (b) Applicability. Payments received through non-Federal programs 
under which payments are made primarily for the purpose of conserving 
soil and water resources, protecting or restoring the environment, 
improving forests, or providing a habitat for wildlife may be considered 
for exclusion from gross income under part 14.
    (c) Determining the primary purpose of non-Federal payments. The 
determination of the primary purpose for which non-Federal payments are 
made with respect to their potential for exclusion from gross income 
shall be made by using the criteria set forth in part 14 for determining 
the primary purpose of Federal payments.
    (d) Procedure for determining the primary purpose of payments made 
under non-Federal programs. (1) To initiate the process of determining 
the applicability of this part to payments received through non-Federal 
programs and the primary purpose of the payments for potential exclusion 
from gross income, the non-Federal official responsible for the program 
through which the payments are made should provide six copies of the 
following materials relating to the program to the Secretary of 
Agriculture--
    (i) Authorizing legislation;
    (ii) Rules or regulations;
    (iii) Current policies and procedures under which payments are made 
and used;
    (iv) A description of all practices or measures for which payments 
are made and used; and
    (v) Any other information that may be helpful in determining the 
purpose for which payments, or portions thereof, are made and used.
    (2) Any changes in the supporting documentation listed in paragraphs 
(d)(1)(i) through (d)(1)(iv) of this section, should be reported to the 
Secretary within 30 days of the date they become final.



PART 15_NONDISCRIMINATION--Table of Contents



   Subpart A_Nondiscrimination in Federally-Assisted Programs of the 
 Department of Agriculture_Effectuation of Title VI of the Civil Rights 
                               Act of 1964

Sec.
15.1 Purpose and application of part.
15.2 Definitions.
15.3 Discrimination prohibited.
15.4 Assurances required.
15.5 Compliance.
15.6 Complaints.
15.7 Intimidatory or retaliatory acts prohibited.
15.8 Procedure for effecting compliance.
15.9 Hearings.
15.10 Decisions and notices.
15.11 Judicial review.
15.12 Effect on other regulations; forms and instructions.

Appendix to Subpart A of Part 15--List of Federal Financial Assistance 
          From USDA

Subpart B [Reserved]

 Subpart C_Rules of Practice and Procedure for Hearings, Decisions and 
        Administrative Review Under the Civil Rights Act of 1964

                           General Information

15.60 Scope of rules.
15.61 Records to be public.
15.62 Definitions.
15.63 Computation of time.
15.64 Parties.
15.65 Appearance.
15.66 Complainants not parties.
15.67 Intervener.
15.68 Ex parte communications.

[[Page 428]]

            Form, Execution, Filing and Service of Documents

15.71 Form of documents to be filed.
15.72 Filing.
15.73 Service.
15.74 Date of service.

                       Initial Notice and Response

15.81 How proceedings are commenced.
15.82 Notice of hearing and response thereto.
15.83 Notice of opportunity to request a hearing and response thereto.
15.84 Answer.
15.85 Amendment of notice or answer.
15.86 Consolidated or joint hearings.

                             Hearing Officer

15.91 Who presides.
15.92 Designation of hearing officer.
15.93 Time and place of hearing.
15.94 Disability of hearing officer.
15.95 Responsibilities and duties of hearing officer.

                                 Motions

15.101 Form and content.
15.102 Responses to motions.
15.103 Disposition of motions.

                           Hearing Procedures

15.110 Prehearing conferences.
15.111 Purpose of hearing.
15.112 Statement of position and brief.
15.113 Testimony.
15.115 Affidavits.
15.116 Depositions.
15.117 Evidence.
15.118 Cross-examination.
15.119 Objections.
15.120 Exceptions to rulings of hearing officer unnecessary.
15.121 Official notice.
15.122 Offer of proof.
15.123 Appeals from ruling of hearing officer.
15.124 Admissions as to facts and documents.

                               The Record

15.131 Official transcript.
15.132 Record for decision.

                         Posthearing Procedures

15.135 Posthearing briefs.
15.136 Decisions and notices.
15.137 Exceptions to initial or proposed decision.
15.138 Review of initial decision.
15.139 Oral argument.
15.140 Service of decisions.
15.141 Contents of decision.
15.142 Content of orders.
15.143 Decision where financial assistance affected.

    Authority: 5 U.S.C. 301; 29 U.S.C. 794.



   Subpart A_Nondiscrimination in Federally-Assisted Programs of the 
 Department of Agriculture_Effectuation of Title VI of the Civil Rights 
                               Act of 1964

    Source: 29 FR 16274, Dec. 4, 1964; 29 FR 16966, Dec. 11, 1964, 
unless otherwise noted.



Sec.  15.1  Purpose and application of part.

    (a) The purpose of the regulations in this part is to effectuate the 
provisions of title VI of the Civil Rights Act of 1964 (hereinafter 
referred to as the ``Act'') to the end that no person in the United 
States shall, on the ground of race, color, or national origin, be 
excluded from participation in, be denied the benefits of, or be 
otherwise subjected to discrimination under any program or activity of 
an applicant or recipient receiving Federal financial assistance from 
the Department of Agriculture or any Agency thereof.
    (b) The regulations in this part apply to any program or activity of 
an applicant or recipient for which Federal financial assistance is 
authorized under a law administered by the Department including, but not 
limited to, the Federal financial assistance listed in the appendix to 
this part. They apply to money paid, property transferred, or other 
Federal financial assistance extended to an applicant or recipient for 
its program or activity after the effective date of these regulations 
pursuant to an application approved or statutory or other provision made 
therefor prior to such effective date. The regulations in this part do 
not apply to (1) any Federal financial assistance by way of insurance or 
guaranty contract, (2) money paid, property transferred, or other 
assistance extended prior to the effective date of the regulations in 
this part, (3) any assistance to an applicant or recipient who is an 
ultimate beneficiary, or (4) except as provided in Sec.  15.3(c), any 
employment practice of any employer, employment agency or labor 
organization. The fact that a specific kind of Federal financial 
assistance is not listed in the appendix, shall

[[Page 429]]

not mean, if title VI of the Act is otherwise applicable, that such 
Federal financial assistance is not covered. Other Federal financial 
assistance under statutes now in force or hereinafter enacted may be 
added to this list by notice approved and issued by the Secretary and 
published in the Federal Register.

[29 FR 16274, Dec. 4, 1964, as amended at 38 FR 17925, July 5, 1973; 68 
FR 51341, Aug. 26, 2003]



Sec.  15.2  Definitions.

    (a) Department means the Department of Agriculture, and includes 
each of its operating agencies and other organizational units.
    (b) Agency means any service, bureau, agency, office, 
administration, instrumentality of or corporation within the U.S. 
Department of Agriculture extending Federal financial assistance to any 
program or activity, or any officer or employee of the Department to 
whom the Secretary delegates authority to carry out any of the functions 
or responsibilities of an agency under this part.
    (c) Secretary means the Secretary of Agriculture or any officer or 
employee of the Department to whom the Secretary has heretofore 
delegated, or to whom the Secretary may hereafter delegate, the 
authority to act in his stead under the regulations in this part.
    (d) Hearing Officer means a hearing examiner appointed pursuant to 5 
U.S.C. 3105, and designated to hold hearings under the regulations in 
this part or any person authorized to hold a hearing and make a final 
decision under the regulations in this part.
    (e) Recipient means any State, political subdivision of any State, 
or instrumentality of any State or political subdivision, any public or 
private agency, institution, or organization, or other entity or any 
individual in any State, to whom Federal financial assistance is 
extended, directly or through another recipient, including any 
successor, assignee, or transferee thereof, but such term does not 
include any ultimate beneficiary.
    (f) Primary recipient includes any recipient which is authorized or 
required to extend Federal financial assistance to another recipient.
    (g) Federal financial assistance or financial assistance includes 
(1) grants and loans of Federal funds, (2) the grant or donation of 
Federal property and interests in property, (3) the detail of Federal 
personnel, (4) the sale and lease of, and the permission to use (on 
other than a casual or transient basis), Federal property or any 
interest in such property or the furnishing of services without 
consideration or at a nominal consideration, or at a consideration which 
is reduced for the purpose of assisting the recipient, or in recognition 
of the public interest to be served by such sale, lease or furnishing of 
services to the recipient, and (5) any Federal agreement, arrangement, 
or other contract which has as one of its purposes the provision of 
assistance.
    (h) Grant, loan or contract includes any grant, loan agreement or 
commitment to loan, contract or agreement to provide financial 
assistance or any other arrangement between the Department or any Agency 
and a recipient of financial assistance.
    (i) United States means the States of the United States, the 
District of Columbia, Puerto Rico, the Virgin Islands, American Samoa, 
Guam, Wake Island, the Canal Zone, and the territories and possessions 
of the United States, and the term State means any one of the foregoing.
    (j) Applicant means one who submits an application, request, or plan 
required to be approved by an Agency, or by a primary recipient, as a 
condition to eligibility for Federal financial assistance, and 
application means such an application, request, or plan.
    (k) Program or activity and program mean all of the operations of 
any entity described in paragraphs (k)(1) through (4) of this section, 
any part of which is extended Federal financial assistance:
    (1)(i) A department, agency, special purpose district, or other 
instrumentality of a State or of a local government; or
    (ii) The entity of such State or local government that distributes 
such assistance and each such department or agency (and each other State 
or local

[[Page 430]]

government entity) to which the assistance is extended, in the case of 
assistance to a State or local government;
    (2)(i) A college, university, or other postsecondary institution, or 
a public system of higher education; or
    (ii) A local educational agency (as defined in 20 U.S.C. 7801), 
system of vocational education, or other school system;
    (3)(i) An entire corporation, partnership, or other private 
organization, or an entire sole proprietorship--
    (A) If assistance is extended to such corporation, partnership, 
private organization, or sole proprietorship as a whole; or
    (B) Which is principally engaged in the business of providing 
education, health care, housing, social services, or parks and 
recreation; or
    (ii) The entire plant or other comparable, geographically separate 
facility to which Federal financial assistance is extended, in the case 
of any other corporation, partnership, private organization, or sole 
proprietorship; or
    (4) Any other entity which is established by two or more of the 
entities described in paragraph (k)(1), (2), or (3) of this section.
    (l) Facility includes all or any portion of structures, equipment, 
or other real or personal property or interests therein, and the 
provision of facilities includes the construction, expansion, 
renovation, remodeling, alteration or acquisition of facilities.

[29 FR 16274, Dec. 4, 1964, as amended at 36 FR 3411, Feb. 24, 1971; 38 
FR 17925, July 5, 1973; 68 FR 51340, 51341, Aug. 26, 2003]



Sec.  15.3  Discrimination prohibited.

    (a) General. No person in the United States shall, on the ground of 
race, color, or national origin, be excluded from participation in, be 
denied the benefits of, or be otherwise subjected to discrimination 
under any program or activity of the applicant or recipient to which 
these regulations apply. These regulations apply, but are not 
restricted, to unequal treatment in priority, quality, quantity, methods 
or charges for service, use, occupancy or benefit, participation in the 
service or benefit available, or in the use, occupancy or benefit of any 
structure, facility, or improvement.
    (b) Specific discriminatory actions prohibited. (1) A recipient 
under any program to which the regulations in this part apply may not, 
directly or through contractual or other arrangements on the ground of 
race, color, or national origin:
    (i) Deny an individual any service, financial aid, or other benefit 
provided under the program;
    (ii) Provide any service, financial aid, or other benefit, to an 
individual which is different, or is provided in a different manner, 
from that provided to others under the program;
    (iii) Subject an individual to segregation or separate treatment in 
any matter related to his receipt of any service, financial aid, or 
other benefit under the program;
    (iv) Restrict an individual in any way in the enjoyment of any 
advantage or privilege, enjoyed by others receiving any service, 
financial aid, or other benefit under the program;
    (v) Treat an individual differently from others in determining 
whether he satisfies any admission, enrollment, quota, eligibility, 
membership or other requirement or condition which individuals must meet 
in order to be provided any service, financial aid, or other benefit 
provided under the program;
    (vi) Deny an individual an opportunity to participate in the program 
through the provisions of services or otherwise or afford him an 
opportunity to do so which is different from that afforded others under 
the program (including the opportunity to participate in the program as 
an employee but only to the extent set forth in paragraph (c) of this 
section).
    (vii) Deny a person the opportunity to participate as a member of a 
planning or advisory body which is an integral part of the program.
    (2) A recipient, in determining the types of services, financial 
aid, or other benefits, or facilities which will be provided under any 
such program, or the class of individuals to whom, or the situations in 
which, such services, financial aid, other benefits, or facilities will 
be provided under any such program or the class of individuals to be

[[Page 431]]

afforded an opportunity to participate in any such program, may not, 
directly or through contractual or other arrangements, utilize criteria 
or methods of administration which have the effect of subjecting 
individuals to discrimination because of their race, color, or national 
origin, or have the effect of defeating or substantially impairing 
accomplishment of the objectives of the program as respects individuals 
of a particular race, color, or national origin.
    (3) In determining the site or location of facilities, an applicant 
or recipient may not make selections with the purpose or effect of 
excluding individuals from, denying them the benefits of, or subjecting 
them to discrimination under any of its programs or activities to which 
the regulations in this part apply, on the grounds of race, color, or 
national origin; or with the purpose or effect of defeating or 
substantially impairing the accomplishment of the objectives of the Act 
and the regulations in this part.
    (4) As used in this section, the services, financial aid, or other 
benefit provided under a program or activity of an applicant or 
recipient receiving Federal financial assistance shall be deemed to 
include any and all services, financial aid, or other benefit provided 
in or through a facility provided or improved in whole or part with the 
aid of Federal financial assistance.
    (5) The enumeration of specific forms of prohibited discrimination 
in these regulations does not limit the applicability of the provisions 
of paragraph (a) of this section.
    (6)(i) In administering a program regarding which the recipient has 
previously discriminated against persons on the ground of race, color, 
or national origin, the recipient must take affirmative action to 
overcome the effects of prior discrimination.
    (ii) Even in the absence of such prior discrimination, a recipient 
in administering a program may take affirmative action to overcome the 
effects of conditions which resulted in limiting participation by 
persons of a particular race, color or national origin.
    (c) Employment practices. Where a primary objective of the Federal 
financial assistance to a program to which the regulations in this part 
apply is to provide employment, a recipient may not, directly or through 
contractual or other arrangements, subject an individual to 
discrimination on the ground of race, color, or national origin in its 
employment practices under the program including recruitment or 
recruitment advertising, employment, layoff or termination, upgrading, 
demotion, or transfer, rates of pay or other forms of compensation, and 
use of facilities. This paragraph applies to programs where a primary 
objective of the Federal financial assistance is (1) to reduce 
unemployment, (2) to assist individuals in meeting expenses incident to 
the commencement or continuation of their education or training, or (3) 
to provide work experience which contributes to education or training. 
Where a primary objective of the Federal financial assistance is not to 
provide employment, but discrimination on the grounds of race, color, or 
national origin in the employment practices of the recipient or other 
persons subject to the regulations in this part, tends, on the grounds 
of race, color, or national origin, to exclude individuals from 
participation in, to deny them the benefits of, or to subject them to 
discrimination under any program or activity of the applicant or 
recipient to which these regulations apply, the foregoing provisions of 
this Sec.  15.3(c) shall apply to the employment practices of the 
recipient or other persons subject to these regulations, to the extent 
necessary to assure equality of opportunity to, and nondiscriminatory 
treatment of, beneficiaries. The requirements applicable to construction 
employment under any program or activity of the applicant or recipient 
shall be those specified in or pursuant to part III of Executive Order 
11246 or any Executive order which supersedes it.
    (d) Examples. In order that all parties may have a clear 
understanding of the applicability of the regulations in this part to 
their activities, there are listed in this section types of Federal 
financial assistance together with illustrations, by way of example 
only, of types of activity covered by the regulations in this part. 
These illustrations and examples, however, are not intended to

[[Page 432]]

be all inclusive. The fact that a particular type of Federal financial 
assistance is not listed does not, of course, indicate that a program is 
not covered by the regulations in this part. Moreover, the examples set 
forth with respect to any particular listed type of Federal financial 
assistance are not limited to that program alone and the prohibited 
actions described may also be prohibited in other programs or activities 
whether or not listed below.
    (1) Cooperative Agricultural Extension Program. (i) Discrimination 
in making available or in the manner of making available instructions, 
demonstrations, information, and publications offered by or through the 
Cooperative Extension Service;
    (ii) Discrimination in the use in any program or activity funded by 
the Cooperative Extension Service of any facility, including offices, 
training facilities, lecture halls, or other structures or improvements; 
or
    (iii) Discrimination in training activities, admission to or 
participation in fairs, competitions, field days, and encampments, 
conducted or sponsored by, or in which the Cooperative Extension Service 
participates.
    (2) Rural Electrification and Rural Telephone Programs. (i) Refusal 
or failure by a borrower to accept applications for membership or 
applications to purchase shares of stock, or discrimination by a 
borrower in the terms and conditions of membership or stock ownership, 
where such membership or stock ownership is a condition prerequisite to 
the furnishing of electric or telephone service by the borrower, or to 
the receipt of any benefits or advantages related to such service;
    (ii) Refusal or failure by a borrower to extend, or discrimination 
by a borrower in the extension of, electric or telephone service to 
unserved persons;
    (iii) Denial by a borrower to any person of the benefits of 
improvement, expansion or upgrading, or discrimination by a borrower 
among consumers or subscribers in improving, expanding or upgrading, of 
electric or telephone service;
    (iv) Discrimination by a borrower in respect of rates, or terms or 
conditions of, service among consumers or subscribers;
    (v) Exclusion by a borrower of any member or stockholder, if the 
borrower is a cooperative or mutual type of corporation, from 
participation in any meeting of members or stockholders of the borrower, 
discrimination among its members or stockholders in respect of the 
exercise of any of their rights as members or stockholders, or in the 
manner of the exercise of such rights; or
    (vi) Exclusion by a borrower of any consumer or subscriber from, 
denial by a borrower to any consumer or subscriber of the use of, or 
discrimination by a borrower against any consumer or subscriber in his 
use of, any of the borrower's facilities.
    (3) Direct Distribution Program. (i) Exclusion of an otherwise 
eligible recipient agency (school, summer camp for children, 
institution, welfare agency or disaster organization) or person from 
participation in the Direct Distribution Program.
    (ii) Discrimination in the allocation of food to eligible persons.
    (iii) Discrimination in the manner in which or the place or times at 
which foods donated under the Program are distributed by recipient 
agencies to eligible persons.
    (iv) Segregation of persons served in different meal periods or by 
different seating or serving or different food or different size 
portions by recipient agencies serving prepared meals containing donated 
foods.
    (4) National School Lunch Program. (i) Discrimination by a State 
agency in the selection of schools to participate in the Program or in 
the assignment to schools of rates of reimbursement.
    (ii) Exclusion of any child from participation in the Program.
    (iii) Discrimination by school officials in the selection of 
children to receive free or reduced-price lunches.
    (iv) Segregation of participating children in different lunch 
periods or different seating, and discrimination by serving different 
food or different size portions.
    (v) Failure to offer free and reduced-price lunches, on an equitable 
basis in schools of a school district in which children are assigned to 
schools on the basis of race, color, or national origin.

[[Page 433]]

    (5) Food Stamp Program. (i) Discrimination by a State agency in 
certifying households as eligible for the Program.
    (ii) Segregation or other discrimination in the manner in which or 
the times at which eligible households are issued food coupons.
    (6) Special Milk Program for Children. (i) Discrimination by a State 
agency in the selection of schools and child-care institutions to 
participate in the Program.
    (ii) Discrimination by a State agency in the selection of needy 
schools to receive reimbursement for milk served free.
    (iii) Discrimination by a State agency in the assignment of 
reimbursement rates to schools and child-care institutions or in the 
adjustment of such rates, or in fixing allowable distribution costs.
    (iv) Exclusion of any child from participation in the Program and 
segregation of participating children in different serving periods or 
different places of service.
    (v) Discrimination by school officials or child-care institutions in 
the selection of children to receive free milk.
    (7) Price Support Programs carried out through producer associations 
or cooperatives or through persons who are required to provide specified 
benefits to producers. (i) Denial of the benefits of price support for a 
producers commodity.
    (ii) Denial of membership or stock ownership to any producer by any 
association or cooperative.
    (iii) Discrimination among producers in the manner of making or 
paying any price support advances, loans, or payments.
    (iv) Discrimination in the fees or charges collected from or in the 
net gains distributed to producers.
    (v) Discrimination in the use of facilities and services generally 
made available to members or patrons under the Price Support Program.
    (8) Forest Service Programs. (i) Refusal or failure by a recipient 
of a permit or lease to provide to any person the benefits from the use 
of land administered by the Forest Service, the resources therefrom, or 
improvements thereon.
    (ii) Refusal or failure by any recipient to provide to any person 
the benefits from Federal payments based on a share of the receipts from 
lands administered by the Forest Service.
    (iii) Refusal or failure by any recipient to provide to any person 
the benefits from Federal assistance in cooperative programs for the 
protection, development, management, and use of forest resources.
    (iv) Refusal or failure by any cooperator or other recipient to 
provide to any person the benefits from Federal assistance through 
grants or advances of funds for research.
    (9) Farmers Home Administration Programs--(i) Direct soil and water 
loans to association. (a) A borrower's denial of, or discrimination in 
furnishing, services under a program or activity financed wholly or 
partially with the aid of the loan, as in the case of a water supply 
system.
    (b) A borrower's denial of, or discrimination or segregation in 
permitting, the use of facilities which are part of a project financed 
wholly or partially with the aid of the loan, as in the case of a golf 
course, swimming pool, tennis courts, parking areas, lounges, dining 
rooms, and rest rooms of a recreation association.
    (c) Discrimination by a borrower in the terms and conditions of 
membership or stock ownership, or refusal or failure of a borrower to 
accept applications for membership or for purchase of shares of stock, 
or discrimination by a borrower in acting or failing to act upon such 
applications, where such membership or stock ownership is a prerequisite 
to the participation in services furnished by, or the use of facilities 
of, the borrower which are financed wholly or partially with the aid of 
the loan or to the receipt of any benefits or advantages related to such 
services or the use of such facilities.
    (d) Denial or impairment by a borrower of any person's rights as a 
member or stockholder of the borrower, or borrower's discrimination 
against or segregation of persons in the exercise of their rights as 
members or stockholders of the borrower.
    (ii) Direct senior citizens rental housing loans to private 
nonprofit corporations and consumer cooperatives. (a) A borrower's 
exclusion of any person from,

[[Page 434]]

discrimination in the terms and conditions of eligibility for, or 
discrimination against or segregation of any person in, the use and 
occupancy of the housing and related facilities financed wholly or 
partially with the aid of the loan.
    (b) Discrimination by a borrower in the terms and conditions of 
membership or stock ownership, or refusal or failure of a borrower to 
accept applications for membership or for purchase of shares of stock, 
or discrimination by a borrower in acting or failing to act upon such 
applicattions, where such membership or stock ownership is a condition 
of eligibility for use and occupancy of the housing and related 
facilities financed wholly or partially with the aid of the loan or to 
the receipt of any benefits or advantages related to such housing or 
facilities.
    (c) Denial or impairment by a borrower of any person's rights as a 
member or stockholder of the borrower, or a borrower's discrimination 
against or segregation of persons in the exercise of their rights as 
members or stockholders of the borrower.
    (10) Cooperative State Research Programs. (i) Discrimination in 
making available information whether published or provided through 
public or private statement, correspondence, demonstration or field day.
    (ii) Discrimination in participation in any Cooperative Research 
Program or project.
    (iii) Discrimination in the use of any facility, including offices, 
laboratories, or other structures, or research plots or fields.
    (iv) Discrimination in employment of graduate students to conduct 
research when such students receive substantial research training 
benefits as a result of such employment.

[29 FR 16274, Dec. 4, 1964, as amended at 35 FR 18383, Dec. 3, 1970; 38 
FR 17925, July 5, 1973; 68 FR 51341, Aug. 26, 2003]



Sec.  15.4  Assurances required.

    (a) General. (1) Every application for Federal financial assistance 
to which these regulations apply, except an application to which 
paragraph (b) of this section applies, and every application for Federal 
financial assistance to provide a facility, shall as a condition to its 
approval and the extension of any Federal financial assistance pursuant 
to the application, contain or be accompanied by an assurance that the 
applicant's program or activity will be conducted or the facility 
operated in compliance with all requirements imposed by or pursuant to 
the Act and the regulations in this part. In the case where the Federal 
financial assistance is to provide or is in the form of personal 
property, or real property or interest therein, or structures thereon, 
the assurance shall obligate the recipient, or, in the case of a 
subsequent transfer, the transferee, for the period during which the 
property is used for the purpose for which the Federal financial 
assistance is extended or for another purpose involving the provision of 
similar services and benefits or for as long as the recipient retains 
ownership or possession of the property, whichever is longer. In all 
other cases, the assurance shall obligate the recipient for the period 
during which Federal financial assistance is extended pursuant to the 
application. The Agency shall specify the form of the foregoing 
assurances and the extent to which like assurances will be required of 
subgrantees, contractors, and subcontractors, successors in interest and 
other participants. Any such assurance shall include provisions which 
give the United States a right to seek its judicial enforcement.
    (2) In the case of real property, structures, or improvements 
thereon, or interests therein, which was acquired through Federal 
financial assistance, or in the case where Federal financial assistance 
is provided in the form of a transfer of real property or interest 
therein from the Federal Government, the instrument effecting or 
recording the transfer shall contain a covenant running with the land 
assuring nondiscrimination for the period during which the real property 
is used for a purpose for which the Federal financial assistance is 
extended or for another purpose involving the provision of similar 
services or benefits, or for as long as the recipient retains ownership 
or possession of the property, whichever is longer. Where no transfer of 
property is involved, but property is

[[Page 435]]

improved through Federal financial assistance, the recipient shall agree 
to include such a covenant in any subsequent transfer of such property. 
Where the property is obtained from the Federal Government, such 
covenant may also include a condition coupled with a right to be 
reserved by the Agency to revert title to the property in the event of a 
breach of the covenant where, in the discretion of the Agency concerned, 
such a condition and right of reverter is appropriate to the purposes of 
the Federal financial assistance under which the real property is 
obtained and to the nature of the grant and the grantee. In such event, 
if a transferee of real property proposes to mortgage or otherwise 
encumber the real property as security for financing construction of 
new, or improvement of existing, facilities on such property for the 
purposes for which the property was transferred, the Agency may agree, 
upon request of the transferee and if necessary to accomplish such 
financing, and upon such conditions as it deems appropriate to forbear 
the exercise of such right to revert title for so long as the lien of 
such mortgage or other encumbrance remains effective.
    (3) Transfers of surplus property are subject to regulations issued 
by the Administrator of General Services (41 CFR 101-6.2).
    (b) Every application by a State or a State Agency, including a 
State Extension Service, but not including an application for aid to an 
institution of higher education, continuing Federal financial assistance 
to which the regulations in this part apply shall as a condition to its 
approval and the exension of any Federal financial assistance pursuant 
to the application (1) contain or be accompanied by a statement that the 
program is (or, in the case of a new program, will be) conducted in 
compliance with all requirements imposed by or pursuant to this part, 
and (2) provide or be accompanied by provision for such methods of 
administration for the program as are found by the Agency to give 
reasonable assurance that the applicant and all recipients of Federal 
financial assistance under such program will comply with all 
requirements imposed by or pursuant to the regulations in this part: 
Provided, That where no application is required prior to payment, the 
State or State Agency, including a State Extension Service, shall, as a 
condition to the extension of any Federal financial assistance, submit 
an assurance complying with the requirements of paragraphs (b)(1) and 
(2) of this section.
    (c) Assurances from institutions. The assurance required with 
respect to an institution of higher education, or any other institution, 
insofar as the assurance relates to the institution's practices with 
respect to admission or other treatment of individuals or to the 
opportunity to participate in the provision of services or other 
benefits to such individuals, shall be applicable to the entire 
institution.
    (d) Recipients other than applicants. Each recipient not required to 
submit an application for Federal financial assistance, shall furnish, 
as a condition to the extension of any such assistance, an assurance or 
statement as is required of applicants under paragraphs (a), (b)(1) and 
(2) of this section.
    (e) Elementary and secondary schools. The requirements of paragraphs 
(a), (b), or (d) of this section with respect to any elementary or 
secondary school or school system shall be deemed to be satisfied if 
such school or school system (1) is subject to a final order of a court 
of the United States for the desegregation of such school or school 
system, and provides an assurance that it will comply with such order, 
including any future modification of such order, or (2) submits a plan 
for the desegregation of such school or school system which the 
responsible official of the Department of Health, Education, and Welfare 
determines is adequate to accomplish the purposes of the Act and this 
part, and provides reasonable assurance that it will carry out such 
plan; in any case of continuing Federal financial assistance the said 
responsible official of the Department of Health, Education, and Welfare 
may reserve the right to redetermine, after such period as may be 
specified by him, the adequacy of the plan to accomplish the purposes of 
the Act and this part within the earliest practical time. In any case in 
which a final order of a court of the United States for the 
desegregation of such school or school

[[Page 436]]

system is entered after submission of such a plan, such plan shall be 
revised to conform to such final order, including any future 
modification of such order.

[29 FR 16274, Dec. 4, 1964, as amended at 32 FR 3967, Mar. 11, 1967; 35 
FR 18383, Dec. 3, 1970; 38 FR 17926, July 5, 1973; 68 FR 53141, Aug. 26, 
2003]



Sec.  15.5  Compliance.

    (a) Cooperation and assistance. Each Agency shall to the fullest 
extent practicable seek the cooperation of recipients in obtaining 
compliance with the regulations and this part and shall provide 
assistance and guidance to recipients to help them comply voluntarily 
with the regulations in this part. As a normal part of the 
administration of Federal financial assistance covered by the 
regulations in this part, designated personnel will in their reviews and 
other activities or as specifically directed by the Agency, review the 
activities of recipients to determine whether they are complying with 
the regulations in this part. Reports by such personnel shall include 
statements regarding compliance and instances, if any, of noncompliance. 
In the event of noncompliance, the Agency shall seek to secure voluntary 
compliance by all appropriate means.
    (b) Compliance reports. Each recipient shall keep such records and 
submit to the Agency timely, complete and accurate compliance reports at 
such times, and in such form and containing such information, as the 
Agency may determine to be necessary to ascertain whether the recipient 
has complied or is complying with the regulations in this part. In the 
case in which a primary recipient extends Federal financial assistance 
to any other recipient, such other recipient shall also submit such 
compliance reports to the primary recipient as may be necessary to 
enable the primary recipient to carry out its obligations under the 
regulations in this part. In general, recipients should have available 
for the Agency racial and ethnic data showing the extent to which 
members of minority groups are beneficiaries of federally assisted 
programs.
    (c) Access to sources of information. Each recipient shall permit 
access by authorized employees of this Department during normal business 
hours to such of its books, records, accounts, and other sources of 
information, and its facilities as may be pertinent to ascertain 
compliance with the regulations in this part. Where any information 
required of a recipient is in the exclusive possession of any other 
agency, institution or person and this agency, institution or person 
shall fail or refuse to furnish this information, the recipient shall so 
certify in its report and shall set forth what efforts it has made to 
obtain the information.
    (d) Information to beneficiaries and participants. Each recipient 
shall make available to participants, beneficiaries, and other 
interested persons such information regarding the provisions of the 
regulations in this part and their applicability to the program for 
Federal statutes, authorities, or other means by which Federal financial 
assistance is extended and which the recipient receives Federal 
financial assistance, and make such information available to them in 
such manner, as the Department or its Agencies finds necessary to 
apprise such persons of the protections against discrimination assured 
them by the Act and the regulations in this part.

[29 FR 16274, Dec. 4, 1964, as amended at 29 FR 16966, Dec. 11, 1964; 38 
FR 17926, July 5, 1973; 68 FR 51341, Aug. 26, 2003]



Sec.  15.6  Complaints.

    Any person who believes himself/herself or any specific class of 
individuals to be subjected to discrimination prohibited by the 
regulations in this part may by himself/herself or by an authorized 
representative file with the Secretary or any Agency a written 
complaint. A complaint must be filed not later than 180 days from the 
date of the alleged discrimination, unless the time for filing is 
extended by the Agency or by the Secretary. Such complaint shall be 
promptly referred to the Assistant Secretary for Civil Rights. The 
complaint shall be investigated in the manner determined by the 
Assistant Secretary for Civil Rights and such further action taken by 
the Agency or the Secretary as may be warranted.

[50 FR 25687, June 21, 1985, as amended at 68 FR 27449, May 20, 2003]

[[Page 437]]



Sec.  15.7  Intimidatory or retaliatory acts prohibited.

    No recipient or other person shall intimidate, threaten, coerce, or 
discriminate against any individual for the purpose of interfering with 
any right or privilege secured by section 601 of the Act or the 
regulations in this part, or because he has made a complaint, testified, 
assisted, or participated in any manner in an investigation, proceeding, 
or hearing under the regulations in this part. The identity of 
complainants shall be kept confidential except to the extent necessary 
to carry out the purposes of the regulations in this part, including the 
conduct of any hearing or judicial proceeding arising thereunder.



Sec.  15.8  Procedure for effecting compliance.

    (a) General. If there appears to be a failure or threatened failure 
to comply with the regulations in this part, and if the noncompliance or 
threatened noncompliance cannot be corrected by informal means, 
compliance with the regulations in this part may be effected by the 
suspension or termination of or refusal to grant or to continue Federal 
financial assistance, upon a finding, in accordance with the procedure 
hereinafter prescribed, or by any other means authorized by law. Such 
other means may include, but are not limited to, (1) a reference to the 
Department of Justice with a recommendation that appropriate proceedings 
be brought to enforce any rights of the United States under any law of 
the United States (including other titles of the Act), or any assurance 
or other contractual undertaking, and (2) any applicable proceeding 
under State or local law.
    (b) Noncompliance with Sec.  15.4. If an applicant fails or refuses 
to furnish an assurance required under Sec.  15.4 or otherwise fails or 
refuses to comply with the requirements imposed by or pursuant to that 
section, Federal financial assistance may be refused in accordance with 
the procedures of paragraph (c) of this section. The Department shall 
not be required to provide assistance in such a case during the pendency 
of the administrative proceedings under such paragraph, except that the 
Department shall continue assistance during the pendency of such 
proceedings where such assistance is due and payable pursuant to an 
application therefor approved prior to the effective date of the 
regulations in this part.
    (c) Termination of or refusal to grant or to continue Federal 
financial assistance. No order suspending, terminating, or refusing to 
grant or to continue Federal financial assistance shall become effective 
until (1) the Agency has advised the applicant or recipient of his 
failure to comply and has determined that compliance cannot be secured 
by voluntary means, (2) there has been an express finding on the record, 
after opportunity for hearing, of a failure by the applicant or 
recipient to comply with the requirement imposed by or pursuant to the 
regulations in this part, (3) the action has been approved by the 
Secretary pursuant to Sec.  15.10(e), and (4) the expiration of 30 days 
after the Secretary has filed with the committee of the House and the 
committee of the Senate, having legislative jurisdiction over the 
program involved, a full written report of the circumstances and the 
grounds for such action. Any action to suspend or terminate or to refuse 
to grant or to continue Federal financial assistance shall be limited to 
the particular political entity, or part thereof, or other applicant or 
recipient as to whom such a finding has been made and shall be limited 
in its effect to the particular program, or part thereof, in which such 
noncompliance has been so found.
    (d) Other means authorized by law. No action to effect compliance by 
any other means authorized by law shall be taken until (1) the Secretary 
has determined that compliance cannot be secured by voluntary means, (2) 
the recipient or other person has been notified of its failure to comply 
and of the action to be taken to effect compliance, and (3) the 
expiration of at least ten days from the mailing of such notice to the 
recipient or other person. During this period of at least ten days, 
additional efforts shall be made to persuade the recipient or other 
person to comply with the regulations in this part and to take such 
corrective action as may be appropriate.

[[Page 438]]



Sec.  15.9  Hearings.

    (a) Opportunity for hearing. Whenever an opportunity for a hearing 
is required under the regulations in this part, reasonable notice shall 
be given by registered or certified mail, return receipt requested, to 
the affected applicant or recipient. This notice shall advise the 
applicant or recipient of the action proposed to be taken, the specific 
provision under which the proposed action against it is to be taken, and 
the matters of fact or law asserted as the basis for this action, and 
either (1) fix a date not less than 20 days after the date of such 
notice within which the applicant or recipient may request of the 
Secretary or the Agency that the matter be scheduled for hearing or (2) 
advise the applicant or recipient that the matter in question has been 
set down for hearing at a stated place and time. The time and place so 
fixed shall be reasonable and shall be subject to change for cause. The 
complainant, if any, shall be advised of the time and place of the 
hearing. An applicant or recipient may waive a hearing and submit 
written information and argument for the record. The failure of an 
applicant or recipient to request a hearing under this subsection or to 
appear at a hearing for which a date has been set shall be deemed to be 
a waiver of the right to a hearing under section 602 of the Act and the 
regulations in this part and consent to the making of a decision on the 
basis of such information as is available.
    (b) Time and place of hearing. Hearings shall be held at the offices 
of the Department in Washington, DC, at a time fixed by the hearing 
officer or by the Secretary unless it is determined that the convenience 
of the applicant or recipient or of the Department requires that another 
place be selected. Hearings shall be held before a hearing officer.
    (c) Right to counsel. In all proceedings under this section, the 
applicant or recipient and the Department shall have the right to be 
represented by counsel.
    (d) Procedures, evidence, and record. (1) The hearing, decision, and 
any administrative review thereof shall be conducted in conformity with 
5 U.S.C. 554-557, and in accordance with such rules of procedure 
promulgated by the Secretary as not inconsistent with this section, 
relating to the conduct of the hearing, giving of notices subsequent to 
those provided for in paragraph (a) of this section, taking of 
testimony, exhibits, arguments and briefs, requests for findings, and 
other related matters. Both the Department, and the applicant or 
recipient shall be entitled to introduce all relevant evidence on the 
issues as stated in the notice for hearing or as determined by the 
hearing officer conducting the hearing at the outset of or during the 
hearing.
    (2) Technical rules of evidence shall not apply to hearings 
conducted pursuant to these regulations in this part, but rules or 
principles designed to assure production of the most credible evidence 
available and to subject testimony to test by cross-examination shall be 
applied where reasonably necessary by the hearing officer. The hearing 
officer may exclude irrelevant, immaterial, or unduly repetitious 
evidence. All documents and other evidence offered or taken for the 
record shall be open to examination by the parties and opportunity shall 
be given to refute facts and arguments advanced on either side of the 
issues. A transcript shall be made of the oral evidence except to the 
extent the substance thereof is stipulated for the record. All decisions 
shall be based upon the hearing record and written findings shall be 
made.
    (e) Consolidated or joint hearings. In cases in which the same or 
related facts are asserted to constitute noncompliance with these 
regulations with respect to two or more to which the regulations in this 
part apply, or noncompliance with the regulations in this part and the 
regulations of one or more other Federal Departments or Agencies issued 
under title VI of the Act, the Secretary may, by agreement with such 
other Departments or Agencies, where applicable provide for the conduct 
of consolidated or joint hearings, and for the application to such 
hearings of rules of procedure not inconsistent with the regulations in 
this part. Final decisions in such cases, insofar as the regulations in 
this part are

[[Page 439]]

concerned, shall be made in accordance with Sec.  15.10.

[29 FR 16274, Dec. 4, 1964, as amended at 35 FR 18384, Dec. 3, 1970; 38 
FR 17926, July 5, 1973; 68 FR 51341, Aug. 26, 2003]



Sec.  15.10  Decisions and notices.

    (a) Decision by hearing officer or Secretary. (1) The hearing 
officer shall either make an initial decision, if so authorized, or 
certify the entire record including his recommended findings, and 
proposed decision to the Secretary for a final decision, and a copy of 
such initial decision or certification shall be mailed to the applicant 
or recipient. The applicant or recipient may within 30 days of the 
mailing of such notice of initial decision file with the Secretary his 
exceptions to the initial decision, with his reasons therefor.
    (2) In the absence of exceptions, the Secretary may on his own 
motion within 45 days after the initial decision serve on the applicant 
or recipient a notice that he will review the decision. Upon the filing 
of such exceptions or of such notice of review the Secretary shall 
review the initial decision and issue his own decision thereon including 
the reasons therefor. In the absence of either exceptions or a notice of 
review the initial decision shall constitute the final decision of the 
Secretary.
    (b) Decisions on record or review. Whenever a record is certified to 
the Secretary for decision or he reviews the decision of a hearing 
officer pursuant to paragraph (a), the applicant or recipient shall be 
given reasonable opportunity to file with him briefs or other written 
statements of its contentions, and a copy of the final decision of the 
Secretary shall be given in writing to the applicant or recipient, and 
to the complainant, if any.
    (c) Decisions on record where a hearing is waived. Whenever a 
hearing is waived pursuant to Sec.  15.9(a), a decision shall be made by 
the Secretary on the record and a copy of such decision shall be given 
in writing to the applicant or recipient, and to the complainant, if 
any.
    (d) Rulings required. Each decision of a hearing officer shall set 
forth his ruling on each finding, conclusion, or exception presented, 
and shall identify the requirement or requirements imposed by or 
pursuant to the regulations in this part with which it is found that the 
applicant or recipient has failed to comply.
    (e) Decision by Secretary. The Secretary shall make any final 
decision which provides for the suspension or termination of, or the 
refusal to grant or continue Federal financial assistance, or the 
imposition of any other sanction available under the regulations in this 
part or the Act.
    (f) Content of orders. The final decision may provide for suspension 
or termination of, or refusal to grant or continue Federal financial 
assistance, in whole or in part, to which this regulation applies, and 
may contain such terms, conditions, and other provisions as are 
consistent with and will effectuate the purposes of the Act and the 
regulations in this part, including provisions designed to assure that 
no Federal financial assistance to which this regulation applies will 
thereafter be extended to the applicant or recipient determined by such 
decision to be in default in its performance of an assurance given by it 
pursuant to the regulations in this part, or to have otherwise failed to 
comply with the regulations in this part, unless and until it corrects 
its noncompliance and satisfies the Agency that it will fully comply 
with the regulations in this part.
    (g) Post termination proceedings. (1) An applicant or recipient 
adversely affected by an order issued under paragraph (f) of this 
section shall be restored to full eligibilty to receive Federal 
financial assistance if it satisfies the terms and conditions of that 
order for such eligibility or if it brings itself into compliance with 
the Act and the regulations in this part and provides reasonable 
assurance that it will fully comply therewith. An elementary or 
secondary school or school system which is unable to file an assurance 
of compliance with Sec.  15.4 (a), (b), or (d) shall be restored to full 
eligibility to receive Federal financial assistance if it complies with 
the requirements of a Sec.  15.4(e) and is otherwise in compliance with 
the Act and the regulations in this part.
    (2) Any applicant or recipient adversely affected by an order 
entered

[[Page 440]]

pursuant to paragraph (f) of this section may at any time request the 
Secretary to restore fully its eligibility to receive Federal financial 
assistance. Any such request shall be supported by information showing 
that the applicant or recipient has met the requirements of paragraph 
(g)(1) of this section. If the Secretary determines that those 
requirements have been satisfied, he shall restore such eligibility.
    (3) If the Secretary denies any such request, the applicant or 
recipient may submit a request for a hearing in writing, specifying why 
it believes the denial to have been in error. It shall thereupon be 
given an expeditious hearing, with a decision on the record, in 
accordance with rules of procedure set forth in subpart C of this part. 
The applicant or recipient will be restored to such eligibility if it 
proves at such a hearing, that it has satisfied the requirements of 
paragraph (g)(1) of this section. While proceedings under this paragraph 
are pending, the sanctions imposed by the order issued under paragraph 
(f) of this section shall remain in effect.

[29 FR 16274, Dec. 4, 1964, as amended at 35 FR 18384, Dec. 3, 1970; 38 
FR 17926, July 5, 1973; 68 FR 51341, Aug. 26, 2003]



Sec.  15.11  Judicial review.

    Action taken pursuant to section 602 of the Act is subject to 
judicial review as provided in section 603 of the Act.



Sec.  15.12  Effect on other regulations; forms and instructions.

    (a) Effect on other regulations. All regulations, orders, or like 
directions heretofore issued by any officer of the Department which 
impose requirements designed to prohibit any discrimination against 
individuals on the ground of race, color, or national origin under any 
program to which the regulations in this part apply, and which authorize 
the suspension or termination of or refusal to grant or to continue 
Federal financial assistance to any applicant for or recipient of such 
assistance for failure to comply with such requirements, are hereby 
superseded to the extent that such discrimination is prohibited by the 
regulations in this part, except that nothing in the regulations in this 
part shall be deemed to relieve any person of any obligation assumed or 
imposed under any such superseded regulation, order, instruction, or 
like direction prior to the effective date of the regulations in this 
part. Nothing in these regulations, however, shall be deemed to 
supersede any of the following including future amendments thereof:
    (1) Executive Order 11246 and regulations issued thereunder; or
    (2) Executive Order 11063 and regulations issued thereunder or any 
other regulations or instructions insofar as they prohibit 
discrimination on the ground of race, color, or national origin in any 
program or situation to which the regulations in this part are 
inapplicable, or prohibit discrimination on any other ground.
    (b) Forms and instructions. Each Agency shall issue and promptly 
make available forms and such implementing instructions and procedures 
consistent with the regulations in this part as may be necessary. Each 
Agency in making available Federal financial assistance to any program 
or activity may utilize contractual commitments in obtaining compliance 
with the regulations in this part, including obtaining compliance by 
recipients other than the contracting recipient.
    (c) Supervision and coordination. The Secretary may from time to 
time assign to officials of other Departments or Agencies of the 
Government with the consent of such Department or Agency, 
responsibilities in connection with the effectuation of the purposes of 
title VI of the Act and the regulations in this part (other than 
responsibility for final decision as provided in Sec.  15.10) including 
the achievement of effective coordination and maximum uniformity within 
the Department and within the Executive Branch of the Government in the 
application of title VI and these regulations to similar programs and in 
similar situations. Any action taken, determination made, or requirement 
imposed by an official of another Department or Agency acting under this 
paragraph shall have the same effect as though such action had been 
taken by

[[Page 441]]

the Secretary or any Agency of this Department.

[29 FR 16274, Dec. 4, 1964, as amended at 38 FR 17927, July 5, 1973; 68 
FR 51341, Aug. 26, 2003]



    Sec. Appendix to Subpart A of Part 15--List of Federal Financial 
                          Assistance From USDA

    The types of Federal assistance administered by the U.S. Department 
of Agriculture include but are not limited to the following:

----------------------------------------------------------------------------------------------------------------
                    Type of Federal Financial Assistance                                   Authority
----------------------------------------------------------------------------------------------------------------
                              Administered by the Agricultural Cooperative Service
 
----------------------------------------------------------------------------------------------------------------
1. Cooperative Development..................................................  Cooperative Marketing Act of 1926,
                                                                               7 U.S.C. 451 et seq. Agricultural
                                                                               Marketing Act of 1946, as
                                                                               amended, 7 U.S.C. 1621 et seq.
 
----------------------------------------------------------------------------------------------------------------
                               Administered by the Agricultural Marketing Service
 
----------------------------------------------------------------------------------------------------------------
2. Federal-State marketing improvement program..............................  Agricultural Marketing Act of
                                                                               1946, Section 204b, 7 U.S.C.
                                                                               1623(b).
 
----------------------------------------------------------------------------------------------------------------
                                Administered by the Agricultural Research Service
 
----------------------------------------------------------------------------------------------------------------
3. Soil and Water Conservation..............................................  7 CFR 3015.205(b); Department of
                                                                               Agriculture Organic Act of 1862
                                                                               (7 U.S.C. 2201); the Agricultural
                                                                               Marketing Act of 1946, as
                                                                               amended, (7 U.S.C. 427, 1621) and
                                                                               the Food Security Act of 1985 (7
                                                                               U.S.C. 1281 et seq.).
4. Animal Productivity......................................................  7 CFR 3015.205(b); Department of
                                                                               Agriculture Organic Act of 1862;
                                                                               (7 U.S.C. 2201); the Agricultural
                                                                               Marketing Act of 1946, as
                                                                               amended, (7 U.S.C. 427, 1621) and
                                                                               the Food Security Act of 1985 (7
                                                                               U.S.C. 1281 et seq.).
5. Plant Productivity.......................................................  7 CFR 3015.205(b); Department of
                                                                               Agriculture Organic Act of 1862,
                                                                               (7 U.S.C. 2201); the Agricultural
                                                                               Marketing Act of 1946, as
                                                                               amended, (7 U.S.C. 427, 1621) and
                                                                               the Food Security Act of 1985 (7
                                                                               U.S.C. 1281 et seq.).
6. Commodity Conversion and Delivery........................................  7 CFR 3015.205(b); Department of
                                                                               Agriculture Organic Act of 1862
                                                                               (7 U.S.C. 2201); the Agricultural
                                                                               Marketing Act of 1946, as
                                                                               amended, (7 U.S.C. 427, 1621) and
                                                                               the Food Security Act of 1985 (7
                                                                               U.S.C. 1281 et seq.).
7. Human Nutrition..........................................................  7 CFR 3015.205(b); Department of
                                                                               Agriculture Organic Act of 1862
                                                                               (7 U.S.C. 2201); the Agricultural
                                                                               Marketing Act of 1946, as
                                                                               amended, (7 U.S.C. 427, 1621) and
                                                                               the Food Security Act of 1985 (7
                                                                               U.S.C. 1281 et seq.).
8. Integration of Agricultural Systems......................................  7 CFR 3015.205(b); Department of
                                                                               Agriculture Organic Act of 1862
                                                                               (7 U.S.C. 2201); the Agricultural
                                                                               Marketing Act of 1946, as
                                                                               amended, (7 U.S.C. 427, 1621) and
                                                                               the Food Security Act of 1985 (7
                                                                               U.S.C. 1281 et seq.).
----------------------------------------------------------------------------------------------------------------
                     Administered by the Agricultural Stabilization and Conservation Service
 
----------------------------------------------------------------------------------------------------------------
9. Price support programs operating through producer associations,            Agricultural Adjustment Act of
 cooperatives and other recipients in which the recipient is required to       1938, 7 U.S.C. 1301-1393; Pub. L.
 furnish specified benefits to producers (e.g. tobacco, peanuts, cotton,       73-430; Commodity Credit
 rice, honey, dry edible beans, tung oil, naval stores and soybeans price      Corporation Charter Act, 15
 support programs).                                                            U.S.C. 714 et seq.; Agricultural
                                                                               Act of 1949, as amended; 7 U.S.C.
                                                                               1421 et seq.; Pub. L. 81-439, as
                                                                               amended; Agriculture and Food Act
                                                                               of 1961; Pub. L. 97-98; Dairy and
                                                                               Tobacco Adjustment Act of 1983;
                                                                               Pub. L. 98-180; Agricultural
                                                                               Programs Adjustment Act of 1984;
                                                                               Pub. L. 98-258; Food Security Act
                                                                               of 1985; Pub. L. 99-198.
 
----------------------------------------------------------------------------------------------------------------
                               Administered by Cooperative State Research Service
 
----------------------------------------------------------------------------------------------------------------
10. 1890 Research Facilities................................................  Sec. 1433 of the National
                                                                               Agricultural Research, Extension
                                                                               and Teaching Policy Act of 1977,
                                                                               Pub. L. 95-113, as amended; 7
                                                                               U.S.C. 3195.

[[Page 442]]

 
11. Payments to 1890 Land-Grant Colleges and Tuskegee Institute.............  Sec. 1445 of the National
                                                                               Agricultural Research, Extension
                                                                               and Teaching Policy Act of 1977;
                                                                               Pub. L. 85-113, as amended; 7
                                                                               U.S.C. 3222.
12. Cooperative Forestry Research (McIntire-Stennis Act)....................  Cooperative Forestry Research Act
                                                                               of October 10, 1962; Pub. L. 87-
                                                                               788; 16 U.S.C. 582a-582q-7.
13. Payments to Agricultural Experiment Stations under Hatch Act............  Hatch Act of 1887, as amended; 7
                                                                               U.S.C. 361a-361i.
14. Grants for Agricultural Research Competitive Research Grants............  Sec. 2(b) of Pub. L. 89-106; 7
                                                                               U.S.C. 450i(b), as amended.
15. Grants for Agricultural Research, Special Research Grants...............  Sec. 2(c) of Pub. L. 89-106; 7
                                                                               U.S.C. 450i(c), as amended.
16. Animal Health and Disease Research......................................  National Agricultural Research,
                                                                               Extension and Teaching Policy Act
                                                                               of 1977, Sec. 1433, Pub. L. 95-
                                                                               113, as amended; 7 U.S.C. 3195.
----------------------------------------------------------------------------------------------------------------
                                        Administered by Extension Service
 
----------------------------------------------------------------------------------------------------------------
17. Home Economics..........................................................  Smith-Lever Act, as amended; 7
                                                                               U.S.C. 341-349; District of
                                                                               Columbia Post-secondary Education
                                                                               Reorganization Act, D.C. Code,
                                                                               Sec. 31-1518; Title V, Rural
                                                                               Development Act of 1972, as
                                                                               amended; 7 U.S.C. 2661 et seq.
                                                                               Sec. 14, Title 14, National
                                                                               Agricultural Research, Extension
                                                                               and Teaching Policy Act of 1977;
                                                                               Pub. L. 95-113, as amended.
18. 4-H Youth Development...................................................  Smith-Lever Act, as amended; 7
                                                                               U.S.C. 341-349; District of
                                                                               Columbia Public Postsecondary
                                                                               Education Reorganization Act,
                                                                               D.C. Code, Sec. 31-1518; Title
                                                                               VI, Rural Development Act of
                                                                               1972, as amended; 7 U.S.C. 2661
                                                                               et seq.; Sections 1425 and 1444,
                                                                               National Agricultural Research,
                                                                               Extension and Teaching Policy Act
                                                                               of 1977; Pub. L. 95-113, as
                                                                               amended; 7 U.S.C. 3221, 3175;
                                                                               Pub. L. 96-374, Sec. 1361(c); 7
                                                                               U.S.C. 301 note; Pub. L. 97-98,
                                                                               Agriculture and Food Act of 1981,
                                                                               sec. 1401.
19. Agricultural and Natural Resources......................................  Smith-Lever Act, as amended; 7
                                                                               U.S.C. 341-349; District of
                                                                               Columbia Public Postsecondary
                                                                               Education Reorganization Act,
                                                                               D.C. Code, Sec. 31-1518; Title V,
                                                                               Rural Development Act of 1972, as
                                                                               amended; 7 U.S.C. 2661 et seq.;
                                                                               Sec. 14, National Agricultural
                                                                               Research, Extension and Teaching
                                                                               Policy Act of 1977; Pub. L. 95-
                                                                               113, as amended; 7 U.S.C. 3101 et
                                                                               seq.
20. Community Resource Development..........................................  Smith-Lever Act, as amended; 7
                                                                               U.S.C. 341-349; District of
                                                                               Columbia Public Postsecondary
                                                                               Reorganization Act, D.C. Code 31-
                                                                               1518; Title V, Rural Development
                                                                               Act of 1972, as amended; 7 U.S.C.
                                                                               2661 et seq.; National
                                                                               Agricultural Research, Extension
                                                                               and Teaching Policy Act of 1977;
                                                                               Pub. L. 95-113, as amended; 7
                                                                               U.S.C. 3101 et seq.; Renewable
                                                                               Resources Extension Act of 1978;
                                                                               16 U.S.C. 1671-1676.
----------------------------------------------------------------------------------------------------------------
                               Administered by Federal Crop Insurance Corporation
 
----------------------------------------------------------------------------------------------------------------
21. Crop Insurance..........................................................  Federal Crop Insurance Act, as
                                                                               amended; 7 U.S.C. 1501-1520;
                                                                               Title V of the Agricultural
                                                                               Adjustment Act of 1938; 52 Stat.
                                                                               31 and Federal Crop Insurance Act
                                                                               of 1980; Pub. L. 96-385 (Sept.
                                                                               26, 1980); 94 Stat. 1312-1319.
 
----------------------------------------------------------------------------------------------------------------
                                   Administered by Farmers Home Administration
 
----------------------------------------------------------------------------------------------------------------
22. Farm Ownership Loans to install or improve recreational facilities or     Section 302 of the Consolidated
 other nonfarm enterprises.                                                    Farm and Rural Development Act,
                                                                               as amended; 7 U.S.C. 1923.
23. Farm Operating Loans to install or improve recreational facilities or     Sec. 312 of the Consolidated Farm
 other nonfarm enterprises.                                                    and Rural Development Act, as
                                                                               amended; 7 U.S.C. 1942.
24. Community Facility Loans................................................  Sec. 306 of the Consolidated Farm
                                                                               and Rural Development Act, as
                                                                               amended; 7 U.S.C. 1926.
25. Rural Rental Housing and related facilities for elderly persons and       Sec. 515, Title V, Housing Act of
 families of low income.                                                       1949, as amended; 42 U.S.C. 1485.
26. Rural Cooperative Housing...............................................  Sec. 515, Title V, Housing Act of
                                                                               1949, as amended; 42 U.S.C. 1485.
27. Rural Housing Site Loans................................................  Sec. 524, Title V, Housing Act of
                                                                               1949, as amended; 42 U.S.C.
                                                                               1490d.
28. Farm and Labor Housing Loans............................................  Sec. 514, Title V, Housing Act of
                                                                               1949, as amended; 42 U.S.C. 1484.
29. Farm Labor Housing Grants...............................................  Sec. 516, Title V, Housing Act of
                                                                               1949, as amended; 42 U.S.C. 1486.

[[Page 443]]

 
30. Mutual self-help housing grants. (Technical assistance grants)..........  Sec. 523, Title V, Housing Act of
                                                                               1949, as amended; 42 U.S.C.
                                                                               1490c.
31. Technical and supervisory assistance grants.............................  Sec. 525, Title V, Housing Act of
                                                                               1949, as amended; 42 U.S.C.
                                                                               1490e.
32. Individual Recreation Loans.............................................  Sec. 304 of the Consolidated Farm
                                                                               and Rural Development Act, as
                                                                               amended; 7 U.S.C. 1924.
33. Recreation Association Loans............................................  Sec. 306 of the Consolidated Farm
                                                                               and Rural Development Act, as
                                                                               amended; 7 U.S.C. 1926.
34. Private enterprise grants...............................................  Sec. 310(B)(c) of the Consolidated
                                                                               Farm and Rural Development Act,
                                                                               as amended; 7 U.S.C. 1932(c).
35. Indian Tribal Land Acquisition Loans....................................  Pub. L. 91-229, approved April 11,
                                                                               1970; 25 U.S.C. 488.
36. Grazing Association Loans...............................................  Sec. 306 of the Consolidated Farm
                                                                               and Rural Development Act, as
                                                                               amended; 7 U.S.C. 1926.
37. Irrigation and Drainage Associations....................................  Sec. 306 of the Consolidated Farm
                                                                               and Rural Development Act, as
                                                                               amended; 7 U.S.C. 1926.
38. Area development assistance planning grant program......................  Sec. 306(a)(11) of the
                                                                               Consolidated Farm and Rural
                                                                               Development Act, as amended; 7
                                                                               U.S.C. 1926(a)(11).
39. Resource conservation and development loans.............................  Sec. 32(e) of Title III, the
                                                                               Bankhead-Jones Farm Tenant Act; 7
                                                                               U.S.C. 1011(e).
40. Rural Industrial Loan Program...........................................  Sec. 310B of the Consolidated Farm
                                                                               and Rural Development Act, as
                                                                               amended; 7 U.S.C. 1932.
41. Rural renewal and resource conservation development, land conservation    Sec. 31-35, Title III, Bankhead-
 and land utilization.                                                         Jones Farm Tenant Act; 7 U.S.C.
                                                                               1010-1013a.
42. Soil and water conservation, recreational facilities, uses; pollution     Sec. 304 of the Consolidated Farm
 abatement facilities loans.                                                   and Rural Development Act, as
                                                                               amended; 7 U.S.C. 1924.
43. Watershed protection and flood prevention program.......................  Sec. 1-12 of the Watershed
                                                                               Protection and Flood Prevention
                                                                               Act, as amended; 16 U.S.C. 1001-
                                                                               1008.
44. Water and Waste Facility Loans and Grants...............................  Sec. 306 of the Consolidated Farm
                                                                               and Rural Development Act, as
                                                                               amended; 7 U.S.C. 1926.
----------------------------------------------------------------------------------------------------------------
                                   Administered by Food and Nutrition Service
 
----------------------------------------------------------------------------------------------------------------
45. Food Stamp Program......................................................  The Food Stamp Act of 1977, as
                                                                               amended; 7 U.S.C. 2011-2029.
46. Nutrition Assistance Program for Puerto Rico. This is the Block Grant     The Food Stamp Act of 1977, as
 signoff of the Food Stamp Program for Puerto Rico.                            amended; Sec. 19, 7 U.S.C. 2028.
47. Food Distribution (Food Donation Program). (Direct Distribution Program)  Sec. 32, Pub. L. 74-320, 49 Stat.
                                                                               744 (7 U.S.C. 612c); Pub. L. 75-
                                                                               165. 50 Stat. 323 (15 U.S.C.
                                                                               713c); secs. 6, 9, 60 Stat. 231,
                                                                               233, Pub. L. 79-396 (42 U.S.C.
                                                                               1755, 1758); sec. 416, Pub. L. 81-
                                                                               439, 63 Stat. 1058 (7 U.S.C.
                                                                               1431); sec. 402, Pub. L. 91-665,
                                                                               68 Stat. 843 (22 U.S.C. 1922);
                                                                               sec. 210, Pub. L. 84-540, 70
                                                                               Stat. 202 (7 U.S.C. 1859); sec.
                                                                               9, Pub. L. 85-931, 72 Stat. 1792
                                                                               (7 U.S.C. 1431b); Pub. L. 86-756,
                                                                               74 Stat. 899 (7 U.S.C. 1431
                                                                               note); sec. 709, Pub. L. 89-321,
                                                                               79 Stat. 1212 (7 U.S.C. 1446a-1);
                                                                               sec. 3, Pub. L. 90-302, 82 Stat.
                                                                               117 (42 U.S.C. 1761); secs. 409,
                                                                               410, Pub. L. 93-288, 88 Stat. 157
                                                                               (42 U.S.C. 5179, 5189); sec. 2,
                                                                               Pub. L. 93-326, 88 Stat. 286 (42
                                                                               U.S.C. 1762a); sec. 16, Pub. L.
                                                                               94-105, 89 Stat. 522 (42 U.S.C.
                                                                               1766); sec. 1304(a), Pub. L. 95-
                                                                               113, 91 Stat. 980 (7 U.S.C. 612
                                                                               note); sec. 311, Pub. L. 95-478,
                                                                               92 Stat. 1533 (42 U.S.C. 3030a);
                                                                               sec. 10, Pub. L. 95-627, 92 Stat.
                                                                               3623 (42 U.S.C. 1760); Pub. L. 98-
                                                                               8, 97 Stat. 35 (7 U.S.C. 612c
                                                                               note); (5 U.S.C. 301).
48. Food Distribution Program Commodities on Indian Reservations............  The Food Stamp Act of 1977, as
                                                                               amended, Section 4(b), 7 U.S.C.
                                                                               2013(b).
49. National School Lunch Program...........................................  National School Lunch Act, as
                                                                               amended; 42 U.S.C. 1751-1760.
50. Special Milk Program for Children (School Milk Program).................  Child Nutrition Act of 1966, Sec.
                                                                               3, as amended, 42 U.S.C. 1772.
51. School Breakfast Program................................................  Child Nutrition Act of 1966, Sec.
                                                                               4, as amended; 42 U.S.C. 1773.
52. Summer Food Service Program for Children................................  National School Lunch Act, Sec.
                                                                               13, as amended; 42 U.S.C. 1761.
53. Child Care Food Program.................................................  National School Lunch Act, Sec.
                                                                               17, as amended; 42 U.S.C. 1766.
54. Nutrition Education and Training Program................................  Child Nutrition Act of 1966, Sec.
                                                                               19, 42 U.S.C. 1788.
55. Special Supplemental Food Program for Women, Infants and Children.......  Child Nutrition Act of 1966, Sec.
                                                                               17, 42 U.S.C. 1786.
56. Commodity Supplemental Food Program.....................................  Agriculture and Consumer
                                                                               Protection Act of 1973, as
                                                                               amended; 7 U.S.C. 612c note.
57. Temporary Emergency Food Assistance Program.............................  Temporary Emergency Food
                                                                               Assistance Act of 1983, as
                                                                               amended; 7 U.S.C. 612c note.
58. State Administrative Expenses for Child Nutrition.......................  Child Nutrition Act of 1966, Sec.
                                                                               7, as amended; 42 U.S.C. 1776.

[[Page 444]]

 
59. Nutrition Assistance Program for the Commonwealth of the North Mariana    Trust Territory of the Pacific
 Islands. (This is the Block Grant spin-off of the Food Stamp Program for      Island, 48 U.S.C. 1681 note.
 CNMI).
----------------------------------------------------------------------------------------------------------------
                                         Administered by Forest Service
 
----------------------------------------------------------------------------------------------------------------
60. Permits for use of National Forests and National Grasslands by other      Act of June 4, 1897, as amended,
 than individuals at a nominal or no charge.                                   16 U.S.C. 551; Sec. 501 of the
                                                                               Federal Land Policy Management
                                                                               Act of 1976, 43 U.S.C. 1761; Term
                                                                               Permit Act of March 4, 1915, as
                                                                               amended, 16 U.S.C. 4971, Secs. 3
                                                                               and 4 of the American Antiquities
                                                                               Act of June 8, 1906, 16 U.S.C.
                                                                               432; Sec. 32 of the Bankhead-
                                                                               Jones Farm Tenant Act, as
                                                                               amended, 7 U.S.C. 1011.
61. Youth Conservation Corps................................................  Act of August 13, 1970, as
                                                                               amended, 16 U.S.C. 1701-1706.
                                                                               Note: This is a Federally
                                                                               financed and conducted program on
                                                                               National Forest land providing
                                                                               summer employment to teen-age
                                                                               youth doing conservation work
                                                                               while learning about their
                                                                               natural environment and heritage.
                                                                               Recruitment of recipient youth is
                                                                               without regard to economic,
                                                                               social or racial classification.
                                                                               Policy requires that random
                                                                               selection from the qualified
                                                                               applicant pool be made in a
                                                                               public forum.
62. Job Corps...............................................................  29 U.S.C. 1691-1701. Note: This is
                                                                               a Federally financed and
                                                                               conducted program providing
                                                                               education and skills training to
                                                                               young men and women. The U.S.
                                                                               Department of Labor is entirely
                                                                               responsible for recruiting of
                                                                               recipient youth.
63. Permits for disposal of common varieties of mineral material from lands   Secs. 1-4 of the Act of July 31,
 under the Forest Service jurisdiction for use by other individuals at a       1947, as amended, 30 U.S.C. 601-
 nominal or no charge.                                                         603, 611.
64. Use of Federal land for airports........................................  Airport and Airway Improvement Act
                                                                               of 1982, as amended, 49 U.S.C.
                                                                               2202, 2215. National Forest lands
                                                                               are exempt, Sec. 2215(c).
65. Conveyance of land to States or political subdivisions for widening       Act of October 13, 1964, 78 Stat.
 highways, streets and alleys.                                                 1089. Forest Road and Trail Act,
                                                                               codified at 16 U.S.C. 532-538.
66. Payment of 25 percent of National Forest receipts to States for schools   Act of May 23, 1908, as amended,
 and roads.                                                                    16 U.S.C. 500.
67. Payment to Minnesota from National Forest receipts of a sum based on a    Sec. 5 of the Act of June 22,
 formula.                                                                      1948, as amended, 16 U.S.C. 577 g-
                                                                               l.
68. Payment of 25 percent of net revenues from Title III, Bankhead-Jones      Sec. 33 of the Bankhead-Jones Farm
 Farm Tenant Act lands to Counties for school and road purposes.               Tenant Act, as amended, 7 U.S.C.
                                                                               1012.
69. Cooperative action to protect, develop, manage and utilize forest         Cooperative Forestry Assistance
 resources on State and private lands.                                         Act of 1976, 16 U.S.C. 2101-2111.
70. Advance of funds for cooperative research...............................  Sec. 20 of the Granger-Thye Act of
                                                                               April 24, 1950, 16 U.S.C. 581-1.
71. Grants for support of scientific research...............................  Forest and Rangeland Renewable
                                                                               Resources Planning Act of 1974,
                                                                               as amended, 16 U.S.C. 1600 et
                                                                               seq.
72. Research Cooperation....................................................  Forest and Rangeland Renewable
                                                                               Resources Research Planning Act
                                                                               of 1974, as amended, 16 U.S.C.
73. Grants to Maine, Vermont and New Hampshire for the purpose of assisting   Older American Act of 1965, as
 economically disadvantaged citizens over 55 years of age.                     amended, 42 U.S.C. 3056.
74. Senior Community Service Employment, develop, manage and utilize forest   Older American Act of 1965, as
 resources on State and private lands.                                         amended, 42 U.S.C. 3056.
75. Cooperative Law Enforcement.............................................  16 U.S.C. 551a and 553.
76. Forest Utilization and Marketing........................................  Cooperative Forestry Assistance
                                                                               Act of 1978, Pub. L. 95-313, 16
                                                                               U.S.C. 1606, 2101-2111.
77. Fire prevention and suppression.........................................  Cooperative Forestry Assistance
                                                                               Act of 1978, Pub. L. 95-313, Sec.
                                                                               7, 16 U.S.C. 2106.
78. Assistance to States for tree planting..................................  Cooperative Forestry Assistance
                                                                               Act of 1978, Pub. L. 95-313,
                                                                               Secs. 3, 6, 16 U.S.C. 2102, 2105.
79. Technical assistance forest management..................................  Cooperative Forestry Assistance
                                                                               Act of 1978, Pub. L. 95-313, Sec.
                                                                               8, 16 U.S.C. 2107.
80. Extramural Research (Cooperative Agreements and Grants).................  Range Renewable Resources Act of
                                                                               1978; Rangeland and Latest
                                                                               Renewable Resources Research Act;
                                                                               16 U.S.C. 1641-1647.
----------------------------------------------------------------------------------------------------------------
                               Administered by Food Safety and Inspection Service
 
----------------------------------------------------------------------------------------------------------------
81. Federal-State Cooperative Agreements and Talmadge-Aiken Agreements......  Federal Meat Inspection Act; 21
                                                                               U.S.C. 601 et seq. Talmadge-Aiken
                                                                               Act; 7 U.S.C. 450. Poultry
                                                                               Products Inspection Act; 21
                                                                               U.S.C. 451 et seq.
 
----------------------------------------------------------------------------------------------------------------

[[Page 445]]

 
                       Administered by Office of International Cooperation and Development
 
----------------------------------------------------------------------------------------------------------------
82. Technical Assistance....................................................  7 U.S.C. 3291; 22 U.S.C. 2357; 22
                                                                               U.S.C. 2392.
83. International Training..................................................  7 U.S.C. 3291; 22 U.S.C. 2357; 22
                                                                               U.S.C. 2392.
84. Scientific and Technical Exchanges......................................  7 U.S.C. 3291.
85. International Research..................................................  7 U.S.C. 3291.
----------------------------------------------------------------------------------------------------------------
                                    Administered by Soil Conservation Service
 
----------------------------------------------------------------------------------------------------------------
86. Conservation Technical Assistance to Landusers..........................  Sec. 1-6 and 17 of the Soil
                                                                               Conservation and Domestic
                                                                               Allotment Act, 16 U.S.C. 590a-
                                                                               590f, 590g.
87. Plant Materials Conservation............................................  Soil Conservation Act of 1935,
                                                                               Pub. L. 74-46; 49 Stat. 163, 16
                                                                               U.S.C. 590(a-f).
88. Technical and financial assistance in Watershed Protection and flood      Watershed Protection and Flood
 prevention.                                                                   Protection Act, as amended, 16
                                                                               U.S.C. 1001-1005, 1007-1008;
                                                                               Flood Control Act, as amended and
                                                                               supplemented; 33 U.S.C. 701; 16
                                                                               U.S.C. 1606(a) and Sec. 403-405
                                                                               of the Agriculture Credit Act of
                                                                               1978; 16 U.S.C. 2203-2205. Flood
                                                                               Prevention: Pub. L. 78-534; 58
                                                                               Stat. 905; 33 U.S.C. 701(b)(1);
                                                                               Pub. L. 81-516.
89. Technical and financial assistance in Watershed Protection and flood      Emergency Operation (216); 68
 prevention.                                                                   Stat. 184; 33 U.S.C. 701(b)(1).
                                                                               Watershed Operation: Pub. L. 83-
                                                                               566; 68 Stat. 666:16 U.S.C. 1001
                                                                               et seq.
90. Soil Survey.............................................................  Sec. 1-6 and 17 of the Soil
                                                                               Conservation and Domestic
                                                                               Allotment Act, as amended, 16
                                                                               U.S.C. 590a-590f, 590g.
91. Rural Abandoned Mine Program............................................  Surface Mining Control and
                                                                               Reclamation Act of 1977, Sec.
                                                                               406; Pub. L. 95-87, 30 U.S.C.
                                                                               1236, 91 Stat. 460.
92. Resource Conservation and Development...................................  Soil Conservation Act of 1935;
                                                                               Pub. L. 74-46; Bankhead-Jones
                                                                               Farm Tenant Act; Pub. L. 75-210,
                                                                               as amended, Pub. L. 89-796; Pub.
                                                                               L. 87-703; Pub. L. 91-343; Pub.
                                                                               L. 92-419; Pub. L. 97-98; 95
                                                                               Stat. 1213; 16 U.S.C. 590a-590f,
                                                                               590g.
93. Great Plains Conservation...............................................  Soil Conservation and Domestic
                                                                               Allotment Act, Pub. L. 74-46, as
                                                                               amended by the Great Plains Act
                                                                               of August 7, 1956; Pub. L. 84-
                                                                               1021, Pub. L. 86-793 approved
                                                                               September 14, 1980. Pub. L. 91-
                                                                               118 approved November 1, 1969;
                                                                               Pub. L. 96-263 approved June 6,
                                                                               1980; 16 U.S.C. 590a-590f, 590g.
----------------------------------------------------------------------------------------------------------------


[53 FR 48506, Dec. 1, 1988, as amended at 68 FR 51341, Aug. 26, 2003]

Subpart B [Reserved]



 Subpart C_Rules of Practice and Procedure for Hearings, Decisions and 
        Administrative Review Under the Civil Rights Act of 1964

    Authority: Sec. 602, 78 Stat. 252; 42 U.S.C. 2000d-1; sec. 15.9(d) 
of subpart A to 7 CFR, part 15, and laws referred to in the appendix to 
subpart A, part 15, title 7 CFR.

    Source: 30 FR 14355, Nov. 17, 1965, unless otherwise noted.

                           General Information



Sec.  15.60  Scope of rules.

    The rules of practice and procedure in this subpart supplement 
Sec. Sec.  15.9 and 15.10 of subpart A of this part and govern the 
practice for hearings, decisions, and administrative review conducted by 
the Department of Agriculture, pursuant to title VI of the Civil Rights 
Act of 1964, section 602 (78 Stat. 252) and this part, title 7, CFR, 
except these rules shall not apply to any stage of a proceeding which 
has occurred prior to the effective date hereof.



Sec.  15.61  Records to be public.

    All documents and papers filed in any proceeding under this part may 
be inspected and copied in the Office of the Department Hearing Clerk.



Sec.  15.62  Definitions.

    All terms used in this subpart shall, unless the context otherwise 
requires, have the same meaning as defined in subpart A of this part.



Sec.  15.63  Computation of time.

    A period of time begins with the day following the act or event and 
includes the last day of the period, unless it is a Saturday, Sunday, or 
legal holiday observed in the District of Columbia, in

[[Page 446]]

which case it shall be the following workday. When the period of time 
prescribed or allowed is less than 7 days, intermediate Saturdays, 
Sundays, and legal holidays shall be excluded from the computation.



Sec.  15.64  Parties.

    The term party shall include an applicant or recipient with respect 
to whom the agency has issued a notice of hearing or opportunity to 
request a hearing in accordance with subpart A of this part and Sec.  
15.81. The agency shall be deemed a party to all proceedings.



Sec.  15.65  Appearance.

    Any party may appear in person or by counsel or authorized 
representative and participate fully in any proceeding.



Sec.  15.66  Complainants not parties.

    A person submitting a complaint pursuant to Sec.  15.6 is not a 
party to the proceedings governed by this subpart, but may petition, 
after proceedings have been commenced, to become an intervener.



Sec.  15.67  Intervener.

    Any interested person or organization may file a petition to 
intervene which will include a statement of position and a statement of 
what petitioner expects to contribute to the hearing, and a copy of the 
petition will be served on all parties. Such petition should be filed 
prior to the prehearing conference, or if none is held, before the 
commencement of the hearing, unless the petitioner shows good cause for 
filing the petition later. The hearing officer may grant the petition if 
he believes that such participation will not unduly delay a hearing and 
will contribute materially to the proceeding. An intervener is not a 
party and may not introduce evidence at a hearing, or propound questions 
to a witness, unless the hearing officer determines that the proposed 
additional evidence is relevant and will clarify the facts. The 
intervener may submit and serve on all parties a brief in support or 
opposition to any brief of a party. All service and notice required by 
and upon a party shall apply to an intervener.



Sec.  15.68  Ex parte communications.

    (a) General. After proceedings have been commenced, any 
communication or discussion ex parte, as regards the merits of the 
proceeding or a factually related proceeding, between an employee of the 
Department involved in the decisional process and a person not employed 
by the Department, and any such communication or discussion between any 
employee of the Department, who is or has been engaged in any way in the 
investigation or prosecution of the proceeding or a factually related 
proceeding, and an employee of the Department who is involved or may be 
involved in the decisional process of a proceeding, except at a 
conference, hearing or review proceeding under these rules is improper 
and prohibited.
    (b) Request for information. A request for information about the 
status of a proceeding without discussing issues or expressing points of 
view and inquiries with respect to procedural matters or an emergency 
request for an extension of time are not deemed ex parte communications. 
When practical all parties should be notified of any request for an 
extension of time. Communication between an applicant or recipient and 
the agency or the Secretary with respect to securing voluntary 
compliance with any requirement of subpart A of this part is not 
prohibited.
    (c) Unsponsored written material. Letters expressing views or urging 
action and other unsponsored written material regarding matters in issue 
in a proceeding will be placed in the correspondence section of the 
docket of the proceeding. Such are not deemed part of the evidence or 
record.

            Form, Execution, Filing and Service of Documents



Sec.  15.71  Form of documents to be filed.

    All copies of documents filed in a proceeding shall be dated, signed 
in ink, shall show the address and position or title of the signatory, 
and shall show the docket number and title of the proceeding on the 
front page.



Sec.  15.72  Filing.

    All documents relating to a proceeding under this subpart shall be 
filed in an original and two copies of

[[Page 447]]

such document with the Office of the Hearing Clerk at Room 112, 
Administration Building, Department of Agriculture, Washington, D.C., 
20250, during regular business hours. Regular business hours are every 
Monday through Friday (legal holidays in the District of Columbia 
excepted) from 9 a.m. to 5:30 p.m., eastern standard or daylight saving 
time, whichever is effective in the District of Columbia at the time.



Sec.  15.73  Service.

    Service shall be made by the Hearing Clerk by personal delivery of 
one copy to each person to be served or by mailing by first-class mail, 
or air mail if more than 300 miles, properly addressed with postage 
prepaid. When a party or intervener has appeared by attorney or 
representative, service upon such attorney or representative will be 
deemed proper service. The initial notice of hearing, opportunity to 
request a hearing, or notice setting a date for a hearing shall be by 
certified mail, return receipt requested.



Sec.  15.74  Date of service.

    The date of service shall be the day when the matter is deposited in 
the U.S. mail or is delivered in person, except that the date of service 
of the initial notice a hearing or notice of opportunity to request a 
hearing or notice setting a date for a hearing shall be the date of its 
delivery, or of its attempted delivery if delivery is refused.

                       Initial Notice and Response



Sec.  15.81  How proceedings are commenced.

    Proceedings are commenced by mailing a notice to an applicant or 
recipient of alleged noncompliance with the Act and the Secretary's 
regulations thereunder. The notice will be signed by the interested 
agency head or by the Secretary and shall be filed with the hearing 
clerk for proper service by the hearing clerk according to the rules of 
this subpart. The notice shall include either a notice of hearing or 
notice of opportunity to request a hearing as determined by the 
Secretary and shall comply with the requirements of Sec.  15.9(a).



Sec.  15.82  Notice of hearing and response thereto.

    A notice of hearing shall fix a date not less than 30 days from the 
date of service of the notice of a hearing on matters alleged in the 
notice. If the applicant or recipient does not desire a hearing, he 
should so state in writing, in which case the applicant or recipient 
shall have the right to submit written information and argument for the 
record, and the additional right to further participate in the 
proceeding. Failure to appear at the time set for a hearing, without 
good cause, shall be deemed a waiver of the right to a hearing under 
section 602 of the Act and the regulations in this part and consent to 
the making of a decision on such information as is available which may 
be presented for the record.



Sec.  15.83  Notice of opportunity to request a hearing and 
response thereto.

    A notice of opportunity to request a hearing shall set a date not 
less than 20 days from service of said notice within which the applicant 
or recipient may file a request for a hearing, or may wiave a hearing 
and submit written information and argument for the record, in which 
case, the applicant or recipient shall have the right to further 
participate in the proceeding. When the applicant or recipient elects to 
file a request for a hearing, a time shall be set for the hearing at a 
date not less than 20 days from the date applicant or recipient is 
notified of the date set for the hearing. Failure of the applicant or 
recipient to request a hearing or to appear at the date set shall be 
deemed a waiver of the right to a hearing, under section 602 of the Act 
and the regulations in this part and consent to the making of a decision 
on such information as is available which may be presented for the 
record.



Sec.  15.84  Answer.

    In any case covered by Sec.  15.82 or Sec.  15.83 the applicant or 
recipient shall file an answer. Said answer shall admit or deny each 
allegation of the notice, unless the applicant or recipient is without 
knowledge, in which case the answer shall so state, and the statement 
will be considered a denial. Failure to

[[Page 448]]

file an answer shall be deemed an admission of all allegations of fact 
in the notice. Allegations of fact in the notice not denied or 
controverted by answer shall be deemed admitted. Matters intended to be 
offered as affirmative defenses must be stated as a separate part of the 
answer. The answer under Sec.  15.82 shall be filed within 20 days from 
the date of service of the notice of hearing. The answer under Sec.  
15.83 shall be filed within 20 days of service of the notice of 
opportunity to request a hearing.



Sec.  15.85  Amendment of notice or answer.

    The notice of hearing or notice of opportunity to request a hearing 
may be amended once as a matter of course before an answer thereto is 
served, and each applicant or recipient may amend his answer once as a 
matter of course not later than 10 days before the date fixed for 
hearing but in no event later than 20 days from the date of service of 
his original answer. Otherwise a notice or answer may be amended only by 
leave of the hearing officer. An applicant or recipient shall file his 
answer to an amended notice within the time remaining for filing the 
answer to the original notice or within 10 days after service of the 
amended notice, whichever period may be the longer, unless the hearing 
officer otherwise orders.



Sec.  15.86  Consolidated or joint hearings.

    Two or more proceedings against the same respondent, or against 
different respondents in which the same or related facts are asserted to 
constitute noncompliance, may be consolidated for hearing or decision or 
both by the agency head, if he has the principal responsibility within 
the Department for the administration of all the laws extending the 
Federal financial assistance involved. If laws administered by more than 
one agency head are involved, such officials may by agreement order 
consolidation for hearing. The Secretary may order proceedings in the 
Department consolidated for hearing with proceedings in other Federal 
Departments or agencies, by agreement with such other Departments or 
agencies. All parties to any proceeding consolidated subsequently to 
service of the notice of hearing or notice of opportunity to request a 
hearing shall be promptly served with notice of such consolidation.

                             Hearing Officer



Sec.  15.91  Who presides.

    A hearing officer shall preside over all proceedings held under this 
part. The hearing officer shall be a hearing examiner qualified under 
section 11 of the Administrative Procedure Act (5 U.S.C. 1001 et seq.), 
and designated to hold hearings under the regulations in this subpart or 
any person authorized to hold a hearing and make a final decision. The 
hearing officer will serve until he has made an initial decision, 
certified the record to the Secretary, or made a final decision if so 
authorized.



Sec.  15.92  Designation of hearing officer.

    Unless otherwise provided by an order of the Secretary at the time 
the notice of alleged noncompliance provided in Sec.  15.81 is filed 
with the Office of the Hearing Clerk, the hearing shall be held before a 
hearing examiner, who shall be appointed by the Chief Hearing Examiner, 
Office of Hearing Examiners within five days after the filing of such 
notice. Unless otherwise provided, the hearing examiner shall certify 
the entire record with his recommended findings and proposed decision to 
the Secretary for final decision.



Sec.  15.93  Time and place of hearing.

    When a notice of hearing is sent to an applicant or recipient, the 
time and place of hearing shall be fixed by the Secretary, and when the 
applicant or recipient requests a hearing, the time and place shall be 
set by the hearing officer and in either case in conformity with Sec.  
15.9(b). The complainant, if any, shall be advised of the time and place 
of the hearing.



Sec.  15.94  Disability of hearing officer.

    In the case of death, illness, disqualification, or unavailability 
of the designated hearing officer, another hearing officer may be 
designated by the Secretary to take his place. If such death, illness, 
disqualification or unavailability occurs during the course of

[[Page 449]]

a hearing, the hearing will be either continued under a substitute 
hearing officer, or terminated and tried de novo in the discretion of 
the Secretary. In the absence of the designated hearing officer any 
hearing examiner may rule on motions and other interlocutory papers.



Sec.  15.95  Responsibilities and duties of hearing officer.

    The hearing officer shall have the duty to conduct a fair hearing, 
to take all necessary action to avoid delay, and to maintain order. He 
shall have all powers necessary to these ends, including (but not 
limited to) the power to:
    (a) Arrange and issue notice of the date, time and place of 
hearings, or, upon due notice to the parties, to change the date, time 
and place of hearings previously set.
    (b) Hold conferences to settle, simplify, or fix the issues in a 
proceeding, or to consider other matters that may aid in the expeditious 
disposition of the proceeding.
    (c) Require parties and interveners to state their position with 
respect to the various issues in the proceeding.
    (d) Administer oaths and affirmations.
    (e) Rule on motions, and other procedural items on matters pending 
before him.
    (f) Regulate the course of the hearing and conduct of parties 
therein.
    (g) Examine witnesses and direct witnesses to testify.
    (h) Receive, rule on, exclude or limit evidence.
    (i) Fix the time for filing motions, petitions, briefs, or other 
items in matters pending before him.
    (j) In accordance with his authority issue an initial decision, or 
recommended findings and proposed decision, or final decision.
    (k) Take any other action a hearing officer is authorized to take 
under these rules or subpart A of this part.

                                 Motions



Sec.  15.101  Form and content.

    (a) General. Motions shall state the relief sought and the authority 
relied upon. If made before or after the hearing, the motion shall be in 
writing and filed with the hearing clerk with a copy to all parties. If 
made at the hearing, they should be stated orally but the hearing 
officer may require that any motion be reduced to writing and filed and 
served on all parties in the same manner as a formal motion.
    (b) Extension of time or postponement. A request for an extention of 
time should be filed and served on all parties and should set forth the 
reasons for the request and may be granted upon a showing of good cause. 
Answers to such requests are permitted, if made promptly.



Sec.  15.102  Responses to motions.

    Within 8 days or such reasonable time as may be fixed by the hearing 
officer, or Secretary, if the motion is properly addressed to him, any 
party may file a response to the motion, unless the motion is made at a 
hearing in which case an immediate response may be required. The hearing 
officer may dispose of motions at a prehearing conference.



Sec.  15.103  Disposition of motions.

    The hearing officer may not sustain or grant a motion prior to 
expiration of the time for filing responses thereto, but may overrule or 
deny such motion without waiting on a response: Provided, however, That 
prehearing conferences, hearings, and decisions need not be delayed 
pending disposition of motions. Oral motions may be ruled on 
immediately. Motions submitted to the hearing officer not disposed of in 
separate rulings or in his decision will be deemed denied. Oral argument 
shall not be held on written motions unless expressly ordered. 
Interlocutory appeals from rulings on motions shall be governed by Sec.  
15.123.

                           Hearing Procedures



Sec.  15.110  Prehearing conferences.

    (a) In any case in which it appears that such procedure will 
expedite the proceeding, the hearing officer may, prior to the 
commencement of the hearing, request the parties to meet with him or to 
correspond with him regarding any of the following:
    (1) Simplification and clarification of the issues;

[[Page 450]]

    (2) Necessity or desirability of amendments to the pleadings;
    (3) Stipulations, admissions of fact and of the contents and 
authenticity of documents;
    (4) Matters of which official notice will be taken;
    (5) Limitation of the number of experts or other witnesses;
    (6) Disposal of all motions; and
    (7) Such other matters as may expedite and aid in the disposition of 
the proceeding.
    (b) The hearing officer shall enter in the record a written summary 
of the results of the conference or correspondence with the parties.



Sec.  15.111  Purpose of hearing.

    (a) The hearing is directed to receiving factual evidence and expert 
opinion testimony related to the issues in the proceeding. Argument will 
not be received in evidence; rather it should be presented in 
statements, memoranda or briefs, as determined by the hearing officer. 
Brief opening statements, which shall be limited to a statement of the 
party's position and what he intends to prove, may also be made at 
hearings.
    (b) Hearings for the reception of evidence will be held only in 
cases where issues of fact must be resolved in order to determine 
whether the respondent has failed to comply with one or more applicable 
requirements of subpart A of this part. In any case where it appears 
from the answer of the applicant or recipient to the notice of hearing 
or notice of opportunity to request a hearing, from his failure timely 
to answer, or from his admissions or stipulations in the record that 
there are no matters of material fact in dispute, the hearing officer 
may enter an order so finding, and fixing the time for the submission of 
evidence by the Government for the record. Thereafter, the proceedings 
shall go to conclusion in accordance with subpart A of this part and the 
rules of this subpart. An appeal from such order may be allowed in 
accordance with the rules for interlocutory appeal in Sec.  15.123.



Sec.  15.112  Statement of position and brief.

    The hearing officer may require all parties and any intervener to 
file a written statement of position or brief prior to the beginning of 
a hearing.



Sec.  15.113  Testimony.

    (a) Testimony shall be given orally under oath or affirmation by 
witnesses at the hearing, but the hearing officer, in his discretion, 
may require or permit that the testimony of any witness be prepared in 
writing and served on all parties in advance of the hearing. Such 
testimony may be adopted by the witness at the hearing and filed as part 
of the record thereof. Unless authorized by the hearing officer, 
witnesses will not be permitted to read prepared testimony into the 
record. Except as provided in Sec. Sec.  15.115 and 15.116, witnesses 
shall be available at the hearing for cross-examination.
    (b) Proposed exhibits shall be exchanged either at a prehearing 
conference, or otherwise prior to the hearing. Proposed exhibits not so 
exchanged may be denied admission as evidence unless good cause is shown 
why they were not exchanged. The authenticity of all proposed exhibits 
exchanged prior to hearing will be deemed admitted unless written 
objection thereto is filed prior to the hearing or unless good cause is 
shown at the hearing for failure to file such written objection.



Sec.  15.115  Affidavits.

    An affidavit, intended to be used as evidence without cross-
examination of the affiant, will be filed and served on the parties at 
least 15 days prior to the hearing; and not less than seven days prior 
to hearing a party may file and serve written objections to any 
affidavit on the ground that he believes it necessary to test the truth 
of assertions therein by cross-examination. In such event, the affidavit 
objected to will not be received in evidence unless the affiant is made 
available for cross-examination at the hearing or otherwise as 
prescribed by the hearing officer. In absence of an objection being 
filed within the time specified, such affidavit will be received in 
evidence.

[[Page 451]]



Sec.  15.116  Depositions.

    Upon such terms as may be just, the hearing officer, in his 
discretion, may authorize the testimony of any witness to be taken by 
deposition.



Sec.  15.117  Evidence.

    Irrelevant, immaterial, unreliable, and unduly repetitious evidence 
will be excluded, and technical rules of evidence shall not apply but 
rules or principles designed to assure the most credible evidence 
available and to subject testimony to test by cross-examination shall 
apply.



Sec.  15.118  Cross-examination.

    Cross-examination will be limited to the scope of direct examination 
and matters at issue in the hearing.



Sec.  15.119  Objections.

    Objections to evidence shall be timely and briefly state the ground 
relied upon. The ruling of the hearing officer will be part of the 
record. Argument in support of the objection will not be part of the 
record.



Sec.  15.120  Exceptions to rulings of hearing officer unnecessary.

    Exceptions to rulings of the hearing officer are unnecessary. It is 
sufficient that a party, at the time the ruling of the hearing officer 
is sought, makes known the action which he desires the hearing officer 
to take, or his objection to an action taken, and his grounds therefor.



Sec.  15.121  Official notice.

    A public document, or part thereof, such as an official report 
decision, opinion, or published scientific or economic statistical data 
issued by any branch of the Federal or a State Government which has been 
shown to be reasonably available to the public, may be offered for 
official notice and accepted in the record without further proof of 
authenticity. Where official notice is to be taken, any party, on timely 
request, shall have an opportunity to show the contrary.



Sec.  15.122  Offer of proof.

    An offer of proof made in connection with an objection taken to any 
ruling of the hearing officer rejecting or excluding proposed oral 
testimony shall consist of a statement for the record of the substance 
of the evidence which counsel contends would be adduced by such 
testimony; and, if the excluded evidence consists of evidence in 
documentary or written form or of reference to documents or records, a 
copy of such evidence shall be marked for identification and shall 
accompany the record as an offer of proof.



Sec.  15.123  Appeals from ruling of hearing officer.

    A ruling of the hearing officer may not be appealed to the Secretary 
prior to consideration of the entire proceeding by the hearing officer 
except with the consent of the hearing officer and where he certifies on 
the record or in writing that the allowance of an interlocutory appeal 
is clearly necessary to prevent exceptional delay, expense, or prejudice 
to any part or substantial detriment to the public interest. If an 
appeal is allowed, any party may file a brief with the Secretary within 
such period as the hearing officer directs. Oral argument will be heard 
in the discretion of the Secretary.



Sec.  15.124  Admissions as to facts and documents.

    Not later than 15 days prior to the scheduled date of the hearing 
except for good cause shown, or prior to such earlier date as the 
hearing officer may order, any party may serve upon an opposing party a 
written request for the admission of the genuineness and authenticity of 
any relevant documents described in and exhibited with the request, or 
for the admission of the truth of any relevant matters of fact stated in 
the request. Each of the matters of which an admission is requested 
shall be deemed admitted, unless within a period designated in the 
request (not less than 10 days after service thereof, or within such 
further time as the hearing officer may allow upon motion and notice) 
the party to whom the request is directed serves upon the requesting 
party a sworn statement either denying specifically the matters of which 
an admission is requested or setting forth in detail the reasons why he 
cannot truthfully either admit or

[[Page 452]]

deny such matters. Copies of requests for admission and answers thereto 
shall be served on all parties. Any admission made by a party to such 
request is only for the purposes of the pending proceeding, or any 
proceeding or action instituted for the enforcement of any order entered 
therein, and shall not constitute an admission by him for any other 
purpose or be used against him in any other proceeding or action.

[31 FR 8586, June 21, 1966]

                               The Record



Sec.  15.131  Official transcript.

    The hearing clerk will designate the official reporter for all 
hearings. The official transcript of testimony taken, together with any 
affidavits, exhibits, depositions, briefs, or memoranda of law shall be 
filed with the hearing clerk. Transcripts of testimony in hearings will 
be supplied by the official reporter to the parties and to the public at 
rates not to exceed the maximum rates fixed by the contract between the 
Department and the reporter. Upon notice to all parties, the hearing 
officer may authorize corrections to the transcript which involve 
matters of substance.



Sec.  15.132  Record for decision.

    The transcript of testimony, exhibits, affidavits, depositions, 
briefs, memoranda of law, and all pleadings, motions, papers, and 
requests filed in the proceeding, except the correspondence section of 
the docket, including rulings, and any recommended findings and proposed 
decision, or initial decision shall constitute the exclusive record for 
final decision.

                         Posthearing Procedures



Sec.  15.135  Posthearing briefs.

    The hearing officer shall fix a reasonable time for filing 
posthearing briefs, which may contain proposed findings of fact and 
conclusions of law, and, if permitted, reply briefs. Briefs should 
include a summary of the evidence relied upon together with references 
to exhibit numbers and pages of the transcript, with citations of the 
authorities relied upon. Briefs shall be filed in the Office of the 
Hearing Clerk with a copy to all parties.



Sec.  15.136  Decisions and notices.

    When the time for submission of posthearing briefs has expired the 
hearing officer shall either make an initial decision or final decision, 
if so authorized, or certify the entire record including his recommended 
findings and proposed decision to the Secretary for a final decision and 
a copy of such initial, or final decision or certification shall be 
mailed to the applicant or recipient and other parties by the hearing 
clerk.



Sec.  15.137  Exceptions to initial or proposed decision.

    Within 30 days of the mailing of such notice of initial or 
recommended findings and proposed decision, the applicant or recipient 
and other parties may file with the hearing clerk for consideration by 
the Secretary exceptions to the initial or recommended findings and 
proposed decision, with reasons therefor. Each party will be given 
reasonable opportunity to file briefs or other written statements of 
contentions in which the party may request that the decision be 
modified, reversed, affirmed or adopted.



Sec.  15.138  Review of initial decision.

    In the absence of exceptions to an initial decision, the Secretary 
may on his own motion within 45 days after an initial decision serve 
upon the parties a notice that he will review the decision and will give 
the parties reasonable opportunity to file briefs or other written 
statements of contentions. At the expiration of said time for filing 
briefs, the Secretary will review the initial decision and issue a final 
decision thereon. In the absence of either exceptions to an initial 
decision or a notice or review, the initial decision shall constitute 
the final decision of the Secretary.



Sec.  15.139  Oral argument.

    If any party desires to argue orally before the Secretary on the 
review of recommended findings and proposed decision, or an initial 
decision, he shall so state at the time he files his exceptions or 
brief. The Secretary may grant

[[Page 453]]

such request in his discretion. If granted, he will serve notice of oral 
argument on all parties and will set forth the order of presentation and 
the amount of time allotted, and the time and place of argument.



Sec.  15.140  Service of decisions.

    All final decisions shall be promptly served on all parties and the 
complainant.



Sec.  15.141  Contents of decision.

    Each decision of a hearing officer shall set forth his ruling on 
each finding, conclusion, or exception presented, and shall identify the 
requirement or requirements imposed by or pursuant to the regulations in 
this part with which it is found that the applicant or recipient has 
failed to comply.



Sec.  15.142  Content of orders.

    The final decision may provide for suspension or termination of, or 
refusal to grant or continue Federal financial assistance, in whole or 
in part, under the program involved, and may contain such terms, 
conditions, and other provisions as are consistent with and will 
effectuate the purposes of the Act and the regulations in this part, 
including provisions designed to assure that no Federal financial 
assistance will thereafter be extended under such program to the 
applicant or recipient determined by such decision to be in default in 
its performance of an assurance given by it pursuant to the regulations 
in this part, or to have otherwise failed to comply with the regulations 
in this part, unless and until it corrects its noncompliance and 
satisfies the Agency that it will fully comply with the regulations in 
this part.



Sec.  15.143  Decision where financial assistance affected.

    The Secretary shall make any final decision which provides for the 
suspension or termination of, or the refusal to grant or continue 
Federal financial assistance, or the imposition of any other sanction 
available under the regulations in this part or the Act.



PART 15a_EDUCATION PROGRAMS OR ACTIVITIES RECEIVING OR BENEFITTING 
FROM FEDERAL FINANCIAL ASSISTANCE--Table of Contents



                         Subpart A_Introduction

Sec.
15a.100 Purpose.
15a.105 Definitions.
15a.110 Remedial and affirmative action and self-evaluation.
15a.115 Assurance required.
15a.120 Transfers of property.
15a.125 Effect of other requirements.
15a.130 Effect of employment opportunities.
15a.135 Designation of responsible employee and adoption of grievance 
          procedures.
15a.140 Dissemination of policy.

                           Subpart B_Coverage

15a.200 Application.
15a.205 Educational institutions and other entities controlled by 
          religious organizations.
15a.210 Military and merchant marine educational institutions.
15a.215 Membership practices of certain organizations.
15a.220 Admissions.
15a.225 Educational institutions eligible to submit transition plans.
15a.230 Transition plans.
15a.235 Statutory amendments.

     Subpart C_Discrimination on the Basis of Sex in Admission and 
                         Recruitment Prohibited

15a.300 Admission.
15a.305 Preference in admission.
15a.310 Recruitment.

 Subpart D_Discrimination on the Basis of Sex in Education Programs or 
                          Activities Prohibited

15a.400 Education programs or activities.
15a.405 Housing.
15a.410 Comparable facilities.
15a.415 Access to course offerings.
15a.420 Access to schools operated by LEAs.
15a.425 Counseling and use of appraisal and counseling materials.
15a.430 Financial assistance.
15a.435 Employment assistance to students.
15a.440 Health and insurance benefits and services.
15a.445 Marital or parental status.
15a.450 Athletics.

[[Page 454]]

15a.455 Textbooks and curricular material.

Subpart E_Discrimination on the Basis of Sex in Employment in Education 
                    Programs or Activities Prohibited

15a.500 Employment.
15a.505 Employment criteria.
15a.510 Recruitment.
15a.515 Compensation.
15a.520 Job classification and structure.
15a.525 Fringe benefits.
15a.530 Marital or parental status.
15a.535 Effect of state or local law or other requirements.
15a.540 Advertising.
15a.545 Pre-employment inquiries.
15a.550 Sex as a bona fide occupational qualification.

                       Subpart F_Other Provisions

15a.605 Enforcement procedures.

    Authority: 20 U.S.C. 1681, 1682, 1683, 1685, 1686, 1687, 1688; 42 
U.S.C. 7101 et seq.; and 50 U.S.C. 2401 et seq.

    Source: 82 FR 46656, Oct. 6, 2017, unless otherwise noted.



                         Subpart A_Introduction



Sec.  15a.100  Purpose.

    The purpose of this part is to effectuate Title IX of the Education 
Amendments of 1972, as amended (except sections 904 and 906 of those 
Amendments) (20 U.S.C. 1681, 1682, 1683, 1685, 1686, 1687, 1688), which 
is designed to eliminate (with certain exceptions) discrimination on the 
basis of sex in any education program or activity receiving Federal 
financial assistance, whether or not such program or activity is offered 
or sponsored by an educational institution as defined in this part.



Sec.  15a.105  Definitions.

    As used in this part, the term:
    Administratively separate unit means a school, department, or 
college of an educational institution (other than a local educational 
agency) admission to which is independent of admission to any other 
component of such institution.
    Admission means selection for part-time, full-time, special, 
associate, transfer, exchange, or any other enrollment, membership, or 
matriculation in or at an education program or activity operated by a 
recipient.
    Applicant means one who submits an application, request, or plan 
required to be approved by an official of the Federal agency that awards 
Federal financial assistance, or by a recipient, as a condition to 
becoming a recipient.
    Designated agency official means the Secretary of Agriculture or any 
officer or employees of the Department to whom the Secretary has 
heretofore delegated, or to whom the Secretary may hereafter delegate, 
the authority to act for the Secretary under the regulations in this 
part.
    Educational institution means a local educational agency (LEA) as 
defined by 20 U.S.C. 8801(18), a preschool, a private elementary or 
secondary school, or an applicant or recipient that is an institution of 
graduate higher education, an institution of undergraduate higher 
education, an institution of professional education, or an institution 
of vocational education, as defined in this section.
    Federal financial assistance means any of the following, when 
authorized or extended under a law administered by the Federal agency 
that awards such assistance:
    (1) A grant or loan of Federal financial assistance, including funds 
made available for:
    (i) The acquisition, construction, renovation, restoration, or 
repair of a building or facility or any portion thereof; and
    (ii) Scholarships, loans, grants, wages, or other funds extended to 
any entity for payment to or on behalf of students admitted to that 
entity, or extended directly to such students for payment to that 
entity.
    (2) A grant of Federal real or personal property or any interest 
therein, including surplus property, and the proceeds of the sale or 
transfer of such property, if the Federal share of the fair market value 
of the property is not, upon such sale or transfer, properly accounted 
for to the Federal Government.
    (3) Provision of the services of Federal personnel.
    (4) Sale or lease of Federal property or any interest therein at 
nominal consideration, or at consideration reduced for the purpose of 
assisting the recipient or in recognition of public interest

[[Page 455]]

to be served thereby, or permission to use Federal property or any 
interest therein without consideration.
    (5) Any other contract, agreement, or arrangement that has as one of 
its purposes the provision of assistance to any education program or 
activity, except a contract of insurance or guaranty.
    Institution of graduate higher education means an institution that:
    (1) Offers academic study beyond the bachelor of arts or bachelor of 
science degree, whether or not leading to a certificate of any higher 
degree in the liberal arts and sciences;
    (2) Awards any degree in a professional field beyond the first 
professional degree (regardless of whether the first professional degree 
in such field is awarded by an institution of undergraduate higher 
education or professional education); or
    (3) Awards no degree and offers no further academic study, but 
operates ordinarily for the purpose of facilitating research by persons 
who have received the highest graduate degree in any field of study.
    Institution of professional education means an institution (except 
any institution of undergraduate higher education) that offers a program 
of academic study that leads to a first professional degree in a field 
for which there is a national specialized accrediting agency recognized 
by the Secretary of Education.
    Institution of undergraduate higher education means:
    (1) An institution offering at least two but less than four years of 
college level study beyond the high school level, leading to a diploma 
or an associate degree, or wholly or principally creditable toward a 
baccalaureate degree; or
    (2) An institution offering academic study leading to a 
baccalaureate degree; or
    (3) An agency or body that certifies credentials or offers degrees, 
but that may or may not offer academic study.
    Institution of vocational education means a school or institution 
(except an institution of professional or graduate or undergraduate 
higher education) that has as its primary purpose preparation of 
students to pursue a technical, skilled, or semiskilled occupation or 
trade, or to pursue study in a technical field, whether or not the 
school or institution offers certificates, diplomas, or degrees and 
whether or not it offers full-time study.
    Recipient means any State or political subdivision thereof, or any 
instrumentality of a State or political subdivision thereof, any public 
or private agency, institution, or organization, or other entity, or any 
person, to whom Federal financial assistance is extended directly or 
through another recipient and that operates an education program or 
activity that receives such assistance, including any subunit, 
successor, assignee, or transferee thereof.
    Student means a person who has gained admission.
    Title IX means Title IX of the Education Amendments of 1972, Public 
Law 92-318, 86 Stat. 235, 373 (codified as amended at 20 U.S.C. 1681-
1688) (except sections 904 and 906 thereof), as amended by section 3 of 
Public Law 93-568, 88 Stat. 1855, by section 412 of the Education 
Amendments of 1976, Public Law 94-482, 90 Stat. 2234, and by Section 3 
of Public Law 100-259, 102 Stat. 28, 28-29 (20 U.S.C. 1681, 1682, 1683, 
1685, 1686, 1687, 1688).
    Transition plan means a plan subject to the approval of the 
Secretary of Education pursuant to section 901(a)(2) of the Education 
Amendments of 1972, 20 U.S.C. 1681(a)(2), under which an educational 
institution operates in making the transition from being an educational 
institution that admits only students of one sex to being one that 
admits students of both sexes without discrimination.



Sec.  15a.110  Remedial and affirmative action and self-evaluation.

    (a) Remedial action. If the designated agency official finds that a 
recipient has discriminated against persons on the basis of sex in an 
education program or activity, such recipient shall take such remedial 
action as the designated agency official deems necessary to overcome the 
effects of such discrimination.
    (b) Affirmative action. In the absence of a finding of 
discrimination on the basis of sex in an education program or

[[Page 456]]

activity, a recipient may take affirmative action consistent with law to 
overcome the effects of conditions that resulted in limited 
participation therein by persons of a particular sex. Nothing in this 
part shall be interpreted to alter any affirmative action obligations 
that a recipient may have under Executive Order 11246, 3 CFR, 1964-1965 
Comp., p. 339; as amended by Executive Order 11375, 3 CFR, 1966-1970 
Comp., p. 684; as amended by Executive Order 11478, 3 CFR, 1966-1970 
Comp., p. 803; as amended by Executive Order 12086, 3 CFR, 1978 Comp., 
p. 230; as amended by Executive Order 12107, 3 CFR, 1978 Comp., p. 264.
    (c) Self-evaluation. Each recipient education institution shall, 
within one year of the effective date of this part:
    (1) Evaluate, in terms of the requirements of this part, its current 
policies and practices and the effects thereof concerning admission of 
students, treatment of students, and employment of both academic and 
nonacademic personnel working in connection with the recipient's 
education program or activity;
    (2) Modify any of these policies and practices that do not or may 
not meet the requirements of this part; and
    (3) Take appropriate remedial steps to eliminate the effects of any 
discrimination that resulted or may have resulted from adherence to 
these policies and practices.
    (d) Availability of self-evaluation and related materials. 
Recipients shall maintain on file for at least three years following 
completion of the evaluation required under paragraph (c) of this 
section, and shall provide to the designated agency official upon 
request, a description of any modifications made pursuant to paragraph 
(c)(2) of this section and of any remedial steps taken pursuant to 
paragraph (c)(3) of this section.



Sec.  15a.115  Assurance required.

    (a) General. Either at the application stage or the award stage, 
Federal agencies must ensure that applications for Federal financial 
assistance or awards of Federal financial assistance contain, be 
accompanied by, or be covered by a specifically identified assurance 
from the applicant or recipient, satisfactory to the designated agency 
official, that each education program or activity operated by the 
applicant or recipient and to which this part applies will be operated 
in compliance with this part. An assurance of compliance with this part 
shall not be satisfactory to the designated agency official if the 
applicant or recipient to whom such assurance applies fails to commit 
itself to take whatever remedial action is necessary in accordance with 
Sec.  15a.110(a) to eliminate existing discrimination on the basis of 
sex or to eliminate the effects of past discrimination whether occurring 
prior to or subsequent to the submission to the designated agency 
official of such assurance.
    (b) Duration of obligation. (1) In the case of Federal financial 
assistance extended to provide real property or structures thereon, such 
assurance shall obligate the recipient or, in the case of a subsequent 
transfer, the transferee, for the period during which the real property 
or structures are used to provide an education program or activity.
    (2) In the case of Federal financial assistance extended to provide 
personal property, such assurance shall obligate the recipient for the 
period during which it retains ownership or possession of the property.
    (3) In all other cases such assurance shall obligate the recipient 
for the period during which Federal financial assistance is extended.
    (c) Form. (1) The assurances required by paragraph (a) of this 
section, which may be included as part of a document that addresses 
other assurances or obligations, shall include that the applicant or 
recipient will comply with all applicable Federal statutes relating to 
nondiscrimination. These include but are not limited to: Title IX of the 
Education Amendments of 1972, as amended (20 U.S.C. 1681-1683, 1685-
1688).
    (2) The designated agency official will specify the extent to which 
such assurances will be required of the applicant's or recipient's 
subgrantees, contractors, subcontractors, transferees, or successors in 
interest.



Sec.  15a.120  Transfers of property.

    If a recipient sells or otherwise transfers property financed in 
whole or in

[[Page 457]]

part with Federal financial assistance to a transferee that operates any 
education program or activity, and the Federal share of the fair market 
value of the property is not upon such sale or transfer properly 
accounted for to the Federal Government, both the transferor and the 
transferee shall be deemed to be recipients, subject to the provisions 
of Sec. Sec.  15a.205 through 15a.235(a).



Sec.  15a.125  Effect of other requirements.

    (a) Effect of other Federal provisions. The obligations imposed by 
this part are independent of, and do not alter, obligations not to 
discriminate on the basis of sex imposed by Executive Order 11246, 3 
CFR, 1964-1965 Comp., p. 339; as amended by Executive Order 11375, 3 
CFR, 1966-1970 Comp., p. 684; as amended by Executive Order 11478, 3 
CFR, 1966-1970 Comp., p. 803; as amended by Executive Order 12087, 3 
CFR, 1978 Comp., p. 230; as amended by Executive Order 12107, 3 CFR, 
1978 Comp., p. 264; sections 704 and 855 of the Public Health Service 
Act (42 U.S.C. 295m, 298b-2); Title VII of the Civil Rights Act of 1964 
(42 U.S.C. 2000e et seq.); the Equal Pay Act of 1963 (29 U.S.C. 206); 
and any other Act of Congress or Federal regulation.
    (b) Effect of State or local law or other requirements. The 
obligation to comply with this part is not obviated or alleviated by any 
State or local law or other requirement that would render any applicant 
or student ineligible, or limit the eligibility of any applicant or 
student, on the basis of sex, to practice any occupation or profession.
    (c) Effect of rules or regulations of private organizations. The 
obligation to comply with this part is not obviated or alleviated by any 
rule or regulation of any organization, club, athletic or other league, 
or association that would render any applicant or student ineligible to 
participate or limit the eligibility or participation of any applicant 
or student, on the basis of sex, in any education program or activity 
operated by a recipient and that receives Federal financial assistance.



Sec.  15a.130  Effect of employment opportunities.

    The obligation to comply with this part is not obviated or 
alleviated because employment opportunities in any occupation or 
profession are or may be more limited for members of one sex than for 
members of the other sex.



Sec.  15a.135  Designation of responsible employee and adoption of 
grievance procedures.

    (a) Designation of responsible employee. Each recipient shall 
designate at least one employee to coordinate its efforts to comply with 
and carry out its responsibilities under this part, including any 
investigation of any complaint communicated to such recipient alleging 
its noncompliance with this part or alleging any actions that would be 
prohibited by this part. The recipient shall notify all its students and 
employees of the name, office address, and telephone number of the 
employee or employees appointed pursuant to this paragraph.
    (b) Complaint procedure of recipient. A recipient shall adopt and 
publish grievance procedures providing for prompt and equitable 
resolution of student and employee complaints alleging any action that 
would be prohibited by this part.



Sec.  15a.140  Dissemination of policy.

    (a) Notification of policy. (1) Each recipient shall implement 
specific and continuing steps to notify applicants for admission and 
employment, students and parents of elementary and secondary school 
students, employees, sources of referral of applicants for admission and 
employment, and all unions or professional organizations holding 
collective bargaining or professional agreements with the recipient, 
that it does not discriminate on the basis of sex in the educational 
programs or activities that it operates, and that it is required by 
Title IX and this part not to discriminate in such a manner. Such 
notification shall contain such information, and be made in such manner, 
as the designated agency official finds necessary to apprise such 
persons of the protections against discrimination assured them by Title 
IX and this part, but shall state at least

[[Page 458]]

that the requirement not to discriminate in education programs or 
activities extends to employment therein, and to admission thereto 
unless Sec. Sec.  15a.300 through 15a.310 do not apply to the recipient, 
and that inquiries concerning the application of Title IX and this part 
to such recipient may be referred to the employee designated pursuant to 
Sec.  15a.135, or to the designated agency official.
    (2) Each recipient shall make the initial notification required by 
paragraph (a)(1) of this section within 90 days of the date this part 
first applies to such recipient, which notification shall include 
publication in:
    (i) Newspapers and magazines operated by such recipient or by 
student, alumnae, or alumni groups for or in connection with such 
recipient; and
    (ii) Memoranda or other written communications distributed to every 
student and employee of such recipient.
    (b) Publications. (1) Each recipient shall prominently include a 
statement of the policy described in paragraph (a) of this section in 
each announcement, bulletin, catalog, or application form that it makes 
available to any person of a type, described in paragraph (a) of this 
section, or which is otherwise used in connection with the recruitment 
of students or employees.
    (2) A recipient shall not use or distribute a publication of the 
type described in paragraph (b)(1) of this section that suggests, by 
text or illustration, that such recipient treats applicants, students, 
or employees differently on the basis of sex except as such treatment is 
permitted by this part.
    (c) Distribution. Each recipient shall distribute without 
discrimination on the basis of sex each publication described in 
paragraph (b)(1) of this section, and shall apprise each of its 
admission and employment recruitment representatives of the policy of 
nondiscrimination described in paragraph (a) of this section, and shall 
require such representatives to adhere to such policy.



                           Subpart B_Coverage



Sec.  15a.200  Application.

    Except as provided in Sec. Sec.  15a.205 through 15a.235(a), this 
part applies to every recipient and to each education program or 
activity operated by such recipient that receives Federal financial 
assistance.



Sec.  15a.205  Educational institutions and other entities controlled 
by religious organizations.

    (a) Exemption. This part does not apply to any operation of an 
educational institution or other entity that is controlled by a 
religious organization to the extent that application of this part would 
not be consistent with the religious tenets of such organization.
    (b) Exemption claims. An educational institution or other entity 
that wishes to claim the exemption set forth in paragraph (a) of this 
section shall do so by submitting in writing to the designated agency 
official a statement by the highest-ranking official of the institution, 
identifying the provisions of this part that conflict with a specific 
tenet of the religious organization.



Sec.  15a.210  Military and merchant marine educational institutions.

    This part does not apply to an educational institution whose primary 
purpose is the training of individuals for a military service of the 
United States or for the merchant marine.



Sec.  15a.215  Membership practices of certain organizations.

    (a) Social fraternities and sororities. This part does not apply to 
the membership practices of social fraternities and sororities that are 
exempt from taxation under section 501(a) of the Internal Revenue Code 
of 1954, 26 U.S.C. 501(a), the active membership of which consists 
primarily of students in attendance at institutions of higher education.
    (b) YMCA, YWCA, Girl Scouts, Boy Scouts, and Camp Fire Girls. This 
part does not apply to the membership practices of the Young Men's 
Christian Association (YMCA), the Young Women's Christian Association 
(YWCA), the Girl

[[Page 459]]

Scouts, the Boy Scouts, and Camp Fire Girls.
    (c) Voluntary youth service organizations. This part does not apply 
to the membership practices of a voluntary youth service organization 
that is exempt from taxation under section 501(a) of the Internal 
Revenue Code of 1954, 26 U.S.C. 501(a), and the membership of which has 
been traditionally limited to members of one sex and principally to 
persons of less than nineteen years of age.



Sec.  15a.220  Admissions.

    (a) Admissions to educational institutions prior to June 24, 1973, 
are not covered by this part.
    (b) Administratively separate units. For the purposes only of this 
section, Sec. Sec.  15a.225 and 15a.230, and Sec. Sec.  15a.300 through 
15a.310, each administratively separate unit shall be deemed to be an 
educational institution.
    (c) Application of Sec. Sec.  15a.300 through 15a.310. Except as 
provided in paragraphs (d) and (e) of this section, Sec. Sec.  15a.300 
through 15a.310 apply to each recipient. A recipient to which Sec. Sec.  
15a.300 through 15a.310 apply shall not discriminate on the basis of sex 
in admission or recruitment in violation of Sec. Sec.  15a.300 through 
15a.310.
    (d) Educational institutions. Except as provided in paragraph (e) of 
this section as to recipients that are educational institutions, 
Sec. Sec.  15a.300 through 15a.310 apply only to institutions of 
vocational education, professional education, graduate higher education, 
and public institutions of undergraduate higher education.
    (e) Public institutions of undergraduate higher education. Sections 
15a.300 through 15a.310 do not apply to any public institution of 
undergraduate higher education that traditionally and continually from 
its establishment has had a policy of admitting students of only one 
sex.



Sec.  15a.225  Educational institutions eligible to submit transition plans.

    (a) Application. This section applies to each educational 
institution to which Sec. Sec.  15a.300 through 15a.310 apply that:
    (1) Admitted students of only one sex as regular students as of June 
23, 1972; or
    (2) Admitted students of only one sex as regular students as of June 
23, 1965, but thereafter admitted, as regular students, students of the 
sex not admitted prior to June 23, 1965.
    (b) Provision for transition plans. An educational institution to 
which this section applies shall not discriminate on the basis of sex in 
admission or recruitment in violation of Sec. Sec.  15a.300 through 
15a.310.



Sec.  15a.230  Transition plans.

    (a) Submission of plans. An institution to which Sec.  15a.225 
applies and that is composed of more than one administratively separate 
unit may submit either a single transition plan applicable to all such 
units, or a separate transition plan applicable to each such unit.
    (b) Content of plans. In order to be approved by the Secretary of 
Education, a transition plan shall:
    (1) State the name, address, and Federal Interagency Committee on 
Education Code of the educational institution submitting such plan, the 
administratively separate units to which the plan is applicable, and the 
name, address, and telephone number of the person to whom questions 
concerning the plan may be addressed. The person who submits the plan 
shall be the chief administrator or president of the institution, or 
another individual legally authorized to bind the institution to all 
actions set forth in the plan.
    (2) State whether the educational institution or administratively 
separate unit admits students of both sexes as regular students and, if 
so, when it began to do so.
    (3) Identify and describe with respect to the educational 
institution or administratively separate unit any obstacles to admitting 
students without discrimination on the basis of sex.
    (4) Describe in detail the steps necessary to eliminate as soon as 
practicable each obstacle so identified and indicate the schedule for 
taking these steps and the individual directly responsible for their 
implementation.
    (5) Include estimates of the number of students, by sex, expected to 
apply for, be admitted to, and enter each

[[Page 460]]

class during the period covered by the plan.
    (c) Nondiscrimination. No policy or practice of a recipient to which 
Sec.  15a.225 applies shall result in treatment of applicants to or 
students of such recipient in violation of Sec. Sec.  15a.300 through 
15a.310 unless such treatment is necessitated by an obstacle identified 
in paragraph (b)(3) of this section and a schedule for eliminating that 
obstacle has been provided as required by paragraph (b)(4) of this 
section.
    (d) Effects of past exclusion. To overcome the effects of past 
exclusion of students on the basis of sex, each educational institution 
to which Sec.  15a.225 applies shall include in its transition plan, and 
shall implement, specific steps designed to encourage individuals of the 
previously excluded sex to apply for admission to such institution. Such 
steps shall include instituting recruitment programs that emphasize the 
institution's commitment to enrolling students of the sex previously 
excluded.



Sec.  15a.235  Statutory amendments.

    (a) This section, which applies to all provisions of this part, 
addresses statutory amendments to Title IX.
    (b) This part shall not apply to or preclude:
    (1) Any program or activity of the American Legion undertaken in 
connection with the organization or operation of any Boys State 
conference, Boys Nation conference, Girls State conference, or Girls 
Nation conference;
    (2) Any program or activity of a secondary school or educational 
institution specifically for:
    (i) The promotion of any Boys State conference, Boys Nation 
conference, Girls State conference, or Girls Nation conference; or
    (ii) The selection of students to attend any such conference;
    (3) Father-son or mother-daughter activities at an educational 
institution or in an education program or activity, but if such 
activities are provided for students of one sex, opportunities for 
reasonably comparable activities shall be provided to students of the 
other sex;
    (4) Any scholarship or other financial assistance awarded by an 
institution of higher education to an individual because such individual 
has received such award in a single-sex pageant based upon a combination 
of factors related to the individual's personal appearance, poise, and 
talent. The pageant, however, must comply with other nondiscrimination 
provisions of Federal law.
    (c) Program or activity or program means:
    (1) All of the operations of any entity described in paragraphs 
(c)(1)(i) through (iv) of this section, any part of which is extended 
Federal financial assistance:
    (i)(A) A department, agency, special purpose district, or other 
instrumentality of a State or of a local government; or
    (B) The entity of such State or local government that distributes 
such assistance and each such department or agency (and each other State 
or local government entity) to which the assistance is extended, in the 
case of assistance to a State or local government;
    (ii)(A) A college, university, or other postsecondary institution, 
or a public system of higher education; or
    (B) A local educational agency (as defined in section 8801 of title 
20), system of vocational education, or other school system;
    (iii)(A) An entire corporation, partnership, or other private 
organization, or an entire sole proprietorship--
    (1) If assistance is extended to such corporation, partnership, 
private organization, or sole proprietorship as a whole; or
    (2) Which is principally engaged in the business of providing 
education, health care, housing, social services, or parks and 
recreation; or
    (B) The entire plant or other comparable, geographically separate 
facility to which Federal financial assistance is extended, in the case 
of any other corporation, partnership, private organization, or sole 
proprietorship; or
    (iv) Any other entity that is established by two or more of the 
entities described in paragraphs (c)(1)(i), (ii), or (iii) of this 
section.
    (2)(i) Program or activity does not include any operation of an 
entity that is controlled by a religious organization

[[Page 461]]

if the application of 20 U.S.C. 1681 to such operation would not be 
consistent with the religious tenets of such organization.
    (ii) For example, all of the operations of a college, university, or 
other postsecondary institution, including but not limited to 
traditional educational operations, faculty and student housing, campus 
shuttle bus service, campus restaurants, the bookstore, and other 
commercial activities are part of a ``program or activity'' subject to 
this part if the college, university, or other institution receives 
Federal financial assistance.
    (d)(1) Nothing in this part shall be construed to require or 
prohibit any person, or public or private entity, to provide or pay for 
any benefit or service, including the use of facilities, related to an 
abortion. Medical procedures, benefits, services, and the use of 
facilities, necessary to save the life of a pregnant woman or to address 
complications related to an abortion are not subject to this section.
    (2) Nothing in this section shall be construed to permit a penalty 
to be imposed on any person or individual because such person or 
individual is seeking or has received any benefit or service related to 
a legal abortion. Accordingly, subject to paragraph (d)(1) of this 
section, no person shall be excluded from participation in, be denied 
the benefits of, or be subjected to discrimination under any academic, 
extracurricular, research, occupational training, employment, or other 
educational program or activity operated by a recipient that receives 
Federal financial assistance because such individual has sought or 
received, or is seeking, a legal abortion, or any benefit or service 
related to a legal abortion.



     Subpart C_Discrimination on the Basis of Sex in Admission and 
                         Recruitment Prohibited



Sec.  15a.300  Admission.

    (a) General. No person shall, on the basis of sex, be denied 
admission, or be subjected to discrimination in admission, by any 
recipient to which Sec. Sec.  15a.300 through 15a.310 apply, except as 
provided in Sec. Sec.  15a.225 and 15a.230.
    (b) Specific prohibitions. (1) In determining whether a person 
satisfies any policy or criterion for admission, or in making any offer 
of admission, a recipient to which Sec. Sec.  15a.300 through 15a.310 
apply shall not:
    (i) Give preference to one person over another on the basis of sex, 
by ranking applicants separately on such basis, or otherwise;
    (ii) Apply numerical limitations upon the number or proportion of 
persons of either sex who may be admitted; or
    (iii) Otherwise treat one individual differently from another on the 
basis of sex.
    (2) A recipient shall not administer or operate any test or other 
criterion for admission that has a disproportionately adverse effect on 
persons on the basis of sex unless the use of such test or criterion is 
shown to predict validly success in the education program or activity in 
question and alternative tests or criteria that do not have such a 
disproportionately adverse effect are shown to be unavailable.
    (c) Prohibitions relating to marital or parental status. In 
determining whether a person satisfies any policy or criterion for 
admission, or in making any offer of admission, a recipient to which 
Sec. Sec.  15a.300 through 15a.310 apply:
    (1) Shall not apply any rule concerning the actual or potential 
parental, family, or marital status of a student or applicant that 
treats persons differently on the basis of sex;
    (2) Shall not discriminate against or exclude any person on the 
basis of pregnancy, childbirth, termination of pregnancy, or recovery 
therefrom, or establish or follow any rule or practice that so 
discriminates or excludes;
    (3) Subject to Sec.  15a.235(d), shall treat disabilities related to 
pregnancy, childbirth, termination of pregnancy, or recovery therefrom 
in the same manner and under the same policies as any other temporary 
disability or physical condition; and
    (4) Shall not make pre-admission inquiry as to the marital status of 
an applicant for admission, including whether such applicant is ``Miss'' 
or ``Mrs.'' A recipient may make pre-admission inquiry as to the sex of 
an applicant for admission, but only if such inquiry is made equally of 
such applicants of both

[[Page 462]]

sexes and if the results of such inquiry are not used in connection with 
discrimination prohibited by this part.



Sec.  15a.305  Preference in admission.

    A recipient to which Sec. Sec.  15a.300 through 15a.310 apply shall 
not give preference to applicants for admission, on the basis of 
attendance at any educational institution or other school or entity that 
admits as students only or predominantly members of one sex, if the 
giving of such preference has the effect of discriminating on the basis 
of sex in violation of Sec. Sec.  15a.300 through 15a.310.



Sec.  15a.310  Recruitment.

    (a) Nondiscriminatory recruitment. A recipient to which Sec. Sec.  
15a.300 through 15a.310 apply shall not discriminate on the basis of sex 
in the recruitment and admission of students. A recipient may be 
required to undertake additional recruitment efforts for one sex as 
remedial action pursuant to Sec.  15a.110(a), and may choose to 
undertake such efforts as affirmative action pursuant to Sec.  
15a.110(b).
    (b) Recruitment at certain institutions. A recipient to which 
Sec. Sec.  15a.300 through 15a.310 apply shall not recruit primarily or 
exclusively at educational institutions, schools, or entities that admit 
as students only or predominantly members of one sex, if such actions 
have the effect of discriminating on the basis of sex in violation of 
Sec. Sec.  15a.300 through 15a.310.



 Subpart D_Discrimination on the Basis of Sex in Education Programs or 
                          Activities Prohibited



Sec.  15a.400  Education programs or activities.

    (a) General. Except as provided elsewhere in this part, no person 
shall, on the basis of sex, be excluded from participation in, be denied 
the benefits of, or be subjected to discrimination under any academic, 
extracurricular, research, occupational training, or other education 
program or activity operated by a recipient that receives Federal 
financial assistance. Sections 15a.400 through 15a.455 do not apply to 
actions of a recipient in connection with admission of its students to 
an education program or activity of a recipient to which Sec. Sec.  
15a.300 through 15a.310 do not apply, or an entity, not a recipient, to 
which Sec. Sec.  15a.300 through 15a.310 would not apply if the entity 
were a recipient.
    (b) Specific prohibitions. Except as provided in Sec. Sec.  15a.400 
through 15a.455, in providing any aid, benefit, or service to a student, 
a recipient shall not, on the basis of sex:
    (1) Treat one person differently from another in determining whether 
such person satisfies any requirement or condition for the provision of 
such aid, benefit, or service;
    (2) Provide different aid, benefits, or services or provide aid, 
benefits, or services in a different manner;
    (3) Deny any person any such aid, benefit, or service;
    (4) Subject any person to separate or different rules of behavior, 
sanctions, or other treatment;
    (5) Apply any rule concerning the domicile or residence of a student 
or applicant, including eligibility for instate fees and tuition;
    (6) Aid or perpetuate discrimination against any person by providing 
significant assistance to any agency, organization, or person that 
discriminates on the basis of sex in providing any aid, benefit, or 
service to students or employees;
    (7) Otherwise limit any person in the enjoyment of any right, 
privilege, advantage, or opportunity.
    (c) Assistance administered by a recipient educational institution 
to study at a foreign institution. A recipient educational institution 
may administer or assist in the administration of scholarships, 
fellowships, or other awards established by foreign or domestic wills, 
trusts, or similar legal instruments, or by acts of foreign governments 
and restricted to members of one sex, that are designed to provide 
opportunities to study abroad, and that are awarded to students who are 
already matriculating at or who are graduates of the recipient 
institution; Provided, that a recipient educational institution that 
administers or assists in the administration of such scholarships, 
fellowships, or other awards that are restricted to members of one sex 
provides, or otherwise makes available, reasonable opportunities for 
similar

[[Page 463]]

studies for members of the other sex. Such opportunities may be derived 
from either domestic or foreign sources.
    (d) Aids, benefits or services not provided by recipient. (1) This 
paragraph (d) applies to any recipient that requires participation by 
any applicant, student, or employee in any education program or activity 
not operated wholly by such recipient, or that facilitates, permits, or 
considers such participation as part of or equivalent to an education 
program or activity operated by such recipient, including participation 
in educational consortia and cooperative employment and student-teaching 
assignments.
    (2) Such recipient:
    (i) Shall develop and implement a procedure designed to assure 
itself that the operator or sponsor of such other education program or 
activity takes no action affecting any applicant, student, or employee 
of such recipient that this part would prohibit such recipient from 
taking; and
    (ii) Shall not facilitate, require, permit, or consider such 
participation if such action occurs.



Sec.  15a.405  Housing.

    (a) Generally. A recipient shall not, on the basis of sex, apply 
different rules or regulations, impose different fees or requirements, 
or offer different services or benefits related to housing, except as 
provided in this section (including housing provided only to married 
students).
    (b) Housing provided by recipient. (1) A recipient may provide 
separate housing on the basis of sex.
    (2) Housing provided by a recipient to students of one sex, when 
compared to that provided to students of the other sex, shall be as a 
whole:
    (i) Proportionate in quantity to the number of students of that sex 
applying for such housing; and
    (ii) Comparable in quality and cost to the student.
    (c) Other housing. (1) A recipient shall not, on the basis of sex, 
administer different policies or practices concerning occupancy by its 
students of housing other than that provided by such recipient.
    (2)(i) A recipient which, through solicitation, listing, approval of 
housing, or otherwise, assists any agency, organization, or person in 
making housing available to any of its students, shall take such 
reasonable action as may be necessary to assure itself that such housing 
as is provided to students of one sex, when compared to that provided to 
students of the other sex, is as a whole:
    (A) Proportionate in quantity; and
    (B) Comparable in quality and cost to the student.
    (ii) A recipient may render such assistance to any agency, 
organization, or person that provides all or part of such housing to 
students of only one sex.



Sec.  15a.410  Comparable facilities.

    A recipient may provide separate toilet, locker room, and shower 
facilities on the basis of sex, but such facilities provided for 
students of one sex shall be comparable to such facilities provided for 
students of the other sex.



Sec.  15a.415  Access to course offerings.

    (a) A recipient shall not provide any course or otherwise carry out 
any of its education program or activity separately on the basis of sex, 
or require or refuse participation therein by any of its students on 
such basis, including health, physical education, industrial, business, 
vocational, technical, home economics, music, and adult education 
courses.
    (b)(1) With respect to classes and activities in physical education 
at the elementary school level, the recipient shall comply fully with 
this section as expeditiously as possible but in no event later than one 
year from the effective date of these regulations. With respect to 
physical education classes and activities at the secondary and post-
secondary levels, the recipient shall comply fully with this section as 
expeditiously as possible but in no event later than three years from 
the effective date of these regulations.
    (2) This section does not prohibit grouping of students in physical 
education classes and activities by ability as assessed by objective 
standards of individual performance developed and applied without regard 
to sex.

[[Page 464]]

    (3) This section does not prohibit separation of students by sex 
within physical education classes or activities during participation in 
wrestling, boxing, rugby, ice hockey, football, basketball, and other 
sports the purpose or major activity of which involves bodily contact.
    (4) Where use of a single standard of measuring skill or progress in 
a physical education class has an adverse effect on members of one sex, 
the recipient shall use appropriate standards that do not have such 
effect.
    (5) Portions of classes in elementary and secondary schools, or 
portions of education programs or activities, that deal exclusively with 
human sexuality may be conducted in separate sessions for boys and 
girls.
    (6) Recipients may make requirements based on vocal range or quality 
that may result in a chorus or choruses of one or predominantly one sex.



Sec.  15a.420  Access to schools operated by LEAs.

    A recipient that is a local educational agency shall not, on the 
basis of sex, exclude any person from admission to:
    (a) Any institution of vocational education operated by such 
recipient; or
    (b) Any other school or educational unit operated by such recipient, 
unless such recipient otherwise makes available to such person, pursuant 
to the same policies and criteria of admission, courses, services, and 
facilities comparable to each course, service, and facility offered in 
or through such schools.



Sec.  15a.425  Counseling and use of appraisal and counseling materials.

    (a) Counseling. A recipient shall not discriminate against any 
person on the basis of sex in the counseling or guidance of students or 
applicants for admission.
    (b) Use of appraisal and counseling materials. A recipient that uses 
testing or other materials for appraising or counseling students shall 
not use different materials for students on the basis of their sex or 
use materials that permit or require different treatment of students on 
such basis unless such different materials cover the same occupations 
and interest areas and the use of such different materials is shown to 
be essential to eliminate sex bias. Recipients shall develop and use 
internal procedures for ensuring that such materials do not discriminate 
on the basis of sex. Where the use of a counseling test or other 
instrument results in a substantially disproportionate number of members 
of one sex in any particular course of study or classification, the 
recipient shall take such action as is necessary to assure itself that 
such disproportion is not the result of discrimination in the instrument 
or its application.
    (c) Disproportion in classes. Where a recipient finds that a 
particular class contains a substantially disproportionate number of 
individuals of one sex, the recipient shall take such action as is 
necessary to assure itself that such disproportion is not the result of 
discrimination on the basis of sex in counseling or appraisal materials 
or by counselors.



Sec.  15a.430  Financial assistance.

    (a) General. Except as provided in paragraphs (b) and (c) of this 
section, in providing financial assistance to any of its students, a 
recipient shall not:
    (1) On the basis of sex, provide different amounts or types of such 
assistance, limit eligibility for such assistance that is of any 
particular type or source, apply different criteria, or otherwise 
discriminate;
    (2) Through solicitation, listing, approval, provision of 
facilities, or other services, assist any foundation, trust, agency, 
organization, or person that provides assistance to any of such 
recipient's students in a manner that discriminates on the basis of sex; 
or
    (3) Apply any rule or assist in application of any rule concerning 
eligibility for such assistance that treats persons of one sex 
differently from persons of the other sex with regard to marital or 
parental status.
    (b) Financial aid established by certain legal instruments. (1) A 
recipient may administer or assist in the administration of 
scholarships, fellowships, or other forms of financial assistance 
established pursuant to domestic or foreign wills, trusts, bequests, or 
similar

[[Page 465]]

legal instruments or by acts of a foreign government that require that 
awards be made to members of a particular sex specified therein; 
Provided, that the overall effect of the award of such sex-restricted 
scholarships, fellowships, and other forms of financial assistance does 
not discriminate on the basis of sex.
    (2) To ensure nondiscriminatory awards of assistance as required in 
paragraph (b)(1) of this section, recipients shall develop and use 
procedures under which:
    (i) Students are selected for award of financial assistance on the 
basis of nondiscriminatory criteria and not on the basis of availability 
of funds restricted to members of a particular sex;
    (ii) An appropriate sex-restricted scholarship, fellowship, or other 
form of financial assistance is allocated to each student selected under 
paragraph (b)(2)(i) of this section; and
    (iii) No student is denied the award for which he or she was 
selected under paragraph (b)(2)(i) of this section because of the 
absence of a scholarship, fellowship, or other form of financial 
assistance designated for a member of that student's sex.
    (c) Athletic scholarships. (1) To the extent that a recipient awards 
athletic scholarships or grants-in-aid, it must provide reasonable 
opportunities for such awards for members of each sex in proportion to 
the number of students of each sex participating in interscholastic or 
intercollegiate athletics.
    (2) A recipient may provide separate athletic scholarships or 
grants-in-aid for members of each sex as part of separate athletic teams 
for members of each sex to the extent consistent with this paragraph (c) 
and Sec.  15a.450.



Sec.  15a.435  Employment assistance to students.

    (a) Assistance by recipient in making available outside employment. 
A recipient that assists any agency, organization, or person in making 
employment available to any of its students:
    (1) Shall assure itself that such employment is made available 
without discrimination on the basis of sex; and
    (2) Shall not render such services to any agency, organization, or 
person that discriminates on the basis of sex in its employment 
practices.
    (b) Employment of students by recipients. A recipient that employs 
any of its students shall not do so in a manner that violates Sec. Sec.  
15a.500 through 15a.550.



Sec.  15a.440  Health and insurance benefits and services.

    Subject to Sec.  15a.235(d), in providing a medical, hospital, 
accident, or life insurance benefit, service, policy, or plan to any of 
its students, a recipient shall not discriminate on the basis of sex, or 
provide such benefit, service, policy, or plan in a manner that would 
violate Sec. Sec.  15a.500 through 15a.550 if it were provided to 
employees of the recipient. This section shall not prohibit a recipient 
from providing any benefit or service that may be used by a different 
proportion of students of one sex than of the other, including family 
planning services. However, any recipient that provides full coverage 
health service shall provide gynecological care.



Sec.  15a.445  Marital or parental status.

    (a) Status generally. A recipient shall not apply any rule 
concerning a student's actual or potential parental, family, or marital 
status that treats students differently on the basis of sex.
    (b) Pregnancy and related conditions. (1) A recipient shall not 
discriminate against any student, or exclude any student from its 
education program or activity, including any class or extracurricular 
activity, on the basis of such student's pregnancy, childbirth, false 
pregnancy, termination of pregnancy, or recovery therefrom, unless the 
student requests voluntarily to participate in a separate portion of the 
program or activity of the recipient.
    (2) A recipient may require such a student to obtain the 
certification of a physician that the student is physically and 
emotionally able to continue participation as long as such a 
certification is required of all students for other physical or 
emotional conditions requiring the attention of a physician.
    (3) A recipient that operates a portion of its education program or 
activity separately for pregnant students, admittance to which is 
completely voluntary on the part of the student as

[[Page 466]]

provided in paragraph (b)(1) of this section, shall ensure that the 
separate portion is comparable to that offered to non-pregnant students.
    (4) Subject to Sec.  15a.235(d), a recipient shall treat pregnancy, 
childbirth, false pregnancy, termination of pregnancy and recovery 
therefrom in the same manner and under the same policies as any other 
temporary disability with respect to any medical or hospital benefit, 
service, plan, or policy that such recipient administers, operates, 
offers, or participates in with respect to students admitted to the 
recipient's educational program or activity.
    (5) In the case of a recipient that does not maintain a leave policy 
for its students, or in the case of a student who does not otherwise 
qualify for leave under such a policy, a recipient shall treat 
pregnancy, childbirth, false pregnancy, termination of pregnancy, and 
recovery therefrom as a justification for a leave of absence for as long 
a period of time as is deemed medically necessary by the student's 
physician, at the conclusion of which the student shall be reinstated to 
the status that she held when the leave began.



Sec.  15a.450  Athletics.

    (a) General. No person shall, on the basis of sex, be excluded from 
participation in, be denied the benefits of, be treated differently from 
another person, or otherwise be discriminated against in any 
interscholastic, intercollegiate, club, or intramural athletics offered 
by a recipient, and no recipient shall provide any such athletics 
separately on such basis.
    (b) Separate teams. Notwithstanding the requirements of paragraph 
(a) of this section, a recipient may operate or sponsor separate teams 
for members of each sex where selection for such teams is based upon 
competitive skill or the activity involved is a contact sport. However, 
where a recipient operates or sponsors a team in a particular sport for 
members of one sex but operates or sponsors no such team for members of 
the other sex, and athletic opportunities for members of that sex have 
previously been limited, members of the excluded sex must be allowed to 
try out for the team offered unless the sport involved is a contact 
sport. For the purposes of this part, contact sports include boxing, 
wrestling, rugby, ice hockey, football, basketball, and other sports the 
purpose or major activity of which involves bodily contact.
    (c) Equal opportunity. (1) A recipient that operates or sponsors 
interscholastic, intercollegiate, club, or intramural athletics shall 
provide equal athletic opportunity for members of both sexes. In 
determining whether equal opportunities are available, the designated 
agency official will consider, among other factors:
    (i) Whether the selection of sports and levels of competition 
effectively accommodate the interests and abilities of members of both 
sexes;
    (ii) The provision of equipment and supplies;
    (iii) Scheduling of games and practice time;
    (iv) Travel and per diem allowance;
    (v) Opportunity to receive coaching and academic tutoring;
    (vi) Assignment and compensation of coaches and tutors;
    (vii) Provision of locker rooms, practice, and competitive 
facilities;
    (viii) Provision of medical and training facilities and services;
    (ix) Provision of housing and dining facilities and services;
    (x) Publicity.
    (2) For purposes of paragraph (c)(1) of this section, unequal 
aggregate expenditures for members of each sex or unequal expenditures 
for male and female teams if a recipient operates or sponsors separate 
teams will not constitute noncompliance with this section, but the 
designated agency official may consider the failure to provide necessary 
funds for teams for one sex in assessing equality of opportunity for 
members of each sex.
    (d) Adjustment period. A recipient that operates or sponsors 
interscholastic, intercollegiate, club, or intramural athletics at the 
elementary school level shall comply fully with this section as 
expeditiously as possible but in no event later than one year from the 
effective date of these regulations. A recipient that operates or 
sponsors interscholastic, intercollegiate, club, or intramural athletics 
at the secondary or postsecondary school level shall comply fully with 
this section as

[[Page 467]]

expeditiously as possible but in no event later than three years from 
the effective date of these regulations.



Sec.  15a.455  Textbooks and curricular material.

    Nothing in this part shall be interpreted as requiring or 
prohibiting or abridging in any way the use of particular textbooks or 
curricular materials.



Subpart E_Discrimination on the Basis of Sex in Employment in Education 
                    Programs or Activities Prohibited



Sec.  15a.500  Employment.

    (a) General. (1) No person shall, on the basis of sex, be excluded 
from participation in, be denied the benefits of, or be subjected to 
discrimination in employment, or recruitment, consideration, or 
selection therefor, whether full-time or part-time, under any education 
program or activity operated by a recipient that receives Federal 
financial assistance.
    (2) A recipient shall make all employment decisions in any education 
program or activity operated by such recipient in a nondiscriminatory 
manner and shall not limit, segregate, or classify applicants or 
employees in any way that could adversely affect any applicant's or 
employee's employment opportunities or status because of sex.
    (3) A recipient shall not enter into any contractual or other 
relationship which directly or indirectly has the effect of subjecting 
employees or students to discrimination prohibited by Sec. Sec.  15a.500 
through 15a.550, including relationships with employment and referral 
agencies, with labor unions, and with organizations providing or 
administering fringe benefits to employees of the recipient.
    (4) A recipient shall not grant preferences to applicants for 
employment on the basis of attendance at any educational institution or 
entity that admits as students only or predominantly members of one sex, 
if the giving of such preferences has the effect of discriminating on 
the basis of sex in violation of this part.
    (b) Application. The provisions of Sec. Sec.  15a.500 through 
15a.550 apply to:
    (1) Recruitment, advertising, and the process of application for 
employment;
    (2) Hiring, upgrading, promotion, consideration for and award of 
tenure, demotion, transfer, layoff, termination, application of nepotism 
policies, right of return from layoff, and rehiring;
    (3) Rates of pay or any other form of compensation, and changes in 
compensation;
    (4) Job assignments, classifications, and structure, including 
position descriptions, lines of progression, and seniority lists;
    (5) The terms of any collective bargaining agreement;
    (6) Granting and return from leaves of absence, leave for pregnancy, 
childbirth, false pregnancy, termination of pregnancy, leave for persons 
of either sex to care for children or dependents, or any other leave;
    (7) Fringe benefits available by virtue of employment, whether or 
not administered by the recipient;
    (8) Selection and financial support for training, including 
apprenticeship, professional meetings, conferences, and other related 
activities, selection for tuition assistance, selection for sabbaticals 
and leaves of absence to pursue training;
    (9) Employer-sponsored activities, including social or recreational 
programs; and
    (10) Any other term, condition, or privilege of employment.



Sec.  15a.505  Employment criteria.

    A recipient shall not administer or operate any test or other 
criterion for any employment opportunity that has a disproportionately 
adverse effect on persons on the basis of sex unless:
    (a) Use of such test or other criterion is shown to predict validly 
successful performance in the position in question; and
    (b) Alternative tests or criteria for such purpose, which do not 
have such disproportionately adverse effect, are shown to be 
unavailable.



Sec.  15a.510  Recruitment.

    (a) Nondiscriminatory recruitment and hiring. A recipient shall not 
discriminate on the basis of sex in the recruitment and hiring of 
employees. Where a

[[Page 468]]

recipient has been found to be presently discriminating on the basis of 
sex in the recruitment or hiring of employees, or has been found to have 
so discriminated in the past, the recipient shall recruit members of the 
sex so discriminated against so as to overcome the effects of such past 
or present discrimination.
    (b) Recruitment patterns. A recipient shall not recruit primarily or 
exclusively at entities that furnish as applicants only or predominantly 
members of one sex if such actions have the effect of discriminating on 
the basis of sex in violation of Sec. Sec.  15a.500 through 15a.550.



Sec.  15a.515  Compensation.

    A recipient shall not make or enforce any policy or practice that, 
on the basis of sex:
    (a) Makes distinctions in rates of pay or other compensation;
    (b) Results in the payment of wages to employees of one sex at a 
rate less than that paid to employees of the opposite sex for equal work 
on jobs the performance of which requires equal skill, effort, and 
responsibility, and that are performed under similar working conditions.



Sec.  15a.520  Job classification and structure.

    A recipient shall not:
    (a) Classify a job as being for males or for females;
    (b) Maintain or establish separate lines of progression, seniority 
lists, career ladders, or tenure systems based on sex; or
    (c) Maintain or establish separate lines of progression, seniority 
systems, career ladders, or tenure systems for similar jobs, position 
descriptions, or job requirements that classify persons on the basis of 
sex, unless sex is a bona fide occupational qualification for the 
positions in question as set forth in Sec.  15a.550.



Sec.  15a.525  Fringe benefits.

    (a) ``Fringe benefits'' defined. For purposes of this part, fringe 
benefits means: Any medical, hospital, accident, life insurance, or 
retirement benefit, service, policy or plan, any profit-sharing or bonus 
plan, leave, and any other benefit or service of employment not subject 
to the provision of Sec.  15a.515.
    (b) Prohibitions. A recipient shall not:
    (1) Discriminate on the basis of sex with regard to making fringe 
benefits available to employees or make fringe benefits available to 
spouses, families, or dependents of employees differently upon the basis 
of the employee's sex;
    (2) Administer, operate, offer, or participate in a fringe benefit 
plan that does not provide for equal periodic benefits for members of 
each sex and for equal contributions to the plan by such recipient for 
members of each sex; or
    (3) Administer, operate, offer, or participate in a pension or 
retirement plan that establishes different optional or compulsory 
retirement ages based on sex or that otherwise discriminates in benefits 
on the basis of sex.



Sec.  15a.530  Marital or parental status.

    (a) General. A recipient shall not apply any policy or take any 
employment action:
    (1) Concerning the potential marital, parental, or family status of 
an employee or applicant for employment that treats persons differently 
on the basis of sex; or
    (2) Which is based upon whether an employee or applicant for 
employment is the head of household or principal wage earner in such 
employee's or applicant's family unit.
    (b) Pregnancy. A recipient shall not discriminate against or exclude 
from employment any employee or applicant for employment on the basis of 
pregnancy, childbirth, false pregnancy, termination of pregnancy, or 
recovery therefrom.
    (c) Pregnancy as a temporary disability. Subject to Sec.  
15a.235(d), a recipient shall treat pregnancy, childbirth, false 
pregnancy, termination of pregnancy, recovery therefrom, and any 
temporary disability resulting therefrom as any other temporary 
disability for all job-related purposes, including commencement, 
duration, and extensions of leave, payment of disability income, accrual 
of seniority and any other benefit or service, and reinstatement, and 
under any fringe benefit offered to employees by virtue of employment.
    (d) Pregnancy leave. In the case of a recipient that does not 
maintain a

[[Page 469]]

leave policy for its employees, or in the case of an employee with 
insufficient leave or accrued employment time to qualify for leave under 
such a policy, a recipient shall treat pregnancy, childbirth, false 
pregnancy, termination of pregnancy, and recovery therefrom as a 
justification for a leave of absence without pay for a reasonable period 
of time, at the conclusion of which the employee shall be reinstated to 
the status that she held when the leave began or to a comparable 
position, without decrease in rate of compensation or loss of 
promotional opportunities, or any other right or privilege of 
employment.



Sec.  15a.535  Effect of state or local law or other requirements.

    (a) Prohibitory requirements. The obligation to comply with 
Sec. Sec.  15a.500 through 15a.550 is not obviated or alleviated by the 
existence of any State or local law or other requirement that imposes 
prohibitions or limits upon employment of members of one sex that are 
not imposed upon members of the other sex.
    (b) Benefits. A recipient that provides any compensation, service, 
or benefit to members of one sex pursuant to a State or local law or 
other requirement shall provide the same compensation, service, or 
benefit to members of the other sex.



Sec.  15a.540  Advertising.

    A recipient shall not in any advertising related to employment 
indicate preference, limitation, specification, or discrimination based 
on sex unless sex is a bona fide occupational qualification for the 
particular job in question.



Sec.  15a.545  Pre-employment inquiries.

    (a) Marital status. A recipient shall not make pre-employment 
inquiry as to the marital status of an applicant for employment, 
including whether such applicant is ``Miss'' or ``Mrs.''
    (b) Sex. A recipient may make pre-employment inquiry as to the sex 
of an applicant for employment, but only if such inquiry is made equally 
of such applicants of both sexes and if the results of such inquiry are 
not used in connection with discrimination prohibited by this part.



Sec.  15a.550  Sex as a bona fide occupational qualification.

    A recipient may take action otherwise prohibited by Sec. Sec.  
15a.500 through 15a.550 provided it is shown that sex is a bona fide 
occupational qualification for that action, such that consideration of 
sex with regard to such action is essential to successful operation of 
the employment function concerned. A recipient shall not take action 
pursuant to this section that is based upon alleged comparative 
employment characteristics or stereotyped characterizations of one or 
the other sex, or upon preference based on sex of the recipient, 
employees, students, or other persons, but nothing contained in this 
section shall prevent a recipient from considering an employee's sex in 
relation to employment in a locker room or toilet facility used only by 
members of one sex.



                       Subpart F_Other Provisions



Sec.  15a.605  Enforcement procedures.

    The procedural provisions applicable to title VI of the Civil Rights 
Act of 1964 (42 U.S.C. 2000d) are hereby adopted and applied to this 
part. These procedures may be found at 7 CFR 15.5-15.11 and 15.60-
15.143.



PART 15b_NONDISCRIMINATION ON THE BASIS OF HANDICAP IN PROGRAMS OR ACTIVITIES
RECEIVING FEDERAL FINANCIAL ASSISTANCE--Table of Contents



                      Subpart A_General Provisions

Sec.
15b.1 Purpose.
15b.2 Applicability.
15b.3 Definitions.
15b.4 Discrimination prohibited.
15b.5 Assurances required.
15b.6 Designation of responsible employee and adoption of grievance 
          procedures.
15b.7 Notice of nondiscrimination and accessible services.
15b.8 Remedial action, voluntary action, and self-evaluation.
15b.9 Effect of State or local law or other requirements, and effect of 
          employment opportunities.
15b.10 Effect of compliance with regulations of other Federal agencies.

[[Page 470]]

                     Subpart B_Employment Practices

15b.11 Applicability.
15b.12 Discrimination prohibited.
15b.13 Reasonable accommodation.
15b.14 Employment criteria.
15b.15 Preemployment inquiries.

                         Subpart C_Accessibility

15b.16 Applicability.
15b.17 Discrimination prohibited.
15b.18 Existing facilities.
15b.19 New construction.

    Subpart D_Preschool, Elementary, Secondary, Adult, and Extension 
                                Education

15b.20 Applicability
15b.21 Location and notification.
15b.22 Free appropriate public education.
15b.23 Educational setting.
15b.24 Evaluation and placement.
15b.25 Procedural safeguards.
15b.26 Nonacademic services.
15b.27 Extension education.
15b.28 Private education.

                    Subpart E_Postsecondary Education

15b.29 Applicability.
15b.30 Admissions and recruitment.
15b.31 Treatment of students.
15b.32 Academic adjustments.
15b.33 Housing.
15b.34 Financial and employment assistance to students.
15b.35 Nonacademic services.

               Subpart F_Other Aid, Benefits, or Services

15b.36 Applicability.
15b.37 Auxiliary aids.
15b.38 Health care facilities.
15b.39 Education of institutionalized persons.
15b.40 Food services.
15b.41 Multi-family rental housing.

                          Subpart G_Procedures

15b.42 Procedures.

Appendix A to Part 15b--List of Federal Financial Assistance From USDA

    Authority: 29 U.S.C. 794.

    Source: 47 FR 25470, June 11, 1982, unless otherwise noted.



                      Subpart A_General Provisions



Sec.  15b.1  Purpose.

    The purpose of this part is to implement section 504 of the 
Rehabilitation Act of 1973, as amended, to the end that no otherwise 
qualified handicapped individual in the United States shall solely by 
reason of his or her handicap be excluded from the participation in, be 
denied the benefits of, or be subjected to discrimination under any 
program or activity receiving Federal financial assistance.



Sec.  15b.2  Applicability.

    This part applies to all programs or activities that receive Federal 
financial assistance extended by the Department of Agriculture after the 
effective date of this part whether or not the assistance was approved 
after the effective date. Subparts A, B, and C are of general 
applicability. Subparts D, E, and F are more specifically tailored. 
Subpart G is procedural.

[47 FR 25470, June 11, 1982, as amended at 55 FR 52139, Dec. 19, 1990; 
68 FR 51342, Aug. 26, 2003]



Sec.  15b.3  Definitions.

    As used in this part, the term or phrase:
    (a) The Act means the Rehabilitation Act of 1973, Public Law 93-112, 
87 Stat. 390 (1973), as amended by the Rehabilitation Act Amendments of 
1974, Public Law 93-651, 89 Stat. 2 (1974) and Public Law 93-516, 88 
Stat. 1617 (1974) and the Rehabilitation, Comprehensive Services and 
Developmental Disabilities Amendments of 1978, Public Law 95-602, 92 
Stat. 2955 (1978). The Act appears at 29 U.S.C. 701-794.
    (b) Section 504 means section 504 of the Act, 29 U.S.C. 794.
    (c) Education of the Handicapped Act means the Education of the 
Handicapped Act, Public Law 92-230, Title VI, 84 Stat. 175 (1970), as 
amended by the Education of the Handicapped Amendments of 1974, Public 
Law 93-380, Title VI, 88 Stat. 576 (1974), the Education for All 
Handicapped Children Act of 1975, Public Law 94-142, 89 Stat. 773 
(1975), and the Education of the Handicapped Amendments of 1977, Public 
Law 95-49, 91 Stat. 230 (1977). The Education of the Handicapped Act 
appears at 20 U.S.C. 1401-1461.
    (d) Department means the Department of Agriculture and includes each 
of its operating agencies and other organizational units.
    (e) Secretary means the Secretary of Agriculture or any officer or 
employee

[[Page 471]]

of the Department to whom the Secretary has delegated or may delegate 
the authority to act under the regulations of this part.
    (f) Recipient means any State or its political subdivision, any 
instrumentality of a State or its political subdivision, any public or 
private agency, institution, organization, or other entity, or any 
person to which Federal financial assistance is extended directly or 
through another recipient, including any successor, assignee, or 
transferee of a recipient, but excluding the ultimate beneficiary of the 
assistance.
    (g) Federal financial assistance or assistance means any grant, 
contract (other than a procurement contract or a contract of insurance 
or guaranty), cooperative agreement, formula allocation, loan, or any 
other arrangement by which the Department provides or otherwise makes 
available assistance in the form of:
    (1) Funds;
    (2) Services of Federal personnel;
    (3) Real and personal Federal property or any interest in Federal 
property, including:
    (i) A sale, transfer, lease or use (on other than a casual or 
transient basis) of Federal property for less than fair market value, 
for reduced consideration or in recognition of the public nature of the 
recipient's program or activity; and
    (ii) Proceeds from a subsequent sale, transfer or lease of Federal 
property if the Federal share of its fair market value is not returned 
to the Federal Government.
    (4) Any other thing of value.
    (h) Facility means all or any portion of buildings, structures, 
equipment, roads, walks, parking lots, or other real or personal 
property or interest in such property.
    (i) Handicapped person means any person who has a physical or mental 
impairment which substantially limits one or more major life activities, 
has a record of such an impairment, or is regarded as having such an 
impairment.
    (j) Physical or mental impairment means (1) any physiological 
disorder or condition, cosmetic disfigurement, or anatomical loss 
affecting one or more of the following body systems: Neurological; 
musculoskeletal; special sense organs; respiratory, including speech 
organs; cardiovascular; reproductive; digestive; genitourinary; hemic 
and lymphatic; skin; and endocrine; or (2) any mental or psychological 
disorder, such as mental retardation, organic brain syndrome, emotional 
or mental illness, and specific learning disabilities. The term physical 
or mental impairment includes, but is not limited to, such diseases and 
conditions as orthopedic, visual, speech, and hearing impairments; 
cerebral palsy; epilepsy; muscular dystrophy; multiple sclerosis, 
cancer; heart disease; diabetes; mental retardation; emotional illness; 
and drug addiction and alcoholism.
    (k) Major life activities means functions such as caring for one's 
self, performing manual tasks, walking, seeing, hearing, speaking, 
breathing, learning and working.
    (l) Has a record of such an impairment means has a history of, or 
has been misclassified as having, a mental or physical impairment that 
substantially limits one or more major life activities.
    (m) Is regarded as having an impairment means (1) has a physical or 
mental impairment that does not substantially limit major life 
activities but that is treated by a recipient as constituting such a 
limitation; (2) has a physical or mental impairment that substantially 
limits major life activities only as a result of the attitudes of others 
towards such impairments, or (3) has none of the impairments defined in 
paragraph (j) of this section but is treated by a recipient as having 
such an impairment.
    (n) Qualified handicapped person (used synonymously with otherwise 
qualified handicapped individual) means:
    (1) With respect to employment, a handicapped person who, with 
reasonable accommodation, can perform the essential functions of the job 
in question, but the term does not include any individual who is an 
alcoholic or drug abuser whose current use of alcohol or drugs prevents 
such individual from performing the duties of the job in question or 
whose employment, by reason of such current alcohol or drug abuse, would 
constitute a direct threat to property or the safety of others;

[[Page 472]]

    (2) With respect to public preschool, elementary, secondary, or 
adult educational services, a handicapped person, (i) of an age during 
which non-handicapped persons are provided such services, (ii) of an age 
during which it is mandatory under State law to provide such services to 
handicapped persons, or (iii) to whom a State is required to provide a 
free appropriate public education under section 612 of the Education of 
the Handicapped Act; and
    (3) With respect to postsecondary and vocational education services, 
a handicapped person who meets all academic and technical standards 
requisite to admission or participation in the recipient's education 
program or activity;
    (4) With respect to other services, a handicapped person who meets 
the essential eligibility requirements for the receipt of such services.
    (o) Handicap means any condition or characteristic that renders a 
person a handicapped person as defined in paragraph (i) of this section.
    (p) For purposes of Sec.  15b.18(d), Historic Preservation Programs 
are those that receive Federal financial assistance that has 
preservation of historic properties as a primary purpose.
    (q) For purposes of Sec.  15b.18(e), Historic properties means those 
buildings or facilities that are eligible for listing in the National 
Register of Historic Places, or such properties designated as historic 
under a statute of the appropriate State or local government body.
    (r) For purposes of Sec.  15b.18(d), Substantial impairment means a 
significant loss of the integrity of finished materials, design quality 
or special character which loss results from a permanent alteration.
    (s) Program or activity means all of the operations of any entity 
described in paragraphs (s)(1) through (4) of this section, any part of 
which is extended Federal financial assistance:
    (1)(i) A department, agency, special purpose district, or other 
instrumentality of a State or of a local government; or
    (ii) The entity of such State or local government that distributes 
such assistance and each such department or agency (and each other State 
or local government entity) to which the assistance is extended, in the 
case of assistance to a State or local government;
    (2)(i) A college, university, or other postsecondary institution, or 
a public system of higher education; or
    (ii) A local educational agency (as defined in 20 U.S.C. 7801), 
system of vocational education, or other school system;
    (3)(i) An entire corporation, partnership, or other private 
organization, or an entire sole proprietorship--
    (A) If assistance is extended to such corporation, partnership, 
private organization, or sole proprietorship as a whole; or
    (B) Which is principally engaged in the business of providing 
education, health care, housing, social services, or parks and 
recreation; or
    (ii) The entire plant or other comparable, geographically separate 
facility to which Federal financial assistance is extended, in the case 
of any other corporation, partnership, private organization, or sole 
proprietorship; or
    (4) Any other entity which is established by two or more of the 
entities described in paragraph (s)(1), (2), or (3) of this section.

[47 FR 25470, June 11, 1982, as amended at 55 FR 52139, Dec. 19, 1990; 
68 FR 51342, Aug. 26, 2003]



Sec.  15b.4  Discrimination prohibited.

    (a) General. No qualified handicapped person shall, on the basis of 
handicap, be excluded from participation in, be denied the benefits of, 
or otherwise be subjected to discrimination under any program or 
activity receiving assistance from this Department.
    (b) Discriminatory actions prohibited. (1) A recipient, in providing 
any aid, benefit or service, may not, directly or through contractual, 
licensing, or other arrangements, on the basis of handicap:
    (i) Deny a qualified handicapped person the opportunity to 
participate in or benefit from the aid, benefit or services;
    (ii) Afford a qualified handicapped person an opportunity to 
participate in

[[Page 473]]

or benefit from the aid, benefit or services that is not equal to that 
afforded others;
    (iii) Provide a qualified handicapped person with an aid, benefit or 
service that is not as effective in affording equal opportunity to 
obtain the same result, to gain the same benefit or to reach the same 
level of achievement in the most integrated setting appropriate as that 
provided to others;
    (iv) Provide a different or separate aid, benefit or service to 
handicapped persons or to any class of handicapped persons unless such 
action is necessary to provide qualified handicapped persons with an 
aid, benefit or service that are as effective as those provided to 
others;
    (v) Aid or perpetuate discrimination against a qualified handicapped 
person by providing significant assistance to an agency, organization, 
or person that discriminates on the basis of handicap in providing any 
aid, benefit or service to beneficiaries of the recipient's program or 
activity;
    (vi) Deny a qualified handicapped person the opportunity to 
participate as a member of planning or advisory boards; or
    (vii) Otherwise limit a qualified handicapped person in the 
enjoyment of any rights, privilege, advantage, or opportunity enjoyed by 
others receiving an aid, benefit or service.
    (2) For purposes of this part, aids, benefits and services, to be 
equally effective, are not required to produce the identical result or 
level of achievement for handicapped and nonhandicapped persons, but 
must afford handicapped persons equal opportunity to obtain the same 
result, to gain the same benefit, or to reach the same level of 
achievement, in the most integrated setting appropriate to the person's 
needs.
    (3) Despite the existence of separate or different aid, benefits, or 
services provided in accordance with this part, a recipient may not deny 
a qualified handicapped person the opportunity to participate in such 
programs or activities that are not separate or different.
    (4) A recipient may not, directly or through contractual or other 
arrangements, utilize criteria or methods of administration (i) that 
have the effect of subjecting qualified handicapped persons to 
discrimination on the basis of handicap, (ii) that have the purpose or 
effect of defeating or substantially impairing accomplishment of the 
objectives of the recipient's program or activity with respect to 
handicapped persons, or (iii) that perpetuate the discrimination of 
another recipient if both recipients are subject to common 
administrative control or are agencies of the same State.
    (5) In determining the site or location of a facility, an applicant 
for assistance or a recipient may not make selections (i) that have the 
effect of excluding handicapped persons, from denying them the benefits 
of, or otherwise subjecting them to discrimination under any program or 
activity that receives Federal financial assistance or (ii) that have 
the purpose or effect of defeating or substantially impairing the 
accomplishment of the objectives of the program or activity with respect 
to handicapped persons.
    (6) As used in this section, an aid, benefit or service provided 
under a program or activity receiving Federal financial assistance 
includes any aid, benefit or service provided in or through a facility 
that has been constructed, expanded, altered, leased or rented, or 
otherwise acquired, in whole or in part, with Federal financial 
assistance.
    (c) Aid, benefits, or services limited by Federal law. The exclusion 
of nonhandicapped persons from aid, benefits, or services limited by 
Federal statute or executive order to handicapped persons or the 
exclusion of a specific class of handicapped persons from aid, benefits, 
or services limited by Federal statute or executive order to a different 
class of handicapped persons is not prohibited by this part.
    (d) Communications. Recipients shall take appropriate steps to 
ensure that communications with their applicants, employees, and 
beneficiaries are available to persons with impaired vision and hearing.

[47 FR 25470, June 11, 1982, as amended at 68 FR 51342, Aug. 26, 2003]



Sec.  15b.5  Assurances required.

    (a) Assurances. An applicant for Federal financial assistance to 
which this

[[Page 474]]

part applies shall submit an assurance, on a form specified by the 
Secretary, that the program or activity will be operated in compliance 
with this part. An applicant may incorporate these assurances by 
reference in subsequent applications to the Department.
    (b) Duration of obligation. (1) In the case of Federal financial 
assistance extended in the form of real property or to provide real 
property or structures on the property, the assurance will obligate the 
recipient, or, in the case of a subsequent transfer, the transferee, for 
the period during which the real property or structures are used for the 
purpose for which Federal financial assistance is extended or for 
another purpose involving the provision of similar services or benefits.
    (2) In the case of Federal financial assistance extended to provide 
personal property, the assurance will obligate the recipient for the 
period during which it retains ownership or possession of the property.
    (3) In all other cases, the assurance will obligate the recipient 
for the period during which Federal financial assistance is extended.
    (c) Covenants. (1) Where Federal financial assistance is provided in 
the form of real property or interest in the property from the 
Department, the instrument effecting or recording this transfer shall 
contain a covenant running with the land to assure nondiscrimination for 
the period during which the real property is used for the purpose for 
which the Federal financial assistance is extended or for another 
purpose involving the provision of similar services or benefits.
    (2) Where no transfer of property is involved but property is 
purchased or improved with Federal financial assistance, the recipient 
shall agree to include the covenant described in paragraph (c)(1) of 
this section in the instrument effecting or recording any subsequent 
transfer of the property.
    (3) Where Federal financial assistance is provided in the form of 
real property or interest in the property from the Department, the 
covenant shall also include a condition coupled with a right to be 
reserved by the Department to revert title to the property in the event 
of a breach of the covenant. If a transferee of real property proposes 
to mortgage or otherwise encumber the real property as security for 
financing construction of new, or improvement of existing, facilities on 
the property for the purposes for which the property was transferred, 
the Secretary may, upon request of the transferee and if necessary to 
accomplish such financing and upon such conditions as the Secretary 
deems appropriate, agree to forebear the exercise of such right to 
revert title for so long as the lien of such mortgage or other 
encumbrance remains effective.

[47 FR 25470, June 11, 1982, as amended at 68 FR 51342, Aug. 26, 2003]



Sec.  15b.6  Designation of responsible employee and adoption 
of grievance procedures.

    (a) Designation of responsible employee. A recipient that employs 
fifteen or more persons shall designate at least one person to 
coordinate its efforts to comply with this part.
    (b) Adoption of grievance procedures. A recipient that employs 
fifteen or more persons shall adopt grievance procedures that 
incorporate appropriate due process standards and that provide for the 
prompt and equitable resolution of complaints alleging any action 
prohibited by this part. Such procedures need not be established with 
respect to complaints from applicants for employment or from applicants 
for admission to postsecondary educational institutions.
    (c) The Secretary may require any recipient with fewer than fifteen 
employees to designate a responsible employee and adopt grievance 
procedures when the Secretary finds a violation of this part or finds 
that complying with these administrative requirements will not 
significantly impair the ability of the recipient to provide benefits or 
services.



Sec.  15b.7  Notice of nondiscrimination and accessible services.

    (a) A recipient shall take appropriate initial and continuing steps 
to notify participants, beneficiaries, applicants, and employees, 
including those with impaired vision or hearing, and unions or 
professional organizations holding collective bargaining or professional

[[Page 475]]

agreements with the recipient that it does not discriminate on the basis 
of handicap in violation of section 504 and this part. The notification 
shall state, where appropriate, that the recipient does not discriminate 
in admission or access to, or treatment or employment in, its programs 
or activities. The recipient shall also identify the responsible 
employee designated pursuant to Sec.  15b.6(a), and identify the 
existence and location of accessible services, activities, and 
facilities. A recipient shall make the initial notification required by 
this paragraph within 90 days of the effective date of this part. 
Methods of initial and continuing notification may include but are not 
limited to the posting of notices, placement of notices in the 
recipient's publications, radio announcements, and the use of other 
visual and aural media.
    (b) If a recipient publishes or uses recruitment materials or 
publications containing general information that it makes available to 
participants, beneficiaries, applicants or employees, it shall include 
in those materials or publications a statement of the policy described 
in paragraph (a) of this section. A recipient may meet the requirement 
of this paragraph either by including appropriate inserts in existing 
materials and publications or by revising and reprinting the materials 
and publications.

[47 FR 25470, June 11, 1982, as amended at 68 FR 51342, Aug. 26, 2003]



Sec.  15b.8  Remedial action, voluntary action, and self-evaluation.

    (a) Remedial action. (1) If the Secretary finds that a recipient has 
discriminated against persons on the basis of handicap in violation of 
section 504 or this part, the recipient shall take such remedial action 
as the Secretary deems necessary to overcome the effects of the 
discrimination.
    (2) Where a recipient is found to have discriminated against persons 
on the basis of handicap in violation of section 504 or this part and 
where another recipient exercises control over the recipient that has 
discriminated, the Secretary, where appropriate, may require either or 
both recipients to take remedial action.
    (3) The Secretary may, where necessary to overcome the effects of 
discrimination in violation of section 504 or this part, require a 
recipient to take remedial action (i) with respect to handicapped 
persons who are no longer participants in the recipient's program or 
activity but who were participants in the program when such 
discrimination occurred or (ii) with respect to handicapped persons who 
would have been participants in the program or activity had the 
discrimination not occurred, or (iii) with respect to handicapped 
persons presently in the program or activity, but not receiving full 
benefits or equal and integrated treatment within the program.
    (b) Voluntary action. A recipient may take steps, in addition to any 
action that is required by this part, to overcome the effects of 
conditions that resulted in limited participation in the recipient's 
program or activity by qualified handicapped persons.
    (c) Self-evaluation. (1) A recipient shall, within one year of the 
effective date of this part:
    (i) Evaluate, with the assistance of interested persons, including 
handicapped persons or organizations representing handicapped persons, 
its current policies and practices and the effects thereof that do not 
or may not meet the requirements of this part.
    (ii) Modify, after consultation with interested persons, including 
handicapped persons or organizations representing handicapped persons, 
any policies and practices that do not meet the requirements of this 
part; and
    (iii) Take, after consultation with interested persons, including 
handicapped persons or organizations representing handicapped persons, 
appropriate remedial steps to eliminate the effects of any 
discrimination that resulted from adherence to these policies and 
practices.
    (2) A recipient shall, for at least three years following completion 
of the evaluation required under paragraph (c)(1) of this section, 
maintain on file, make available for public inspection, and provide to 
the Secretary upon request: (i) A list of the interested persons 
consulted, (ii) a description of areas examined and any problems 
identified, and (iii) a description of any

[[Page 476]]

modifications made and of any remedial steps taken.

[47 FR 25470, June 11, 1982, as amended at 68 FR 51342, Aug. 26, 2003]



Sec.  15b.9  Effect of State or local law or other requirements, 
and effect of employment opportunities.

    (a) The obligation to comply with this part is not obviated or 
alleviated by the existence of any State or local law or other 
requirement that, on the basis of handicap, imposes prohibitions or 
limits upon the eligibility of qualified handicapped persons to receive 
services or to practice any occupation or profession.
    (b) The obligation to comply with this part is not obviated or 
alleviated because employment opportunities in any occupation or 
profession are or may be more limited for handicapped persons than for 
nonhandicapped persons.



Sec.  15b.10  Effect of compliance with regulations of other
Federal agencies.

    A recipient that has designated a responsible official and 
established a grievance procedure, provided notice, completed a self-
evaluation, or prepared a transition plan in the course of complying 
with regulations issued by other Federal agencies under section 504 will 
be in compliance with Sec.  15b.6, Sec.  15b.7, Sec.  15b.8(c), or Sec.  
15b.18(f), respectively, if all requirements of those sections have been 
met in regard to programs or activities assisted by this Department.

[47 FR 25470, June 11, 1982, as amended at 68 FR 51342, Aug. 26, 2003]



                     Subpart B_Employment Practices



Sec.  15b.11  Applicability.

    This subpart applies to all programs or activities that receive 
Federal financial assistance provided by the Department of Agriculture 
after the effective date of this part.

[47 FR 25470, June 11, 1982, as amended at 55 FR 52139, Dec. 19, 1990; 
68 FR 51342, Aug. 26, 2003]



Sec.  15b.12  Discrimination prohibited.

    (a) General. (1) No qualified handicapped person shall, on the basis 
of handicapped, be subjected to discrimination in employment under any 
program or activity receiving assistance from this Department.
    (2) A recipient shall make all decisions concerning employment in a 
manner which ensures that discrimination on the basis of handicap does 
not occur and may not limit, segregate, or classify applicants or 
employees in any way that adversely affects their opportunities or 
status because of handicap.
    (3) A recipient may not participate in a contractural or other 
relationship that has the effect of subjecting qualified handicapped 
applicants or employees to discrimination prohibited by this subpart. 
This includes relationships with employment and referral agencies, with 
labor unions with organizations providing or administering fringe 
benefits to employees of the recipient, and with organizations providing 
training and apprenticeships.
    (4) All provisions of this subpart pertaining to employment, apply 
equally to volunteer service.
    (b) Specific activities. The provisions of this subpart apply to:
    (1) Recruitment, advertising, and the processing of applications for 
employment;
    (2) Hiring, upgrading, promotion, award of tenure, demotion, 
transfer, layoff, termination, right to return from layoff, and 
rehiring;
    (3) Rates of pay or any other form of compensation and changes in 
compensation;
    (4) Job assignments, job classifications, organizational structures, 
position descriptions, lines of progression, and seniority lists;
    (5) Leaves of absence, sick leave, or any other leave;
    (6) Fringe benefits available by virtue of employment, whether or 
not administered by the recipient;
    (7) Selection and financial support for training, including 
apprenticeship, professional meetings, conferences, and other related 
activities, and selection for leaves of absence to pursue training;
    (8) Employer sponsored activities, including those that are social 
or recreational; and
    (9) Any other term, condition, or privilege of employment.

[[Page 477]]

    (c) A recipient's obligation to comply with this subpart is not 
affected by any inconsistent term of any collective bargaining agreement 
to which it is a party.

[47 FR 25470, June 11, 1982, as amended at 68 FR 51343, Aug. 26, 2003]



Sec.  15b.13  Reasonable accommodation.

    (a) A recipient shall make reasonable accommodation to the known 
physical or mental limitations of an otherwise qualified handicapped 
applicant or employee unless the recipient can demonstrate that the 
accommodation would impose an undue hardship on the operation of its 
program or activity.
    (b) Reasonable accommodation may include (1) Making facilities used 
by employees readily accessible to and useable by handicapped persons, 
and (2) Job restructuring, part-time or modified work schedules, 
acquisition or modification of equipment or devices, the provisions of 
readers or interpreters, and other similar actions.
    (c) In determining pursuant to paragraph (a) of this section whether 
an accommodation would impose an undue hardship on the operation of a 
recipient's programs or activities, factors to be considered include:
    (1) The overall size of the recipient's program or activity with 
respect to number of employees, number and type of facilities, and size 
of budget;
    (2) The type of the recipient's operation, including the composition 
and structure of recipient's workforce;
    (3) The nature and cost of the accommodation needed.
    (d) A recipient may not deny any employment opportunity to a 
qualified handicapped employee or applicant if the basis for the denial 
is the need to make reasonable accommodation to the physical or mental 
limitations of the employee or applicant.

[47 FR 25470, June 11, 1982, as amended at 68 FR 51343, Aug. 26, 2003]



Sec.  15b.14  Employment criteria.

    (a) A recipient may not make use of any employment test or other 
selection criterion that screens out or tends to screen out handicapped 
persons or any class of handicapped persons unless: (1) The recipient 
shows that the test score or other selection criterion, as used by the 
recipient, is job-related for the position in question, and (2) the 
Secretary cannot show that alternative job-related tests or criteria are 
available that do not screen out or tend to screen out as many 
handicapped persons.
    (b) A recipient shall select and administer tests concerning 
employment so as best to ensure that, when administered to an applicant 
or employee who has a handicap that impairs sensory, manual, or speaking 
skills, the test results accurately reflect the applicant's or 
employee's job skills, aptitude, or whatever other factor the test 
purports to measure, rather than reflecting the applicant's or 
employee's impaired sensory, manual, or speaking skills (except where 
those skills are the factors that the test purports to measure).



Sec.  15b.15  Preemployment inquiries.

    (a) Except as provided in paragraphs (b) and (c) of this section, a 
recipient may not conduct a preemployment medical examination or may not 
make preemployment inquiry of an applicant as to whether the applicant 
is a handicapped person or as to the nature or severity of a handicap. A 
recipient may, however, make preemployment inquiry into an applicant's 
ability to perform job-related functions.
    (b) When a recipient is taking remedial action to correct the 
effects of past discrimination pursuant to Sec.  15b.8(a), when a 
recipient is taking voluntary action to overcome the effects of 
conditions that resulted in limited participation in its federally 
assisted program or activity pursuant to Sec.  15b.8(b), or when a 
recipient is taking affirmative action pursuant to section 503 of the 
Act, the recipient may invite applicants for employment to indicate 
whether and to what extent they are handicapped: Provided, That (1) the 
recipient states clearly on any written questionnaire used for this 
purpose or makes clear orally if no written questionnaire is used that 
the information requested is intended for use solely in connection with 
its remedial action obligations or its voluntary affirmative action 
efforts; and (2) the recipient states clearly that the information is

[[Page 478]]

being requested on a voluntary basis, that it will be kept confidential 
as provided in paragraph (d) of this section, that refusal to provide it 
will not subject the applicant or employee to any adverse treatment, and 
that it will be used only in accordance with this part.
    (c) Nothing in this section shall prohibit a recipient for 
conditioning an offer of employment on the results of a medical 
examination conducted prior to the employee's entrance on duty: 
Provided, That (1) all entering employees are subjected to such an 
examination regardless of handicap; and (2) the results of such an 
examination are used only in accordance with the requirements of this 
part.
    (d) Information obtained in accordance with this section as to the 
medical condition or history of the applicant shall be collected and 
maintained on separate forms that shall be accorded the same 
confidentiality as medical records except that:
    (1) Supervisors and managers may be informed regarding restrictions 
on the work or duties of handicapped persons and regarding necessary 
accommodations;
    (2) First aid and safety personnel may be informed, where 
appropriate, if the condition might require emergency treatment; and
    (3) Governement officials investigating compliance with the Act 
shall be provided relevant information upon request.



                         Subpart C_Accessibility



Sec.  15b.16  Applicability.

    This subpart applies to all programs or activities that receive 
Federal financial assistance provided by the Department of Agriculture 
after the effective date of this part.

[47 FR 25470, June 11, 1982, as amended at 55 FR 52139, Dec. 19, 1990; 
68 FR 51343, Aug. 26, 2003]



Sec.  15b.17  Discrimination prohibited.

    No qualified handicapped person shall, because a recipient's 
facilities are inaccessible to or unusuable by handicapped persons, be 
denied the benefits of, be excluded from participation in, or otherwise 
be subjected to discrimination under any program or activity receiving 
assistance from this Department.



Sec.  15b.18  Existing facilities.

    (a) Accessibility. A recipient shall operate each assisted program 
or activity so that when each part is viewed in its entirety it is 
readily accessible to and usable by qualified handicapped persons. This 
paragraph does not necessarily require a recipient to make each of its 
existing facilities or every part of an existing facility accessible to 
and usable by qualified handicapped persons.
    (b) Method. A recipient may comply with the requirements of 
paragraph (a) of this section through such means as redesign of 
equipment, reassignment of classes or other services to accessible 
buildings, assignment of aides to beneficiaries, home visits, delivery 
of services at alternate accessible sites, alteration of exiting 
facilities and construction of new facilities in conformance with the 
requirements of Sec.  15b.19, or any other method that results in making 
its program or activity accessible to qualified handicapped persons. A 
recipient is not required to make structural changes in existing 
facilities where other methods are effective in achieving compliance 
with paragraph (a) of this section. In choosing among available methods 
for meeting the requirement of paragraph (a) of this section, a 
recipient shall give priority to those methods that serve qualified 
handicapped persons in the most intergrated setting appropriate.
    (c) Small providers. If a recipient with fewer than fifteen 
employees finds, after consultation with a handicapped person seeking 
its services, that there is no method of complying with paragraph (a) of 
this section other than by making a significant alteration in its 
existing facilities, the recipient may, as an alternative, refer the 
handicapped person to other providers of those services that are 
accessible at no additional cost to handicapped persons.
    (d) Application for modification of requirements. Recipients that 
determine after a self-evaluation conducted according to the 
requirements of Sec.  15b.8(c), that accessibility can only be 
accomplished through substantial modifications which would result in a

[[Page 479]]

fundamental alteration in the nature of the program or activity, may 
apply to the Secretary for a modification of the requirements of this 
section.
    (e) Historic Preservation Programs; Application for waiver of 
program accessibility requirements. (1) A recipient shall operate each 
assisted program or activity involving Historic Preservation Programs so 
that when each part is viewed in its entirety it is readily accessible 
to and usable by handicapped persons. This paragraph does not 
necessarily require a recipient to make each of its existing historic 
properties or every part of an historic property accessible to and 
usable by handicapped persons. Methods of achieving accessibility 
include:
    (i) Making physical alterations which enable handicapped persons to 
have access to otherwise inaccessible areas or features of historic 
properties;
    (ii) Using audio-visual materials and devices to depict otherwise 
inaccessible areas or features of historic properties;
    (iii) Assigning persons to guide handicapped persons into or through 
otherwise inaccessible portions of historic properties;
    (iv) Adopting other innovative methods to achieve accessibility. 
Because the primary benefit of an Historic Preservation Program is the 
experience of the historic property itself, in taking steps to achieve 
accessibility, recipients shall give priority to those means which make 
the historic property, or portions thereof physicially accessible to 
handicapped individuals.
    (2) Where accessibility cannot be achieved without causing a 
substantial impairment of significant historic features, the Secretary 
may grant a waiver of the accessibility requirement. In determining 
whether accessibility can be achieved without causing a substantial 
impairment, the Secretary shall consider the following factors:
    (i) Scale of property, reflecting its ability to absorb alterations;
    (ii) Use of the property, whether primarily for public or private 
purpose;
    (iii) Importance of the historic features of the property to the 
conduct of the program or activity; and,
    (iv) Cost of alterations in comparison to the increase in 
accessibility.


The Secretary shall periodically review any waiver granted under this 
section and may withdraw it if technological advances or other changes 
so warrant.
    (3) Where the property is federally owned or where Federal funds may 
be used for alterations, the comments of the Advisory Council on 
Historic Preservation shall be obtained when required by section 106 of 
the National Historic Preservation Act of 1966, as amended (16 U.S.C. 
470), and 36 CFR part 800, prior to effectuation of structural 
alterations.
    (f) Time period. A recipient shall comply with the requirements of 
paragraph (a) of this section within sixty days of the effective date of 
this part except that where structural changes in facilities are 
necessary, such changes shall be made within three years of the 
effective date of this part and as expeditiously as possible.
    (g) Transition plan. In the event that structural changes to 
facilities are necessary to meet the requirement of paragraph (a) of 
this section, a recipient shall develop, within one year of the 
effective date of this part, a transition plan setting forth the steps 
necessary to complete such changes. The plan shall be developed with the 
assistance of interested persons, including handicapped persons or 
organizations representing handicapped persons. A copy of the transition 
plan shall be made available for public inspection. The plan shall, at a 
minimum:
    (1) Identify physical obstacles in the recipient's facilities that 
limit the accessibility of its program or activity to handicapped 
persons;
    (2) Describe in detail the methods that will be used to make the 
facilities accessible;
    (3) Specify the schedule for taking the steps necessary to achieve 
full accessibility under paragraph (a) of this section and if the time 
period of the transition plan is longer than one year, identify steps 
that will be taken during each year of the transition period; and
    (4) Identify the person responsible for implementation of the plan.

[47 FR 25470, June 11, 1982, as amended at 68 FR 51342, 51343, Aug. 26, 
2003]

[[Page 480]]



Sec.  15b.19  New construction.

    (a) Design and construction. Each facility or part of a facility 
constructed by, on behalf of, or for the use of a recipient shall be 
designed and constructed in such manner that the facility or part of the 
facility is readily accessible to and usable by handicapped persons, if 
the construction is commenced after the effective date of this part.
    (b) Alteration. Each facility or part of a facility which is altered 
by, on behalf of, or for the use of a recipient after the effective date 
of this part in a manner that affects or could affect the usability of 
the facility or part of the facility shall to the maximum extent 
feasible, be altered in such manner that the altered portion of the 
facility is readily accessible to and usable by handicapped persons.
    (c) Conformance with Uniform Federal Accessibility Standards. (1) 
Effective as of January 18, 1991, design, construction, or alteration of 
buildings in conformance with sections 3-8 of the Uniform Federal 
Accessibility Standards (USAF) (appendix A to 41 CFR subpart 101-19.6) 
shall be deemed to comply with the requirements of this section with 
respect to those buildings. Departures from particular technical and 
scoping requirements of UFAS by the use of other methods are permitted 
where substantially equivalent or greater access to and usability of the 
building is provided.
    (2) For purposes of this section, section 4.1.6(1)(g) of UFAS shall 
be interpreted to exempt from the requirements of UFAS only mechanical 
rooms and other spaces that, because of their intended use, will not 
require accessibility to the public or beneficiaries or result in the 
employment or residence therein of persons with physical handicaps.
    (3) This section does not require recipients to make building 
alterations that have little likelihood of being accomplished without 
removing or altering a load-bearing structural member.
    (d) Compliance with the Architectural Barriers Act of 1968. Nothing 
in this section of Sec.  15b.18 relieves recipients, whose facilities 
are covered by the Architectural Barriers Act of 1968, as amended (42 
U.S.C. 4151-4157) from their responsibility of complying with the 
requirements of that Act and any implementing regulations.

[47 FR 25470, June 11, 1982, as amended at 55 FR 52138, 52139, Dec. 19, 
1990]



    Subpart D_Preschool, Elementary, Secondary, Adult, and Extension 
                                Education



Sec.  15b.20  Applicability.

    Except as otherwise noted, this subpart applies to public and 
private schools, elementary, secondary, adult, and extension education 
programs or activities that receive Federal financial assistance 
provided by the Department of Agriculture after the effective date of 
this part and to recipients that operate, or that receive Federal 
financial assistance for the operation of, such programs or activities.

[47 FR 25470, June 11, 1982, as amended at 55 FR 52139, Dec. 19, 1990; 
68 FR 51343, Aug. 26, 2003]



Sec.  15b.21  Location and notification.

    A recipient that operates a public elementary or secondary education 
program or activity shall annually:
    (a) Undertake to identify and locate every qualified handicapped 
person residing in the recipient's jurisdiction who is not receiving a 
public education; and
    (b) Take appropriate steps to notify handicapped persons and their 
parents or guardians of the recipient's duty under this subpart.

[47 FR 25470, June 11, 1982, as amended at 68 FR 51343, Aug. 26, 2003]



Sec.  15b.22  Free appropriate public education.

    (a) General. A recipient that operates a public elementary or 
secondary education program or activity shall provide a free appropriate 
public education to each qualified handicapped person who is in the 
recipient's jurisdiction, regardless of the nature or severity of the 
person's handicap.
    (b) Appropriate education. (1) For the purpose of this subpart, the 
provision of an appropriate education is the provision of regular or 
special education and related aids and services that (i)

[[Page 481]]

are designed to meet individual educational needs of handicapped persons 
as adequately as the needs of nonhandicapped persons are met and (ii) 
are based upon adherence to procedures that satisfy the requirements of 
Sec. Sec.  15b.23, 15b.24, and ;15b.25.
    (2) Implementation of an Individualized Education Program developed 
in accordance with the Education of the Handicapped Act is one means of 
meeting the standard established in paragraph (b)(1)(i) of this section.
    (3) A recipient may place a handicapped person or refer such person 
for aid, benefits, or services other than those that it operates or 
provides as its means of carrying out the requirements of this subpart. 
If so, the recipient remains responsible for ensuring that the 
requirements of this subpart are met with respect to any handicapped 
person so placed or referred.
    (c) Free education--(1) General. For the purpose of this section, 
the provision of a free education is the provision of educational and 
related services without cost to handicapped persons or their parents or 
guardians, except for those fees that are imposed on nonhandicapped 
persons or their parents or guardians. It may consist either of the 
provision of free services or, if a recipient places a handicapped 
person in or refers such person for aid, benefits, or services not 
operated or provided by the recipient as its means of carrying out the 
requirements of this subpart, payment for the costs of the aid, 
benefits, or services. Funds available from any public or private agency 
may be used to meet the requirements of this subpart. Nothing in this 
section shall be construed to relieve an insurer or similar third party 
from an otherwise valid obligation to provide or pay for services 
provided to a handicapped person.
    (2) Transportation. If a recipient places a handicapped person or 
refers such person for aid, benefits, or services not operated or 
provided by the recipient as its means of carrying out the requirements 
of this subpart, the recipient shall ensure that adequate transportation 
to and from aid, benefits, or services is provided at no greater cost 
than would be incurred by the person or his or her parents or guardian 
if the person were placed in the program operated by the recipient.
    (3) Residential placement. If a public or private residential 
placement is necessary to provide a free appropriate public education to 
a handicapped person because of their handicap, the placement, including 
nonmedical care and room and board, shall be provided at no cost to the 
person or his or her parents or guardian.
    (4) Placement of handicapped persons by parents. If a recipient has 
made available in conformance with the requirements of this section and 
Sec.  15b.23, a free appropriate public education to a handicapped 
person and the person's parents or guardian choose to place the person 
in a private school, the recipient is not required to pay for the 
person's education in the private school. Disagreements between a parent 
or guardian and a recipient regarding whether the recipient has made a 
free appropriate education available or otherwise regarding the question 
of financial responsibility are subject to the due process procedures of 
Sec.  15b.25.
    (d) Compliance. A recipient may not exclude any qualified 
handicapped person from a public elementary or secondary education after 
the effective date of this regulation. A recipient that is not, on the 
effective date of this regulation, in full compliance with the other 
requirements of the preceding paragraphs of this section shall meet such 
requirements at the earliest practicable time but in no event later than 
September 1, 1982.

[47 FR 25470, June 11, 1982, as amended at 68 FR 51343, Aug. 26, 2003]



Sec.  15b.23  Educational setting.

    (a) Academic setting. A recipient to which this subpart applies 
shall educate, or shall provide for the education of each qualified 
handicapped person in its jurisdiction with persons who are not 
handicapped to the maximum extent appropriate to the needs of the 
handicapped person. A recipient shall place a handicapped person in the 
regular educational environment operated by the recipient unless it is 
demonstrated by the recipient that the education of the person in the 
regular environment with the use of supplementary aids and services 
cannot be

[[Page 482]]

achieved satisfactorily. Whenever a recipient places a person in a 
setting other than the regular educational environment pursuant to this 
paragraph, it shall take into account the proximity of the alternate 
setting to the person's home.
    (b) Nonacademic setting. In providing or arranging for the provision 
of nonacademic and extracurricular services and activities, including 
meals, recess periods, and the services and activities set forth in 
Sec.  15b.26(a)(2), a recipient shall ensure that handicapped persons 
participate with nonhandicapped persons in such activities and services 
to the maximum extent appropriate to the needs of the handicapped person 
in question.
    (c) Comparable facilities. If a recipient, in compliance with 
paragraph (a) of this section, operates a facility that is identifiable 
as being for handicapped persons, the recipient shall ensure that the 
facility and the services and activities provided therein are comparable 
to the other facilities, services, and activities of the recipient.



Sec.  15b.24  Evaluation and placement.

    (a) Placement evaluation. A recipient that operates a public 
elementary or secondary education program or activity shall conduct an 
evaluation in accordance with the requirements of paragraph (b) of this 
section of any person who, because of handicap, needs or is believed to 
need special education or related services before taking any action with 
respect to the initial placement of the person in regular or special 
education and any subsequent significant change in placement.
    (b) Evaluation procedures. A recipient to which this section applies 
shall establish standards and procedures for the evaluation and 
placement of persons who, because of handicap, need or are believed to 
need special education or related services which ensure that:
    (1) Tests and other evaluation materials have been validated for the 
specific purpose for which they are used and are administered by trained 
personnel in conformance with the instructions provided by their 
producer;
    (2) Tests and other evaluation materials include those tailored to 
assess specific areas of educational need and not merely those which are 
designed to provide a single general intelligence quotient; and
    (3) Tests are selected and administered so as best to ensure that, 
when a test is administered to a student with impaired sensory, manual, 
or speaking skills, the test results accurately reflect the student's 
aptitude or achievement level or whatever other factor the test purports 
to measure, rather than reflecting the student's impaired sensory, 
manual or speaking skills (except where those skills are the factors 
that the test purports to measure).
    (c) Placement procedures. In interpreting evaluation data and in 
making placement decisions, a recipient shall (1) draw upon information 
from a variety of sources, including aptitude and achievement tests, 
teacher recommendations, physical conditions, social or cultural 
background, and adaptive behavior, (2) establish procedures to ensure 
that information obtained from all such sources is documented and 
carefully considered, (3) ensure that the placement decision is made by 
a group of persons, including persons knowledgeable about the child, the 
meaning of the evaluation data, and the placement options, and (4) 
ensure that the placement decision is made in conformity with Sec.  
15b.23.
    (d) Reevaluation. A recipient to which this section applies shall 
establish procedures, in accordance with paragraph (b) of this section, 
for periodic reevaluation of students who have been provided special 
education and related services. A reevaluation procedure consistent with 
the Education for the Handicapped Act is one means of meeting this 
requirement.

[47 FR 25470, June 11, 1982, as amended at 68 FR 51343, Aug. 26, 2003]



Sec.  15b.25  Procedural safeguards.

    A recipient that provides a public elementary or secondary education 
shall establish and implement, with respect to action regarding the 
identification, evaluation, or educational placement of persons who, 
because of handicap, need or are believed to need special instruction or 
related services, a system of procedural safeguards that includes 
notice, an opportunity for the parents or guardian of the person to 
examine

[[Page 483]]

relevant records, an impartial hearing with opportunity for 
participation by the person's parents or guardian and representation by 
counsel, and a review procedure. Compliance with the procedural 
safeguards of section 615 of the Education of the Handicapped Act is one 
means of meeting this requirement.

[47 FR 25470, June 11, 1982, as amended at 68 FR 51343, Aug. 26, 2003]



Sec.  15b.26  Nonacademic services.

    (a) General. (1) Recipients to which this subpart applies shall 
provide nonacademic and extracurricular services and activities in such 
a manner as is necessary to afford handicapped students an equal 
opportunity for participation in such services and activities.
    (2) Nonacademic and extracurricular services and activities may 
include counseling services, physical education and athletics, food 
services, transportation, health services, recreational activities, 
special interest groups or clubs sponsored by the recipient, referrals 
to agencies which provide assistance to handicapped persons, and 
assistance in obtaining outside employment.
    (b) Counseling services. A recipient to which this subpart applies 
that provides personal, academic, or vocational counseling, guidance, or 
placement services to its students shall provide these services without 
discrimination on the basis of handicap. The recipient shall ensure that 
qualified handicapped students are not counseled toward more restrictive 
career objectives than are nonhandicapped students with similar 
interests and abilities.
    (c) Physical education and athletics. (1) In providing physical 
education courses and athletics and similar aid, benefits, and services 
to any of its students, a recipient to which this subpart applies may 
not discriminate on the basis of handicap. A recipient that offers 
physical education courses or that operates or sponsors interscholastic, 
club, or intramural athletics shall provide to qualified handicapped 
students an equal opportunity for participation.
    (2) A recipient may offer handicapped students physical education 
and athletic activities that are separate or different from those 
offered to nonhandicapped students only if separation or differentiation 
is consistent with requirements of Sec.  15b.23, and only if no 
qualified handicapped student is denied the opportunity to compete for 
teams or to participate in courses that are not separate or different.
    (d) Food services. In providing food services to any of its 
students, a recipient to which this subpart applies may not discriminate 
on the basis of handicap. (1) Recipients shall serve special meals, at 
no extra charge, to students whose handicap restricts their diet. 
Recipients may require students to provide medical certification that 
special meals are needed because of their handicap.
    (2) Where existing food service facilities are not completely 
accessible and usable, recipients may provide aides or use other equally 
effective methods to serve food to handicapped persons. Recipients shall 
provide all food services in the most intergrated setting appropriate to 
the needs of handicapped persons as required by Sec.  15b.23(b).

[47 FR 25470, June 11, 1982, as amended at 68 FR 51343, Aug. 26, 2003]



Sec.  15b.27  Extension education.

    (a) General. A recipient to which this subpart applies that provides 
extension education may not, on the basis of handicap, exclude qualified 
handicapped persons. A recipient shall take into account the needs of 
such persons in determining the benefits or services to be provided.
    (b) Delivery sites. (1) Where existing extension office facilities 
are inaccessible, recipients may make aid, benefits, or services 
normally provided at those sites available to qualified handicapped 
persons through other methods which are equally effective. These methods 
may include meetings in accessible locations, home visits, written or 
telephonic communications, and other equally effective alternatives.
    (2) For aid, benefits, or services delivered at other publicly-owned 
facilities, recipients shall select accessible facilities wherever 
possible. If accessible facilities cannot be selected because they are 
unavailable or infeasible due to the nature of the activity, recipients 
shall

[[Page 484]]

use other methods to deliver aid, benefits, or services to qualified 
handicapped persons. These methods may include the redesign of 
activities or some sessions of activities, the provision of aides, home 
visits, or other equally effective alternatives.
    (3) For aid, benefits, or services delivered at privately-owned 
facilities, such as homes and farm buildings, recipients shall use 
accessible facilities whenever qualified handicapped persons requiring 
such accessibility are participating, have expressed an interest in 
participating, or are likely to participate. If accessible facilities 
cannot be selected because they are unavailable or infeasible due to the 
nature of the activity, recipients shall use other methods to deliver 
aid, benefits, or services to qualified handicapped persons. These 
methods may include the redesign of activities or some sessions of 
activities, the provision of aides, home visits, or other equally 
effective alternatives.
    (4) Recipients shall make camping activities accessible to qualified 
handicapped persons. Recipients are not required to make every existing 
camp, all existing camp facilities, or all camp sessions accessible, but 
recipients who operate more than one camp or session may not limit 
qualified handicapped persons to one camp or session.
    (c) Materials. Recipients shall make materials accessible to 
qualified handicapped persons with sensory or mental impairments. 
Commonly-used materials shall be readily available in alternate forms 
such as Braille or tape. Upon request, recipients shall make other 
materials available through appropriate means such as Braille, tape, 
readers, large print formats, simplified versions, written scripts, or 
interpreters. Recipients need not provide individually prescribed 
devices, readers for personal use or study, or other devices or services 
of a personal nature.

[47 FR 25470, June 11, 1982, as amended at 68 FR 51342, 51343, Aug. 26, 
2003]



Sec.  15b.28  Private education.

    (a) A recipient that provides private elementary or secondary 
education may not, on the basis of handicap, exclude a qualified 
handicapped person if the person can, with minor adjustments, be 
provided an appropriate education, as defined by Sec.  15b.22(b)(1)(i). 
Each recipient to which this section applies is also subject to the 
provisions of Sec. Sec.  15b.23 and 15b.26.
    (b) A recipient to which this section applies may not charge more 
for the provision of an appropriate education to handicapped persons 
than to nonhandicapped persons except to the extent that any additional 
charge is justified by a substantial increase in cost to the recipient.

[47 FR 25470, June 11, 1982, as amended at 68 FR 51343, Aug. 26, 2003]



                    Subpart E_Postsecondary Education



Sec.  15b.29  Applicability.

    Subpart E applies to public and private postsecondary education 
programs or activities, including postsecondary vocational education 
programs and activities, that receive Federal financial assistance 
provided by the Department of Agriculture after the effective date of 
this part.

[47 FR 25470, June 11, 1982, as amended at 55 FR 52139, Dec. 19, 1990; 
68 FR 51343, Aug. 26, 2003]



Sec.  15b.30  Admissions and recruitment.

    (a) General. Qualified handicapped persons may not, on the basis of 
handicap, be denied admission or be subjected to discrimination in 
admission or recruitment by a recipient to which this subpart applies.
    (b) Admissions. In administering its admission policies, a recipient 
to which this subpart applies:
    (1) May not apply limitations upon the number or proportion of 
handicapped persons who may be admitted;
    (2) May not make use of any test or criterion for admission that has 
a disproportionate, adverse effect on handicapped persons or any class 
of handicapped persons unless (i) the test or criterion, as used by the 
recipient, has been validated as a predictor of success in the education 
program or activity in question and (ii) alternate tests or criteria 
that have a less disproportionate, adverse effect are not shown by the 
Secretary to be available.

[[Page 485]]

    (3) Shall assure itself that (i) admissions tests are selected and 
administered so as best to ensure that, when a test is administered to 
an applicant who has a handicap that impairs sensory, manual, or 
speaking skills, the test results accurately reflect the applicant's 
aptitude or achievement level or whatever other factor the test purports 
to measure, rather than reflecting the applicant's impaired sensory, 
manual, or speaking skills (except where those skills are the factors 
that the test purports to measure); (ii) admissions tests that are 
designed for persons with impaired sensory, manual, or speaking skills 
are offered as often and in as timely a manner as are other admissions 
tests; and (iii) admissions tests are administered in facilities that, 
on the whole, are accessible to handicapped persons; and
    (4) Except as provided in paragraph (c) of this section, may not 
make preadmission inquiry as to whether an applicant for admission is a 
handicapped person but, after admission, may take inquiries on a 
confidential basis as to handicaps that may require accommodation.
    (c) Preadmission inquiry exception. When a recipient is taking 
remedial action to correct the effects of past discrimination pursuant 
to Sec.  15b.8(a) or when a recipient is taking voluntary action to 
overcome the effects of conditions that resulted in limited 
participation in its federally assisted program or activity pursuant to 
Sec.  15b.8(b), the recipient may invite applicants for admissions to 
indicate whether and to what extent they are handicapped: Provided, That 
(1) the recipient states clearly on any written questionnaire used for 
this purpose or makes clear orally if no written questionnaire is used 
that the information requested is intended for use solely in connection 
with its remedial action obligations or its voluntary action efforts; 
and (2) the recipient states clearly that the information is being 
requested on a voluntary basis, that it will be kept confidential, that 
refusal to provide it will not subject the applicant to any adverse 
treatment, and that it will be used only in accordance with this part.
    (d) Validity studies. For the purpose of paragraph (b)(2) of this 
section, a recipient may base prediction equations on first year grades, 
but shall conduct periodic validity studies against the criterion of 
overall success in the education program or activity in question in 
order to monitor the general validity of the test scores.



Sec.  15b.31  Treatment of students.

    (a) General. No qualified handicapped student shall, on the basis of 
handicap, be excluded from participation in, be denied the benefits of, 
or otherwise be subjected to discrimination under any academic, 
research, occupational training, housing, health, insurance, counseling, 
financial aid, physical education, athletics, recreation, 
transportation, other extracurricular, other postsecondary education 
aid, benefits, or services to which this subpart applies.
    (b) A recipient to which this subpart applies that considers 
participation by students in education programs or activities not 
operated wholly by the recipient as part of, or equivalent to, an 
education program or activity operated by the recipient shall assure 
itself that the other education program or activity, as a whole, 
provides an equal opportunity for the participation of qualified 
handicapped persons.
    (c) A recipient to which this subpart applies may not, on the basis 
of handicap, exclude any qualified handicapped student from any course, 
course of study, or other part of its education program or activity.
    (d) A recipient to which this subpart applies shall operate its 
programs or activities in the most integrated setting appropriate.

[47 FR 25470, June 11, 1982, as amended at 68 FR 51343, Aug. 26, 2003]



Sec.  15b.32  Academic adjustments.

    (a) Academic requirements. A recipient to which this subpart applies 
shall make such modifications to its academic requirements as are 
necessary to ensure that such requirements do not discriminate or have 
the effect of discriminating on the basis of handicap, against a 
qualified handicapped applicant or student. Academic requirements that 
the recipient can demonstrate are essential to the instruction being 
pursued by such student or

[[Page 486]]

to any directly related licensing requirement will not be regarded as 
discriminatory within the meaning of this section. Modifications may 
include changes in the length of time permitted for the completion of 
degree requirements, substitution of specific courses required for the 
completion of degree requirements, and adaptation of the manner in which 
specific courses are conducted.
    (b) Other rules. A recipient to which this subpart applies may not 
impose upon handicapped students other rules, such as the prohibition of 
tape recorders in classrooms or of dog guides in campus buildings, that 
have the effect of limiting the participation of handicapped students in 
the recipient's education program or activity.
    (c) Course examinations. In its course examinations or other 
procedures for evaluating students' academic achievement, a recipient to 
which this subpart applies shall provide such methods for evaluating the 
achievement of students who have a handicap that impairs sensory, 
manual, or speaking skills as will best ensure that the results of the 
evaluation represent the students' achievements in the course, rather 
than reflecting the students' impaired sensory, manual, or speaking 
skills (except where such skills are the factors that the test purports 
to measure).
    (d) Auxiliary aids. (1) A recipient to which this subpart applies 
shall take such steps as are necessary to ensure that no handicapped 
student is denied the benefits of, excluded from participation in, or 
otherwise subjected to discrimination because of the absence of 
educational auxiliary aids for students with impaired sensory, manual, 
or speaking skills.
    (2) Auxiliary aids may include taped texts, interpreters or other 
effective methods of making orally delivered materials available to 
students with hearing impairments, readers in libraries for students 
with visual impairments, classroom equipment adapted for use by students 
with manual impairments, and other similar services and actions. 
Recipients need not provide attendants, individually prescribed devices, 
readers for personal use or study, or other devices or services of a 
personal nature.

[47 FR 25470, June 11, 1982, as amended at 68 FR 51343, Aug. 26, 2003]



Sec.  15b.33  Housing.

    (a) Housing provided by the recipient. A recipient that provides 
housing to its nonhandicapped students shall provide comparable, 
convenient, and accessible housing to handicapped students at the same 
cost as to others. At the end of the transition period provided for in 
subpart C, such housing shall be available in sufficient quantity and 
variety so that the scope of handicapped students' choice of living 
accommodations is, as a whole, comparable to that of nonhandicapped 
students.
    (b) Other housing. A recipient that assists any agency, 
organization, or person in making housing available to any of its 
students shall take such action as may be necessary to assure itself 
that such housing is, as a whole, made available in a manner that does 
not result in discrimination on the basis of handicap.



Sec.  15b.34  Financial and employment assistance to students.

    (a) Provision of financial assistance. (1) In providing financial 
assistance to qualified handicapped persons, a recipient to which this 
subpart applies may not, (i) on the basis of handicap, provide less 
assistance than is provided to nonhandicapped persons, limit eligibility 
for assistance, or otherwise discriminate or (ii) assist any entity or 
person that provides assistance to any of the recipient's students in a 
manner that discriminates against qualified handicapped persons on the 
basis of handicap.
    (2) A recipient may administer or assist in the administration of 
scholarships, fellowships, or other forms of financial assistance 
established under wills, trusts, bequests, or similar legal instruments 
that require awards to be made on the basis of factors that discrimate 
or have the effect of discriminating on the basis of handicap only if 
the overall effect of the award of scholarships, fellowships, and other 
forms of financial assistance is not discriminatory on the basis of 
handicap.

[[Page 487]]

    (b) Assistance in making available outside employment. A recipient 
that assists any agency, organization, or person in providing employment 
opportunities to any of its students shall assure itself that such 
employment opportunities, as a whole, are made available in a manner 
that would not violate subpart B if they were provided by the recipient.
    (c) Employment of students by recipients. A recipient that employs 
any of its students may not do so in a manner that violates subpart B.



Sec.  15b.35  Nonacademic services.

    (a) Physical education and athletics. (1) In providing physical 
education courses and athletics and similar aid, benefits, or services 
to any of its students, a recipient to which this subpart applies may 
not discriminate on the basis of handicap. A recipient that offers 
physical education courses or that operates or sponsors intercollegiate, 
club, or intramural athletics shall provide to qualified handicapped 
students an equal opportunity for participation in these activities.
    (2) A recipient may offer to handicapped students physical education 
and athletic activities that are separate or different only if 
separation or differentiation is consistent with the requirements of 
Sec.  15b.31(d) and only of no qualified handicapped student is denied 
the opportunity to compete for teams or to participate in courses that 
are not separate or different.
    (b) Counseling and placement services. A recipient to which this 
subpart applies that provides personal, academic, or vocational 
counseling, guidance, or placement services to its students shall 
provide these services without discrimination on the basis of handicap. 
The recipient shall ensure that qualified handicapped students are not 
counseled toward more restrictive career objectives than are 
nonhandcapped students with similar interests and abilities. This 
requirement does not preclude a recipient from providing factual 
information about licensing and certification requirements that may 
present obstacles to handicapped persons in their pursuit of particular 
careers.
    (c) Social organizations. A recipient that provides significant 
assistance to fraternities, sororities, or similar organizations shall 
assure itself that the membership practices of such organizations do not 
permit discrimination otherwise prohibited by this subpart.

[47 FR 25470, June 11, 1982, as amended at 68 FR 51343, Aug. 26, 2003]



               Subpart F_Other Aid, Benefits, or Services



Sec.  15b.36  Applicability.

    Subpart F applies to aid, benefits, or services, other than those 
covered by subparts D and E, that receive Federal financial assistance 
provided by the Department of Agriculture after the effective date of 
this part.

[47 FR 25470, June 11, 1982, as amended at 55 FR 52139, Dec. 19, 1990; 
68 FR 51343, Aug. 26, 2003]



Sec.  15b.37  Auxiliary aids.

    (a) A recipient to which this subpart applies that employs fifteen 
or more persons shall provide appropriate auxiliary aids to persons with 
impaired sensory, manual, or speaking skills, where necessary to afford 
such persons an equal opportunity to benefit from the service in 
question.
    (b) The Secretary may require recipients with fewer than fifteen 
employees to provide auxiliary aids where the provision of aids would 
not significantly impair the ability of the recipient to provide its 
benefits or services.
    (c) For the purpose of this section, auxiliary aids may include 
Brailled and taped material, interpreters, and other aids for persons 
with impaired hearing or vision.



Sec.  15b.38  Health care facilities.

    (a) Communications. A recipient that provides notice concerning 
benefits or services or written material concerning waivers of rights or 
consent to treatment shall take such steps as are necessary to ensure 
that qualified handicapped persons, including those with impaired 
sensory or speaking skills, are not denied effective notice because of 
their handicap.

[[Page 488]]

    (b) Emergency treatment for the hearing impaired. A recipient 
hospital that provides health services or benefits shall establish a 
procedure for effective communication with persons with impaired hearing 
for the purpose of providing emergency health care.
    (c) Drug and alcohol addicts. A recipient to which this subpart 
applies that operates a general hospital or outpatient facility may not 
discriminate in admission or treatment against a drug or alcohol abuser 
or alcoholic who is suffering from a medical condition, because of the 
person's drug or alcohol abuse or alcoholism.



Sec.  15b.39  Education of institutionalized persons.

    A recipient to which this subpart applies that operates or 
supervises a program or activity that provides aid, benefits, or 
services for persons who are institutionalized because of handicap shall 
ensure that each qualified handicapped person, as defined in Sec.  
15b.3(n)(2), in its program or activity is provided an appropriate 
education, as defined in Sec.  15b.22(b). Nothing in this section shall 
be interpreted as altering in any way the obligations of recipients 
under subpart D.

[47 FR 25470, June 11, 1982, as amended at 68 FR 51343, Aug. 26, 2003]



Sec.  15b.40  Food services.

    (a) Recipients which provide food services shall serve special 
meals, at no extra charge, to persons whose handicap restricts their 
diet. Recipients may require handicapped persons to provide medical 
certification that special meals are needed because of their handicap.
    (b) Where existing food service facilities are not completely 
accessible and usable, recipients may provide aides or use other equally 
effective methods to serve food to handicapped persons. Recipients shall 
provide all food services in the most integrated setting appropriate to 
the needs of handicapped persons.

[47 FR 25470, June 11, 1982, as amended at 68 FR 51343, Aug. 26, 2003]



Sec.  15b.41  Multi-family rental housing.

    (a) General. No qualified handicapped person shall, on the basis of 
handicap, be excluded from participation in, be denied the benefits of, 
or otherwise be subjected to discrimination in multi-family rental 
housing.
    (b) New construction. (1) Recipients receiving assistance from the 
Department for multi-family rental housing projects constructed after 
the effective date of this part shall construct at least five percent of 
the units in the project or one unit, whichever is greater, to be 
accessible to or adaptable for physically handicapped persons. The 
requirement that five percent of the units in the project or at least 
one unit, whichever is greater, be accessible or adaptable may be 
modified if a recipient shows, through a market survey approved by the 
Department, that a different percentage of accessible or adaptable units 
is appropriate for a particular project and its service area.
    (i) The variety of units accessible to or adaptable for physically 
handicapped persons shall be comparable to the variety of units 
available in the project as a whole.
    (ii) No extra charge may be made for use of accessible or adaptable 
units.
    (iii) A recipient that operates multi-family rental housing projects 
on more than one site may not locate all accessible or adaptable units 
at one site unless only one accessible or adaptable unit is required.
    (2) Standards for accessibility are contained in subpart C and in 
appropriate regulations.
    (c) Existing facilities. Recipients receiving assistance from the 
Department for multi-family rental housing projects constructed prior to 
the effective date of this part shall assure that their facilities 
comply with the accessibility requirements established in Sec.  15b.18 
if a qualified handicapped person applies for admission. Necessary 
physical alterations made pursuant to such requirements shall be 
completed within a reasonable amount of time after the unit becomes 
available for occupancy by the qualified handicapped person. Subject to 
the availability of funds and fulfillment by the recipient of all 
program eligibility requirements, the Department may assist recipients

[[Page 489]]

to comply with accessibility requirements through methods such as (1) 
consideration of subsequent loan applications for purposes of making 
existing facilities accessible or for the construction of additional 
units which are accessible and (2) consideration of approval to commit 
project reserve account funds for minor modifications in order to make 
existing facilities accessible.

[47 FR 25470, June 11, 1982, as amended at 68 FR 51343, Aug. 26, 2003]



                          Subpart G_Procedures



Sec.  15b.42  Procedures.

    The procedural provisions applicable to title VI of the Civil Rights 
Act of 1964 apply to this part. These procedures are found in 7 CFR 
15.5-15.11 and 15.60-15.143.



 Appendix A to Part 15b--List of Federal Financial Assistance From USDA

    The types of Federal financial assistance administered by the U.S. 
Department of Agriculture include but are not limited to the following:

------------------------------------------------------------------------
 Type of Federal Financial Assistance              Authority
------------------------------------------------------------------------
          Administered by the Agricultural Cooperative Service
------------------------------------------------------------------------
1. Technical assistance for            Cooperative Marketing Act of
 agricultural cooperatives.             1926, 7 U.S.C., Secs. 451-457.
------------------------------------------------------------------------
           Administered by the Agricultural Marketing Service
------------------------------------------------------------------------
2. Federal-State marketing             Sec. 204(b) of the Agricultural
 improvement program.                   Marketing Act of 1946, 7 U.S.C.
                                        1623(b).
3. Market news service...............  Sec. 203(g) of the Agricultural
                                        Marketing Act of 1946, 7 U.S.C.
                                        1622(g); the Cotton Statistics
                                        and Estimates Act, as amended, 7
                                        U.S.C. 471-476; the Tobacco
                                        Statistics Act, as amended, 7
                                        U.S.C. 501-508; the Tobacco
                                        Inspection Act, 7 U.S.C. 511-
                                        511(q); the Naval Stores Act, 7
                                        U.S.C. 91-99; the Turpentine and
                                        Rosin Statistics Act, 7 U.S.C.
                                        2248; the United States Cotton
                                        Futures Act, 7 U.S.C. 15b; and
                                        the Peanut Statistics Act as
                                        amended, 7 U.S.C. 951-957.
------------------------------------------------------------------------
            Administered by the Agricultural Research Service
------------------------------------------------------------------------
4. Agriculture research grants.......  Secs. 1 and 10 of the Act of June
                                        29, 1935, as amended, 7 U.S.C.
                                        427 and 427i; and 202-208 of the
                                        Agricultural Marketing Act of
                                        1946, as amended, 7 U.S.C. 1621-
                                        1627.
------------------------------------------------------------------------
   Administered by the Agricultural Stabilization Conservation Service
------------------------------------------------------------------------
5. Price support programs operating    Agricultural Act of 1949, as
 through producer associations,         amended; 7 U.S.C. 1421-1447.
 cooperatives, and other recipients
 in which the recipient is required
 to furnish specified benefits to
 producers (e.g., tobacco, peanuts,
 sugar, cotton, rice, honey and
 soybeans price support programs).
6. Disaster feed donation programs...  Section 407 of the Agricultural
                                        Act of 1949, as amended, 7
                                        U.S.C. 1427.
------------------------------------------------------------------------
         Administered by the Cooperative State Research Service
------------------------------------------------------------------------
7. Payments under the Hatch Act......  Hatch Act of 1887, as amended, 7
                                        U.S.C. 361a-361i.
8. McIntire-Stennis cooperative        Act of October 10, 1962, as
 forestry research.                     amended, 16 U.S.C. 582a-582a-7.
9. Payments to 1890 colleges and       Sec. 1445 of the Food and
 Tuskegee Institute for research.       Agriculture Act of 1977, as
                                        amended, 7 U.S.C. 3222.
10. Native latex research............  Native Latex Commercialization
                                        and Economic Development Act of
                                        1978, 7 U.S.C. 178 et seq.
11. Alcohol Fuels research...........  Sec. 1419 of the Food and
                                        Agriculture Act of 1977, as
                                        amended, 7 U.S.C. 3154.
12. Animal Health Research...........  Sec. 1433 of the Food and
                                        Agriculture Act of 1977, as
                                        amended, 7 U.S.C. 3195.
13. Competitive research grants......  Sec. 2(b) of the Act of August 4,
                                        1965, as amended, 7 U.S.C.
                                        450i(b).
14. Experiment station research        Act of July 22, 1963, as amended,
 facilities.                            7 U.S.C. 390-390j.
15. Special research grants..........  Sec. 2(c) of the Act of August 4,
                                        1965, as amended, 7 U.S.C.
                                        450i(c).

[[Page 490]]

 
16. Rural development research.......  Title V of the Rural Development
                                        Act of 1972, as amended, 7
                                        U.S.C. 2661 et. seq.
------------------------------------------------------------------------
                    Administered by Extension Service
------------------------------------------------------------------------
17. Cooperative extension work.......  Smith-Lever Act, as amended, 7
                                        U.S.C. 341-349; District of
                                        Columbia Public Postsecondary
                                        Education Reorganization Act,
                                        D.C. Code Secs. 31-1719; Rural
                                        Development Act of 1972, as
                                        amended, 7 U.S.C. 2661 et. seq.;
                                        Sec. 1444 of the Food and
                                        Agriculture Act of 1977, 7
                                        U.S.C. 3221.
------------------------------------------------------------------------
               Administered by Farmers Home Administration
------------------------------------------------------------------------
18. Farm ownership loans to install    Sec. 303 of the Consolidated Farm
 or improve recreational facilities     and Rural Development Act, as
 or other nonfarm enterprises.          amended, 7 U.S.C. 1923.
19. Operating loans to install or      Sec. 312 of the Consolidated Farm
 improve recreational facilities or     and Rural Development Act, as
 other nonfarm enterprises.             amended, 7 U.S.C. 1942.
20. Soil and water conservation,       Sec. 304 of the Consolidated Farm
 (including pollution abatement         and Rural Development Act, as
 facilities), and recreational          amended, 7 U.S.C. 1924.
 facilities.
21. Financial and other assistance to  Sec. 203 of the Appalachian
 landowners, operators, or occupiers    Regional Development Act of
 to carry out land uses and             1965, as amended, 40 U.S.C. App.
 conservation.                          203.
22. Rural renewal, resource,           Secs. 31-35 of the Bankhead-Jones
 conservation development, land         Farm Tenant Act, as amended, 7
 conservation and utilization.          U.S.C. 1010-1035.
23. Watershed protection and flood     Watershed Protection and Flood
 prevention program.                    Prevention Act, as amended, 16
                                        U.S.C. 1001-1008.
24. Resource conservation and          Sec. 32(e) of the Bankhead-Jones
 development loans.                     Farm Tenant Act, as amended, 7
                                        U.S.C. 1011(e).
25. Farm labor housing loans.........  Sec. 514 of the Housing Act of
                                        1949, 42 U.S.C. 1484.
26. Farm labor housing grants........  Sec. 516 of the Housing Act of
                                        1949, as amended, 42 U.S.C.
                                        1486.
27. Rural rental housing for the       Sec. 515 of the Housing Act of
 elderly and families of low and        1949, as amended, 42 U.S.C.
 moderate income persons.               1485.
28. Rural cooperative housing........  Sec. 515 of the Housing Act of
                                        1949, as amended, 42 U.S.C.
                                        1485.
29. Rural housing site loans.........  Sec. 524 of the Housing Act of
                                        1949, as amended, 42 U.S.C.
                                        1490d.
30. Technical and supervisory          Sec. 525 of the Housing Act of
 assistance grants.                     1949, as amended, 42 U.S.C.
                                        1490e.
31. Technical assistance grants......  Sec. 523 of the Housing Act of
                                        1949, as amended, 42 U.S.C.
                                        1490c.
32. Rural housing self-help site       Sec. 523 of the Housing Act of
 loans.                                 1949, as amended, 42 U.S.C.
                                        1490c.
33. Mutual self-help housing.........  Sec. 523 of the Housing Act of
                                        1949, as amended, 42 U.S.C.
                                        1490c.
34. Water and waste facility loans     Sec. 306 of the Consolidated Farm
 and grants and community facility      and Rural Development Act, as
 loans and grants.                      amended, 7 U.S.C. 1926.
35. Rural and industrial loan program  Sec. 310(a) of the Consolidated
                                        Farm and Rural Development Act,
                                        as amended, 7 U.S.C. 1932(a).
36. Private business enterprise        Sec. 310(c) of the Consolidated
 grants.                                Farm and Rural Development Act,
                                        as amended, 7 U.S.C. 1932(c).
37. Area development assistance        Sec. 306(a)(11) of the
 planning grant program.                Consolidated Farm and Rural
                                        Development Act, as amended, 7
                                        U.S.C. 1926(a)(11).
38. Energy impacted area development   Sec. 601 of the Power Plant and
 assistance program.                    Industrial Fuel Use Act of 1978,
                                        42 U.S.C. 8401.
------------------------------------------------------------------------
          Administered by the Federal Grain Inspection Service
------------------------------------------------------------------------
39. Inspection administration and      U.S. Grain Standards Act, as
 supervision.                           amended, 7 U.S.C. 71-87; and,
                                        Sec. 203(h) of the Agricultural
                                        Marketing Act of 1946, 7 U.S.C.
                                        1621-1630.
------------------------------------------------------------------------
             Administered by the Food and Nutrition Service
------------------------------------------------------------------------
40. Food stamp program...............  Food Stamp Act of 1964, as
                                        amended, 7 U.S.C. 2011-2027.
41. Special supplemental food program  Sec. 17 of the Child Nutrition
 for women, infants, and children       Act of 1966, as amended, 42
 (WIC).                                 U.S.C. 1786.
42. Commodity supplemental food        Sec. 32 of the Act of August 24,
 program.                               1935, as amended, 7 U.S.C. 612c;
                                        Sec. 416 of the Agricultural Act
                                        of 1949, as amended, 7 U.S.C.
                                        1431.
43. Food distribution program........  Sec. 416 of the Agricultural Act
                                        of 1949, as amended, 7 U.S.C.
                                        1431; Sec. 32 of the Act of
                                        August 24, 1935, as amended, 7
                                        U.S.C. 612c; Secs. 6, 13 and 17
                                        of the National School Lunch
                                        Act, as amended, 42 U.S.C. 1755,
                                        1761, 1766; Sec. 8 of the Child
                                        Nutrition Act of 1966, 42 U.S.C.
                                        1777; Sec. 709 of the Food and
                                        Agriculture Act of 1965, as
                                        amended, 7 U.S.C. 1446a-1.
44. National school lunch program....  National School Lunch Act, as
                                        amended, 42 U.S.C. 1751-1769a.
45. School breakfast program.........  Sec. 4 of the Child Nutrition Act
                                        of 1966, as amended, 42 U.S.C.
                                        1773.
46. Special milk program.............  Sec. 3 of the Child Nutrition Act
                                        of 1966, as amended, 42 U.S.C.
                                        1772.
47. Food service equipment assistance  Sec. 5 of the Child Nutrition Act
                                        of 1966, as amended, 42 U.S.C.
                                        1774; Sec. 5 of the National
                                        School Lunch Act, as amended, 42
                                        U.S.C. 1754.
48. Summer food service program......  Sec. 13 of the National School
                                        Lunch Act, as amended, 42 U.S.C.
                                        1761.

[[Page 491]]

 
49. Child care food program..........  Sec. 17 of the National School
                                        Lunch Act, as amended, 42 U.S.C.
                                        1766.
50. Nutrition education and training   Secs. 18 and 19 of the Child
 program.                               Nutrition Act of 1966, 42 U.S.C.
                                        1787, 1788.
------------------------------------------------------------------------
         Administered by the Food Safety and Inspection Service
------------------------------------------------------------------------
51. Payments to States for the         Egg Products Inspection Act, 21
 inspection of egg handlers to insure   U.S.C. 1031-1056.
 that they are properly disposing of
 restricted eggs.
52. Financial and technical            Federal Meat Inspection Act, as
 assistance to States for meat          amended, 21 U.S.C. 601-695.
 inspection activities.
53. Financial and technical            Poultry Products Inspection Act,
 assistance to States for poultry       as amended, 21 U.S.C. 451-470.
 inspection activities.
54. Financial and technical            Talmadge-Aiken Act, 7 U.S.C. 450.
 assistance to States for meat and
 poultry inspection activities.
------------------------------------------------------------------------
                   Administered by the Forest Service
------------------------------------------------------------------------
55. Permits for use of National        Act of June 4, 1897, as amended,
 Forests and National Grasslands by     16 U.S.C. 551; Sec. 501 of the
 other than individuals at a nominal    Federal Land Policy Management
 or no charge.                          Act of 1976, 43 U.S.C. 1761;
                                        Term Permit Act of March 4,
                                        1915; as amended, 16 U.S.C. 497;
                                        Secs. 3 and 4 of the American
                                        Antiquities Act of June 8, 1906,
                                        16 U.S.C. 432; Sec. 32 of the
                                        Bankhead-Jones Farm Tenant Act,
                                        as amended, 7 U.S.C. 1011.
56. Permit for land use of Government- Sec. 7 of the Granger-Thye Act of
 owned improvements by other than       April 24, 1950, 16 U.S.C. 580d.
 individuals at a nominal charge.
57. Permits for disposal of common     Secs. 1-4 of the Act of July 31,
 varieties of mineral materials from    1947, as amended, 30 U.S.C. 601-
 lands under the Forest Service         603, 611.
 jurisdiction for use by other than
 individuals at a nominal or no
 charge.
58. Easements for use of National      Sec. 32 of the Bankhead-Jones
 Forests and Grasslands by other than   Farm Tenant Act, as amended, 7
 individuals at a nominal or no         U.S.C. 1011; Sec. 501 of the
 charge.                                Federal Land Policy and
                                        Management Act of 1976, 43
                                        U.S.C. 1761.
59. Easements for road rights-of-way   Sec. 2 of the Act of October 13,
 over lands administered by the         1964, 16 U.S.C. 533.
 Forest Service.
60. Road rights-of-way...............  Federal Highway Act of 1958, 23
                                        U.S.C. 107, 317.
61. Rights-of-ways for wagon roads or  Sec. 501 of the Act of March 3,
 railroads.                             1899, 16 U.S.C. 525.
62. Timber granted free or at nominal  Sec. 1 of the Act of June 4,
 cost to any group.                     1897, as amended, 16 U.S.C. 551;
                                        Sec. 32 of the Bankhead-Jones
                                        Farm Tenant Act, as amended, 7
                                        U.S.C. 1011.
63. Transfer for fire-lookout towers,  Sec. 5 of the Act of June 20,
 improvements and land to States        1958, 16 U.S.C. 565b.
 political subdivisions.
64. Payment of 25 percent of National  Act of May 23, 1908, as amended,
 Forest receipts to States for          16 U.S.C. 500.
 schools and roads.
65. Payment to Minnesota from          Sec. 5 of the Act of June 22,
 National Forest receipts of a sum      1948, as amended, 16 U.S.C.
 based on a formula.                    577g, 577g-1.
66. Payment of 25 percent of net       Sec. 33 of the Bankhead-Jones
 revenues from Title III, Bankhead-     Farm Tenant Act, as amended, 7
 Jones Farm Tenant Act lands to         U.S.C. 1012.
 counties for schools and road
 purposes.
67. Cooperative action to protect,     Cooperative Forestry Assistance
 develop, manage, and utilize forest    Act of 1978, 16 U.S.C. 2101-
 resources on State and private lands.  2111.
68. Advance of funds for cooperative   Sec. 20 of the Granger-Thye Act
 research.                              of April 24, 1950, 16 U.S.C.
                                        581i-1.
69. Grants for support of scientific   Act of September 6, 1958, 42
 research.                              U.S.C. 1891-1893.
70. Research cooperation.............  Forest and Rangeland Renewable
                                        Resources Research Planning Act
                                        of 1974, as amended, 16 U.S.C.
                                        1600-1614.
71. Youth conservation corps State     Act of August 13, 1970, as
 grant program.                         amended, 16 U.S.C. 1701-1706.
72. Young adult conservation corps     Secs. 801-809 of the
 State grant program.                   Comprehensive Employment and
                                        Training Act, as amended, 29
                                        U.S.C. 991-999.
73. Grants to Maine, Vermont, and New  Older Americans Act of 1965, as
 Hampshire for the purpose of           amended, 42 U.S.C. 3001-3057g.
 assisting economically disadvantaged
 citizens over 55 years of age.
74. Senior community service           Sec. 902(b)(2) of Title IX of the
 employment program (SCSEP).            Older Americans Amendments of
                                        1975, 42 U.S.C.
------------------------------------------------------------------------
        Administered by the Rural Electrification Administration
------------------------------------------------------------------------
75. Rural electrification and rural    Rural Electrification Act of
 telephone programs.                    1963, as amended, 7 U.S.C. 901-
                                        950b.
76. CATV, community facilities         Secs. 306 and 310B of the
 program.                               Consolidated Farm and Rural
                                        Development Act of 1979, 7
                                        U.S.C. 1926, 1932.
------------------------------------------------------------------------

[[Page 492]]

 
           Administered by Science and Education Program Staff
------------------------------------------------------------------------
77. Higher education.................  Sec. 22 of the Act of June 29,
                                        1935, as amended, 7 U.S.C. 329;
                                        Sec. 1417 of the Food and
                                        Agriculture Act of 1977, 7
                                        U.S.C. 3152.
------------------------------------------------------------------------
              Administered by the Soil Conservation Service
------------------------------------------------------------------------
78. Soil and water conservation......  Secs. 1-6 and 17 of the Soil
                                        Conservation and Domestic
                                        Allotment Act, as amended, 16
                                        U.S.C. 590a-590f, 590q.
79. Plant materials for conservation.  Secs. 1-6 and 17 of the Soil
                                        Conservation and Domestic
                                        Allotment Act, as amended, 16
                                        U.S.C. 590a-590f, 590q.
80. Resource, conservation and         Secs. 31 and 32 of the Bankhead-
 development.                           Jones Farm Tenant Act, as
                                        amended, 7 U.S.C. 1010, 1111;
                                        Secs. 1-6 and 17 of the Soil
                                        Conservation and Domestic
                                        Allotment Act, as amended, 16
                                        U.S.C. 590a-590f, 590q.
81. Watershed protection and flood     Watershed Protection and Flood
 prevention.                            Prevention Act, as amended, 16
                                        U.S.C. 1001-1008.
82. Great plains conservation........  Secs. 1-6 and 17 of the Soil
                                        Conservation and Domestic
                                        Allotment Act, as amended, 16
                                        U.S.C. 590a-590f, 590q.
83. Soil survey......................  Secs. 1-6 and 17 of the Soil
                                        Conservation and Domestic
                                        Allotment Act, as amended, 16
                                        U.S.C. 590a-590f, 590q.
84. River basin surveys and            Sec. 6 of the Watershed
 investigations.                        Protection and Flood Prevention
                                        Act, 16 U.S.C. 1006.
85. Snow survey and water supply       Secs. 1-6 and 17 of the Soil
 forecasting.                           Conservation and Domestic
                                        Allotment Act, as amended, 16
                                        U.S.C. 590a-590f, 590q.
86. Land inventory and monitoring....  Secs. 1-6 and 17 of the Soil
                                        Conservation and Domestic
                                        Allotment Act, as amended, 16
                                        U.S.C. 590a-590f, 590q; Sec. 302
                                        of the Rural Development Act of
                                        1972, 7 U.S.C. 1010a.
87. Resource appraisal and program     Soil and Water Resources
 development.                           Conservation Act of 1977, 16
                                        U.S.C. 2001-2009.
88. Rural clean water program........  Clean Water Act, 33 U.S.C. 1251-
                                        1376.
89. Rural abandoned mine program.....  Secs. 406-413 of the Surface
                                        Mining Control and Reclamation
                                        Act of 1977, 30 U.S.C. 1236-
                                        1243.
90. Emergency watershed protection...  Sec. 7 of the Act of June 28,
                                        1938, as amended, 33 U.S.C. 701b-
                                        1; Sec. 403, Agriculture Credit
                                        Act of 1978, 16 U.S.C. 2203.
91. Eleven authorized watershed        Sec. 13 of the Act of December
 projects.                              22, 1944, 58 Stat. 905.
------------------------------------------------------------------------
              Administered by the Office of Transportation
------------------------------------------------------------------------
92. Transportation services..........  Sec. 201 of the Agricultural
                                        Adjustment Act of 1938, 7 U.S.C.
                                        1291; Sec. 203(j) of the
                                        Agricultural Marketing Act of
                                        1946, as amended, 7 U.S.C.
                                        1622(l); Sec. 104 of the
                                        Agricultural Trade Development
                                        and Assistance Act of 1954, as
                                        amended, 7 U.S.C. 1704.
------------------------------------------------------------------------


[47 FR 25470, June 11, 1982, as amended at 68 FR 51342, Aug. 26, 2003]



PART 15c_NONDISCRIMINATION ON THE BASIS OF AGE IN PROGRAMS OR ACTIVITIES 
RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE UNITED STATES DEPARTMENT 
OF AGRICULTURE--Table of Contents



Sec.
15c.1 Purpose.
15c.2 Definitions.
15c.3 Discrimination prohibited.
15c.4 Assurance and notice requirements.
15c.5 Information requirements.
15c.6 Compliance.
15c.7 Complaints.
15c.8 Prohibition against intimidation and retaliation.
15c.9 Enforcement.
15c.10 Exhaustion of administrative remedies.

Appendix A to 7 CFR part 15c--Age Distinctions in Federal Statutes or 
          Regulations Affecting Financial Assistance Administered by the 
          United States Department of Agriculture

    Authority: 5 U.S.C. 301; 42 U.S.C. 6101 et seq.

    Source: 79 FR 73192, Dec. 10, 2014, unless otherwise noted.



Sec.  15c.1  Purpose.

    The purpose of this part is to establish the nondiscrimination 
policy of the USDA on the basis of age in programs and activities funded 
in whole or in part by USDA, in compliance with the Age Discrimination 
Act of 1975, as amended (Age Act), and the requirements set by the HHS 
in its Government-wide regulation at 45 CFR part 90.

[[Page 493]]



Sec.  15c.2  Definitions.

    Action means any act, activity, policy, rule, standard, or method of 
administration or use of any policy, rule, standard or method of 
administration.
    Age Act means The Age Discrimination Act of 1975, as amended, 42 
U.S.C. 6101 et seq.
    Age means the number of elapsed years from the date of a person's 
birth.
    Age distinction means any action using age or an age-related term.
    Age-related term means a word or words that necessarily imply a 
particular age or range of ages (e.g. ``children,'' ``adult,'' or 
``older person'').
    Agency means a major organizational unit of USDA with delegated 
authorities to deliver programs, activities, benefits, and services.
    Agency Head means the head of any agency within USDA which may hold 
the title Administrator, Chief, or Director depending on the agency.
    Assistant Secretary for Civil Rights (ASCR) means the civil rights 
officer for USDA responsible for the performance and oversight of all 
civil rights functions within USDA, and who retains the authority to 
delegate civil rights functions to heads of USDA agencies and offices. 
The ASCR is also responsible for evaluating agency heads on their 
performance of civil rights functions.
    Beneficiary means a person or group of persons with an entitlement 
to receive or enjoy the benefits, services, resources, and information 
from, or to participate in, the activities and programs funded in whole 
or in part by USDA.
    Complainant means any person or group of persons who files with any 
USDA agency a complaint that alleges discrimination in a program or 
activity funded in whole or in part by USDA.
    Complaint means a written statement that contains the complainant's 
name and address and describes the alleged discriminatory action in 
sufficient detail to inform the Office of the Assistant Secretary for 
Civil Rights (OASCR) of the nature and date of the alleged civil rights 
violation. The statement must be signed by the complainant(s) or someone 
authorized to sign on behalf of the complainant(s). The complaint need 
not be written or signed if submitted in an alternate format to 
accommodate the complaint filing needs of a person who has Limited 
English Proficiency, a disability, or other special need. The complaint 
must be based on one or more prohibited bases.
    Compliance Review means a systematically planned and regularly 
initiated investigation that assesses and evaluates the civil rights and 
equal opportunity policies, procedures and practices of a USDA agency or 
instrumentality to determine compliance with civil rights statutes, 
regulations, standards, and policies.
    Department (used interchangeably with USDA) means the Department of 
Agriculture, and includes each of its operating agencies and other 
organizational units.
    Discrimination means unlawful treatment or denial of benefits, 
services, terms, conditions, rights, or privileges to a person or 
persons based on a protected basis, including age.
    (1) Federal Financial Assistance includes:
    (i) Grants and loans of Federal funds;
    (ii) The grant or donation of Federal property and interests in 
property;
    (iii) The detail of Federal personnel;
    (iv) The sale and lease of, and the permission to use (on other than 
a casual or transient basis), Federal property, or any interest in such 
property, or the furnishing of services without consideration or at a 
nominal consideration, or at a consideration which is reduced for the 
purpose of assisting the recipient, or in recognition of the public 
interest to be served by such sale, lease or furnishing of services to 
the recipient; and
    (v) Any Federal agreement, arrangement, or other contract which has 
as one of its purposes the provision of assistance.
    (2) Federal financial assistance does not include procurement 
contracts at market value, contracts of guarantee or insurance, 
regulated programs, licenses, or programs that provide direct benefits. 
The complaint must be based on one or more prohibited bases.
    HHS means The United States Department of Health and Human Services.
    Normal Operation means the operation of a program or activity 
without

[[Page 494]]

significant changes that would impair its ability to meet its 
objectives.
    Program or activity includes all of the operations of:
    (1) State and local governments. (i) A department, agency, special 
purpose district, or other instrumentality of a State or of a local 
government; or
    (ii) The entity of such State or local government that distributes 
Federal financial assistance and each such department or agency (and 
each other State or local government entity) to which the assistance is 
extended, in the case of assistance to a State or local government.
    (2) Educational institutions. (i) A college, university, or other 
postsecondary institution, or a public system of higher education; or
    (ii) A local educational agency (as defined in 20 U.S.C. 7801), 
system of vocational education, or other school system.
    (3) Private organizations. (i) An entire corporation, partnership, 
or other private organization, or an entire sole proprietorship--
    (A) If assistance is extended to such corporation, partnership, 
private organization, or sole proprietorship as a whole; or
    (B) Which is principally engaged in the business of providing 
education, health care, housing, social services, or parks and 
recreation.
    (ii) The entire plant or other comparable, geographically separate 
facility to which Federal financial assistance is extended, in the case 
of any other corporation, partnership, private organization, or sole 
proprietorship.
    (4) Other organizations receiving Federal financial assistance. Any 
other entity which is established by two or more of the entities 
described in paragraph (r)(1), (2), or (3) of this section; any part of 
which is extended Federal financial assistance.
    Recipient means any State, political subdivision of any State, or 
instrumentality of any State or political subdivision (to include the 
District of Columbia and any United States territories and possessions), 
any public or private entity, institution, organization or any of their 
instrumentalities, or any individual (provided the individual is not the 
ultimate beneficiary) in any State, to whom Federal financial assistance 
is extended, directly or through another recipient, for any program or 
activity, including any successor, assignee, or transferee thereof.
    Statutory Objective means any purpose of a program or activity 
expressly stated in any Federal statute, State statute, or local statute 
or ordinance adopted by an elected general purpose legislative body.



Sec.  15c.3  Discrimination prohibited.

    (a) General. No person in the United States shall, on the basis of 
age, be excluded from participation in, be denied the benefits of, or be 
subjected to discrimination under any program or activity receiving 
Federal financial assistance.
    (b) Specific discriminatory actions prohibited. A recipient may not, 
in any program or activity receiving Federal financial assistance, 
directly or through contractual, licensing, or other arrangements use 
age distinctions or take any other actions which have the effect, on the 
basis of age, of:
    (1) Excluding individuals from, denying them the benefits of, or 
subjecting them to discrimination under, a program or activity receiving 
Federal financial assistance, or
    (2) Denying or limiting individuals in their opportunity to 
participate in any program or activity receiving Federal financial 
assistance.
    (c) Specific forms of age discrimination. The specific forms of age 
discrimination listed in paragraph (b) of this section do not 
necessarily constitute a complete list.
    (d) Exceptions to the rules against age discrimination. (1) A 
recipient is permitted to take an action, otherwise prohibited by this 
section, if the action reasonably takes into account age as a factor 
necessary to the normal operation or the achievement of any statutory 
objective of a program or activity. An action reasonably takes into 
account age as a factor necessary to the normal operation or the 
achievement of any statutory objective of a program or activity, if:
    (i) Age is used as a measure or approximation of one or more other 
characteristics;

[[Page 495]]

    (ii) The other characteristic(s) must be measured or approximated in 
order for the normal operation of the program or activity to continue, 
or to achieve any statutory objective of the program or activity;
    (iii) The other characteristic(s) can be reasonably measured or 
approximated by the use of age; and
    (iv) The other characteristic(s) are impractical to measure directly 
on an individual basis.
    (2) A recipient is permitted to take an action otherwise prohibited 
by this section that is based on a factor other than age, even though 
that action may have a disproportionate effect on persons of different 
ages. An action may be based on a factor other than age only if the 
factor bears a direct and substantial relationship to the normal 
operation of the program or activity or to the achievement of a 
statutory objective.
    (3) If a recipient operating a program or activity provides special 
benefits to the elderly or to children, such use of age distinctions 
shall be presumed to be necessary to the normal operation of the program 
or activity, notwithstanding the provisions of this subpart.
    (4) Any age distinctions contained in a rule or regulation issued by 
USDA shall be presumed to be necessary to the achievement of a statutory 
objective of the program or activity to which the rule or regulation 
applies, notwithstanding the provisions of this part.



Sec.  15c.4  Compliance, assurance, and notice requirements.

    (a) USDA recipients have primary responsibility to ensure that their 
programs and activities are in compliance with the Age Act and this 
regulation and shall take steps to eliminate violations of the Age Act. 
Each recipient of Federal financial assistance from USDA shall sign a 
written assurance as specified by the Department that it shall comply 
with the Age Act and this regulation. Each recipient initially receiving 
funds from USDA that makes the funds available to a sub-recipient must 
notify the sub-recipient of its obligations under the Age Act.
    (b) Each recipient shall make necessary information about the Age 
Act and this regulation available to its beneficiaries in order to 
inform them about the protections against discrimination provided by the 
Act and this regulation.



Sec.  15c.5  Information requirements.

    Each recipient shall maintain records in a form and containing 
information which the agency determines may be necessary to ascertain 
whether the recipient is complying with the Age Act and this regulation. 
Each recipient shall provide the agency any information necessary to 
determine whether the recipient is in compliance with the Age Act and 
this rule. Each recipient shall also permit reasonable access to the 
agency of the books, records, accounts, and other facilities and sources 
of information to the extent necessary to determine whether a recipient 
is in compliance with the Age Act and this regulation.



Sec.  15c.6  Compliance reviews.

    (a) USDA may conduct compliance reviews or use other similar 
procedures to review the activities of recipients to determine whether 
they are complying with the Age Act and this regulation and to 
investigate and address violations of the Age Act. USDA may conduct 
these reviews, at any time, even in the absence of a complaint against a 
recipient. The reviews may be as comprehensive as necessary to determine 
whether a violation of the Age Act or this regulation has occurred.
    (b) If a compliance review indicates a violation of the Age Act or 
this regulation, USDA shall attempt to achieve voluntary compliance with 
the Age Act. USDA shall monitor and evaluate a recipient's efforts to 
remedy a violation to ensure compliance consistent with applicable civil 
rights requirements until compliance has been achieved. If voluntary 
compliance cannot be achieved, USDA shall undertake enforcement of the 
Age Act and this regulation.



Sec.  15c.7  Complaints.

    (a) Filing of complaints. Any person who believes he/she or any 
specific class of individuals has been subject to discrimination by a 
recipient or believes that the recipient is otherwise in

[[Page 496]]

noncompliance with the provisions of the Age Act or this regulation may 
file a complaint with OASCR. The USDA Program Discrimination Complaint 
Form may be used to file a complaint.
    (b) Time and place of filing. All age discrimination complaints 
alleging discrimination or noncompliance must be filed within 180 days 
of the last discriminatory act, to be timely. All complaints under this 
part shall be filed with the Office of the Assistant Secretary for Civil 
Rights, U.S. Department of Agriculture, Washington, DC 20250.
    (c) Notice of rights and responsibilities. USDA shall provide notice 
to the complainant and the recipient of their:
    (1) Rights and obligations under complaint procedures including 
their right to have a representative at all stages of the complaint 
process;
    (2) Rights to contact the agency for information and assistance 
regarding the complaint resolution process; and
    (3) Obligation to participate actively in efforts toward speedy 
resolution of the complaint.
    (d) Mediation of complaints. All complaints that allege 
discrimination based on age shall be mediated in an attempt to resolve 
disputes at the earliest stage possible. The complainant and the 
recipient are required to participate in the mediation process. If the 
complainant and recipient reach a mutually satisfactory resolution of 
the complaint during the mediation period, they shall reduce the 
agreement to writing.
    (e) Investigation of complaints. If the parties are unable to reach 
a resolution, USDA shall investigate the complaint. During the 
investigation of the complaint, OASCR or an agency delegated complaint 
processing authority shall use informal fact finding methods, including 
joint or separate discussions with the complainant and recipient, to 
establish the facts and, if possible, settle the complaint on terms that 
are mutually agreeable to the parties. USDA may seek the assistance of 
any involved State agency. If informal resolution efforts are 
unsuccessful, OASCR shall complete the investigation.
    (f) Final determination. After a complete investigation, OASCR shall 
make a final determination as to the merits of the complaint. The 
complainant shall be notified of the final determination and provided 
notice of his or her right to file a civil action under the Age Act, 42 
U.S.C. 6104(e), and 15c.10 of this part.
    (g) Voluntary compliance. If OASCR or an agency delegated complaint 
processing authority finds that age discrimination has occurred, USDA 
shall attempt to obtain voluntary compliance. The recipient shall take 
any remedial action which USDA may require to overcome the effects of 
discrimination. If USDA cannot obtain voluntary compliance, it shall 
undertake enforcement of the Age Act and this regulation.



Sec.  15c.8  Prohibition against intimidation or retaliation.

    A recipient may not engage in acts of intimidation or retaliation 
against any person who:
    (a) Attempts to assert a right protected by the Age Act; or
    (b) Cooperates in any mediation, investigation, hearing, or other 
part of the agency's investigation, conciliation, and enforcement 
process.



Sec.  15c.9  Enforcement.

    (a) If USDA finds that a recipient has committed a violation of the 
Age Act and determines that voluntary compliance cannot be obtained, the 
Department shall enforce the requirements of the Age Act and this 
regulation through the termination of a recipient's Federal financial 
assistance under the program or activity involved where the recipient 
has violated the Age Act or this regulation. The determination of the 
recipient's violation may be made only after a recipient has had an 
opportunity for a hearing on the record before an administrative law 
judge.
    (1) Any termination under this paragraph (a) shall be limited to the 
particular recipient and particular program or activity receiving 
Federal financial assistance or portion thereof found to be in violation 
of the Age Act or this regulation.
    (2) No action under this paragraph (a) may be taken until:

[[Page 497]]

    (i) OASCR, or designee, has advised the recipient of its failure to 
comply with the Age Act and this regulation, and has determined that 
voluntary compliance cannot be obtained; and
    (ii) Thirty days have elapsed after the head of the agency involved 
has sent a written report of the circumstances and grounds of the action 
to the committees of the Congress having legislative jurisdiction over 
the program or activity involved.
    (3) An agency may defer granting new Federal financial assistance to 
a recipient when termination proceedings under this paragraph (a) are 
initiated.
    (b) When an agency withholds funds from a recipient under this 
regulation, the Agency Head may disburse the withheld funds directly to 
any public or non-profit private organization or agency, or State or 
political subdivision of the State. These alternate recipients must 
demonstrate the ability to comply with this regulation and to achieve 
the goals of the Federal statute authorizing the Federal financial 
assistance.
    (c) USDA may seek to achieve compliance with the Age Act and this 
regulation by any other means authorized by law.



Sec.  15c.10  Exhaustion of administrative remedies.

    (a) A complainant may file a civil action, in a United States 
district court for the district in which the recipient is found or 
transacts business, following the exhaustion of administrative remedies 
under the Act. Administrative remedies are exhausted if:
    (1) 180 days have elapsed since the complainant filed the complaint 
and the agency has made no finding with regard to the complaint; or
    (2) The agency issues any finding in favor of the recipient.
    (b) Before commencing the action, the complainant shall give 30 
days' notice by registered mail to the Secretary of HHS, the Attorney 
General of the United States, the head of the granting USDA agency, and 
the recipient stating the alleged violation of the Age Act, the relief 
requested, the court in which the action will be brought, and whether or 
not attorney's fees are demanded in the event the complainant prevails.
    (c) No action shall be brought if the same alleged violation of the 
Act by the same recipient is the subject of a pending action in any 
court of the United States. A complainant prevailing in a civil action 
has the right to be awarded the costs of the action, including 
reasonable attorney's fees, but that these costs must be demanded in the 
complaint.



Sec. Appendix A to 7 CFR Part 15c--Age Distinctions in Federal Statutes 
or Regulations Affecting Financial Assistance Administered by the United 
                    States Department of Agriculture

----------------------------------------------------------------------------------------------------------------
              Program                      Statute           Section and age distinction         Regulation
----------------------------------------------------------------------------------------------------------------
                                               Farm Service Agency
----------------------------------------------------------------------------------------------------------------
Farm Loan Programs................  7 U.S.C. 1941 Persons  Section 761.2 defines ``rural    7 CFR part 761.
                                     Eligible For Loans.    youth'' as meaning a person
                                                            who has reached the age of 10
                                                            but has not reached the age of
                                                            21 and resides in a rural area
                                                            or any city or town with a
                                                            population of 50,000 or fewer
                                                            people.
----------------------------------------------------------------------------------------------------------------

[[Page 498]]

 
                                           Food and Nutrition Service
----------------------------------------------------------------------------------------------------------------
Senior Farmer's Market Nutrition    7 U.S.C. 3007 Senior   Section 249.2 defines            7 CFR part 249.
 Program.                            Farmers' Market        ``senior'' as meaning an
                                     Nutrition Program.     individual 60 years of age or
                                                            older, or as defined in Sec.
                                                            249.6(a)(1).
                                                           Section 249.6(a)(1) establishes
                                                            categorical eligibility for
                                                            the Senior Farmers' Market
                                                            Nutrition Program. The
                                                            categorical eligibility states
                                                            that: ``participants must be
                                                            not less than 60 years of age,
                                                            except that State agencies may
                                                            exercise the option to deem
                                                            Native Americans who are 55
                                                            years of age or older as
                                                            categorically eligible for
                                                            SFMNP benefits. State agencies
                                                            may, at their discretion, also
                                                            deem disabled individuals less
                                                            than 60 years of age who are
                                                            currently living in housing
                                                            facilities occupied primarily
                                                            by older individuals where
                                                            congregate nutrition services
                                                            are provided, as categorically
                                                            eligible to receive SFMNP
                                                            benefits''.
Special Supplemental Nutrition      42 U.S.C. 1786.......  Section 246.2 defines
 Program for Women, Infants, and                            ``children'' as meaning
 Children.                                                  persons who have had their
                                                            first birthday but have not
                                                            yet attained their fifth
                                                            birthday.
                                                           Section 246.2 defines
                                                            ``infants'' as meaning persons
                                                            under 1 year of age.
                                                           Section 246.10(e) establishes    7 CFR part 246.
                                                            category and nutritional needs
                                                            of the participant for each of
                                                            the seven food packages
                                                            available under the program.
                                                            Food Packages I, II, and IV
                                                            contain age distinctions.
                                                            (e)(1) Food Package I--Infants
                                                            birth through 5 months--(i)
                                                            Participant category served.
                                                            This food package is designed
                                                            for issuance to infant
                                                            participants from birth
                                                            through age 5 months who do
                                                            not have a condition
                                                            qualifying them to receive
                                                            Food Package III. (ii) Infant
                                                            feeding categories--(A) Birth
                                                            to one month. Three infant
                                                            feeding options are available
                                                            during the first month after
                                                            birth(B) . . . One through 5
                                                            months. Three infant feeding
                                                            options are available from 1
                                                            month through 5 months . . .
                                                            (2) Food Package II--Infants 6
                                                            through 11 months--(i)
                                                            Participant category served.
                                                            This food package is designed
                                                            for issuance to infant
                                                            participants from 6 through 11
                                                            months of age . . . (4) Food
                                                            Package IV--Children 1 through
                                                            4 years--(i) Participant
                                                            category served. This food
                                                            package is designed for
                                                            issuance to participants 1
                                                            through 4 years of age.

[[Page 499]]

 
Commodity Supplemental Food         Sec. 5, Pub. L. 93-    Section 247.1 defines            7 CFR part 247.
 Program.                            86, 87 Stat. 249, as   ``children'' as meaning
                                     added by Sec.          persons who are at least 1
                                     1304(b)(2), Pub. L.    year of age but have not
                                     95-113, 91 Stat. 980   reached their sixth birthday.
                                     (7 U.S.C. 612c        Section 247.1 defines ``elderly
                                     note); sec. 1335,      persons'' as meaning persons
                                     Pub. L. 97-98, 95      at least 60 years of age.
                                     Stat. 1293 (7 U.S.C.  Section 247.1 defines
                                     612c note); sec.       ``infants'' as meaning persons
                                     209, Pub. L. 98-8,     under 1 year of age.
                                     97 Stat. 35 (7
                                     U.S.C. 612c note);
                                     sec. 2(8), Pub. L.
                                     98-92, 97 Stat. 611
                                     (7 U.S.C. 612c
                                     note); sec. 1562,
                                     Pub. L. 99-198, 99
                                     Stat. 1590 (7 U.S.C.
                                     612c note); sec.
                                     101(k), Pub. L. 100-
                                     202; sec. 1771(a),
                                     Pub. L. 101-624, 101
                                     Stat. 3806 (7 U.S.C.
                                     612c note); sec
                                     402(a), Pub. L. 104-
                                     127, 110 Stat. 1028
                                     (7 U.S.C. 612c
                                     note); sec. 4201,
                                     Pub. L. 107-171, 116
                                     Stat. 134 (7 U.S.C.
                                     7901 note); sec.
                                     4221, Pub. L. 110-
                                     246, 122 Stat. 1886
                                     (7 U.S.C. 612c note).
Food Stamp and Food Distribution    7 U.S.C. 2011-2036...  Section 271.2 defines ``elderly  7 CFR part 271
 Program.                                                   or disabled member'' as
                                                            meaning a member of a
                                                            household who: (1) Is 60 years
                                                            of age or older.
                                                           Section 271.2 defines ``Thrifty  7 CFR part 273
                                                            food plan'' as meaning the
                                                            diet required to feed a family
                                                            of four persons consisting of
                                                            a man and a woman 20 through
                                                            50, a child 6 through 8, and a
                                                            child 9 through 11 years of
                                                            age, determined in accordance
                                                            with the Secretary's
                                                            calculations.
                                                           Section 273.1 defined ``Elderly
                                                            and disabled persons'' as
                                                            meaning an otherwise eligible
                                                            member of a household who is
                                                            60 years of age or older and
                                                            is unable to purchase and
                                                            prepare meals because he or
                                                            she suffers from a disability
                                                            considered permanent under the
                                                            Social Security Act or a non-
                                                            disease-related, severe,
                                                            permanent disability may be
                                                            considered.
                                                           Section 273.1(b) outlines
                                                            special household
                                                            requirements. (b) Special
                                                            household requirements--(1)
                                                            Required household
                                                            combinations. The following
                                                            individuals who live with
                                                            others must be considered as
                                                            customarily purchasing food
                                                            and preparing meals with the
                                                            others, even if they do not do
                                                            so, and thus must be included
                                                            in the same household, unless
                                                            otherwise specified.(i)
                                                            Spouses; (ii) A person under
                                                            22 years of age who is living
                                                            with his or her natural or
                                                            adoptive parent(s) or step-
                                                            parent(s); and (iii) A child
                                                            (other than a foster child)
                                                            under 18 years of age who
                                                            lives with and is under the
                                                            parental control of a
                                                            household member other than
                                                            his or her parent. A child
                                                            must be considered to be under
                                                            parental control for purposes
                                                            of this provision if he or she
                                                            is financially or otherwise
                                                            dependent on a member of the
                                                            household, unless State law
                                                            defines such a person as an
                                                            adult.
                                                           Section 273.1(d) outlines head
                                                            of household requirements.
                                                            When designating the head of
                                                            household, the State agency
                                                            shall allow the household to
                                                            select an adult parent of
                                                            children (of any age) living
                                                            in the household, or an adult
                                                            who has parental control over
                                                            children (under 18 years of
                                                            age) living in the household,
                                                            as the head of household
                                                            provided that all adult
                                                            household members agree to the
                                                            selection.

[[Page 500]]

 
                                                           Section 273.4(a)(4)(iii)
                                                            outlines household members
                                                            meeting citizenship or alien
                                                            status requirements. An
                                                            unmarried dependent child of
                                                            such Hmong or Highland Laotian
                                                            who is under the age of 18 or
                                                            if a full-time student under
                                                            the age of 22; an unmarried
                                                            child under the age of 18 or
                                                            if a full time student under
                                                            the age of 22 of such a
                                                            deceased Hmong or Highland
                                                            Laotian provided the child was
                                                            dependent upon him or her at
                                                            the time of his or her death;
                                                            or an unmarried disabled child
                                                            age 18 or older if the child
                                                            was disabled and dependent on
                                                            the person prior to the
                                                            child's 18th birthday. For
                                                            purposes of this paragraph
                                                            (a)(4)(iii), child means the
                                                            legally adopted or biological
                                                            child of the person described
                                                            in paragraph (a)(4)(i) of this
                                                            section,
                                                           Section 273.4(a)(5)(ii)
                                                            outlines household members
                                                            meeting citizenship or alien
                                                            status requirements which
                                                            includes an alien who has been
                                                            subjected to a severe form of
                                                            trafficking in persons and who
                                                            is under the age of 18, to the
                                                            same extent as an alien who is
                                                            admitted to the United States
                                                            as a refugee under Section 207
                                                            of the INA;
                                                           Section 273.4(a)(5)(iii)
                                                            outlines household members
                                                            meeting citizenship or alien
                                                            status requirements which
                                                            includes the spouse, child,
                                                            parent or unmarried minor
                                                            sibling of a victim of a
                                                            severe form of trafficking in
                                                            persons under 21 years of age,
                                                            and who has received a
                                                            derivative T visa, to the same
                                                            extent as an alien who is
                                                            admitted to the United States
                                                            as a refugee under Section 207
                                                            of the INA.
                                                           Section 273.4(a)(5)(iv)
                                                            outlines household members
                                                            meeting citizenship or alien
                                                            status requirements which
                                                            includes the spouse or child
                                                            of a victim of a severe form
                                                            of trafficking in persons 21
                                                            years of age or older, and who
                                                            has received a derivative T
                                                            visa, to the same extent as an
                                                            alien who is admitted to the
                                                            United States as a refugee
                                                            under Section 207 of the INA.
                                                           Section 273.4(a)(6)(ii)(A)
                                                            outlines the criteria for a
                                                            qualified alien which includes
                                                            an alien age 18 or older
                                                            lawfully admitted for
                                                            permanent residence under the
                                                            INA who has 40 qualifying
                                                            quarters as determined under
                                                            Title II of the SSA, including
                                                            qualifying quarters of work
                                                            not covered by Title II of the
                                                            SSA, based on the sum of:
                                                            quarters the alien worked;
                                                            quarters credited from the
                                                            work of a parent of the alien
                                                            before the alien became 18
                                                            (including quarters worked
                                                            before the alien was born or
                                                            adopted); and quarters
                                                            credited from the work of a
                                                            spouse of the alien during
                                                            their marriage if they are
                                                            still married or the spouse is
                                                            deceased.
                                                           Section 273.4(a)(6)(ii)(G)(3)
                                                            outlines the criteria for a
                                                            qualified alien with military
                                                            connections which includes the
                                                            spouse and unmarried dependent
                                                            children of a person described
                                                            in paragraph (a)(6)(ii)(G)(1)
                                                            or (2) of this section,
                                                            including the spouse of a
                                                            deceased veteran, provided the
                                                            marriage fulfilled the
                                                            requirements of 38 U.S.C.
                                                            1304, and the spouse has not
                                                            remarried. An unmarried
                                                            dependent child for purposes
                                                            of this paragraph
                                                            (a)(6)(ii)(G)(3) is: a child
                                                            who is under the age of 18 or,
                                                            if a full-time student, under
                                                            the age of 22; such unmarried
                                                            dependent child of a deceased
                                                            veteran provided such child
                                                            was dependent upon the veteran
                                                            at the time of the veteran's
                                                            death; or an unmarried
                                                            disabled child age 18 or older
                                                            if the child was disabled and
                                                            dependent on the veteran prior
                                                            to the child's 18th birthday.
                                                            For purposes of this paragraph
                                                            (a)(6)(ii)(G)(3), child means
                                                            the legally adopted or
                                                            biological child of the person
                                                            described in paragraph
                                                            (a)(6)(ii)(G)(1) or (2) of
                                                            this section.
                                                           Section 273.4(a)(6)(ii)(I)
                                                            outlines the criteria for a
                                                            qualified alien which includes
                                                            an individual who on August
                                                            22, 1996, was lawfully
                                                            residing in the U.S., and was
                                                            born on or before August 22,
                                                            1931.
                                                           Section 273.4(a)(6)(ii)(J)
                                                            outlines the criteria for a
                                                            qualified alien which includes
                                                            an individual who is under 18
                                                            years of age.
                                                           Section 273.4(a)(6)(iii)(A)
                                                            outlines qualified aliens that
                                                            must be in a qualified status
                                                            for 5 years before being
                                                            eligible to receive food
                                                            stamps which includes an alien
                                                            age 18 or older lawfully
                                                            admitted for permanent
                                                            residence under the INA.
                                                           Section 273.4(c)(3)(vi)
                                                            outlines exempt aliens which
                                                            includes a sponsored alien
                                                            child under 18 years of age of
                                                            a sponsored alien.
                                                           Section 273.4(c)(3)(vii) )
                                                            outlines exempt aliens which
                                                            includes a citizen child under
                                                            age 18 of a sponsored alien.
                                                           Section 273.5 (b)(1) outlines
                                                            criteria for student
                                                            eligibility for the program
                                                            which includes be age 17 or
                                                            younger or age 50 or older.

[[Page 501]]

 
                                                           Section 273.5(b)(8) outlines
                                                            criteria for student
                                                            eligibility for the program
                                                            which includes a person who is
                                                            responsible for the care of a
                                                            dependent household member
                                                            under the age of 6.
                                                           Section 273.5(b)(9) outlines
                                                            criteria for student
                                                            eligibility for the program
                                                            which includes a person who is
                                                            responsible for the care of a
                                                            dependent household member who
                                                            has reached the age of 6 but
                                                            is under age 12.
                                                           Section 273.5(b)(10) outlines
                                                            criteria for student
                                                            eligibility for the program
                                                            which includes a single parent
                                                            enrolled in an institution of
                                                            higher education on a full-
                                                            time basis (as determined by
                                                            the institution) and be
                                                            responsible for the care of a
                                                            dependent child under age 12.
                                                           Section 273.5(b)(4) states that
                                                            if the household is unable to
                                                            provide an SSN or proof of
                                                            application for an SSN at its
                                                            next recertification within 6
                                                            months following the baby's
                                                            birth, the State agency shall
                                                            determine if the good cause
                                                            provisions of paragraph (d) of
                                                            this section are applicable.
                                                           Section 273.7(b)(1)(i) outlines
                                                            exemptions from work
                                                            requirements which includes a
                                                            person younger than 16 years
                                                            of age or a person 60 years of
                                                            age or older and a person age
                                                            16 or 17 who is not the head
                                                            of a household or who is
                                                            attending school, or is
                                                            enrolled in an employment
                                                            training program, on at least
                                                            a half-time basis, is also
                                                            exempt. If the person turns 16
                                                            (or 18 under the preceding
                                                            sentence) during a
                                                            certification period, the
                                                            State agency must register the
                                                            person as part of the next
                                                            scheduled recertification
                                                            process, unless the person
                                                            qualifies for another
                                                            exemption.
                                                           Section 273.9(b)(1)(v) defines
                                                            income which includes the
                                                            phrase this provision does not
                                                            apply to household members
                                                            under 19 years of age who are
                                                            under the parental control of
                                                            another adult member,
                                                            regardless of school
                                                            attendance and/or enrollment.
                                                           Section 273.9(d)(4) outlines
                                                            income deduction which include
                                                            dependent care stating the
                                                            maximum monthly dependent care
                                                            deduction amount households
                                                            shall be granted under this
                                                            provision is $200 a month for
                                                            each dependent child under two
                                                            (2) years of age and $175 a
                                                            month for each other dependent.
                                                           Section 273.10(e)(2)(i)(A)
                                                            outlines eligibility benefits
                                                            states households which
                                                            contain an elderly or disabled
                                                            member as defined in Sec.
                                                            271.2.
                                                           Section 273.10(e)(2)(i)(B)
                                                            outlines eligibility benefits
                                                            which states in addition to
                                                            meeting the net income
                                                            eligibility standards,
                                                            households which do not
                                                            contain an elderly or disabled
                                                            member shall have their gross
                                                            income, as calculated in
                                                            accordance with paragraph
                                                            (e)(1)(i)(A) of this section,
                                                            compared to the gross monthly
                                                            income standards defined in
                                                            Sec.   273.9(a)(1).
                                                           Section 273.10(e)(2)(i)(D)
                                                            outlines eligibility benefits
                                                            which states if a household
                                                            contains a member who is 59
                                                            years old on the date of
                                                            application, but who will
                                                            become 60 before the end of
                                                            the month of application, the
                                                            State agency shall determine
                                                            the household's eligibility in
                                                            accordance with paragraph
                                                            (e)(2)(i)(A) of this section.
                                                           Section 273.24(c)(1) outlines
                                                            exceptions for when the time
                                                            limit does not apply to an
                                                            individual which include a
                                                            person under 18 or 50 years of
                                                            age or older.
                                                           Section 273.24(c)(3) outlines
                                                            exceptions for when the time
                                                            limit does not apply to an
                                                            individual which include a
                                                            parent (natural, adoptive, or
                                                            step) of a household member
                                                            under age 18, even if the
                                                            household member who is under
                                                            18 is not himself eligible for
                                                            food stamps.
                                                           Section 273.24(c)(4) outlines
                                                            exceptions for when the time
                                                            limit does not apply to an
                                                            individual which include a
                                                            person residing in a household
                                                            where a household member is
                                                            under age 18, even if the
                                                            household member who is under
                                                            18 is not himself eligible for
                                                            food stamps.

[[Page 502]]

 
National School Lunch Program.....  42 U.S.C. 1751-1760,   Section 210.2 defines ``Child''  7 CFR part 210.
                                     1779.                  as meaning a (a) a student of
                                                            high school grade or under as
                                                            determined by the State
                                                            educational agency, who is
                                                            enrolled in an educational
                                                            unit of high school grade or
                                                            under as described in
                                                            paragraphs (a) and (b) of the
                                                            definition of ``School,''
                                                            including students who are
                                                            mentally or physically
                                                            disabled as defined by the
                                                            State and who are
                                                            participating in a school
                                                            program established for the
                                                            mentally or physically
                                                            disabled; or (b) a person
                                                            under 21 chronological years
                                                            of age who is enrolled in an
                                                            institution or center as
                                                            described in paragraph (c) of
                                                            the definition of ``School;''
                                                            or (c) For purposes of
                                                            reimbursement for meal
                                                            supplements served in
                                                            afterschool care programs, an
                                                            individual enrolled in an
                                                            afterschool care program
                                                            operated by an eligible school
                                                            who is 12 years of age or
                                                            under, or in the case of
                                                            children of migrant workers
                                                            and children with
                                                            disabilities, not more than 15
                                                            years of age.
                                                           Section 12(d) defines ``Child''
                                                            as meaning an individual,
                                                            regardless of age, who--(i) is
                                                            determined by a State
                                                            educational agency, in
                                                            accordance with regulations
                                                            prescribed by the Secretary,
                                                            to have one or more
                                                            disabilities; and (ii) is
                                                            attending any institution, as
                                                            defined in section 17(a), or a
                                                            nonresidential public or
                                                            nonprofit private school of
                                                            high school grade or under,
                                                            for the purpose of
                                                            participating in a school
                                                            program established for
                                                            individuals with disabilities.
School Breakfast Program..........  42 U.S.C. 1773, 1779.  Section 220.2 defines ``Child''  7 CFR part 220.
                                                            as meaning a (1) A student of
                                                            high school grade or under as
                                                            determined by the State
                                                            educational agency, who is
                                                            enrolled in an educational
                                                            unit of high school grade or
                                                            under as described in
                                                            paragraphs (1) and (2) of the
                                                            definition of ``School'',
                                                            including students who are
                                                            mentally or physically
                                                            disabled as defined by the
                                                            State and who are
                                                            participating in a school
                                                            program established for the
                                                            mentally or physically
                                                            disabled; or (2) a person
                                                            under 21 chronological years
                                                            of age who is enrolled in an
                                                            institution or center as
                                                            described in paragraph (3) of
                                                            the definition of School in
                                                            this section.
Child and Adult Care Food Program.  42 U.S.C. 1766.......  Section 1766 outlines that       7 CFR part 226.
                                                            reimbursement may be provided
                                                            under this section only for
                                                            supplements served to school
                                                            children who are not more than
                                                            18 years of age, except that
                                                            the age limitation provided by
                                                            this subsection shall not
                                                            apply to a child.
                                                           Section 1766(a)(3) and 7 CFR
                                                            226.2 outlines that
                                                            reimbursement are permitted
                                                            for meals served to children
                                                            through the age of 12,
                                                            children of migrant workers
                                                            through the age of 15, and
                                                            persons with disabilities, in
                                                            child care centers and day
                                                            care homes.
                                                           Section 1766(o)(1) and 7 CFR
                                                            226.2 outlines that adult day
                                                            care centers receive
                                                            reimbursement for meals served
                                                            to enrolled adults who are
                                                            functionally impaired or age
                                                            60 and older.
                                                           Section 1766(t)(5); and 7 CFR
                                                            226.2 outlines that
                                                            reimbursement are permitted
                                                            for emergency shelters for up
                                                            to three meals served each day
                                                            to residents age 18 and
                                                            younger.
                                                           Section 1766(r) and 7 CFR
                                                            226.17a(c) outlines that
                                                            reimbursement are permitted in
                                                            at-risk afterschool care
                                                            programs for meals served
                                                            during the regular school year
                                                            to children through the age of
                                                            18.
Summer Food Service Program.......  42 U.S.C. 1761.......  Section 1761(a)(1)(B) and 7 CFR  7 CFR part 225.
                                                            225.2 outlines that Children
                                                            age 18 and under may receive
                                                            meals through SFSP. A person
                                                            19 years of age and over who
                                                            has a mental or physical
                                                            disability (as determined by a
                                                            State of local educational
                                                            agency) and who participates
                                                            during the school year in a
                                                            public or private non-profit
                                                            school program (established
                                                            for the mentally or physically
                                                            disabled) is also eligible to
                                                            receive meals. In certain
                                                            circumstances, pregnant women
                                                            who receive Early Head Start
                                                            services are also eligible to
                                                            receive meals through SFSP if
                                                            they are age 18 or under. To
                                                            establish eligibility,
                                                            prospective mothers must be
                                                            enrolled in Early Head Start
                                                            and be eligible to receive
                                                            school meals through the NSLP
                                                            or another child nutrition
                                                            program.
----------------------------------------------------------------------------------------------------------------
                                                 Forest Service
----------------------------------------------------------------------------------------------------------------
National Parks and Federal          16 U.S.C. 6808h......  Section 6808h(b)(1) AGE          None.
 Recreational Lands Pass.                                   DISCOUNT.--The Secretary shall
                                                            make the National Parks and
                                                            Federal Recreational Lands
                                                            Pass available, at a cost of
                                                            $10.00, to any United States
                                                            citizen or person domiciled in
                                                            the United States who is 62
                                                            years of age or older, if the
                                                            citizen or person provides
                                                            adequate proof of such age and
                                                            such citizenship or residency.
----------------------------------------------------------------------------------------------------------------

[[Page 503]]

 
                                     Natural Resources Conservation Service
----------------------------------------------------------------------------------------------------------------
Agriculture Conservation            16 U.S.C. 3851.......  Section 1252 authorizes and      None.
 Experienced Services (ACES).                               directs the Secretary to
                                                            ``establish a conservation
                                                            experienced services program
                                                            (in this section referred to
                                                            as the ``ACES Program'') for
                                                            the purpose of utilizing the
                                                            talents of individuals who are
                                                            age 55 or older, but who are
                                                            not employees of the
                                                            Department of Agriculture or a
                                                            State agriculture department,
                                                            to provide technical services
                                                            in support of the conservation-
                                                            related programs and
                                                            authorities carried out by the
                                                            Secretary.''
----------------------------------------------------------------------------------------------------------------
                                                Rural Development
----------------------------------------------------------------------------------------------------------------
Section 504 Origination Loans and   42 U.S.C. 1474.......  Section 504 loans and grants     7 CFR 3550.101 et
 Grants.                                                    are intended to help very low-   seq.
                                                            income owner-occupants in
                                                            rural areas repair their
                                                            properties. Section 3550.103
                                                            provides that ``to be eligible
                                                            for grant assistance, an
                                                            application must be 62 years
                                                            of age or older at the time of
                                                            the application.''
Section 515 Rural Rental Housing    42 U.S.C. 1490a......  Under the Direct Multi-Family    7 CFR part 3560.
 Loans Program Section 521 Rental                           Housing Loan and Grants,
 Assistance Program.                                        Section 515 Rural Rental
                                                            Housing program supplies
                                                            apartments for elderly and
                                                            disabled people that are
                                                            equipped with special
                                                            amenities. USDA provides
                                                            assistance through the
                                                            separately appropriated
                                                            Section 521 Rental Assistance
                                                            Program, which brings tenants'
                                                            rent down to 30 percent of
                                                            their adjusted incomes.
                                                            Section 3560 defines ``elderly
                                                            person'' as ``a person who is
                                                            at least 62 years old.''
----------------------------------------------------------------------------------------------------------------
                                   National Institute of Food and Agriculture
----------------------------------------------------------------------------------------------------------------
Secondary Education, Two-Year       7 U.S.C. 3152(j).....  Section 1417(j) directs the      None.
 Postsecondary Education, and                               Secretary to ``promote
 Agriculture in the K-12 Classroom                          complementary and synergistic
 Challenge Grants Program.                                  linkages among secondary, 2-
                                                            year postsecondary, and higher
                                                            education programs in the food
                                                            and agricultural sciences in
                                                            order to promote excellence in
                                                            education and encourage more
                                                            young Americans to pursue and
                                                            complete a baccalaureate or
                                                            higher degree in the food and
                                                            agricultural sciences.'' The
                                                            Act further empowers the
                                                            Secretary to make competitive
                                                            or noncompetitive grants to
                                                            public secondary schools,
                                                            institutions of higher
                                                            education that award an
                                                            associate's degree, other
                                                            institutions of higher
                                                            education, and nonprofit
                                                            organizations [to] . . . (C)
                                                            to interest young people in
                                                            pursuing higher education in
                                                            order to prepare for
                                                            scientific and professional
                                                            careers in the food and
                                                            agricultural sciences; . . .
                                                            and (G) to support current
                                                            agriculture in the classroom
                                                            programs for grades K-12.
Hispanic-Serving Institutions--     7 U.S.C. 3243, as      Section 1456(e)(1), as amended   7 CFR part 3434.
 Competitive Grants Program for      amended.               by the Agricultural Act of
 Hispanic Agricultural Workers and                          2014, states that the
 Youth.                                                     ``Secretary shall establish a
                                                            competitive grants program . .
                                                            . (B) to award competitive
                                                            grants to Hispanic-serving
                                                            agricultural colleges and
                                                            universities to provide for
                                                            training in the food and
                                                            agricultural sciences of
                                                            Hispanic agricultural workers
                                                            and Hispanic youth working in
                                                            the food and agricultural
                                                            sciences.
Girl Scouts of the United States    7 U.S.C. 7630, as      Section 410(d). Grants for       None.
 of America, the Boy Scouts of       amended.               Youth Organizations of the
 America, the National 4-H                                  Agricultural, Research,
 Council, and the National FFA                              Extension and Education Reform
 Organization.                                              Act of 1998, directs the
                                                            Secretary to make grants
                                                            available to the designated
                                                            youth organizations for the
                                                            organizations' establishment
                                                            of pilot projects to expand
                                                            their programs in rural areas
                                                            and small towns. Eligibility
                                                            is limited to the four
                                                            statutorily-identified youth
                                                            organizations.
Youth Farm Safety and Education     7 U.S.C. 341, et       The primary purpose of program   29 CFR part 570,
 Certification (YFSEC).              seq.; 7 U.S.C.         is to develop a coordinated      subpart E-1.
                                     343(d).                approach to agricultural
                                                            safety and health education
                                                            for youth. YFSEC Program
                                                            notices define ``youth'' as
                                                            ``children or adolescents who
                                                            have reached their 12th
                                                            birthday; but not their 20th
                                                            birthday.''

[[Page 504]]

 
Expanded Food and Nutrition         7 U.S.C. 3175........  Section 1425 authorizes a        7 CFR part 15,
 Education Program (EFNEP).                                 national education program to    subpart A.
                                                            enable low-income individuals
                                                            and families. Through EFNEP,
                                                            the Department delivers
                                                            several ``youth'' programs
                                                            that offer education on
                                                            nutrition, food preparation,
                                                            and food safety.
The Children, Youth, and Families   7 U.S.C. 341, et       Section 3(d) of the Smith-Lever  7 CFR part 3015, 7
 At-Risk Sustainable Community       seq.; 7 U.S.C.         Act authorizes the Department    CFR part 3019, 7
 Projects (CYFAR SCP).               343(d).                to administer the CYFAR SCP.     CFR part 3430.
                                                            Per Program notices, CYFAR SCP
                                                            supports community educational
                                                            programs for at-risk children,
                                                            youth, and families which are
                                                            based on locally identified
                                                            needs, soundly grounded in
                                                            research, and which lead to
                                                            the accomplishment of one of
                                                            four CYFAR National Outcomes;
                                                            and (2) [t]o integrate CYFAR
                                                            programming into ongoing
                                                            Extension programs for
                                                            children, youth, and families--
                                                            insuring that at-risk, low
                                                            income children, youth, and
                                                            families continue to be part
                                                            of Extension and/or 4-H
                                                            programs and have access to
                                                            resources and educational
                                                            opportunities.
----------------------------------------------------------------------------------------------------------------
                                             Risk Management Agency
----------------------------------------------------------------------------------------------------------------
Federal Crop Insurance Program....  7 U.S.C. 1501........  Per the Crop Insurance           7 CFR parts 400,
                                                            Handbook, which provides the     402, 457.
                                                            official FCIC approved
                                                            underwriting standards for
                                                            policies administered by
                                                            Approved Insurance Providers
                                                            under the Common Crop
                                                            Insurance Policy Basic
                                                            Provisions, 7 CFR part 457
                                                            including the Catastrophic
                                                            Risk Protection Endorsement, 7
                                                            CFR part 402, and the Actual
                                                            Production History Regulation
                                                            7 CFR part 400 Subpart G for
                                                            the 2014 and succeeding crop
                                                            years, to be eligible for crop
                                                            insurance the applicant must
                                                            be of ``legal majority.''
                                                            Legal majority is defined as
                                                            ``where the individual has
                                                            reached 18 years old or was
                                                            conferred legal majority by a
                                                            court. (1) For individuals
                                                            less than 18 years of age or
                                                            where legal majority has not
                                                            been conferred by a court, to
                                                            be eligible for crop
                                                            insurance: (a) A minor must
                                                            provide evidence an insurable
                                                            share exists; and (b) a court-
                                                            appointed guardian or parent
                                                            must co-sign the application.
                                                            (2) When a court-appointed
                                                            guardian or parent cosigns the
                                                            application: (a) An
                                                            acknowledgement guaranteeing
                                                            payment of the annual premium
                                                            must be include ed with the
                                                            application; and (b) a written
                                                            statement describing the
                                                            farming operation and the
                                                            insurable share must be
                                                            provided. (3) For CAT coverage
                                                            only, a minor who is competent
                                                            to enter into a binding
                                                            contract, may insure a crop at
                                                            CAT level without a cosigner;
                                                            however, if not competent to
                                                            enter into a binding contract,
                                                            a court-appointed guardian or
                                                            parent must sign the
                                                            application.''
----------------------------------------------------------------------------------------------------------------



PART 15d_NONDISCRIMINATION IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE 
UNITED STATES DEPARTMENT OF AGRICULTURE--Table of Contents



Sec.
15d.1 Purpose.
15d.2 Definitions.
15d.3 Discrimination prohibited.
15d.4 Compliance.
15d.5 Complaints.

    Authority: 5 U.S.C. 301.

    Source: 64 FR 66709, Nov. 30, 1999, unless otherwise noted.



Sec.  15d.1  Purpose.

    The purpose of this part is to set forth the nondiscrimination 
policy of the United States Department of Agriculture in programs or 
activities conducted by the Department, including such programs and 
activities in which the Department or any agency thereof makes available 
any benefit directly to persons under such programs and activities.



Sec.  15d.2  Definitions.

    For the purpose of this part, the following definitions apply:
    Agency means a major organizational unit of the Department with 
delegated authority to deliver programs, activities, benefits, and 
services. Heads of Agencies receive their delegated authority as 
prescribed in 7 CFR part 2.
    Agency Head Assessment means the annual Agency Civil Rights 
Performance Plan and Accomplishment Report conducted by the Office of 
the Assistant Secretary for Civil Rights

[[Page 505]]

(OASCR). It is an evaluation tool used by OASCR to assess USDA Agency 
Heads and Staff Office Directors on their civil rights activities and 
accomplishments to ensure accountability throughout the Department on 
these issues.
    Alternative Dispute Resolution or ADR means any number of conflict 
resolution procedures in which parties agree to use a third-party 
neutral to resolve complaints or issues in controversy. ADR methods 
include, but are not limited to, mediation, facilitation, fact finding, 
arbitration, use of ombuds, or any combination thereof.
    Assistant Secretary for Civil Rights or ASCR means the civil rights 
officer for USDA responsible for the performance and oversight of all 
civil rights functions within USDA, and who retains the authority to 
delegate civil rights functions to heads of USDA agencies and offices. 
The ASCR is also responsible for evaluating agency heads on their 
performance of civil rights functions.
    Complaint means a written statement that contains the complainant's 
name and address and describes an agency's alleged discriminatory action 
in sufficient detail to inform the ASCR of the nature and date of an 
alleged civil rights violation. The statement must be signed by the 
complainant(s) or someone authorized to sign on behalf of the 
complainant(s). To accommodate the needs of people with disabilities, 
special needs, or who have Limited English Proficiency, a complaint may 
be in an alternative format.
    Compliance report means a written review of an agency's compliance 
with civil rights requirements, to be prepared by OASCR and to identify 
each finding of non-compliance or other civil rights related issue. The 
review is conducted at the discretion of OASCR or if there has been a 
formal finding of non-compliance.
    Conducted Programs and Activities means the program services, 
benefits or resources delivered directly to the public by USDA.
    Days mean calendar days, not business days.
    Department (used interchangeably with USDA) means the Department of 
Agriculture and includes each of its operating agencies and other 
organizational units.
    Discrimination means unlawful treatment or denial of benefits, 
services, rights or privileges to a person or persons because of their 
race, color, national origin, religion, sex, sexual orientation, 
disability, age, marital status, sexual orientation, familial status, 
parental status, income derived from a public assistance program, 
political beliefs, or gender identity.
    Secretary means the Secretary of Agriculture or any officer or 
employee of the Department whom the Secretary has heretofore delegated, 
or whom the Secretary may hereafter delegate, the authority to act in 
his or her stead under the regulations in this part.

[79 FR 41410, July 16, 2014]



Sec.  15d.3  Discrimination prohibited.

    (a) No agency, officer, or employee of the USDA shall, on the 
grounds of race, color, national origin, religion, sex, sexual 
orientation, disability, age, marital status, family/parental status, 
income derived from a public assistance program, political beliefs, or 
gender identity, exclude from participation in, deny the benefits of, or 
subject to discrimination any person in the United States under any 
program or activity conducted by the USDA.
    (b) No person shall be subjected to reprisal for opposing any 
practice(s) prohibited by this part, for filing a complaint, or for 
participating in any other manner in a proceeding under this part.

[79 FR 41411, July 16, 2014]



Sec.  15d.4  Compliance.

    (a) Compliance program. OASCR shall evaluate each agency's efforts 
to comply with this part and shall make recommendations for improving 
such efforts.
    (1) OASCR shall oversee the compliance reviews and evaluations, and 
issue compliance reports that monitor compliance efforts to ensure that 
there is equitable and fair treatment in conducted programs.

[[Page 506]]

    (2) OASCR shall monitor all settlement agreements pertaining to 
program complaints for compliance to ensure full implementation and 
enforcement.
    (3) OASCR shall oversee Agency Head Assessments to ensure that 
Agency Heads are in compliance with civil rights laws and regulations.
    (4) OASCR shall monitor all findings of non-compliance to ensure 
that compliance is achieved.
    (5) OASCR shall require agencies to collect the race, ethnicity and 
gender of applicants and program participants, who choose to provide 
such information on a voluntary basis, in USDA-conducted programs, for 
purposes of civil rights compliance oversight, and evaluation.
    (b) Agency data collection and compliance reports. (1) Each Agency 
shall, for civil rights compliance, collect, maintain and annually 
compile data on all program applicants and participants in conducted 
programs by county and State, including but not limited to, application 
and participation rate data regarding socially disadvantaged and limited 
resources applicants and participants. At a minimum, the data should 
include:
    (i) Numbers of applicants and participants by race, ethnicity, and 
gender, subject to appropriate privacy protections, as determined by the 
Secretary and in accordance with law; and
    (ii) The application and participation rate, by race, ethnicity, and 
gender, as a percentage of the total participation rate.
    (2) Each Agency shall submit to the OASCR timely, complete and 
accurate program application and participation reports containing the 
information described in Sec.  15d.4(b)(1), on an annual basis, and upon 
the request of the OASCR independently of the annual requirement.
    (c) Complaint reporting compliance. OASCR shall ensure compliance 
with mandated complaint reporting requirements, such as those required 
by section 14006 of the Food, Conservation, and Energy Act of 2008 (Pub. 
L. 110-246).

[79 FR 41411, July 16, 2014]



Sec.  15d.5  Complaints.

    (a) Any person who believes that he or she (or any specific class of 
individuals) has been, or is being, subjected to practices prohibited by 
this part may file (or file through an authorized representative) a 
written complaint alleging such discrimination. The written complaint 
must be filed within 180 calendar days from the date the person knew or 
reasonably should have known of the alleged discrimination, unless the 
time is extended for good cause by the ASCR or designee. Any person who 
complains of discrimination under this part in any fashion shall be 
advised of the right to file a complaint as herein provided.
    (b) All complaints under this part should be filed with the Office 
of the Assistant Secretary for Civil Rights, 1400 Independence Ave. SW., 
U.S. Department of Agriculture, Washington, DC 20250, who will 
investigate the complaints. The ASCR will make final determinations as 
to the merits of complaints under this part and as to the corrective 
actions required to resolve program complaints. The complainant will be 
notified of the final determination on the complaint.
    (c) Any complaint filed under this part alleging discrimination on 
the basis of disability will be processed under 7 CFR part 15e.
    (d) For complaints OASCR deems appropriate for ADR, OASCR shall 
offer ADR services to complainants.

[79 FR 41411, July 16, 2014]



PART 15e_ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN 
PROGRAMS OR ACTIVITIES CONDUCTED BY THE UNITED STATES DEPARTMENT OF 
AGRICULTURE--Table of Contents



Sec.
15e.101 Purpose.
15e.102 Application.
15e.103 Definitions.
15e.104-15e.109 [Reserved]
15e.110 Self-evaluation.
15e.111 Notice.
15e.112-15e.129 [Reserved]
15e.130 General prohibitions against discrimination.
15e.131-15e.139 [Reserved]
15e.140 Employment.

[[Page 507]]

15e.141-15e.148 [Reserved]
15e.149 Program accessibility: Discrimination prohibited.
15e.150 Program accessibility: Existing facilities.
15e.151 Program accessibility: New construction and alterations.
15e.152-15e.159 [Reserved]
15e.160 Communications.
15e.161-15e.169 [Reserved]
15e.170 Compliance procedures
15e.171-15e.999 [Reserved]

    Authority: 29 U.S.C. 794.

    Source: 58 FR 57697, 57699, Oct. 26, 1993, unless otherwise noted.



Sec.  15e.101  Purpose.

    The purpose of this part is to effectuate section 119 of the 
Rehabilitation, Comprehensive Services, and Developmental Disabilities 
Amendments of 1978, which amended section 504 of the Rehabilitation Act 
of 1973 to prohibit discrimination on the basis of handicap in programs 
or activities conducted by Executive agencies or the United States 
Postal Service.



Sec.  15e.102  Application.

    This part (Sec. Sec.  15e.101-15e.170) applies to all programs or 
activities conducted by the agency, except for programs or activities 
conducted outside the United States that do not involve individuals with 
handicaps in the United States.



Sec.  15e.103  Definitions.

    For purposes of this part, the term--
    Assistant Attorney General means the Assistant Attorney General, 
Civil Rights Division, United States Department of Justice.
    Auxiliary aids means services or devices that enable persons with 
impaired sensory, manual, or speaking skills to have an equal 
opportunity to participate in, and enjoy the benefits of, programs or 
activities conducted by the agency. For example, auxiliary aids useful 
for persons with impaired vision include readers, Brailled materials, 
audio recordings, and other similar services and devices. Auxiliary aids 
useful for persons with impaired hearing include telephone handset 
amplifiers, telephones compatible with hearing aids, telecommunication 
devices for deaf persons (TTD's), interpreters, notetakers, written 
materials, and other similar services and devices.
    Complete complaint means a written statement that contains the 
complainant's name and address and describes the agency's alleged 
discriminatory action in sufficient detail to inform the agency of the 
nature and date of the alleged violation of section 504. It shall be 
signed by the complainant or by someone authorized to do so on his or 
her behalf. Complaints filed on behalf of classes or third parties shall 
describe or identify (by name, if possible) the alleged victims of 
discrimination.
    Facility means all or any portion of buildings, structures, 
equipment, roads, walks, parking lots, rolling stock or other 
conveyances, or other real or personal property.
    Historic preservation programs means programs conducted by the 
agency that have preservation of historic properties as a primary 
purpose.
    Historic properties means those properties that are listed or 
eligible for listing in the National Register of Historic Places or 
properties designated as historic under a statute of the appropriate 
State or local government body.
    Individual with handicaps means any person who has a physical or 
mental impairment that substantially limits one or more major life 
activities, has a record of such an impairment, or is regarded as having 
such an impairment. As used in this definition, the phrase:
    (1) Physical or mental impairment includes--
    (i) Any physiological disorder or condition, cosmetic disfigurement, 
or anatomical loss affecting one or more of the following body systems: 
Neurological; musculoskeletal; special sense organs; respiratory, 
including speech organs; cardiovascular; reproductive; digestive; 
genitourinary; hemic and lymphatic; skin; and endocrine; or
    (ii) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities. The term ``physical or mental 
impairment'' includes, but is not limited to, such diseases and 
conditions as orthopedic, visual, speech, and hearing impairments, 
cerebral palsy, epilepsy, muscular dystrophy, multiple

[[Page 508]]

sclerosis, cancer, heart disease, diabetes, mental retardation, 
emotional illness, HIV disease (whether symptomatic or asymptomatic), 
and drug addiction and alcoholism.
    (2) Major life activities include functions such as caring for one's 
self, performing manual tasks, walking, seeing, hearing, speaking, 
breathing, learning, and working.
    (3) Has a record of such an impairment means has a history of, or 
has been misclassified as having, a mental or physical impairment that 
substantially limits one or more major life activities.
    (4) Is regarded as having an impairment means--
    (i) Has a physical or mental impairment that does not substantially 
limit major life activities but is treated by the agency as constituting 
such a limitation;
    (ii) Has a physical or mental impairment that substantially limits 
major life activities only as a result of the attitudes of others toward 
such impairment; or
    (iii) Has none of the impairments defined in paragraph (1) of this 
definition but is treated by the agency as having such an impairment.
    Qualified individual with handicaps means--
    (1) With respect to preschool, elementary, or secondary education 
services provided by the agency, an individual with handicaps who is a 
member of a class of persons otherwise entitled by statute, regulation, 
or agency policy to receive education services from the agency;
    (2) With respect to any other agency program or activity under which 
a person is required to perform services or to achieve a level of 
accomplishment, an individual with handicaps who meets the essential 
eligibility requirements and who can achieve the purpose of the program 
or activity without modifications in the program or activity that the 
agency can demonstrate would result in a fundamental alteration in its 
nature;
    (3) With respect to any other program or activity, an individual 
with handicaps who meets the essential eligibility requirements for 
participation in, or receipt of benefits from, that program or activity; 
and
    (4) Qualified handicapped person as that term is defined for 
purposes of employment in 29 CFR 1614.203(a)(6), which is made 
applicable to this part by Sec.  15e.140.
    Section 504 means section 504 of the Rehabilitation Act of 1973 
(Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended. As used in 
this part, section 504 applies only to programs or activities conducted 
by Executive agencies and not to federally assisted programs.
    Substantial impairment means a significant loss of the integrity of 
finished materials, design quality, or special character resulting from 
a permanent alteration.



Sec. Sec.  15e.104-15e.109  [Reserved]



Sec.  15e.110  Self-evaluation.

    (a) The agency shall, by November 28, 1994, evaluate its current 
policies and practices, and the effects thereof, that do not or may not 
meet the requirements of this part and, to the extent modification of 
any such policies and practices is required, the agency shall proceed to 
make the necessary modifications.
    (b) The agency shall provide an opportunity to interested persons, 
including individuals with handicaps or organizations representing 
individuals with handicaps, to participate in the self-evaluation 
process by submitting comments (both oral and written).
    (c) The agency shall, for at least three years following completion 
of the self-evaluation, maintain on file and make available for public 
inspection:
    (1) A description of areas examined and any problems identified; and
    (2) A description of any modifications made.



Sec.  15e.111  Notice.

    The agency shall make available to employees, applicants, 
participants, beneficiaries, and other interested persons such 
information regarding the provisions of this part and its applicability 
to the programs or activities conducted by the agency, and make such 
information available to them in such manner as the head of the agency 
finds necessary to apprise such persons

[[Page 509]]

of the protections against discrimination assured them by section 504 
and this part.



Sec. Sec.  15e.112-15e.129  [Reserved]



Sec.  15e.130  General prohibitions against discrimination.

    (a) No qualified individual with handicaps shall, on the basis of 
handicap, be excluded from participation in, be denied the benefits of, 
or otherwise be subjected to discrimination under any program or 
activity conducted by the agency.
    (b)(1) The agency, in providing any aid, benefit, or service, may 
not, directly or through contractual, licensing, or other arrangements, 
on the basis of handicap--
    (i) Deny a qualified individual with handicaps the opportunity to 
participate in or benefit from the aid, benefit, or service;
    (ii) Afford a qualified individual with handicaps an opportunity to 
participate in or benefit from the aid, benefit, or service that is not 
equal to that afforded others;
    (iii) Provide a qualified individual with handicaps with an aid, 
benefit, or service that is not as effective in according equal 
opportunity to obtain the same result, to gain the same benefit, or to 
reach the same level of achievement as that provided to others;
    (iv) Provide different or separate aid, benefits, or services to 
individuals with handicaps or to any class of individuals with handicaps 
than is provided to others unless such action is necessary to provide 
qualified individuals with handicaps with aid, benefits, or services 
that are as effective as those provided to others;
    (v) Deny a qualified individual with handicaps the opportunity to 
participate as a member of planning or advisory boards;
    (vi) Otherwise limit a qualified individual with handicaps in the 
enjoyment of any right, privilege, advantage, or opportunity enjoyed by 
others receiving the aid, benefit, or service.
    (2) The agency may not deny a qualified individual with handicaps 
the opportunity to participate in programs or activities that are no 
separate or different, despite the existence of permissibly separate or 
different programs or activities.
    (3) The agency may not, directly or through contractual or other 
arrangements, utilize criteria or methods of administration the purpose 
or effect of which would--
    (i) Subject qualified individuals with handicaps to discrimination 
on the basis of handicap; or
    (ii) Defeat or substantially impair accomplishment of the objectives 
of a program or activity with respect to individuals with handicaps.
    (4) The agency may not, in determining the site or location of a 
facility, make selections the purpose or effect of which would--
    (i) Exclude individuals with handicaps from, deny them the benefits 
of, or otherwise subject them to discrimination under any program or 
activity conducted by the agency; or
    (ii) Defeat or substantially impair the accomplishment of the 
objectives of a program or activity with respect to individuals with 
handicaps.
    (5) The agency, in the selection of procurement contractors, may not 
use criteria that subject qualified individuals with handicaps to 
discrimination on the basis of handicap.
    (6) The agency may not administer a licensing or certification 
program in a manner that subjects qualified individuals with handicaps 
to discrimination on the basis of handicap, nor may the agency establish 
requirements for the programs or activities of licensees or certified 
entities that subject qualified individuals with handicaps to 
discrimination on the basis of handicap. However, the programs or 
activities of entities that are licensed or certified by the agency are 
not, themselves, covered by this part.
    (c) The exclusion of nonhandicapped persons from the benefits of a 
program limited by Federal statute or Executive order to individuals 
with handicaps or the exclusion of a specific class of individuals with 
handicaps from a program limited by Federal statute or Executive order 
to a different class of individuals with handicaps is not prohibited by 
this part.

[[Page 510]]

    (d) The agency shall administer programs and activities in the most 
integrated setting appropriate to the needs of qualified individuals 
with handicaps.



Sec. Sec.  15e.131-15e.139  [Reserved]



Sec.  15e.140  Employment.

    No qualified individual with handicaps shall, on the basis of 
handicap, be subjected to discrimination in employment under any program 
or activity conducted by the agency. The definitions, requirements, and 
procedures of section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 
791), as established by the Equal Employment Opportunity Commission in 
29 CFR part 1614, shall apply to employment in federally conducted 
programs or activities.



Sec. Sec.  15e.141-15e.148  [Reserved]



Sec.  15e.149  Program accessibility: Discrimination prohibited.

    Except as otherwise provided in Sec.  15e.150, no qualified 
individual with handicaps shall, because the agency's facilities are 
inaccessible to or unusable by individuals with handicaps, be denied the 
benefits of, be excluded from participation in, or otherwise be 
subjected to discrimination under any program or activity conducted by 
the agency.



Sec.  15e.150  Program accessibility: Existing facilities.

    (a) General. The agency shall operate each program or activity so 
that the program or activity, when viewed in its entirety, is readily 
accessible to and usable by individuals with handicaps. This paragraph 
does not--
    (1) Necessarily require the agency to make each of its existing 
facilities accessible to and usable by individuals with handicaps;
    (2) In the case of historic preservation programs, require the 
agency to take any action that would result in a substantial impairment 
of significant historic features of an historic property; or
    (3) Require the agency to take any action that it can demonstrate 
would result in a fundamental alteration in the nature of a program or 
activity or in undue financial and administrative burdens. In those 
circumstances where agency personnel believe that the proposed action 
would fundamentally alter the program or activity or would result in 
undue financial and administrative burdens, the agency has the burden of 
proving that compliance with Sec.  15e.150(a) would result in such 
alteration or burdens. The decision that compliance would result in such 
alteration or burdens must be made by the agency head or his or her 
designee after considering all agency resources available for use in the 
funding and operation of the conducted program or activity, and must be 
accompanied by a written statement of the reasons for reaching that 
conclusion. If an action would result in such an alteration or such 
burdens, the agency shall take any other action that result in such an 
alteration or such burdens but would nevertheless ensure that 
individuals with handicaps receive the benefits and services of the 
program or activity.
    (b) Methods--(1) General. The agency may comply with the 
requirements of this section through such means as redesign of 
equipment, reassignment of services to accessible buildings, assignment 
of aides to beneficiaries, home visits, delivery of services at 
alternate accessible sites, alteration of existing facilities and 
construction of new facilities, use of accessible rolling stock, or any 
other methods that result in making its programs or activities readily 
accessible to and usable by individuals with handicaps. The agency is 
not required to make structural changes in existing facilities where 
other methods are effective in achieving compliance with this section. 
The agency, in making alterations to existing buildings, shall meet 
accessibility requirements to the extent compelled by the Architectural 
Barriers Act of 1968, as amended (42 U.S.C. 4151-4157), and any 
regulations implementing it. In choosing among available methods for 
meeting the requirements of this section, the agency shall give priority 
to those methods that offer programs and activities to qualified 
individuals with handicaps in the most integrated setting appropriate.
    (2) Historic preservation programs. In meeting the requirements of 
Sec.  15e.150(a) in historic preservation programs, the agency shall 
give priority to methods

[[Page 511]]

that provide physical access to individuals with handicaps. In cases 
where a physical alteration to an historic property is not required 
because of Sec.  15e.150(a)(2) or (a)(3), alternative methods of 
achieving program accessibility include--
    (i) Using audio-visual materials and devices to depict those 
portions of an historic property that cannot otherwise be made 
accessible;
    (ii) Assigning persons to guide individuals with handicaps into or 
through portions of historic properties that cannot otherwise be made 
accessible; or
    (iii) Adopting other innovative methods.
    (c) Time period for compliance. The agency shall comply with the 
obligations established under this section by January 24, 1994, except 
that where structural changes in facilities are undertaken, such changes 
shall be made by November 26, 1996, but in any event as expeditiously as 
possible.
    (d) Transition plan. In the event that structural changes to 
facilities will be undertaken to achieve program accessibility, the 
agency shall develop, by May 26, 1994, a transition plan setting forth 
the steps necessary to complete such changes. The agency shall provide 
an opportunity to interested persons, including individuals with 
handicaps or organizations representing individuals with handicaps, to 
participate in the development of the transition plan by submitting 
comments (both oral and written). A copy of the transition plan shall be 
made available for public inspection. The plan shall, at a minimum--
    (1) Identify physical obstacles in the agency's facilities that 
limit the accessibility of its programs or activities to individuals 
with handicaps;
    (2) Describe in detail the methods that will be used to make the 
facilities accessible;
    (3) Specify the schedule for taking the steps necessary to achieve 
compliance with this section and, if the time period of the transition 
plan is longer than one year, identify steps that will be taken during 
each year of the transition period; and
    (4) Indicate the official responsible for implementation of the 
plan.



Sec.  15e.151  Program accessibility: New construction and alterations.

    Each building or part of a building that is constructed or altered 
by, on behalf of, or for the use of the agency shall be designed, 
constructed, or altered so as to be readily accessible to and usable by 
individuals with handicaps. The definitions, requirements, and standards 
of the Architectural Barriers Act (42 U.S.C. 4151-4157), as established 
in 41 CFR 101-19.600 to 101-19.607, apply to buildings covered by this 
section.



Sec. Sec.  15e.152-15e.159  [Reserved]



Sec.  15e.160  Communications.

    (a) The agency shall take appropriate steps to ensure effective 
communication with applicants, participants, personnel of other Federal 
entities, and members of the public.
    (1) The agency shall furnish appropriate auxiliary aids where 
necessary to afford an individual with handicaps an equal opportunity to 
participate in, and enjoy the benefits of, a program or activity 
conducted by the agency.
    (i) In determining what type of auxiliary aid is necessary, the 
agency shall give primary consideration to the requests of the 
individual with handicaps.
    (ii) The agency need not provide individually prescribed devices, 
readers for personal use or study, or other devices of a personal 
nature.
    (2) Where the agency communicates with applicants and beneficiaries 
by telephone, telecommunication devices for deaf persons (TDD's) or 
equally effective telecommunication systems shall be used to communicate 
with persons with impaired hearing.
    (b) The agency shall ensure that interested persons, including 
persons with impaired vision or hearing, can obtain information as to 
the existence and location of accessible services, activities, and 
facilities.
    (c) The agency shall provide signage at a primary entrance to each 
of its inaccessible facilities, directing users to a location at which 
they can obtain information about accessible facilities. The 
international symbol for accessibility shall be used at each primary 
entrance of an accessible facility.

[[Page 512]]

    (d) This section does not require the agency to take any action that 
it can demonstrate would result in a fundamental alteration in the 
nature of a program or activity or in undue financial and administrative 
burdens. In those circumstances where agency personnel believe that the 
proposed action would fundamentally alter the program or activity or 
would result in undue financial and administrative burdens, the agency 
has the burden of proving that compliance with Sec.  15e.160 would 
result in such alteration or burdens. The decision that compliance would 
result in such alteration or burdens must be made by the agency head or 
his or her designee after considering all agency resources available for 
use in the funding and operation of the conducted program or activity 
and must be accompanied by a written statement of the reasons for 
reaching that conclusion. If an action required to comply with this 
section would result in such an alteration or such burdens, the agency 
shall take any other action that would not result in such an alteration 
or such burdens but would nevertheless ensure that, to the maximum 
extent possible, individuals with handicaps receive the benefits and 
services of the program or activity.



Sec. Sec.  15e.161-15e.169  [Reserved]



Sec.  15e.170  Compliance procedures.

    (a) Except as provided in paragraph (b) of this section, this 
section applies to all allegations of discrimination on the basis of 
handicap in programs and activities conducted by the agency.
    (b) The agency shall process complaints alleging violations of 
section 504 with respect to employment according to the procedures 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1614 pursuant to section 501 of the Rehabilitation Act of 1973 (29 
U.S.C. 791).
    (c) The Director, Office of Advocacy and Enterprise, shall be 
responsible for coordinating implementation of this section and shall 
make the determinations described in paragraph (g) of this section. 
Complaints may be sent to Office of Advocacy and Enterprise, U.S. 
Department of Agriculture, Washington, DC 20250.
    (d) The agency shall accept and investigate all complete complaints 
for which it has jurisdiction. All complete complaints must be filed 
within 180 days of the alleged act of discrimination. The agency may 
extend this time period for good cause.
    (e) If the agency receives a complaint over which it does not have 
jurisdiction, it shall promptly notify the complainant and shall make 
reasonable efforts to refer the complaint to the appropriate Government 
entity.
    (f) The agency shall notify the Architectural and Transportation 
Barriers Compliance Board upon receipt of any complaint alleging that a 
building or facility that is subject to the Architectural Barriers Act 
of 1968, as amended (42 U.S.C. 4151-4157), is not readily accessible to 
and usable by individuals with handicaps.
    (g) Within 180 days of the receipt of a complete complaint for which 
it has jurisdiction, the agency shall notify the complainant of the 
results of the investigation in a letter containing--
    (1) Findings of fact and conclusions of law;
    (2) A description of a remedy for each violation found; and
    (3) A notice of the right to appeal.
    (h) Appeals of the findings of fact and conclusions of law or 
remedies must be filed by the complainant within 90 days of receipt from 
the agency of the letter required by Sec.  15e.170(g). The agency may 
extend this time for good cause.
    (i) Timely appeals shall be accepted and processed by the head of 
the agency.
    (j) The head of the agency shall notify the complainant of the 
results of the appeal within 60 days of the receipt of the request. If 
the head of the agency determines that additional information is needed 
from the complainant, he or she shall have 60 days from the date of 
receipt of the additional information to make his or her determination 
on the appeal.
    (k) The time limits cited in paragraphs (g) and (j) of this section 
may be extended with the permission of the Assistant Attorney General.
    (l) The agency may delegate its authority for conducting complaint 
investigations to other Federal agencies, except that the authority for 
making

[[Page 513]]

the final determination may not be delegated to another agency.

[58 FR 57697, 57699, Oct. 26, 1993, as amended at 58 FR 57697, Oct. 26, 
1993]



Sec. Sec.  15e.171-15e.999  [Reserved]



PART 15f_ADJUDICATIONS UNDER SECTION 741--Table of Contents



 Subpart A_What Is the Purpose of These Regulations and to Whom and to 
                      What Programs Do They Apply?

Sec.
15f.1 What is the purpose of these regulations?
15f.2 Who may use these procedures for processing their discrimination 
          complaint with USDA?
15f.3 If I want to use these procedures to have USDA consider my 
          complaint, how long will it take for USDA to make a decision?
15f.4 What do certain words and phrases in these regulations mean?

Subpart B_I Filed a Complaint With USDA Prior to July 1, 1997, How Do I 
     Request That USDA Consider My Complaint Using These Procedures?

15f.5 How do I request that USDA consider my complaint under these 
          procedures?
15f.6 What must I say or include in my Section 741 Complaint Request?
15f.7 May I be represented by an attorney?

Subpart C_What Happens After I Send in My Request? May I Seek To Resolve 
                    My Complaint Informally With OCR?

15f.8 What does the Docketing Clerk do with my request?
15f.9 What will the Director do to settle my Section 741 Complaint 
          Request when it is received?
15f.10 What if I do not want the Director to review my Section 741 
          Complaint Request and I want to proceed directly to a hearing?

Subpart D_If I Request a Hearing, What Will Happen? How Will the Hearing 
                              Be Conducted?

15f.11 Where must I file a hearing request and what happens to it?
15f.12 Am I entitled to a hearing in all circumstances?
15f.13 What is the function of the ALJ and who may communicate with him?
15f.14 What happens after I file a request for a hearing?
15f.15 What Happens after the Docketing Clerk notifies all parties?
15f.16 Although I request a hearing, may I request the ALJ to issue a 
          decision without a hearing?
15f.17 What happens before the hearing?
15f.18 May I depose potential witnesses?
15f.19 Other than myself, OCR, and the agency, may any other interested 
          party participate in the proceeding?
15f.20 May I subpoena witnesses to the hearing?
15f.21 What rules are applicable to the actual conduct of the hearing?
15f.22 What happens after the hearing?
15f.23 What will constitute the record for the final determination?
15f.24 When and in what form will a final determination be made on my 
          complaint by USDA?
15f.25 Will USDA pay my attorneys fees if I win?

 Subpart E_What if I Do Not Agree With the Final Determination by USDA?

15f.26 May I seek judicial review of the final determination?

Subpart F_How Do I Count Days for Purposes of Deadlines and What Happens 
                  if I Miss a Deadline in These Rules?

15f.27 When is something considered ``filed'' as required by these rules 
          and to whom do I need to give copies of what I file?
15f.28 When I or someone else has to do something within a certain 
          number of days, how will USDA or the ALJ count the days?
15f.29 May I request an extension of a deadline or may I get relief for 
          missing a deadline in these rules?

    Authority: 5 U.S.C. 301; section 101(a) of Pub. L. 105-277, 112 
Stat. 2681; Reorganization Plan No. 2 of 1953 (5 U.S.C. App.).

    Source: 63 FR 67394, Dec. 4, 1998, unless otherwise noted.



 Subpart A_What Is the Purpose of These Regulations and to Whom and to 
                      What Programs Do They Apply?



Sec.  15f.1  What is the purpose of these regulations?

    These regulations provide the rights of complainants and the 
procedures for the processing of certain nonemployment related 
complaints alleging discrimination by USDA that were filed

[[Page 514]]

with USDA prior to July 1, 1997, as authorized under section 741(b) of 
the Agriculture, Rural Development, Food and Drug Administration, and 
Related Agencies Appropriations Act, 1999, enacted in Division A, 
section 101(a) of the Omnibus Consolidated and Emergency Supplemental 
Appropriations Act, 1999, Pub. L. 105-277.



Sec.  15f.2  Who may use these procedures for processing their discrimination 
complaint with USDA?

    A person may use these procedures if he or she filed a nonemployment 
related discrimination complaint with USDA prior to July 1, 1997, that 
alleged discrimination by USDA at any time during the period beginning 
January 1, 1981 and ending December 31, 1996 :
    (a) In violation of the Equal Credit Opportunity Act (15 U.S.C. 1691 
et seq.) in administering--
    (1) A farm ownership, farm operating, or emergency loan funded from 
the Agricultural Credit Insurance Program Account; or
    (2) A housing program established under title V of the Housing Act 
of 1949; or
    (b) In the administration of a commodity program or a disaster 
assistance program.



Sec.  15f.3  If I want to use these procedures to have USDA consider my complaint, 
how long will it take for USDA to make a decision?

    To the maximum extent practicable, a final determination under these 
procedures will be issued within 180 days after you have filed your 
request.



Sec.  15f.4  What do certain words and phrases in these regulations mean?

    Agency means the USDA agency, office, or committee that the 
complainant alleges has discriminated against the complainant in the 
administration of a covered program.
    ALJ means an Administrative Law Judge appointed pursuant to the 
Administrative Procedure Act (5 U.S.C. 557(b)(3), 3105) who presides 
over a hearing if requested by a complainant.
    ASCR means the Assistant Secretary for Civil Rights.
    Complainant means a person who requests that USDA consider his or 
her complaint under the procedures of this part.
    Complaint means a written document filed with USDA by a person 
alleging discrimination by USDA under a covered program.
    Covered program means:
    (1) A farm ownership, farm operating, or emergency loan funded from 
the Agricultural Credit Insurance Program Account;
    (2) A housing program established under title V of the Housing Act 
of 1949; or
    (3) A commodity program or disaster assistance program.
    Director means the Director of USDA, OCR, or his or her subordinate 
designee.
    Docketing clerk means an employee of the USDA Office of Civil 
Rights, designated to serve in this capacity.
    Eligible complaint means a complaint that was filed with the 
Department of Agriculture before July 1, 1997, and that alleges 
discrimination occurring at any time during the period beginning on 
January 1, 1981 and ending December 31, 1996--
    (1) In violation of the Equal Credit Opportunity Act (15 U.S.C. 1691 
et seq.) in administering--
    (i) A farm ownership, farm operating, or emergency loan funded from 
the Agricultural Credit Insurance Program Account; or
    (ii) A housing program established under title V of the Housing Act 
of 1949; or
    (2) In the administration of a commodity program or a disaster 
assistance program.
    Ex parte communication means a prohibited communication between a 
party to a proceeding and the ALJ outside of the presence of, or without 
notice to, the other parties to the proceeding, as explained more fully 
in Sec.  15f.13.
    Final determination means the final USDA decision made on your 
complaint under these rules.
    Hearing means a proceeding in which you may present your case before 
the ALJ.
    Interested party means a person, other than the complainant, OCR, 
and the

[[Page 515]]

agency, who has an interest in a proceeding under these rules and is 
admitted to the proceeding under Sec.  15f.20.
    OCR means the USDA Office of Civil Rights.
    Party or parties means the complainant, OCR, the agency, or a person 
admitted to the proceeding as an interested party.
    Secretary means the Secretary of Agriculture.
    Section 741 means section 741 of the Agriculture, Rural Development, 
Food and Drug Administration, and Related Agencies Appropriations Act, 
1999, enacted in Division A, section 101(a) of the Omnibus Consolidated 
and Emergency Supplemental Appropriations Act, 1999, Pub. L. 105-277.
    Section 741 Complaint Request (or Request) means a request by a 
complainant to consider his complaint under these rules.
    USDA means the United States Department of Agriculture.

[63 FR 67394, Dec. 4, 1998, as amended at 68 FR 27449, May 20, 2003]



Subpart B_I Filed a Complaint With USDA Prior to July 1, 1997, How Do I 
     Request That USDA Consider My Complaint Using These Procedures?



Sec.  15f.5  How do I request that USDA consider my complaint under 
these procedures?

    In order for USDA to consider your complaint under these procedures, 
a Section 741 Complaint Request must be docketed with the Docketing 
Clerk in the USDA OCR.
    (a) Do I have to file a ``Section 741 Complaint Request'' if USDA is 
already working on my complaint? Do I have to file again? If USDA OCR 
already reviewed or is working on your complaint, you will receive a 
notice by March 1, 1999, indicating that your complaint automatically 
has been docketed as a Section 741 Complaint Request for consideration 
under these procedures. The notice will provide you with the docket 
number assigned your Request and will give you further instructions with 
respect to what options you have or what actions you must take.
    (b) What if USDA is not working on my complaint? If I think USDA has 
reviewed or is working on my complaint, but do not receive a letter by 
March 1, 1999, what should I do? If USDA is not already working on your 
complaint, or you do not receive a letter from USDA by March 1, 1999, or 
within 30 days thereafter, you should file a Section 741 Complaint 
Request with the Docketing Clerk at USDA OCR.
    (c) How long do I have to file my Section 741 Complaint Request? You 
have until October 21, 2000 to file your Section 741 Complaint Request. 
If you did not receive a notice form USDA by October 21, 2000, that your 
Section 741 Complaint Request had been docketed automatically under 
paragraph (a) of this section, and you did not file a Section 741 
Complaint Request prior to October 21, 2000, under paragraph (b) of this 
section, then any Section 741 Complaint Request received by USDA after 
October 21, 2000, will not be accepted.

[63 FR 67394, Dec. 4, 1998, as amended at 68 FR 7412, Feb. 14, 2003]



Sec.  15f.6  What must I say or include in my Section 741 Complaint Request?

    If you must file a Section 741 Complaint Request, it should include 
a copy of your original complaint, a request in writing that USDA 
consider the complaint in accordance with these procedures, a statement 
as to when your complaint was filed with USDA, and any other evidence 
you consider necessary to prove that your complaint is an eligible 
complaint suitable for consideration under these procedures.



Sec.  15f.7  May I be represented by an attorney?

    (a) If your Section 741 Complaint Request is automatically docketed 
as set forth in Sec.  15f.5(a), and you already are represented by 
counsel of whom you have notified USDA, then this section does not 
apply.
    (b) If you are filing your Section 741 Complaint Request with USDA, 
and if you are represented by an attorney, your Section 741 Complaint 
Request should also include an authorization signed by you indicating 
that the attorney is entitled to represent you on your behalf. If USDA 
receives such an

[[Page 516]]

authorization, all documents in connection with consideration of your 
complaint under these procedures will be sent to your attorney and not 
to you.
    (c) Once your Section 741 Complaint Request is docketed with USDA, 
and you afterwards retain an attorney, you should forward an 
authorization to USDA signed by you indicating that the attorney is 
entitled to represent you on your behalf. If USDA receives such an 
authorization, all documents in connection with consideration of your 
complaint under these procedures will be sent to your attorney and not 
to you.



Subpart C_What Happens After I Send in My Section 741 Complaint Request? 
         May I Seek To Resolve My Complaint Informally With OCR?



Sec.  15f.8  What does the Docketing Clerk do with my 
Section 741 Complaint Request?

    All Section 741 Complaint Requests docketed by the OCR Docketing 
Clerk will be referred to the Director for an informal review. The 
Director will determine if the complaint is one that can be resolved 
informally, and, if so, the Director will seek to resolve the complaint 
informally with the complainant.



Sec.  15f.9  What will the Director do to settle my Section 741 Complaint
Request when it is received?

    The Director will review each Section 741 Complaint Request. If the 
Director finds that your complaint is an eligible complaint, the 
Director will: review all documents and evidence submitted by you; 
review all agency or CR files, if any exist, regarding the circumstances 
surrounding the alleged discrimination; review any damage claims; and 
seek any further clarification, if necessary, from either you or the 
agency. CR also may refer your eligible complaint for a formal 
investigation by the CR Program Investigation Division or by an outside 
contractor. Based on his or her review, the Director will either 
undertake negotiations with you to resolve the complaint; or inform you 
that CR will not settle the complaint and explain to you your options, 
including your right to request formal proceedings before an ALJ under 
subpart D of this part within 30 days of receipt of notice from the 
Director that CR will not settle the complaint. If the complaint is 
successfully resolved or settled, the Director will issue a final 
determination disposing of the matter. If you have received a notice 
that the Director will not settle the complaint prior to February 14, 
2003, you have until 90 days after February 14, 2003 to request formal 
proceedings under subpart D of this part. Any request for formal 
proceedings received by USDA after the deadlines set forth in this 
section will not be accepted.

[68 FR 7412, Feb. 14, 2003]



Sec.  15f.10  What if I do not want the Director to review my 
Section 741 Complaint Request and I want to proceed directly 
to a hearing?

    If you do not want the Director to review your Section 741 Complaint 
Request, you may request a hearing following the procedures below in 
subpart D. You may request a hearing at any time during informal review 
or negotiations with the Director, or at any time during USDA 
consideration of your Section 741 Complaint Request.



Subpart D_If I Request a Hearing, What Will Happen? How Will the Hearing 
                              Be Conducted?



Sec.  15f.11  Where must I file a hearing request and what happens to it?

    If you desire a hearing, you must file a request for a hearing with 
the Docketing Clerk, citing the docket number assigned to your Section 
741 Complaint Request. When the Docketing Clerk receives your request 
for a hearing, your Section 741 Complaint Request will be assigned to an 
ALJ. The Docketing Clerk will send a notice of your hearing request to 
OCR and the agency, notifying them of the docket number and the assigned 
ALJ. The Docketing Clerk also will send you a notice of receipt of the 
hearing request that will inform you of the name of the assigned ALJ.

[[Page 517]]



Sec.  15f.12  Am I entitled to a hearing in all circumstances?

    Under section 741, you have a right to a hearing as part of the 
process for USDA to render a final determination on your eligible 
complaint. However, if at any time the ALJ determines that your 
complaint is not an eligible complaint, he or she may dismiss your 
complaint with a final determination and USDA review of your complaint 
will then have been completed. You also are not entitled to a hearing if 
there are no material issues of fact in dispute between you and USDA. In 
other words, if the only dispute remaining is a question of law, you 
will not receive a hearing and the ALJ will make a final determination 
under Sec.  15f.16.



Sec.  15f.13  What is the function of the ALJ and who may communicate 
with him?

    (a) What are the powers of the ALJ? The ALJ is responsible for 
conducting a hearing at your request on your Section 741 Complaint 
Request. He or she will have all powers prescribed in these rules and 
will make a proposed determination on your complaint. The proposed 
determination then will become the final determination after 35 days, 
unless the ASCR reviews the proposed determination.
    (b) What is an ex parte communication? An ex parte communication is 
a communication by one party to a proceeding with the ALJ outside of the 
presence of, or without notice to, the other parties to a proceeding. Ex 
parte communications in the proceedings on your complaint are prohibited 
and will be handled as follows:
    (1) The ALJ will not engage in ex parte communications regarding the 
merits of a complaint with any party or with any person having any 
interest in the proceedings on the complaint, including OCR and any 
person in an advocacy or investigative capacity, at any time between the 
assignment of a hearing to him or her and the issuance of a proposed 
determination. This prohibition does not apply to:
    (i) Discussions of procedural matters related to the complaint; or
    (ii) Discussions of the merits of the complaint where all parties to 
the proceeding on the complaint have been given notice and an 
opportunity to participate.
    (2) In the case of a communication described in paragraph (b)(1)(ii) 
of this section, a memorandum of any such discussion shall be included 
in the hearing record.
    (3) No party to the proceeding or other interested person shall make 
or knowingly cause to be made to the ALJ an ex parte communication 
relevant to the merits of the complaint.
    (4) If the ALJ receives an ex parte communication in violation of 
this section, the ALJ will place in the written record:
    (i) All such written communications;
    (ii) Memoranda stating the substance of all such oral 
communications; and
    (iii) All written responses to such communications, and memoranda 
stating the substance of any oral responses to such communications.
    (c) Upon receipt of a communication knowingly made or knowingly 
caused to be made by a party in violation of this section the ALJ may, 
to the extent consistent with the interests of justice and the policy 
underlying these proceedings, require the party or other interested 
person making the communication to show cause why such party's claim or 
interest in the complaint should not be dismissed, denied, disregarded, 
or otherwise adversely affected on account of such violation.

[63 FR 67394, Dec. 4, 1998, as amended at 68 FR 27449, May 20, 2003]



Sec.  15f.14  What happens after I file a request for a hearing?

    Within 20 days after you have filed your request for a hearing, ALJ 
shall file with the Docketing Clerk a notice stating the time, place, 
and manner of the hearing. The ALJ will have due regard for the public 
interest and the convenience and necessity of the parties in determining 
the time, place, and manner of the hearing. The notice will state 
whether the hearing will be conducted by telephone, audiovisual 
telecommunication, or personal attendance of any individual expected to 
participate in the hearing. The Docketing Clerk will send copies of the 
notice to the complainant and to all other parties to the proceeding.

[[Page 518]]



Sec.  15f.15  What happens after the Docketing Clerk notifies all parties?

    The first step in this process involves a response to your hearing 
request by OCR. OCR will turn over its entire file on your complaint to 
the ALJ. OCR also will file a report with the ALJ stating its position 
with respect to whether or not your complaint is an eligible complaint, 
with reasons for its position, as well as stating its position with 
respect to the merits of your complaint. OCR must turn over its file and 
make its report on its position on your complaint within 35 days. OCR 
must provide a copy to you of anything it provides to the ALJ.



Sec.  15f.16  Although I request a hearing, may I request the ALJ to 
issue a decision without a hearing?

    (a) At any time after the parties have been notified of your hearing 
request, you may file a request with the ALJ to make a determination 
based on the written record. With your request, you should file any 
other arguments or evidence that you wish the ALJ to consider. The 
agency and OCR will have 35 days after you file your request to file any 
additional information, arguments, or evidence for the consideration of 
the ALJ. The ALJ may recommend dismissal of your complaint on the basis 
of a finding that it is not an eligible complaint; recommend denial of 
your eligible complaint on the merits; or make a proposed finding of 
discrimination on your eligible complaint and recommend to award you 
such relief as would be afforded under the applicable statute or 
regulation under which the eligible complaint was filed. The ALJ will 
make a proposed determination on your complaint based on the original 
complaint, the Section 741 Complaint Request, the OCR report, and any 
other evidence or written documents filed by the parties. The proposed 
determination will become the final determination 35 days after it is 
filed unless you request review of the proposed determination by the 
ASCR. The ASCR also may review the proposed determination on his or her 
own initiative. If the ASCR reviews the decision, he or she will allow 
the parties a reasonable opportunity to file briefs in support of or 
opposition to the proposed determination, and afterwards will issue a 
final determination within 35 days after you request review of the 
proposed determination.
    (b) To the maximum extent practicable, a final determination will be 
made within 180 days of your filing of the Section 741 Complaint 
Request.

[63 FR 67394, Dec. 4, 1998, as amended at 68 FR 27449, May 20, 2003]



Sec.  15f.17  What happens before the hearing?

    (a) Do I need to file another answer or pre-hearing brief? You may 
file a pre-hearing brief in support of your complaint.
    (b) Will there be a pre-hearing conference? The ALJ may hold a pre-
hearing conference. If such a conference is to be held, the notice of 
the pre-hearing conference also will contain a notice to the parties of 
a time and date for the pre-hearing conference. Pre-hearing conferences 
normally will be held by telephone. Issues that may be addressed at the 
pre-hearing conference may include: simplification of the issues; the 
possibility of obtaining stipulations of fact and of the authenticity of 
documents; limitation of the number of witnesses; exchange of copies of 
hearing exhibits; negotiation, compromise or settlement of issues; 
identification of documents of which official notice will be requested; 
a schedule for completion of the actions decided upon at the conference; 
and any other matters that may aid and expedite the conclusion of the 
proceeding. No transcript of the pre-hearing conference will be made but 
the ALJ will issue a written memorandum summarizing the results of the 
pre-hearing conference.
    (c) What else may the ALJ ask for before the hearing? Prior to the 
hearing, the ALJ may require each of the parties to furnish any or all 
of the following: an outline of a party's position with respect to the 
complaint, the facts upon which the party intends to rely, the legal 
theories upon which the party intends to rely, copies of or a list of 
the documents and exhibits which the party anticipates on introducing at 
the hearing, and a list of anticipated witnesses.

[[Page 519]]



Sec.  15f.18  May I depose potential witnesses?

    (a) A party may request an order from the ALJ to take the testimony 
of any person by deposition upon oral examination or written 
interrogatories before any officer authorized to administer oaths at the 
place of examination, for use as evidence. The application for the order 
must specify the reason and need for taking testimony by deposition.
    (b) The time, place, and manner of taking depositions will be as 
mutually agreed by the parties, or failing agreement, by order of the 
ALJ.
    (c) No testimony taken by depositions will be considered as part of 
the evidence in the hearing until such testimony is offered and received 
in evidence at the hearing, and ordinarily it will not be received into 
evidence if the deponent is present and can testify at the hearing. 
However, when the deponent is present and can testify, the deposition 
may be used to contradict or impeach the testimony of the deponent given 
at the hearing. Where you have requested a final determination by the 
ALJ based on the written record without a hearing, the ALJ, in his or 
her discretion, may receive depositions to supplement the record.
    (d) Each party will bear its own expenses associated with the taking 
of any deposition.



Sec.  15f.19  Other than myself, OCR, and the agency, may any other 
interested party participate in the proceeding?

    In most cases, there will be no parties to a proceeding under these 
rules, other than the complainant, OCR, and, and if it so desires, the 
agency. However, if there are circumstances in which additional parties 
have an interest in the proceeding, such as a bank which participated in 
a case involving a guaranteed loan, such other interested parties may be 
permitted to participate in the proceeding at the discretion of the ALJ.



Sec.  15f.20  May I subpoena witnesses to the hearings?

    No. USDA has no statutory authority to subpoena witnesses to testify 
at the hearing.



Sec.  15f.21  What rules are applicable to the actual conduct of the hearing?

    (a) Who may appear at the hearing? You may appear at the hearing in 
person or through your attorney. OCR or the agency will appear through a 
designated representative, which may include a USDA attorney. Any person 
who appears as counsel must conform to the standards of ethical conduct 
required of practitioners before the courts of the United States.
    (b) What happens if I fail to show up? If, after having received 
notice of the hearing under Sec.  15f.14, you fail to appear at the 
hearing without good cause, you will have waived your right to a hearing 
in the proceeding and the ALJ may proceed to issue a final determination 
based on the written record as provided for under Sec.  15f.16.
    (c) Which party presents its case first at the hearing? You, as the 
complainant, will proceed first at the proceeding, unless otherwise 
determined by the ALJ.
    (d) What kind of evidence will be admitted and how will it be 
handled?--(1) In general. The hearing will be conducted by the ALJ in 
the manner he or she determines most likely to obtain the facts relevant 
to the matter or matters at issue. The ALJ may confine the presentation 
of facts and evidence to pertinent matters and exclude irrelevant, 
immaterial, or unduly repetitious evidence, information, or questions. 
Each party will have the opportunity to present oral and documentary 
evidence, oral testimony of witnesses, and arguments in support of the 
party's position; controvert evidence relied on by any other party; and 
question all witnesses. The testimony of witnesses at a hearing will be 
on oath or affirmation and will be subject to cross-examination. Any 
evidence may be received by the ALJ without regard to whether that 
evidence could be admitted in judicial proceedings. Upon a finding of 
good cause, the ALJ may order that any witness be examined separately 
and apart from all other witnesses except those who may be parties to 
the proceeding.
    (2) Objections. (i) If a party objects to the admission of any 
evidence or to the limitation of the scope of any examination or cross-
examination or to any other ruling of the ALJ, the party

[[Page 520]]

must state briefly the grounds of such objection.
    (ii) Only objections made before the ALJ may subsequently be relied 
upon in the proceeding.
    (3) Depositions. The deposition of any witness will be admitted in 
the manner provided in and subject to the provisions of Sec.  15f.18(c) 
of these rules.
    (4) Exhibits. Unless the ALJ finds that the furnishing of copies is 
impracticable, two copies of each exhibit must be filed with the ALJ. A 
party submitting an exhibit must provide every other party (except 
interested parties) a copy of the exhibit one week before the hearing. A 
true copy of an exhibit may be substituted for the original.
    (5) Official records or documents. An official government record or 
document or entry therein, if admissible for any purpose, will be 
admissible in evidence without the production of the person who made or 
prepared the same, and will be prima facie evidence of the relevant 
facts stated therein. Such record or document must be evidenced by an 
official publication thereof or a copy certified by a person having 
legal authority to make such certification.
    (6) Official notice. Official notice will be taken of such matters 
as are judicially noted by the courts of the United States and of any 
other matter of technical, scientific, or commercial fact of established 
character if the parties are given adequate notice of matters so 
noticed, and the parties will be given adequate opportunity to show that 
such facts are erroneously noticed.
    (7) Offer of proof. Whenever evidence is excluded by the ALJ, the 
party offering such evidence may make an offer of proof, which must be 
included in the transcript. The offer of proof should consist of a brief 
statement describing the evidence excluded. If the evidence consists of 
a brief oral statement, it must be included in the transcript in its 
entirety. If the evidence consists of an exhibit, it must be marked for 
identification and inserted in the hearing record.
    (8) Interlocutory review. Interlocutory review of rulings by the ALJ 
will not be permitted.
    (9) Transcript or recording. (i) Hearings to be conducted by 
telephone will be recorded verbatim by electronic recording device. 
Hearings conducted by audio-visual telecommunication or by the personal 
attendance of parties and witnesses must be transcribed, unless the ALJ 
finds that recording the hearing verbatim would expedite the proceeding 
and the ALJ orders the hearing to be recorded verbatim. The ALJ must 
certify that to the best of his or her knowledge and belief any 
recording made pursuant to this paragraph with exhibits that were 
accepted into evidence is the record of the hearing.
    (ii) If a hearing is recorded verbatim, a party requests the 
transcript of a hearing or part of a hearing, and the ALJ determines 
that the disposition of the proceeding would be expedited by a 
transcript of the hearing or part of a hearing, the ALJ shall order the 
verbatim transcription of the recording as requested by the party.
    (iii) The costs of transcription or verbatim recordings will be paid 
for by USDA and charged to the agency whose action gave rise to the 
complaint at issue. Copies of recordings or transcripts of hearings will 
be made available to any party at the actual cost of duplication.



Sec.  15f.22  What happens after the hearing?

    The ALJ will fix a reasonable time for filing posthearing briefs, 
proposed findings of fact and conclusions of law, and if permitted, 
reply briefs. Briefs should include a summary of evidence relied upon 
together with references to exhibit numbers and citations to the 
transcript and authorities relied upon. Briefs must be filed with the 
Docketing Clerk with copies to all parties.



Sec.  15f.23  What will constitute the record for the final
determination?

    The original complaint, the Section 741 Complaint Request, the OCR 
report, the agency answer, the transcript of testimony, exhibits, 
affidavits, depositions, briefs, memoranda of law, and all pleadings, 
motions, papers, and requests filed in the proceeding, including 
rulings, and the proposed determination by an ALJ (if applicable) shall 
constitute the exclusive record for the final determination.

[[Page 521]]



Sec.  15f.24  When and in what form will a final determination be made
on my complaint by USDA?

    (a) The ALJ will make a proposed determination orally at the close 
of a hearing, or in writing within 35 days. The ALJ may recommend 
dismissal of your complaint on the basis of a finding that it is not an 
eligible complaint; recommend denial of your eligible complaint on the 
merits; or make a proposed finding of discrimination on your eligible 
complaint and recommend to award you such relief as would be afforded 
under the applicable statute or regulation under which the eligible 
complaint was filed. The proposed determination will become the final 
determination 35 days after it is made, unless you request review of the 
proposed determination by the ASCR. The ASCR also may review the 
proposed determination on his or her own initiative. If the ASCR reviews 
the proposed determination, he or she will allow the parties a 
reasonable opportunity to file briefs in support or opposition to the 
proposed determination, and afterwards file a final determination within 
35 days after you request review of the proposed determination.
    (b) To the maximum extent practicable, a final determination will be 
filed within 180 days after you filed your Section 741 Complaint 
Request.

[63 FR 67394, Dec. 4, 1998, as amended at 68 FR 27449, May 20, 2003]



Sec.  15f.25  Will USDA pay my attorneys fees if I win?

    If you prevail on your eligible complaint, either in whole or in 
part, after a proceeding before an ALJ under the procedures in this 
subpart, you may be eligible for an award of attorneys fees as a 
prevailing party under the Equal Access to Justice Act (EAJA), 5 U.S.C. 
504. To get an EAJA award, you must file an application for such fees 
with the ALJ within 30 days after the final determination is made. 
Instructions for filing an EAJA application and obtaining an EAJA award 
are contained in 7 CFR part 1, subpart J. The ALJ must follow those 
rules, and not these Section 741 Complaint Request rules, in making any 
EAJA award.



 Subpart E_What if I Do Not Agree With the Final Determination by USDA?



Sec.  15f.26  May I seek judicial review of the final determination?

    Section 741 provides that you have at least 180 days after a final 
determination denying your eligible complaint under these rules to seek 
judicial review in the United States Court of Federal Claims or a United 
States District Court of competent jurisdiction.



Subpart F_How Do I Count Days for Purposes of Deadlines and What Happens 
                  if I Miss a Deadline in These Rules?



Sec.  15f.27  When is something considered ``filed'' as required by these 
rules and to whom do I need to give copies of what I file?

    A document, or other item, that must be ``filed'' under these rules 
is considered filed when postmarked or when it is received and date-
stamped by the Docketing Clerk.



Sec.  15f.28  When I or someone else has to do something within a certain
number of days, how will USDA or the ALJ count the days?

    Unless otherwise specifically noted, a ``day'' refers to a calendar 
day and a document that must be filed by a certain date must either be 
postmarked on that date or received by the Docketing Clerk on that date. 
For documents that must be or are ``filed'' under these regulations, you 
count the number of days after filing starting with the day after the 
filing date as day one. For other time periods, you calculate the time 
period by counting the day after receipt by the party as day one. If the 
last day of a time period expires on a Saturday, a Sunday, or a Federal 
holiday, the last day of the time period will expire on the next 
business day.



Sec.  15f.29  May I request an extension of a deadline or may I get 
relief for missing a deadline in these rules?

    You may request that the ALJ extend a deadline in these rules, or 
afford you relief for missing a deadline, which he or she may do, 
consistent with the

[[Page 522]]

principles of sovereign immunity, the terms of any applicable statute, 
these rules, and the necessity of expeditious completion of the public 
business. It is the intent of USDA that the time deadlines expressed in 
these regulations be construed equitably to ensure resolution of 
eligible complaints, to the extent permitted by law.



PART 16_EQUAL OPPORTUNITY FOR RELIGIOUS ORGANIZATIONS--Table of Contents



Sec.
16.1 Purpose and applicability.
16.2 Definitions.
16.3 Rights of religious organizations.
16.4 Responsibilities of participating organizations.
16.5 Effect on State and local funds.
16.6 Compliance.

Appendix A to Part 16--Written Notice of Beneficiary Rights

    Authority: 5 U.S.C. 301; E.O. 13279, 67 FR 77141; E.O. 13280, 67 FR 
77145; E.O. 13559, 75 FR 71319.

    Source: 69 FR 41382, July 9, 2004, unless otherwise noted.



Sec.  16.1  Purpose and applicability.

    (a) The purpose of this part is to set forth USDA policy regarding 
equal opportunity for religious organizations to participate in USDA 
assistance programs for which other private organizations are eligible.
    (b) Except as otherwise specifically provided in this part, the 
policy outlined in this part applies to all recipients and subrecipients 
of USDA assistance to which 2 CFR part 400 applies, and to recipients 
and subrecipients of Commodity Credit Corporation assistance that is 
administered by agencies of USDA.

[69 FR 41382, July 9, 2004, as amended at 81 FR 19413, Apr. 4, 2016]



Sec.  16.2  Definitions.

    As used in this part:
    (a) USDA direct assistance is Federal financial assistance provided 
by USDA and means that the Federal Government or an intermediary (under 
this part) selects the provider and either purchases services from that 
provider (e.g., via a contract) or awards funds to that provider to 
carry out a service (e.g., via grant or cooperative agreement). In 
general, USDA assistance shall be treated as direct, unless it meets the 
definition of ``USDA indirect assistance.''
    (b)(1) USDA indirect assistance is Federal financial assistance 
provided indirectly by USDA and means that the choice of the service 
provider is placed in the hands of the beneficiary, and the cost of that 
service is paid through a voucher, certificate, or other similar means 
of government-funded payment. Federal financial assistance provided to 
an organization is considered ``indirect'' within the meaning of the 
Establishment Clause of the First Amendment to the U.S. Constitution 
when
    (i) The government program through which the beneficiary receives 
the voucher, certificate, or other similar means of government-funded 
payment is neutral toward religion;
    (ii) The organization receives the assistance as a result of a 
decision of the beneficiary, not a decision of the government; and
    (iii) The beneficiary has at least one adequate secular option for 
the use of the voucher, certificate, or other similar means of 
government-funded payment.
    (2) The recipients of sub-grants that receive Federal financial 
assistance through State-administered programs (e.g., flow-through 
programs such as the National School Lunch Program authorized under the 
Richard B. Russell National School Lunch Act, 42 U.S.C. 1751 et seq.) 
are not considered recipients of ``USDA indirect assistance,'' as those 
terms are used in Executive Order 13559. These recipients of sub-awards 
are considered recipients of USDA direct assistance.
    (c) Intermediary means an entity, including a non-governmental 
organization, acting under a contract, grant, or other agreement with 
the Federal Government or with a State or local government that accepts 
USDA direct assistance and distributes that assistance to other 
organizations that, in turn, provide government-funded services. If an 
intermediary, acting under a contract, grant, or other agreement with 
the Federal Government or with a State or local government that is 
administering a program supported by

[[Page 523]]

Federal financial assistance, is given the authority under the contract, 
grant, or agreement to select non-governmental organizations to provide 
services funded by the Federal Government, the intermediary must ensure 
compliance with the provisions of Executive Order 13559 and any 
implementing rules or guidance by the recipient of a contract, grant, or 
agreement. If the intermediary is a non-governmental organization, it 
retains all other rights of a non-governmental organization under the 
program's statutory and regulatory provisions.

[81 FR 19413, Apr. 4, 2016]



Sec.  16.3  Rights of religious organizations.

    (a) A religious organization is eligible, on the same basis as any 
other eligible private organization, to access and participate in USDA 
assistance programs. Neither the Federal Government nor a State or local 
government receiving USDA assistance shall, in the selection of service 
providers, discriminate for or against a religious organization on the 
basis of the organization's religious character or affiliation. 
Additionally, decisions about awards of USDA direct assistance or USDA 
indirect assistance must be free from political interference or even the 
appearance of such interference and must be made on the basis of merit, 
not on the basis of the religious affiliation of a recipient 
organization or lack thereof.
    (b) A religious organization that participates in USDA assistance 
programs will retain its independence and may continue to carry out its 
mission, including the definition, practice, and expression of its 
religious beliefs, provided that it does not use USDA direct assistance 
to support any explicitly religious activities, including activities 
that involve overt religious content such as worship, religious 
instruction, or proselytization. Among other things, a religious 
organization may:
    (1) Use space in its facilities to provide services and programs 
without removing religious art, icons, scriptures, or other religious 
symbols,
    (2) Retain religious terms in its organization's name,
    (3) Select its board members and otherwise govern itself on a 
religious basis, and
    (4) Include religious references in its organizations' mission 
statements and other governing documents.
    (c) In addition, a religious organization's exemption from the 
Federal prohibition on employment discrimination on the basis of 
religion, set forth in section 702(a) of the Civil Rights Act of 1964, 
42 U.S.C. 2000e-1, is not forfeited when an organization receives USDA 
assistance.

[69 FR 41382, July 9, 2004. Redesignated and amended at 81 FR 19413, 
Apr. 4, 2016]



Sec.  16.4  Responsibilities of participating organizations.

    (a) Any organization that participates in a program funded by USDA 
financial assistance shall not, in providing services, discriminate 
against a current or prospective program beneficiary on the basis of 
religion, religious belief, a refusal to hold a religious belief, or a 
refusal to attend or participate in a religious practice. However, an 
organization that participates in a program funded by indirect financial 
assistance need not modify its program activities to accommodate a 
beneficiary who chooses to expend the indirect aid on the organization's 
program.
    (b) Organizations that receive USDA direct assistance under any USDA 
program may not engage in explicitly religious activities, including 
activities that involve overt religious content such as worship, 
religious instruction, or proselytization, as part of the programs or 
services supported with USDA direct assistance. If an organization 
conducts such activities, the activities must be offered separately, in 
time or location, from the programs or services supported with USDA 
direct assistance, and participation must be voluntary for beneficiaries 
of the programs or services supported with such USDA direct assistance.
    (c) Nothing in paragraphs (a) or (b) shall be construed to prevent 
religious organizations that receive USDA assistance under the Richard 
B. Russell National School Lunch Act, 42 U.S.C. 1751 et seq., the Child 
Nutrition Act of 1966, 42 U.S.C. 1771 et seq., or USDA

[[Page 524]]

international school feeding programs from considering religion in their 
admissions practices or from imposing religious attendance or curricular 
requirements at their schools.
    (d)(1) USDA direct assistance may be used for the acquisition, 
construction, or rehabilitation of structures only to the extent that 
those structures are used for conducting USDA programs and activities 
and only to the extent authorized by the applicable program statutes and 
regulations. USDA direct assistance may not be used for the acquisition, 
construction, or rehabilitation of structures to the extent that those 
structures are used by the USDA funding recipients for explicitly 
religious activities. Where a structure is used for both eligible and 
explicitly religious activities, USDA direct assistance may not exceed 
the cost of those portions of the acquisition, construction, or 
rehabilitation that are attributable to eligible activities in 
accordance with the cost accounting requirements applicable to USDA 
funds. Sanctuaries, chapels, or other rooms that an organization 
receiving direct assistance from USDA uses as its principal place of 
worship, however, are ineligible for USDA-funded improvements. 
Disposition of real property after the term of the grant or any change 
in use of the property during the term of the grant is subject to 
government-wide regulations governing real property disposition (see 2 
CFR part 400).
    (2) Any use of USDA direct assistance funds for equipment, supplies, 
labor, indirect costs, and the like shall be prorated between the USDA 
program or activity and any use for other purposes by the religious 
organization in accordance with applicable laws, regulations, and 
guidance.
    (3) Nothing in this section shall be construed to prevent the 
residents of housing who are receiving USDA direct assistance funds from 
engaging in religious exercise within such housing.
    (e) USDA direct assistance under any USDA program may not be used 
for explicitly religious activities, speech, and materials generated or 
controlled by the administrators, instructors, or officials of the 
organization receiving USDA direct assistance.
    (f) Beneficiary protections: Written notice. (1) Faith-based 
organizations that receive USDA direct assistance under any domestic 
USDA program must give written notice in a manner prescribed by USDA to 
all beneficiaries and prospective beneficiaries of their right to be 
referred to an alternate provider when available. The written notice 
must be given in a manner prescribed by USDA, and state that:
    (i) The organization may not discriminate against beneficiaries on 
the basis of religion or religious belief, a refusal to hold a religious 
belief, or a refusal to attend or participate in a religious practice;
    (ii) The organization may not require beneficiaries to attend or 
participate in any explicitly religious activities that are offered by 
the organization, and any participation by beneficiaries in such 
activities must be purely voluntary;
    (iii) The organization must separate in time or location any 
privately funded explicitly religious activities from activities 
supported by direct Federal financial assistance;
    (iv) If a beneficiary objects to the religious character of the 
organization, the organization will undertake reasonable efforts to 
identify and refer the beneficiary to an alternate provider to which the 
prospective beneficiary has no objection; the organization may not be 
able to guarantee, however, that in every instance, an alternate 
provider will be available; and
    (v) Beneficiaries may report violations of these protections 
(including denials of services or benefits) by an organization to, USDA 
(or, the intermediary, if applicable).
    (2) This written notice must be given to beneficiaries prior to the 
time they enroll in the program or receive services from such programs. 
When the nature of the service provided or exigent circumstances make it 
impracticable to provide such written notice in advance of the actual 
service, service providers must advise beneficiaries of their 
protections at the earliest available opportunity.
    (g) Beneficiary protections: Referral requirements. If a beneficiary 
or prospective beneficiary of a domestic social services program 
supported by USDA

[[Page 525]]

objects to the religious character of an organization that provides 
services under the program, that organization must promptly undertake 
reasonable efforts to identify and refer the beneficiary to an alternate 
provider, within reasonable geographic proximity to the provider, if 
available, to which the prospective beneficiary has no objection. In 
making the referral, the organization shall comply with all applicable 
privacy laws and regulations.
    (1) A referral may be made to another faith-based organization, if 
the beneficiary has no objection to that provider. But if the 
beneficiary requests a secular provider, and a secular provider is 
available, then a referral must be made to that provider.
    (2) Except for services provided by telephone, Internet, or similar 
means, the referral must be to an alternate provider that is in 
reasonable geographic proximity to the organization making the referral 
and that offers services that are similar in substance and quality to 
those offered by the organization, if one is available. The alternate 
provider also should have the capacity to accept additional clients, if 
one with capacity to accept additional clients is available.
    (3) If the organization determines that it is unable to identify an 
alternate provider, the organization shall promptly notify the awarding 
entity, and the awarding entity shall determine whether there is any 
other suitable alternate provider to which the beneficiary may be 
referred. An intermediary that receives a request for assistance in 
identifying an alternate provider may request assistance from USDA or a 
State or local government receiving USDA direct assistance.
    (4) In some cases, USDA may require that the awarding entity provide 
the organization with information regarding alternate providers. Such 
information regarding alternative providers should include providers 
(including secular organizations) within a reasonable geographic 
proximity that offer services that are similar in substance and quality 
and that would reasonably be expected to have the capacity to accept 
additional clients, provided any such organizations exist. An 
organization which relies on such information provided by the awarding 
entity shall be considered to have undertaken reasonable efforts to 
identify an alternate provider under this subpart.
    (h) The requirements in paragraphs (b) through (g) of this section 
do not apply where USDA funds or benefits are provided to religious 
organizations as a result of a genuine and independent private choice of 
a beneficiary or through other indirect funding mechanisms, provided the 
religious organizations otherwise satisfy the requirements of the 
program.

[69 FR 41382, July 9, 2004. Redesignated and amended at 81 FR 19413, 
Apr. 4, 2016]



Sec.  16.5  Effect on State and local funds.

    If a State or local government voluntarily contributes its own funds 
to supplement activities carried out under programs governed by this 
part, the State or local government has the option to separate out the 
USDA direct assistance funds or comingle them. If the funds are 
comingled, the provisions of this part shall apply to all of the 
comingled funds in the same manner, and to the same extent, as the 
provisions apply to the USDA direct assistance.

[81 FR 19414, Apr. 4, 2016]



Sec.  16.6  Compliance.

    USDA agencies will monitor compliance with this part in the course 
of regular oversight of USDA programs.

[69 FR 41382, July 9, 2004. Redesignated at 81 FR 19414, Apr. 4, 2016]



    Sec. Appendix A to Part 16--Written Notice of Beneficiary Rights

    Name of Organization:
    Name of Program:
    Contact Information for Program Staff (name, phone number, and email 
address, if appropriate): Because this program is supported in whole or 
in part by financial assistance from the Federal Government, we are 
required to let you know that--
     We may not discriminate against you on the basis 
of religion or religious belief, a refusal to hold a religious belief, 
or a refusal to attend or participate in a religious practice;
     We may not require you to attend or participate 
in any explicitly religious activities that are offered by us, and any 
participation by you in these activities must be purely voluntary;

[[Page 526]]

     We must separate in time or location any 
privately funded explicitly religious activities from activities 
supported with USDA direct assistance;
     If you object to the religious character of our 
organization, we must make reasonable efforts to identify and refer you 
to an alternate provider to which you have no objection. We cannot 
guarantee, however, that in every instance, an alternate provider will 
be available; and
     You may report violations of these protections 
(including denials of services or benefits) to _____.

We must provide you with this written notice before you enroll in our 
program or receive services from the program, as required by 7 CFR part 
16.

                      BENEFICIARY REFERRAL REQUEST

    If you object to receiving services from us based on the religious 
character of our organization, please complete this form and return it 
to the program contact identified above. Your use of this form is 
voluntary.
    If you object to the religious character of our organization, we 
must make reasonable efforts to identify and refer you to an alternate 
provider to which you have no objection. We cannot guarantee, however, 
that in every instance, an alternate provider will be available. With 
your consent, we will follow up with you or the organization to which 
you are referred to determine whether you have contacted that 
organization.
( ) Please check if you want to be referred to another service provider.
    Please provide the following information if you want us to follow up 
with you:
    Your Name:
    Best way to reach me (phone/address/email):
    Please provide the following information if you want us to follow up 
with the service provider only.
    Your Name:
    You are permitted to withhold your name, though if you choose to do 
so, we will be unable to follow up with you or the service provider 
about your referral.
( ) Please check if you do not want follow up.

                           FOR STAFF USE ONLY

    1. Date of Objection: __/__/__
    2. Referral (check one):
( ) Individual was referred to (name of alternate provider and contact 
          information):
( ) Individual left without a referral
( ) No alternate service provider is available--summarize below what 
          efforts you made to identify an alternate provider (including 
          reaching out to USDA or the intermediary, if applicable):
    3. Follow-up date: __/__/__
( ) Individual contacted alternate provider
( ) Individual did not contact alternate provider
    4. Staff name and initials:
--End of Form--

[81 FR 19415, Apr. 4, 2016]



PART 17_SALES OF AGRICULTURAL COMMODITIES MADE AVAILABLE UNDER TITLE I OF 
THE AGRICULTURAL TRADE DEVELOPMENT AND ASSISTANCE ACT OF 1954, 
AS AMENDED--Table of Contents



Sec.
17.1 General.
17.2 Definition of terms.
17.3 Purchase authorizations.
17.4 Agents of the participant or importer.
17.5 Contracts between commodity suppliers and importers.
17.6 Discounts, fees, commissions and payments.
17.7 Notice of sale procedures.
17.8 Ocean transportation.
17.9 CCC payment to suppliers.
17.10 Refunds and insurance.
17.11 Recordkeeping and access to records.

    Authority: 7 U.S.C. 1701-1704, 1731-1736b, 1736f, 5676; E.O. 12220, 
45 FR 44245.

    Source: 62 FR 52932, Oct. 10, 1997, unless otherwise noted.



Sec.  17.1  General.

    (a) What this part covers. This part contains the regulations 
governing the financing of the sale and exportation of agricultural 
commodities by the Commodity Credit Corporation (CCC), through private 
trade channels to the maximum extent practicable, under the authority of 
title I of the Agricultural Trade Development and Assistance Act of 
1954, as amended (hereinafter called ``the Act'').
    (b) Agricultural commodities agreements. (1) Under the Act, the 
Government of the United States enters into Agricultural Commodities 
Agreements with governments of foreign countries or with private 
entities. These agreements cover financing of the sale and exportation 
of agricultural commodities, including certain ocean transportation 
costs.
    (2) Agricultural Commodities Agreements may provide that a 
participant will repay CCC for the financing extended by CCC either in 
dollars or in local currencies.

[[Page 527]]

    (3) A private entity must maintain a bona fide business office in 
the United States and have a person, principal, or agent on whom service 
of judicial process may be had in the United States unless the General 
Sales Manager determines that there are adequate assurances of repayment 
to CCC for the financing extended by CCC.
    (c) Purchase authorizations. This part covers, among other things, 
the issuance by the General Sales Manager of purchase authorizations 
which authorize the participant to:
    (1) Purchase agricultural commodities; and
    (2) Procure ocean transportation therefor.
    (d) Financing. For amounts to be financed by CCC, CCC will pay the 
supplier of commodity or of ocean transportation in accordance with 
Sec.  17.9(a)(3). The cost of ocean freight or ocean freight 
differential will be financed by CCC only when specifically provided for 
in the purchase authorization.
    (e) Where information is available. General information about 
operations under this part is available from the Director, Pub. L. 480 
Operations Division, Foreign Agricultural Service, USDA, Washington, DC 
20250-1033. Information about financing operations under this part, 
including forms prescribed for use thereunder, is available from the 
Controller, Commodity Credit Corporation, USDA, 1400 Independence 
Avenue, SW, Washington, DC 20250-0581.

[62 FR 52932, Oct. 10, 1997, as amended at 63 FR 59692, Nov. 5, 1998]



Sec.  17.2  Definition of terms.

    Terms used in the regulations in this part are defined or identified 
as follows, subject to amplification in subsequent sections:
    Affiliate and associated company. Any legal entity which owns or 
controls, or is owned or controlled by, another legal entity. For a 
corporation, ownership of the voting stock is the controlling criterion. 
A legal entity is considered to own or control a second legal entity 
if--
    (1) The legal entity owns an interest of 50 percent or more in the 
second legal entity; or
    (2) The legal entity and one or more other legal entities, in which 
it owns an interest of 50 percent or more, together own an interest of 
50 percent or more in the second legal entity; or
    (3) The legal entity owns an interest of 50 percent or more in 
another legal entity which in turn owns an interest of 50 percent or 
more in the second legal entity.
    CCC. The Commodity Credit Corporation, USDA.
    Commodity. An agricultural commodity produced in the United States, 
or product thereof produced in the United States, as specified in the 
applicable purchase authorization.
    Controller. The Controller, Commodity Credit Corporation, or the 
Controller's designee.
    Copy. A photocopy or other type of copy of an original document 
showing all data shown on the original, including signature or the name 
of the person signing the original or, if the signature or name is not 
shown on the copy, a statement that the original was signed.
    Delivery. The transfer to or for the account of an importer of 
custody and right of possession of the commodity at U.S. ports or 
Canadian transshipment points in accordance with the delivery terms of 
the contract and purchase authorization. For purposes of financing, 
delivery is deemed to occur as of the on-board date shown on the ocean 
bill of lading.
    Destination country The foreign country to which the commodity is 
exported.
    Director. The Director, Pub. L. 480 Operations Division, Foreign 
Agricultural Service.
    Expediting services. Services provided to the vessel owner at the 
discharge port in order to facilitate the discharge and sailing of the 
vessel; this may include assisting with paperwork, obtaining permits and 
inspections, supervision and consultation.
    FAS. The Foreign Agricultural Service, USDA.
    FSA. The Farm Service Agency, USDA.
    FSA Office. The office designated in the purchase authorization to 
administer this financing operation on behalf of CCC.

[[Page 528]]

    Finance. To expend CCC funds, whether or not the participant is 
required to repay the funds to CCC. For example, this part refers to CCC 
``financing'' both the ocean freight differential, which the participant 
does not repay, and the commodity cost, which the participant does 
repay.
    Form CCC-106. The form entitled ``Advice of Vessel Approval.''
    Form CCC-329. The signed original of the form entitled ``Supplier's 
Certificate.''
    General Sales Manager and GSM. The General Sales Manager, FAS, or 
the General Sales Manager's designee.
    Importer. The person that contracts with the supplier for the 
importation of the commodity. The importer may be the participant or any 
person to which a participant has issued a subauthorization.
    Importing country. Any nation with which an agreement has been 
signed under the Act.
    Invitation for bids and IFB. A publicly advertised request for 
offers.
    Legal entity includes, but is not limited to, an individual (except 
that an individual and his or her spouse and their minor children are 
considered as one legal entity), partnership, association, company, 
corporation and trust.
    Letter of credit. An irrevocable commercial letter of credit issued, 
confirmed, or advised by a banking institution in the United States and 
payable in U.S. dollars.
    Local currency. The currency of the importing or destination 
country.
    Notice of arrival. A written notice in accordance with Sec.  17.8(g) 
stating that the vessel has arrived at the first port of discharge.
    Ocean bill of lading--(1) In the case of cargo carried on a vessel 
other than LASH barges: An ``on-board'' bill of lading, or a bill of 
lading with an ``on-board'' endorsement, which is dated and signed or 
initialed on behalf of the carrier; or
    (2) In the case of cargo carried in a LASH barge: (i) For the 
purpose of financing commodity price, an ``on-board'' bill of lading 
showing the date the commodity was loaded on board barges, which is 
dated and signed or initialed on behalf of the carrier, or a bill of 
lading or a LASH barge bill of lading with an ``on-board barge'' 
endorsement which is dated and signed or initialed on behalf of the 
carrier.
    (ii) For the purpose of financing ocean freight or ocean freight 
differential, a bill of lading which is dated and signed or initialed on 
behalf of the carrier indicating that the barge containing the cargo was 
placed aboard the vessel named in the Form CCC-106 not later than eight 
running days after the last LASH barge loading date (contract layday) 
specified in the Form CCC-106. This may be either an ``on board'' bill 
of lading or a bill of lading or a LASH barge bill of lading with an 
``on-board ocean vessel'' endorsement.
    (3) Documentary requirements for a copy of an ``ocean bill of 
lading'' refer to a non-negotiable copy thereof.
    Ocean freight contract. A charter party or liner booking note.
    Ocean transportation. Interchangeable with the term ``ocean 
freight''.
    Ocean transportation brokerage. Services provided by shipping agents 
related to their engagement to arrange ocean transportation and services 
provided by ships brokers related to their engagement to arrange 
employment of vessels.
    Ocean transportation-related services. Furnishing the following 
services: lightening, stevedoring, and bagging (whether these services 
are performed at load or discharge), and inland transportation, i.e., 
transportation from the discharge port to the designated inland point of 
entry in the destination country, if the discharge port is not located 
in the destination country.
    Participant. The collective term used to denote the importing 
country or the private entity with which an agreement has been 
negotiated under the Act.
    Person. An individual or other legal entity.
    Private entity. The nongovernmental legal entity with which an 
agreement has been signed under the Act.
    Purchase authorization. Form FAS-480, ``Authorization to Purchase 
Agricultural Commodities,'' issued to a participant under this part.
    Purchasing agent. Any person engaged by a participant to procure 
agricultural commodities.

[[Page 529]]

    Secretary. The Secretary of Agriculture of the United States, or the 
Secretary's designee.
    Selling agent. A representative for the supplier of the commodity, 
who is not employed by or otherwise connected with the importer or the 
participant.
    Shipping agent. Any person engaged by a participant to arrange ocean 
transportation.
    Ships broker. Any person engaged by a supplier of ocean 
transportation to arrange employment of vessels.
    Supplier. Any person who sells a commodity to an importer under the 
terms of a purchase authorization, or who sells ocean transportation to 
an importer or supplier of the commodity under the terms of a purchase 
authorization.
    USDA. The U.S. Department of Agriculture.
    United States. The 50 States, the District of Columbia, and Puerto 
Rico.



Sec.  17.3  Purchase authorizations.

    (a) Issuance. After an agreement is signed, the GSM will issue a 
purchase authorization to the participant for each commodity included in 
the agreement.
    (b) Contents. Each purchase authorization includes the following 
information:
    (1) The commodity to be purchased and specifications, approximate 
quantity and maximum dollar amount authorized;
    (2) Contracting requirements;
    (3) The contracting period, during which suppliers and importers 
must enter into contracts; and the delivery period, during which the 
commodity must be delivered;
    (4) The terms of delivery to the importer;
    (5) Documentation required for CCC financing in addition to or in 
lieu of the documentation specified in Sec.  17.9;
    (6) Provisions relating to payment to CCC, if applicable;
    (7) The address of the FSA office administering the financing 
operation on behalf of CCC;
    (8) The method of financing provided under the Agricultural 
Commodities Agreement;
    (9) Any provisions relating to financing by CCC in addition to or in 
lieu of those specified in this part;
    (10) Authorization to procure ocean transportation, and provisions 
relating to the financing of ocean freight or ocean freight 
differential, as applicable;
    (11) Any other provisions considered necessary by the General Sales 
Manager.
    (c) Applicability of this part. In addition to the provisions of a 
particular purchase authorization, each purchase authorization, unless 
otherwise provided, is subject to the provisions of this part to the 
same extent as if the provisions were fully set forth in the purchase 
authorization.
    (d) Modification or revocation. The General Sales Manager reserves 
the right at any time for any reason or cause whatsoever to supplement, 
modify or revoke any purchase authorization, including the termination 
of deliveries, if it is determined to be in the interest of the U.S. 
Government. CCC shall reimburse suppliers who would otherwise be 
entitled to be financed by CCC for costs which were incurred as a result 
of such action by the GSM in connection with firm sales or shipping 
contracts, and which were not otherwise recovered by the supplier after 
a reasonable effort to minimize such costs: Provided, however, That such 
reimbursement shall not be made to a supplier if the GSM determines that 
the GSM's action was taken because the supplier failed to comply with 
the requirements of the regulations in this part or the applicable 
purchase authorization; Provided further, That reimbursement to 
suppliers of ocean transportation shall not exceed the ocean freight 
differential when the purchase authorization provides only for financing 
the differential.
    (e) Subauthorizations. The participant may issue subauthorizations 
to importers consistent with the terms of the applicable purchase 
authorization. The participant, in subauthorizing, shall specify to 
importers all the provisions of the applicable purchase authorization 
which apply to the subauthorization.
    (f) Cotton textiles. (1) Except as provided in paragraph (f)(2) of 
this section,

[[Page 530]]

financing of textiles under this part is limited to cotton yarns and 
fabrics processed up to and including the dyed and printed state, and 
preshrinking. Any processing of such yarns and fabrics beyond this stage 
will be at the expense of the participant.
    (2) Purchase authorizations may permit cotton textiles processed 
beyond the stage described in paragraph (f)(1) of this section to be 
purchased, but the maximum financing by CCC is limited to the equivalent 
value of the cotton yarns and fabrics described in paragraph (f)(1) of 
this section, contained in the textiles, plus eligible ocean 
transportation costs.
    (3) Financing is available only for textiles manufactured entirely 
of U.S. cotton in the United States.



Sec.  17.4  Agents of the participant or importer.

    (a) General. (1) A participant or importer is not required to use a 
purchasing agent or shipping agent, or employ the services of any other 
agent, broker, consultant, or other representative (hereafter ``agent'') 
in connection with arranging the purchase of agricultural commodities 
under title I of the Act and arranging ocean transportation for such 
commodities. However, if an agent is used, the participant shall submit 
a written nomination of the agent to the Deputy Administrator, Export 
Credits, FAS, along with a copy of the proposed agreement between the 
participant or importer and such agent. The written nomination shall 
also specify the period of time to be covered by the nomination. A 
person may not act as agent for a participant or importer unless the 
Deputy Administrator, Export Credits, FAS, has provided a written 
statement that the nomination is accepted in accordance with the 
provisions of this section.
    (2) See Sec.  17.6(c) regarding commissions, fees, or other 
compensation of any kind to agents of a participant or importer.
    (3) A freight agent employed by the Agency for International 
Development under titles II and III is not eligible to act as an agent 
for the participant or importer during the period of such employment. A 
subcontractor of such freight agent is not eligible to act as an agent 
for the participant or importer during the period of its subcontract.
    (b) Affiliate defined. For purposes of this section, the term 
affiliate has the meaning provided in Sec.  17.2 and, in addition, 
persons will also be considered to be affiliates if any of the following 
conditions are met:
    (1) There are any common officers or directors.
    (2) There is any investment by eligible commodity suppliers, selling 
agents, or persons engaged in furnishing ocean transportation or ocean 
transportation-related services for commodities provided under any title 
of the Act, section 416(b) of the Agricultural Act of 1949, or the Food 
for Progress Act of 1985, whether or not any part of the ocean 
transportation is financed by the U.S. Government, or by agents of such 
persons, or their officers or directors, in the agent of the participant 
or importer.
    (3) There is any investment by the agent of the participant or 
importer, or its officers or directors, in approved commodity suppliers; 
selling agents; or persons engaged in furnishing ocean transportation or 
ocean transportation-related services for commodities provided under any 
title of the Act, section 416(b) of the Agricultural Act of 1949, or the 
Food for Progress Act of 1985, whether or not any part of the ocean 
transportation is financed by the U.S. Government, or in agents of such 
persons. These conditions include those cases in which investment has 
been concealed by the utilization of any scheme or device to circumvent 
the purposes of this section but does not include investment in any 
mutual fund.
    (c) Information to be furnished. A person nominated to act as an 
agent of the participant or importer, and any independent contractor 
that may be hired by such person to perform functions of a shipping 
agent, shall furnish to the Deputy Administrator, Export Credits, FAS, 
the following information or documentation as may be applicable:
    (1) The names of all incorporators;
    (2) The names and titles of all officers and directors;
    (3) The names of all affiliates, including the names and titles of 
all officers

[[Page 531]]

and directors of each affiliate, and a description of the type of 
business in which the affiliate is engaged;
    (4) The names and proportionate share interest of all stockholders;
    (5) If beneficial interest in stock is held by other than the named 
shareholders, the names of the holders of the beneficial interest and 
the proportionate share of each;
    (6) The amount of the subscribed capital;
    (7) For USDA acceptance of a nomination covering services provided 
during each U.S. fiscal year (October 1-September 30), a written 
statement signed by such person:
    (i) Certifying that, during the U.S. fiscal year covered by USDA's 
acceptance of the nomination, the person has not engaged in, and will 
not engage in, supplying commodities under any title of the Act or the 
Food for Progress Act of 1985 or furnishing ocean transportation or 
ocean transportation-related services for commodities provided under any 
title of the Act, section 416(b) of the Agricultural Act of 1949, or the 
Food for Progress Act of 1985, whether any part of the ocean 
transportation is financed by the U.S. Government; and that the person 
has not served and will not serve as an agent of firms engaged in 
providing such commodities, ocean transportation and ocean 
transportation-related services;
    (ii) Certifying that, for ocean transportation brokerage services 
provided during the U.S. fiscal year covered by USDA's acceptance of the 
nomination, the person has not shared and will not share freight 
commissions with the participant, the importer, or any agent of the 
participant or the importer, whether CCC finances any part of the ocean 
freight. CCC will consider as sharing a commission a situation where the 
agent forgoes part or all of a commission and the supplier of ocean 
transportation pays a commission directly to the participant, the 
importer, or any other person on behalf of the participant or the 
importer; and
    (iii) Undertaking that, during the U.S. fiscal year covered by 
USDA's acceptance of the nomination, affiliates of such person have not 
engaged in and will not engage in the activities or actions prohibited 
in this paragraph (c)(7).
    (8) A certification that neither the person nor any affiliates has 
arranged to give or receive any payment, kickback, or illegal benefit in 
connection with the person's selection as agent of the participant or 
importer.
    (d) USDA acceptance. (1) USDA will consider accepting the nomination 
of a person to act as an agent of the participant or importer when the 
documents required to be submitted by this section are received by the 
Deputy Administrator, Export Credits, FAS.
    (2) USDA's acceptance of such nomination shall remain in effect for 
the period of time requested by the participant or such shorter period 
as the Deputy Administrator, Export Credits, FAS, may determine. USDA 
will withdraw such acceptance if the agent of the participant or 
importer, or any of the affiliates of such agent, violates the 
certifications or undertakings made pursuant to paragraphs (c) (7) and 
(8) of this section.
    (3) A person is required to submit the information and documentation 
required by Sec.  17.4(c) to support the person's first nomination to 
act as an agent of any participant or importer for each fiscal year. For 
subsequent nominations covering the same fiscal year, the person must 
provide a written certification that the information and documentation 
provided earlier are still accurate and complete, or must provide the 
details of any changes to previously submitted information.
    (e) Notification. The Deputy Administrator, Export Credits, FAS, 
shall promptly notify persons nominated as agents of the participant or 
importer, of the determination or of the need for further inquiry, and 
shall provide a written response within 30 calendar days of receipt of 
all the required documents. If USDA will not accept the nomination, the 
notification shall state the reasons therefor. The determination of the 
Deputy Administrator, Export Credits, FAS, is effective immediately and 
continues in effect pending the result of any appeal to the General 
Sales Manager.
    (f) Non-acceptance or withdrawal. (1) If USDA does not accept the 
nomination of a person, or if acceptance has been

[[Page 532]]

withdrawn pursuant to the provisions of this section, the person may, 
within 30 calendar days, present to the General Sales Manager, orally or 
in writing, any reasons as to why such action should not stand. Nothing 
in this paragraph shall be construed as to prohibit a person whose 
nomination has not been accepted or whose acceptance has been withdrawn 
by USDA from being nominated at a later time.
    (2) If, in the procurement of commodities made available under title 
I, Pub. L. 480, a participant or importer uses an agent whose nomination 
has not been accepted in writing by the Deputy Administrator, Export 
Credits, FAS, USDA may withhold sales approval.
    (3) If, in the shipping of commodities made available under title I, 
Pub. L. 480, a participant or importer uses an agent whose nomination 
has not been accepted in writing by the Deputy Administrator, Export 
Credits, FAS, USDA may withhold vessel approval or may deduct from the 
ocean freight differential to be paid, the amount of any commission to 
the agent in connection with the shipment.
    (g) No competitive advantage. A shipping agent may not take any 
action which would give a competitive advantage to any supplier of 
commodities or ocean transportation. This includes, but is not limited 
to, providing advance notice of IFB's or amendments, or selectively 
enforcing IFB or contract requirements.

[62 FR 52932, Oct. 10, 1997; 62 FR 63606, Dec. 1, 1997]



Sec.  17.5  Contracts between commodity suppliers and importers.

    (a) Commodity suppliers and selling agents. (1) Commodity suppliers 
must be determined to be eligible under the Pub. L. 480, title I program 
in order for their contracts to be eligible for CCC financing. A 
prospective commodity supplier must be engaged in the business of 
selling agricultural commodities for export from the United States. The 
commodity supplier must maintain a bona fide business office in the 
United States, and must have a person, principal or agent on whom 
service of judicial process may be had in the United States.
    (2) Persons who wish to participate as commodity suppliers shall 
submit the following information to the Foreign Agricultural Service, 
Stop 1033, USDA, 1400 Independence Ave., SW, Washington, DC 20250-1033:
    (i) A current financial statement of the prospective supplier, 
preferably an audited statement, as evidence of financial 
responsibility. Submission of a letter of reference from a bank is also 
encouraged.
    (ii) A statement containing general background information about the 
firm, including the names and titles of the chief executive officers and 
a description of the firm's experience as an exporter of U.S. 
agricultural commodities. Copies of bills of lading supporting this 
statement are also requested.
    (iii) Any other information requested relating to whether the 
prospective supplier is responsible and is able to perform its 
obligations under this part and the purchase authorization.
    (3) If, at the time the commodity supplier reports the sale it is 
determined that an agent employed or engaged by a commodity supplier to 
obtain a contract is not a selling agent as defined in Sec.  17.2, the 
sale will not be eligible for financing.
    (b) Eligibility for financing. To be eligible for financing, 
commodity contracts must comply with the following requirements unless 
otherwise specified in the purchase authorization.
    (1) Commodity contracts between suppliers and importers are 
considered to be conditioned on the approval by USDA of the contract 
price; conformance of the sale to the provisions of the purchase 
authorization; responsiveness of the offer to IFB terms; and compliance 
by the supplier and the selling agent, if any, with paragraph (a) of 
this section.
    (2) Importers and suppliers must enter into contracts within the 
contracting period specified in the purchase authorization. The 
contracts must provide for deliveries to the importer in accordance with 
the delivery terms and during the delivery period specified in the 
purchase authorization, or any amendment or modification thereto.

[[Page 533]]

    (3) Contracts for a commodity, under a purchase authorization which 
limits delivery terms to f.o.b. or f.a.s., must be separate and apart 
from the contracts for ocean transportation of the commodity.
    (4) The supplier's sales price may not exceed the prevailing range 
of export market prices as applied to the terms of sale at the time of 
sale, as determined by USDA. The ``time of sale'' is the date and time 
specified in the IFB for receipt of offers; or the date of the contract 
amendment if the amendment affects the sale price, as determined by 
USDA. The contract price may not be on a cost plus a percentage-of-cost 
basis.
    (c) Contracting procedures--(1) Purchasing--general. (i) Importers 
must purchase commodities on the basis of IFB's.
    (ii) The participant shall maintain a record of all offers received 
from suppliers until the expiration of three years after final payment 
under contracts awarded under the purchase authorization. The GSM may 
examine these records or request specific information in connection with 
the offers.
    (2) Invitations for bids. The following conditions shall apply on 
all purchases of commodities on the basis of IFB's:
    (i) The General Sales Manager must approve the terms of the IFB 
before it is issued by the importer.
    (ii) The importer shall issue the IFB in the United States and shall 
open all offers in public in the United States at the time and place 
specified in the IFB.
    (iii) The IFB must permit submission of offers from all suppliers 
who meet the requirements of this subpart.
    (iv) The IFB may not preclude offers for shipment from any United 
States port(s) unless the purchase authorization provides for 
exportation only from certain ports.
    (v) The IFB may not establish minimum quantities to be offered or 
which will be considered.
    (vi) The IFB must stipulate the responsibility for each party for 
payment of any costs not eligible for financing by CCC.
    (vii) The IFB must be in compliance with this part, the purchase 
authorization, and sound commercial standards.
    (3) Contract awards. (i) The importer shall consider only offers 
which are responsive to the IFB and shall make awards either on the 
basis of the lowest commodity price(s) offered or on the basis of lowest 
landed cost. However, when vessels offered under the flag of the 
participant, the importing country or the destination country; or 
vessels controlled by the participant, the importing country or the 
destination country are to be used, the participant must purchase 
commodities for shipment on such vessels only on the basis of the lowest 
commodity price(s) offered. This limitation may, however, be waived by 
the GSM:
    (A) When the lowest commodity price(s) offered are in locations 
where vessels cannot reasonably be made available without a substantial 
increase in freight costs to the participant;
    (B) For small quantities offered at additional loading points (in 
aggregate not more than 15 percent of the total tonnage offered by a 
vessel); or
    (C) Where this limitation would conflict with the purposes of the 
program.
    (ii) For purposes of this section, ``lowest commodity price(s)'' 
means the lowest commodity price(s) offered for loading onto the type of 
vessel (dry bulk carrier, tanker, etc.) to be utilized to carry the 
commodity purchased.
    (iii) For purposes of this section, ``lowest landed cost'' means the 
combination of commodity price and ocean freight rate resulting in the 
lowest total cost to deliver the commodity to the importing country, 
considering the quantity which must be shipped on privately owned U.S.-
flag commercial vessels, as determined by the Director. Lowest landed 
cost may be defined on either a foreign flag or U.S. flag basis. Awards 
may not be made on the lowest landed cost basis unless IFB's are issued 
for commodity and ocean freight so that all commodity and ocean freight 
offers are reviewed simultaneously.
    (iv) Participants are encouraged to purchase commodities on the 
basis of lowest landed cost when U.S. flag vessels are to be used. If 
such commodity purchases are not made on the basis of lowest landed cost 
(U.S. flag), ocean freight differential payments will

[[Page 534]]

nonetheless be calculated on the rates of U.S. flag vessels which would 
represent the lowest landed cost.
    (v) Announcement of awards shall be made in the United States. The 
importer shall promptly submit to the Director copies of all offers 
received with a copy of the IFB which was issued. No sale can be 
approved for financing until this information has been received by FAS. 
The decision of the GSM shall be final regarding the responsiveness of 
offers to IFB terms in the awarding of contracts.
    (d) Contract quantity eligible for financing. The quantity eligible 
for financing in the contract between the supplier and the importer may 
not exceed that quantity approved by the Pub. L. 480 Operations 
Division, FAS, including any approved contract tolerance.
    (e) Contract disputes. Contracts between suppliers and importers 
should stipulate the responsibility of each party for payment of any 
costs not eligible for financing by CCC. Questions as to payment of 
ineligible costs should be resolved between the contracting parties.
    (f) Contract provisions. Each contract entered into for financing 
under this part is deemed to include all terms and conditions required 
by the regulations in this part.
    (g) Export Trade Act (Webb-Pomerene Law). A supplier who is a member 
of a Webb-Pomerene association and who enters into contracts with 
importers as a member of such an association shall so indicate in a 
statement on, or attached to, the copy of the supplier's detailed 
invoice referred to in Sec.  17.9(c)(2).



Sec.  17.6  Discounts, fees, commissions and payments.

    For purposes of this section, the term ``payment'' means a 
commission, fee or other compensation of any kind. The term ``other 
compensation of any kind'' includes anything given in return for any 
consideration, services, or benefits received or to be received.
    (a) Discounts. If a contract provides for one or more discounts 
(including but not limited to trade or quantity discounts and discounts 
for prompt payment) whether expressed as such or as ``commissions'' to 
the importer, CCC will only pay the invoice amount after the discount 
(supplier's contracted price less all discounts).
    (b) Selling agents. (1) A supplier may not make a payment to a 
selling agent employed or engaged by the supplier to obtain a contract. 
This prohibition applies to any payment to a person who has acted as a 
selling agent to obtain a contract even though the payment may be for 
services performed that are not themselves services to obtain a 
contract.
    (2) A person is deemed to act ``to obtain a contract'' if the person 
acts on behalf of a commodity supplier to:
    (i) Influence a buyer to award a contract to the supplier;
    (ii) Give the supplier a competitive advantage in relation to other 
potential suppliers; or
    (iii) Influence CCC to approve a contract for financing under this 
part.
    (3) CCC will not consider acts which are purely ministerial in 
nature and do not require the exercise of personal influence, judgment, 
or discretion (such as attending bid openings or presenting offers at 
bid openings), or services to implement a contract after it has been 
entered into by the parties (such as handling documentation problems or 
contract disputes), as acts to obtain a contract.
    (c) Other prohibitions. (1) Suppliers of commodities or ocean 
transportation may not:
    (i) Pay a commission to the participant or importer; to any agency, 
including an agency of the government of the importing country or the 
destination country; or to a corporation owned or controlled by the 
participant or the government of the importing country or the 
destination country.
    (ii) Pay a commission to any affiliate of the participant, if the 
participant is a private entity;
    (iii) Make any payment to an agent of the participant or importer, 
in the person's capacity as such agent, other than ocean transportation 
brokerage commissions.
    (iv) Pay an address commission or payment.
    (2) For ocean transportation, in addition to this paragraph, see 
also Sec.  17.8(j).
    (3) When any portion of the ocean freight is financed by CCC, total 
ocean

[[Page 535]]

transportation brokerage commissions earned on U.S. and non-U.S.-flag 
bookings by all parties arranging vessel fixtures shall not exceed 2\1/
2\ percent of the total freight costs.
    (4) If a payment is made in violation of this section, CCC may 
demand dollar refund of the entire amount financed by CCC under the 
contract.



Sec.  17.7  Notice of sale procedures.

    (a) Telephonic notice of sale. The supplier shall, immediately upon 
making a firm sale, telephone a notice of sale to Pub L. 480 Operations 
Division, FAS. A sale is considered firm when the supplier has been 
notified by the importer of an award, even though the contract is 
conditioned on approval by FAS (see Sec.  17.5(b)(1).) If the supplier 
fails to furnish a notice of sale within 3 working days after the date 
of sale, CCC has the right to refuse to finance the sale.
    (b) Sale approval. (1) Pub. L. 480 Operations Division will notify 
the supplier by telephone of approval of the notice of sale.
    (2) The supplier will prepare Form FAS-359, ``Declaration of Sale,'' 
and submit it to Pub. L. 480 Operations Division promptly as soon as FAS 
has provided the CCC Registration Number to the supplier. The supplier 
or the supplier's authorized representative must sign the form.
    (3) Each Form FAS-359 shall cover only a single sale contract. If a 
sale is made under two or more purchase authorizations, the supplier 
will prepare separate forms for each purchase authorization.
    (4) If any correction is needed to the Form FAS-359, the supplier 
must immediately notify FAS. If a contract is amended, the supplier 
should present the original Form FAS-359 for payment along with a copy 
of the written USDA approval of the contract amendment.
    (c) Sale disapproval. (1) Pub. L. 480 Operations Division, FAS, will 
notify the supplier by telephone when a sale is disapproved for 
financing. The related contract between the supplier and importer shall, 
for purposes of financing, be considered null and void.
    (2) On receipt of a notice of disapproval, the supplier shall 
promptly notify the importer.
    (d) Contract delivery period. Price approval is limited to exports 
made during the delivery period stated in the notice of sale or any 
contract amendment approved by the Pub. L. 480 Operations Division, FAS. 
If the supplier cannot complete delivery by the terminal delivery date 
of the contract delivery period, the supplier and the participant or 
importer shall submit a notice of contract amendment as provided in 
paragraph (e) of this section. If the supplier fails to comply, Sec.  
17.10(d) shall apply.
    (e) Contract amendments. (1) The supplier and the participant or 
importer shall each submit a written notice of each contract amendment 
to the Director immediately after the amendment to the contract is made. 
This includes not only any change in the contract delivery period or any 
other terms and conditions of the contract as provided in the 
information given in the original notice of sale or any amendment 
thereto, but also any change in any other terms and conditions of the 
contract.
    (2) The notice of contract amendment must contain the following:
    (i) A request that USDA approve an amendment to the specifically 
identified sale contract between (the participant or importer) and (the 
commodity supplier).
    (ii) A statement of what the amendment consists of (as, extension of 
delivery period through (date)) and a detailed explanation of the 
reasons for the amendment.
    (iii) A statement that the contract amendment has been agreed to by 
both buyer and seller.
    (3) Pub. Law 480 Operations Division, FAS, will notify the supplier 
as to whether the amendment is approved or disapproved.
    (4) The supplier shall furnish a copy of the USDA approval of the 
amendment with other documentation submitted to obtain payment.
    (5) If the supplier fails to furnish notice of a contract amendment 
to Pub. L. 480 Operations Division, FAS, within 3 working days after the 
date of such amendment, CCC has the right to refuse to finance the sale 
or any portion of the sale.

[[Page 536]]

    (6) Any amendment must be consistent with the provisions of the 
purchase authorization and this part and must otherwise be acceptable to 
Pub. L. 480 Operations Division, FAS.



Sec.  17.8  Ocean transportation.

    (a) General. (1) This section applies to the financing of ocean 
freight or ocean freight differential. Ocean freight will be financed by 
CCC only to the extent specifically provided for in the purchase 
authorization. The purchase authorization may provide requirements in 
addition to or in lieu of those specified in this section.
    (2) The supplier of ocean transportation must be engaged in the 
business of furnishing ocean transportation from the United States and 
must have a person, principal or agent, on whom service of judicial 
process may be had in the United States.
    (3) The quantity of the commodity which must be shipped on privately 
owned U.S.-flag commercial vessels will be determined by the Director.
    (4) The supplier of ocean transportation shall release copies of the 
ocean bills of lading to the supplier of the commodity promptly upon 
completion of loading of the vessel.
    (5) When CCC finances any part of the ocean freight or the ocean 
freight differential, the participant must open an operable irrevocable 
letter of credit for the portion of the ocean freight not financed by 
CCC. All banking institution charges, such as commissions, expenses, 
etc., are for the account of the participant. The amount of the letter 
of credit shall be computed using the information provided in the Form 
CCC-106. The letter of credit shall provide for sight payment or 
acceptance of a draft, payable in U.S. dollars, on the basis of the 
quantities specified in the applicable ocean freight contract. If the 
supplier of ocean transportation accepts the commodity before receipt of 
an acceptable letter of credit from a bank, the supplier takes such 
action at its own risk. This action in itself does not affect 
eligibility for CCC financing.
    (b) Contracting procedures--(1) Invitations for Bids (IFB's). (i) 
Public freight ``Invitations for Bids'' are required in the solicitation 
of freight offers from all U.S. and non-U.S. flag vessels when CCC is 
financing any portion of the ocean freight.
    (ii) For non-U.S. flag vessels when CCC is not financing any portion 
of the ocean freight, public freight IFB's are also required unless 
otherwise authorized by the Director, or unless the participant requires 
the use of vessels under its flag, the flag of the destination country, 
or other non-U.S. flag vessels under its control. Vessels considered to 
be under the control of the participant or the destination country 
include vessels under time charters, bare boat charters, consecutive 
voyage charters, or other contractual arrangements for the carriage of 
commodities which provide guaranteed access to vessels.
    (iii) Prior to release to the trade, all freight IFB's must be 
submitted to the Director for approval. Freight IFB's must be issued by 
means of Bridge News, New York, plus at least one other means of 
communication.
    (iv) All freight IFB's must:
    (A) Specify a closing time for the receipt of offers and state that 
late offers will not be considered;
    (B) Provide that offers are required to have a canceling date no 
later than the last contract layday specified in the IFB;
    (C) Provide the same deadline for receipt of offers from both U.S. 
flag vessels and non-U.S. flag vessels;
    (D) Stipulate the responsibility for each party for payment of any 
costs not eligible for financing by CCC (in the IFB or the pro forma 
charter party).
    (2) Competitive bidding. When CCC is financing any portion of the 
freight, all offers shall be opened in public in the United States at 
the time and place specified in the IFB. Offers shall be opened prior to 
receipt of offers for the sale of commodities as the Director determines 
appropriate. Only offers which are responsive to the IFB may be 
considered, and no negotiation shall be permitted.
    (3) Records of offers. Copies of all offers received must be 
promptly furnished to the Director, who may require the participant, or 
its shipping agent, to submit a written certification to the GSM that 
all offers received (with the times of receipt designated

[[Page 537]]

thereon) were transmitted to the Department. For purposes of this 
paragraph ``time of receipt'' shall be the time a hand-carried offer or 
a mailed offer was received at the designated location for presentation 
or, if transmitted electronically, the time the offer was received, as 
supported by evidence satisfactory to the Director.
    (4) Re-tenders. The Director may permit or require a participant to 
refuse any and all bids, and in such case a participant may conduct a 
re-tender with the approval of the Director. The Director shall not 
approve or require freight re-tenders unless they will increase the 
likelihood of meeting U.S. flag cargo preference requirements, will 
permit the desired quantity to be shipped, will likely result in reduced 
CCC expenditures, or are otherwise determined to be in the best interest 
of the program.
    (c) Request for vessel approval. The pertinent terms of all proposed 
charters and all proposed liner bookings, regardless of whether any 
portion of ocean freight is financed by CCC, must be submitted to the 
Director for review and approval before fixture of the vessel. Tentative 
advance vessel approvals may be obtained by telephone provided Form CCC-
105, ``Ocean Shipment Data--Pub. L. 480 (Request for Vessel Approval)'', 
is furnished promptly confirming the information supplied by telephone. 
The Form CCC-105 shall be submitted in duplicate to the Director.
    (d) Advice of vessel approval. (1) USDA will give written approval 
of charters and liner bookings on Form CCC-106, ``Advice of Vessel 
Approval.'' The Form CCC-106 will state whether CCC will finance any 
part of the ocean freight. For f.a.s. or f.o.b. shipments, CCC will 
issue a signed original of Form CCC-106 to the ocean carrier when CCC 
finances any part of the ocean freight. For c.& f. or c.i.f. shipments, 
CCC will issue Form CCC-106 to the supplier of commodity.
    (2) If CCC agrees to finance any portion of the ocean freight, the 
participant or its agent shall forward a copy of the ocean freight 
contract immediately after execution to the Director for review and 
approval prior to issuance of Form CCC-106.
    (3) CCC may also require the supplier of ocean transportation to 
submit copies of lightening, stevedoring, or bagging contracts for any 
voyage for which CCC finances ocean freight or ocean freight 
differential.
    (e) Special charter party provisions required when any part of ocean 
freight is financed by CCC. This paragraph applies when CCC finances any 
part of the ocean freight for commodities booked on charter terms. In 
the event of any conflict between the provisions of the regulations in 
this part and the charter party or ocean bills of lading issued pursuant 
thereto, the provisions of the regulations in this part shall prevail. 
The charter party shall contain or, for the purpose of financing 
pursuant to the regulations in this part, be deemed to contain the 
following provisions:
    (1) That if there is any failure on the part of the supplier of 
ocean transportation to perform the charter party after the vessel has 
tendered at the loading port, the charterer shall be entitled to incur 
all expenses which in the judgment of the General Sales Manager are 
required to enable the vessel to carry out her obligations under the 
charter party including, but not limited to, expenses for lifting any 
liens asserted against the vessel.
    (2) That, notwithstanding any prior assignments of freight made by 
the owner or operator, the expenses authorized in paragraph (e)(1) of 
this section may be deducted from the freight earned under the charter 
party.
    (3) That ocean freight is earned and that 100% thereof is payable by 
the charterers when the vessel and cargo arrive at the first port of 
discharge, subject to paragraph (e)(4) of this section, and to the 
further condition that if a force majeure as described in paragraph 
(l)(1) of this section results in the loss of part of the vessel's 
cargo, 100% of the ocean freight is payable on the part so lost. This 
provision does not relieve the carrier of the obligation to carry to 
other points of discharge if so required by the charter party.
    (4) That if a force majeure as described in paragraph (l)(1) of this 
section prevents the vessel's arrival at the first port of discharge, 
the freight shall be payable by the charterer at the time the General 
Sales Manager determines that such force majeure was the cause of 
nonarrival.

[[Page 538]]

    (5) That laydays are non-reversible.
    (6) That in a dispute involving any rights and obligations of CCC, 
including rights and obligations as successor or assignee, which cannot 
be settled by agreement, the dispute shall not be subject to 
arbitration.
    (f) Special charter party information required when any part of 
ocean freight is financed by CCC. When CCC finances any part of the 
ocean freight for commodities booked on charter terms, the charter party 
shall contain the following information:
    (1) The name of each party participating in the ocean freight 
brokerage commission, if any, and the percentage thereof payable to each 
party;
    (2) The name of the vessel and the name of the substitute vessel, if 
any.
    (g) Notice of arrival. Each Form CCC-106 will indicate whether a 
notice of arrival is required. A notice of arrival, when required, must 
be furnished promptly by the participant or its designated agent or 
other source acceptable to CCC (excluding the carrier or its agent) and 
must include the name of the vessel, the purchase authorization number, 
the first port of discharge, and the date of arrival. The notice of 
arrival of the vessel also constitutes prima facie evidence of arrival 
of the cargo.
    (h) Foreign flag vessels. The cost of ocean transportation will be 
financed by CCC on non-U.S. flag vessels only when, and to the extent, 
specifically provided in the applicable purchase authorization.
    (i) U.S.-flag vessels. When a commodity is required to be shipped on 
a privately owned U.S.-flag commercial vessel, Form CCC-106 will set 
forth:
    (1) The rate of the ocean freight differential, if any, which the 
Director determines to exist between the prevailing foreign-flag vessel 
rate and the U.S.-flag vessel rate; and
    (2) The approximate tonnage for which CCC will authorize 
reimbursement of ocean freight or ocean freight differential, as 
appropriate.
    (j) Items not eligible for financing by CCC. The following costs 
will not be financed by CCC, either separately or as part of the 
commodity contract price:
    (1) Loading, trimming, and other related shipping expenses unless 
included in the ocean freight rate;
    (2) Discharge costs unless included in the ocean freight rate;
    (3) The cost of ``dead freight'';
    (4) Cargo dues and taxes assessed by the importing or recipient 
country;
    (5) Surcharges assessed by steamship conferences or carriers, unless 
specifically authorized by the Director;
    (6) General average contributions;
    (7) Stevedoring overtime and vessel crew overtime;
    (8) Ship's disbursements;
    (9) Any payments prohibited in Sec.  17.6 (b) and (c); and
    (10) Detention.
    (k) General financing provisions. When any part of ocean freight 
will be financed either separately or as part of the commodity contract 
price, the following shall apply:
    (1) Ocean freight contracts must show the ocean freight rate from 
one loading port to one discharge port, and may provide for an increase 
in rate for an additional port of loading or discharge, or other option. 
CCC, however, will finance initially the lowest such rate or OFD, as 
appropriate. Increased amounts due because of the exercise of such 
option will be financed only after receipt of an ocean bill of lading or 
other evidence showing that the option was exercised.
    (2) In the case of transshipment to a foreign flag vessel, CCC will 
finance the ocean freight or OFD, as appropriate, only to the point of 
transshipment, at a rate determined by the GSM, and CCC will not finance 
any part of the ocean freight beyond the point of transshipment unless 
specifically approved by the GSM. If the commodity was transported from 
a U.S. port and was transshipped at another U.S. port, CCC will not 
finance, without prior approval of the GSM, any part of the ocean 
freight incurred before transshipment.
    (3) The ocean freight rate eligible for CCC financing and the rate 
used for the U.S.-flag vessel in calculating ocean freight differential 
shall not exceed the following rates for the category of the vessel 
concerned:

[[Page 539]]

    (i) For commodities covered by published tariff rates--the published 
conference contract rate;
    (ii) For other commodities--the market rate prevailing at the time 
of request for approval as determined by the Director, but in any event 
not in excess of rates charged other shippers (irrespective of booking 
dates) for like commodities on the voyage concerned.
    (4) Payment will be made for ocean freight or OFD, as appropriate, 
from loading points to discharge points at rates approved by the 
Director on Form CCC-106 in conformity with paragraph (k)(3) of this 
section.
    (5) Freight for a vessel designated on Form CCC-106 as a U.S. flag 
vessel shall not be eligible for financing unless such vessel complies 
with the provisions of Pub. L. 87-266.
    (6) Ocean freight contracts must specify that the participant shall 
be liable for detention of the vessel for loading delays attributable 
solely to the decision of the supplier of ocean transportation not to 
commence loading because of the failure of the participant to establish 
an ocean freight letter of credit in accordance with paragraph (a)(5) of 
this section. However, ocean freight contracts may not contain a 
specified detention rate. The ocean transportation supplier shall be 
entitled to reimbursement for detention costs for all time so lost, for 
each calendar day or any part of the calendar day, including Saturdays, 
Sundays and holidays. The period of such delay shall not commence 
earlier than upon presentation of the vessel at the designated loading 
port within the laydays specified in the ocean freight contract, and 
upon notification of the vessel's readiness to load in accordance with 
the terms of the applicable ocean freight contract. The period of such 
delay shall end at the time that operable irrevocable letters of credit 
have been established for the applicable ocean freight or the time the 
vessel begins loading, whichever is earlier. Time calculated as 
detention shall not count as laytime. Reimbursement for such detention 
shall be payable no later than upon the vessel's arrival at the first 
port of discharge.
    (l) Force majeure. (1) The GSM will waive the requirement for the 
notice of arrival required by Form CCC-106 by a written notice to the 
supplier of ocean transportation on the receipt of evidence satisfactory 
to the General Sales Manager that the vessel is lost or unable to 
proceed to destination after completion of loading as a result of one or 
more of the following causes: Damage caused by perils of the sea or 
other waters; collisions; wrecks; stranding without the fault of the 
carrier; jettison; fire from any cause; Act of God; public enemies or 
pirates; arrest or restraint of princes, rulers or peoples without the 
fault of the supplier of ocean transportation; wars; public disorders; 
captures; or detention by public authority in the interest of public 
safety. The supplier may substitute such waiver for the notice of 
arrival.
    (2) The determination of a force majeure by the GSM shall not 
relieve the participant from its obligation under the Agricultural 
Commodities Agreement to pay CCC, when due, the dollar amount of ocean 
freight, plus interest (exclusive of ocean freight differential), 
financed by CCC.
    (m) Demurrage/despatch. CCC will not finance demurrage and CCC will 
not share in despatch earnings. Owners and commodity suppliers will 
settle laytime accounts at load port(s) and owners and charterers will 
settle laytime accounts at discharge port(s). Under no circumstances 
shall CCC be responsible for resolving disputes involving calculation of 
laytime or the payment of demurrage or despatch.
    (n) Ocean freight included in the commodity contract price. For cost 
and freight or c.i.f. contracts the ocean freight, or the ocean freight 
differential, as appropriate, will be financed only to the extent 
specifically provided in the applicable purchase authorization.
    (o) Separate freight contracts. Contracts for ocean transportation, 
under a purchase authorization which limits delivery terms to f.o.b. or 
f.a.s., must be separate and apart from the contracts for the commodity.



Sec.  17.9  CCC payment to suppliers.

    (a) General. (1) The supplier shall request payment from CCC for the 
amount of the commodity price or the

[[Page 540]]

ocean freight or ocean freight differential to be financed by CCC.
    (2) The supplier shall support such a request for payment by 
presenting to CCC the documents required by this section, the purchase 
authorization, and the IFB, unless such documents were previously 
submitted to CCC. Such documents, however, need not be submitted when 
and to the extent that the Controller determines that the intended 
purpose of a document is served by documents otherwise available to or 
under the control of CCC or by alternate documents specified in such 
determination.
    (3) CCC will examine each document to ascertain that it is in 
accordance with this part, the purchase authorization, and the IFB. CCC 
will audit all the required documents to ensure accuracy, completeness, 
and consistency. When CCC has determined that all required documents 
have been submitted and that the documents are acceptable for payment, 
CCC will pay the supplier for the commodity price or the ocean freight 
or ocean freight differential to be financed by CCC which is supported 
by the documents.
    (4) CCC is required to issue all payments by electronic transfer. 
Each supplier submitting documents to CCC for payment must provide the 
name of the company, the bank ABA number to which payment is to be made, 
the account number for the company at the bank, the company's Taxpayer 
Identification Number, and the type of account being used.
    (b) General documentation requirements. The supplier must put the 
appropriate purchase authorization number on all required documents 
which are prepared under the supplier's control, and should arrange for 
the appropriate purchase authorization number to be put on all other 
required documents at the time of their preparation.
    (c) Documents required for payment--commodity. The general 
provisions relating to such documents are as follows. Additional 
requirements for payment to commodity suppliers for

c.& f. or c.i.f. sales are contained in paragraph (c)(8) of this 
section.
    (1) Supplier's certificate. A signed original of Form CCC-329 
``Supplier's Certificate'' from the commodity supplier covering the net 
invoice price for the commodity.
    (2) Supplier's detailed invoice. Two copies of the supplier's 
detailed invoice showing quantity, description, contracted price, net 
total invoice price expressed in dollars, the amount for which financing 
is requested from CCC, the amount not eligible for financing by CCC, and 
basis of delivery of the commodity (e.g., f.o.b. vessel). In arriving at 
the net invoice price there shall be deducted:
    (i) All discounts from the supplier's contracted price through 
payments, credits, or other allowances made or to be made to the 
importer, the importer's agent or consignee;
    (ii) All purchasing agents' commissions;
    (iii) All other amounts not eligible for financing.
    (3) Additional payment. A request for an additional payment 
submitted for a transaction for which all or part of the required 
documents have been previously submitted to CCC shall be supported by a 
Form CCC-329 ``Supplier's Certificate'' and the supplier's detailed 
invoice, covering the additional amount requested. The supplier's 
invoice must show the date, serial number and the amount of the original 
invoice and the basis for the additional amount claimed.
    (4) Weight certificate. The weight certificate shall be issued by or 
on authority of a State or other governmental weighing department, 
Chamber of Commerce, Board of Trade, Grain Exchange, or other 
independent organization or firm providing public weighing services. 
Such organization or firm must have:
    (i) Qualified, impartial, paid employees who are stationed at the 
port facility or, if authorized under the applicable purchase 
authorization, other facility where weights customarily are determined, 
one of whom performed the weighing covered by the certificate; or
    (ii) Qualified, independent, impartial, supervised, weighmasters 
stationed at the port facility or, if authorized under the applicable 
purchase authorization,

[[Page 541]]

other facility where weights are customarily determined, one of whom 
supervised the employee of such a facility in the performance of the 
weighing covered by the certificate.
    (5) Federal appeal inspection. The official certificate representing 
the results of an appeal inspection, when included in the documents 
presented for payment, shall supersede any other inspection certificate 
required by this part, the applicable purchase authorization, the IFB or 
the contract.
    (6) Form CCC-359. (i) Form FAS-359, ``Declaration of Sale,'' signed 
for the GSM, is the written document by which USDA notified the supplier 
that the sale was approved for financing. The supplier shall submit Form 
FAS-359 to CCC with the documents covering the first transaction under 
the contract. The unit price shown on the supplier's invoice must not 
exceed the approved unit price shown on the Form FAS-359.
    (ii) For subsequent transactions under the same contract, the 
supplier shall certify on the CCC copy of the detailed invoice as 
follows:

    I hereby certify that the applicable Form FAS-359 was submitted to 
CCC with documents covering Invoice No. ------------ dated ------------ 
for $------------.

    (7) Bill of lading. Four copies of the ocean bill of lading.
    (8) C.&.f. or c.i.f. sales. In addition to the requirements of 
paragraph (c)(1) through (7) of this section, the following requirements 
apply for c.&f. or c.i.f. sales:
    (i) Signed original of Form CCC-106.
    (ii) The supplier's detailed invoice shall show a computation of the 
dollar amount of ocean freight differential, whenever the Form CCC-106 
provides for an ocean freight differential on a cost and freight or 
c.i.f. sale and authorizes financing of any portion of ocean freight by 
CCC. In arriving at the net invoice price the supplier shall deduct the 
ocean freight, or portion thereof which is not being financed by CCC.
    (iii) One nonnegotiable copy of the insurance certificate or policy 
where the cost of insurance is included in the price of the commodity to 
be financed by CCC.
    (iv) A request for an additional payment shall also include a 
statement signed by the ship's master or owner (or agent of either of 
them) showing exercise of the higher-rated option, if the payment is 
stated to be due because of the exercise of a higher-rated option 
provided in an ocean freight contract.
    (d) Documents required for payment--ocean freight financed 
separately from commodity price--(1) Supplier's certificate. A signed 
original of Form CCC-329, ``Supplier's Certificate'', executed by the 
carrier or its agent, covering the dollar cost of ocean freight or ocean 
freight differential.
    (2) Ocean bill of lading. One copy of the ocean bill of lading and, 
if required by the related Form CCC-106, a notice of arrival at the 
first port of discharge of the vessel named in the Form CCC-106. In lieu 
of a notice of arrival the carrier may present a waiver of the notice of 
arrival signed by the GSM or Controller.
    (3) Invoice. One copy of the carrier's invoice which shows the total 
freight costs, the amount not eligible for financing by CCC, and the 
amount for which payment is requested from CCC. If the invoice relates 
to a U.S.-flag vessel, such invoice shall contain the following typed or 
stamped certification, executed by the supplier:

    The undersigned hereby certifies that the vessel named herein and 
for which ocean freight is claimed, qualifies as a privately owned U.S.-
flag commercial vessel within the requirements of Pub. L. 87-266 and is 
an eligible U.S.-flag vessel for the purposes of Pub. L. 664, 83rd 
Congress.

    (4) Form CCC-106. Signed original of Form CCC-106.
    (5) Ocean freight contract. One copy of the ocean freight contract.
    (6) Higher rated option. A request for payment of any amounts 
claimed because of the exercise of a higher rated option following 
payment of a lower rated option pursuant to Sec.  17.8(k)(1) shall be 
supported by the following documents:
    (i) One copy of the carrier's invoice as described in paragraph 
(d)(3) of this section except for the certification required therein.
    (ii) The Form CCC-329, ``Supplier's Certificate'', for the balance 
claimed.

[[Page 542]]

    (iii) A statement signed by the ship's master, owner, or owner's 
agent, and signed laytime statements or other written concurrence of 
charterer or the charterer's agent showing the exercise of the higher 
rated option.
    (e) Payment of freight by CCC prior to the vessel's arrival at the 
discharge port. (1) Upon request by the supplier, CCC may pay the ocean 
freight or ocean freight differential to be financed by CCC before the 
vessel arrives at the first port of discharge if the supplier furnishes 
CCC financial coverage in the form of an acceptable letter of credit 
from a U.S. bank.
    (2) The amount of security required by CCC under paragraph (e)(1) of 
this section may be computed by multiplying the ocean freight rate or 
ocean freight differential rate financed by CCC as shown on the related 
Form CCC-106 times either:
    (i) The tonnage shown on the related bill of lading, if the bill of 
lading is furnished to CCC; or
    (ii) The tonnage stated in the ocean freight contract (without 
tolerance).
    (3) On receipt of an acceptable letter of credit, the Controller 
will issue a waiver of the notice of arrival which is required under 
paragraph (d)(2) of this section.
    (f) Advice of amount financed. CCC will forward advice of payment to 
the participant.



Sec.  17.10  Refunds and insurance.

    (a) Participant--failure to comply. The participant shall pay in 
U.S. dollars promptly to CCC on demand by the General Sales Manager the 
entire amount financed by CCC (or such lesser amount as the GSM may 
demand) whenever the GSM determines that the participant has failed to 
comply with any agreement or commitment made by the participant in 
connection with the transaction financed or with the applicable 
Agricultural Commodities Agreement between the U.S. and the participant.
    (b) Adjustment refunds. All claims by importers for adjustment 
refunds arising out of terms of the contract or out of the normal 
customs of the trade, including arbitration and appeal awards, 
allowances, and claims for overpayment of ocean transportation, if such 
refunds relate to amounts financed by CCC, shall be settled by payment 
in U.S. dollars and such payment shall be remitted by the supplier to 
CCC. The remittance shall be identified with the date and amount of the 
original payment and the applicable purchase authorization number.
    (c) Insurance on c.i.f. sales. The provisions of this paragraph 
apply only to transactions under purchase authorizations that 
specifically authorize c.i.f. sales in which the cost of insurance is 
included in the net c.i.f. invoice price of the commodity financed. When 
the supplier furnishes insurance in favor of or for the account of the 
importer, the policies or certificates of insurance shall include a loss 
payable clause which provides that all claims shall be paid in U.S. 
dollars to the Controller. Such payments shall be accompanied by advice 
of the purchase authorization number, the names and addresses of the 
supplier and importer, the nature of the claim, the quantity of the 
commodity involved in the claim, the date of shipment, the bill of 
lading number, and the name of the vessel. CCC will credit the account 
of the participant or will refund local currency in accordance with 
paragraph (e) of this section.
    (d) Refund of ineligible amounts. If a sale has been financed and 
CCC determines that the sales price exceeds the price permissible under 
Sec.  17.5(b)(4), or that the sale is otherwise ineligible for 
financing, in whole or in part, the supplier shall refund in dollars 
such excess price or ineligible amount to CCC promptly on demand. If not 
promptly refunded, such amount may be set off by CCC against monies it 
owes to the supplier. The making of any such refund to CCC, or any such 
setoff by CCC shall not prejudice the right of the supplier to challenge 
such determination in a court action brought against CCC for recovery of 
the amount refunded or set off.
    (e) Refund of local currency or reduction of amount due. Immediately 
after receipt by CCC of U.S. dollar payment from suppliers, or from or 
for the account of the participant under this section, CCC will provide 
for payment to the participant of the local currency equivalent of 
dollars received, if such local currency has been deposited for

[[Page 543]]

the particular transaction, or will credit the participant's account as 
follows:
    (1) For payments under this section, except paragraph (a), the local 
currency refunded will be at the exchange rate agreed to by the 
Government of the United States and the participant in effect at the 
time the local currency is paid to or for the account of the importer, 
except that if there has been a change in the exchange system or 
structure of the importing country or the destination country, such 
payment shall be made at the agreed exchange rate which was in effect on 
the date of dollar disbursement for the transaction financed, and except 
further that local currency shall not be paid when the dollars are to be 
reauthorized for replacement of the commodity.
    (2) For payment under paragraph (a) of this section, the local 
currency refunded will be at the agreed exchange rate in effect on the 
date of the dollar disbursement for the transaction financed: Provided, 
that local currency will not be refunded to the extent that deposits of 
such currency have been made available to the participant on a grant 
basis.
    (3) For refunds received by CCC under long-term credit agreements 
the participant's account shall be credited with the dollar amount 
refunded or otherwise recovered, and the participant notified 
accordingly.



Sec.  17.11  Recordkeeping and access to records.

    Suppliers and agents of the participant or importer shall keep 
accurate books, records and accounts with respect to all contracts 
entered into hereunder, including those pertaining to ocean 
transportation-related services and records of all payments by suppliers 
to representatives of the importer or participant, if CCC finances any 
part of the ocean freight. Suppliers and agents shall permit authorized 
representatives of the U.S. Government to have access to their premises 
during regular hours to inspect, examine, audit and make copies of such 
books, records and accounts. Suppliers and agents shall retain such 
records until the expiration of three years after final payment under 
such contracts.



PART 18_EQUAL EMPLOYMENT OPPORTUNITY IN THE STATE COOPERATIVE 
EXTENSION SERVICES--Table of Contents



Sec.
18.1 Definitions.
18.2 Purpose, applicability and coverage.
18.3 Development and adoption of equal employment opportunity programs.
18.4 Elements of program.
18.5 Formal complaint procedure.
18.6 [Reserved]
18.7 Reports.
18.8 Noncompliance.
18.9 Sanctions.

    Authority: 5 U.S.C. 301, and secs. 1-10, 38 Stat. 372, as amended; 7 
U.S.C. 341-349.

    Source: 33 FR 12173, Aug. 29, 1968, unless otherwise noted.



Sec.  18.1  Definitions.

    For the purpose of this part:
    (a) Secretary means the Secretary of Agriculture of the United 
States or his designee.
    (b) Cooperative Extension Service means the Cooperative Extension 
Service of each Land-Grant University.
    (c) President means the President or chief executive of each Land-
Grant University or his designee.
    (d) Discrimination includes discrimination on the basis of race, 
color, national origin, sex, or religion.
    (e) Employment includes hiring, assignment, transfer, promotion, 
compensation, discipline, and discharge and all other conditions, terms 
and privileges of employment.
    (f) Program means a comprehensive Equal Employment Opportunity plan 
submitted by a President in satisfaction of the requirements of Sec.  
18.3.



Sec.  18.2  Purpose, applicability and coverage.

    (a) Purpose. This part provides a cooperative procedure involving 
the President and Secretary to assure that the Cooperative Extension 
Service provides equal opportunity in employment to each individual 
without regard to race, color, national origin, sex, or religion.
    (b) Applicability. The regulations in this part apply to every Land-
Grant University operating a Cooperative Extension Service.

[[Page 544]]

    (c) Coverage. This part applies to all positions in all units of the 
Cooperative Extension Service but does not apply to employees provided 
by county and other political subdivisions in support of Cooperative 
Extension Service programs.

[33 FR 12173, Aug. 29, 1968, as amended at 38 FR 14154, May 8, 1973]



Sec.  18.3  Development and adoption of equal employment 
opportunity programs.

    (a) Submission. Within 90 days after the effective date of this 
part, the President shall furnish to the Secretary a positive continuing 
program to assure that employment is provided without discrimination.
    (b) Development. The President and the Secretary may consult with 
each other at any time regarding the development and evaluation of the 
program in order to better effectuate the purpose of this part. The 
program may be a part of a general program establishing employment 
procedures for employees of the university and may cover other rights 
and privileges of employees.
    (c) Concurrence. The Secretary may concur with the program proposed 
by the President. If the Secretary does not concur with the proposed 
program, he shall inform the President and make suggestions for 
improvement. The President will have 30 days thereafter to furnish a 
satisfactory proposal.
    (d) Amendment. After concurrence has been obtained on the program, 
the President may make recommendations to amend the program to improve 
its effectiveness and furnish them to the Secretary for concurrence. If 
the Secretary, at any time finds that a program, as implemented, does 
not achieve the purposes described in Sec.  18.2, he shall confer with 
the President concerning needed improvements and changes. The President 
will furnish a satisfactory amendment to the Secretary within 30 days 
for concurrence.
    (e) Effective date. The program or amendments to it shall be made 
effective by the President not later than 30 days from the date of 
concurrence.



Sec.  18.4  Elements of program.

    A satisfactory program shall include:
    (a) A statement of policy prohibiting discrimination in employment;
    (b) An administrative procedure enforcing that policy;
    (c) A positive affirmative action plan designed to assure equal 
opportunity in employment;
    (d) A procedure for identifying and eliminating employment practices 
tending to create or continue discrimination in employment;
    (e) A procedure for evaluating the success of the program;
    (f) Adequate provision for publicizing the program including 
dissemination of information to all those covered by these regulations;
    (g) A procedure for prompt processing of complaints assuring no less 
than minimum rights prescribed in Sec.  18.5;
    (h) Adequate provisions for the protection of complainants, 
employees, witnesses, and representatives from interference, harassment, 
intimidation and reprisal;
    (i) A procedure for the informal resolution of complaints; and,
    (j) A procedure for recording receipt and disposition of all 
complaints. A report of the receipt and a report of the disposition of 
all formal complaints will be sent promptly to the Secretary.



Sec.  18.5  Formal complaint procedure.

    A procedure shall be provided for the filing of a formal written 
complaint if a complainant is not satisfied with the result of informal 
procedure or if the complainant does not desire to follow the informal 
procedure. A complaint procedure shall contain the following minimum 
provisions for the processing of formal complaints.
    (a) Elements of the formal complaint. The formal complaint shall be 
in writing and state the name and address of the complainant; the basis 
of the claim; and indicate whether the alleged discrimination was based 
on race, color, national origin, sex, or religion.
    (b) Time limits for processing. The procedure will include time 
limits for the orderly processing of complaints.
    (c) Who may file. A complaint may be filed by an employee, a former 
employee, or an applicant for employment who believes that 
discrimination in employment has been practiced against him or that an 
employment practice in

[[Page 545]]

the Cooperative Extension Service has or will result in discrimination 
in employment against him. An employee, a former employee, or an 
applicant for employment, or an organization may file a complaint of 
general discriminatory practices: Provided, however, That upon request 
of the President, the complainant shall furnish to him names of 
individuals who are adversely affected by those practices.
    (d) Right of representation. A complainant may designate in writing, 
an individual or an organization to represent him in the processing of 
his complaint, and is entitled to the advice of counsel at his expense 
at all stages of the proceeding. If the representative designated by the 
complainant is an employee of the U.S. Department of Agriculture, or of 
a Cooperative Extension Service, such employee, as well as an employee-
complainant, shall have a reasonable amount of official time with pay, 
if he is in a pay status, for the purpose of appearing at any hearing on 
the complaint or conciliation effort. The rights and privileges set 
forth in this paragraph shall also be available to any person whose 
alleged conduct is the cause of the complaint.
    (e) Where filed. The procedure shall clearly state the persons, and 
their locations, with whom complaints may be filed. It shall also state 
that complaints may be filed with the Secretary. Complaints filed with 
the Secretary shall be promptly forwarded to the President or his 
designee for processing.
    (f) When filed. A complaint shall be submitted within 90 days of the 
conduct giving rise to the complaint. The President may extend the 
prescribed time limit for good cause shown by the complainant.
    (g) Hearing. A complainant or the President may request a hearing 
which shall be transcribed or recorded. The hearing shall be conducted 
promptly during regular working hours in the county where the alleged 
discrimination occurred or at a time and place agreed to by the 
President and the complainant. The President, the complainant and any 
person whose alleged conduct is the cause of the complaint shall have 
the right to call and cross-examine witnesses under oath. The hearing 
shall be provided by the President, and shall be conducted by an 
impartial board or hearing officer who shall promptly submit a proposed 
decision including findings of fact, conclusions, and recommendations 
for action to the President.
    (h) Decision by the President. The President shall review the entire 
file on the complaint, including the record of the hearing if a hearing 
was held, and shall promptly:
    (1) Remand to the hearing board or officer for further action; or
    (2) Make a decision on the complaint; or
    (3) Otherwise dispose of the complaint.

The President shall notify the complainant of his decision or 
disposition.

[33 FR 12173, Aug. 29, 1968, as amended at 38 FR 14154, May 30, 1973]



Sec.  18.6  [Reserved]



Sec.  18.7  Reports.

    Within 6 months of the program going into effect and thereafter at 
least annually, the President shall submit a summary report to the 
Secretary on implementation and operation of the program. The Secretary 
may request additional reports as he deems advisable.



Sec.  18.8  Noncompliance.

    A university conducting a Cooperative Extension Service will be in 
violation of this part:
    (a) If the President fails to file a program in which the Secretary 
concurs under Sec.  18.3, or fails to file an appropriate amendment in 
accordance with Sec.  18.3(d);
    (b) If after concurrence in the President's program the Secretary 
finds that a university has failed to administer such program according 
to its terms;
    (c) If the Secretary finds that any officer of the university has 
intimidated, coerced, or improperly pressured a complainant, employee, 
representative, or witness exercising the rights given him by this part 
or any program adopted pursuant thereto, and that corrective action has 
not been taken.

[33 FR 12173, Aug. 29, 1968, as amended at 38 FR 14154, May 30, 1973]

[[Page 546]]



Sec.  18.9  Sanctions.

    (a) When the Secretary finds that any noncompliance with this part 
has occurred, he may initiate action to refuse to authorize payment of 
funds for the Cooperative Extension Service, or take other appropriate 
action provided by law.
    (b) The remedies available to the Secretary under this part, and 
remedies made available to any person under a program adopted pursuant 
to this part do not exclude any others which may be available under law.

                           PART 19 [RESERVED]



PART 20_EXPORT SALES REPORTING REQUIREMENTS--Table of Contents



Sec.
20.1 General.
20.2 Administration.
20.3 Delegation of authority.
20.4 Definitions.
20.5 Announcements.
20.6 Submission of reports.
20.7 Confidentiality of reports.
20.8 Failure to report.
20.9 Records.
20.10 Place of submission of reports.
20.11 Additional reports and information.
20.12 OMB control number assigned pursuant to Paperwork Reduction Act.

Appendix I to Part 20--Commodities Subject to Reports, Units of Measure 
          To Be Used in Reporting, and Beginning and Ending Dates of 
          Marketing Years

    Authority: 7 U.S.C. 5712.

    Source: Rev. 2, 40 FR 23839, June 3, 1975, unless otherwise noted.



Sec.  20.1  General.

    The regulations of this part 20 are issued under section 404 of the 
Agricultural Trade Act of 1978, as amended, to implement the export 
sales reporting requirements of section 602 of the Agricultural Trade 
Act of 1978, as amended.

[56 FR 32951, July 18, 1991]



Sec.  20.2  Administration.

    The regulations of this part will be administered by the Foreign 
Agricultural Service (FAS) under the general supervision of the 
Administrator, FAS. Information pertaining to these regulations may be 
obtained from the office specified in Sec.  20.10.

[Amdt. 3, 45 FR 8562, Feb. 8, 1980]



Sec.  20.3  Delegation of authority.

    Authority has been delegated to the Administrator to promulgate 
amendments and revisions to the regulations in this part.

[Amdt. 3, 45 FR 8562, Feb. 8, 1980]



Sec.  20.4  Definitions.

    As used in these regulations and in all instructions, forms, and 
documents pertaining hereto, the words and phrases defined in this 
section shall have the meaning assigned to them as follows:
    (a) Administrator. The Administrator, Foreign Agricultural Service, 
U.S. Department of Agriculture.
    (b) Buy-back contract. A transaction under which a reporting 
exporter having sold a commodity for export to a foreign buyer 
liquidates the export sale contract by making an offsetting purchase of 
the same kind of commodity from the same foreign buyer.
    (c) Commodity. Wheat and wheat flour, feed grains, oilseeds, cotton, 
rice, cattle hides and skins, beef and pork, and any products thereof, 
and any other agricultural commodity the Secretary may designate. 
``Commodity'' shall also mean a commodity having identifying 
characteristics as described in any announcement issued pursuant to 
Sec.  20.5 such as class(es) of wheat and rice, or staple length(s) of 
cotton. Mixed wheat shall be considered to be the predominant wheat 
class of the blend. This definition excludes commodities to be used for 
seed which have been treated in such a manner that their use is limited 
to seed for planting purposes or on which a certificate has been issued 
by a recognized seed testing laboratory setting forth variety, 
germination and purity.
    (d) Country of destination. (1) Any country outside the United 
States or (2) any territory or possession of the United States. Country 
of destination shall be the ultimate destination of the export, and 
shall not be deemed to be the country through which any transshipment 
takes place.

[[Page 547]]

    (e) Export. A shipment of a commodity from the United States 
destined to a country specified in paragraph (d) of this section. The 
commodity shall be deemed to have been exported on the date of the 
applicable export carrier onboard bill of lading or the date the 
commodity is received for shipment, as specified on the bill of lading, 
in the case of a commodity received for shipment in a lash barge or 
containerized van if a through on-board bill of lading is issued for 
shipment to a country specified in paragraph (d) of this section.
    (f) Export carrier. The vessel on which a commodity is exported from 
the United States to a country specified in paragraph (d) of this 
section, or if export is by railcar, truck, or airplane, ``export 
carrier'' means such railcar, truck, or airplane.
    (g) Exports for exporter's own account. A transaction involving 
shipments made by the reporting exporter which are unsold at the time of 
export, shipments on consignment to selling agents of the reporting 
exporter for subsequent sale for the account of the reporting exporter, 
shipments by the reporting exporter that have not been allocated to any 
outstanding export sale, and shipments from the United States to any 
foreign country in bond for subsequent shipment to a third country.
    (h) Export sale. A transaction entered into between a reporting 
exporter and a foreign buyer. The transaction must be represented by a 
written document evidencing that (1) the exporter agrees to export the 
commodity, (2) the foreign buyer agrees to receive the commodity, (3) a 
fixed price or an agreed upon mechanism by which such a price can be 
determined is established, and (4) payment will be made to or for the 
account of the reporting exporter by or on the behalf of the foreign 
buyer for delivery of the commodity. The quantity of ``outstanding 
export sale'' means the quantity not yet exported under an export sale. 
The terms of delivery specified in the written agreement, such as FAS 
vessel, FOB vessel, C&F, CIF, etc., do not determine whether a 
transaction is an export sale which must be reported. A transaction 
which otherwise meets this definition and is subject to the posting of 
an exporter performance bond or letter of credit from the foreign buyer 
is included in this definition and such a transaction shall be reported 
under these regulations. However, a transaction which becomes operative 
only upon the imposition of export controls is excluded from this 
definition of ``export sale'' and such a transaction shall not be 
reported under these regulations.
    (i) Foreign buyer and foreign seller. A person whose place of doing 
business with respect to the transaction is outside the United States. 
Foreign buyer or foreign seller includes a person who maintains a place 
of doing business outside the United States even though the transaction 
is concluded in the United States by his agent who has a place of 
business in the United States or by his employee who does not maintain a 
place of doing business in the United States. (If such employee 
maintains a place of doing business in the United States with respect to 
the transaction, the resulting contract is construed to be a domestic 
sale.) Notwithstanding the foregoing, all foreign governments, agencies 
and instrumentalities are considered foreign buyers or foreign sellers 
even though transactions are concluded by their employees in the United 
States or they maintain a place of business with respect to the 
transaction in the United States.
    (j) Marketing year. The reporting period specified for a commodity 
in appendix 1.
    (k) Optional origin contracts. A transaction involving an export 
sale contract between a reporting exporter and a foreign buyer under 
which the reporting exporter has the option of exporting the commodity 
from the United States or from one or more other exporting countries or 
an export sale contract under which no origin is specified.
    (l) Person. An individual, partnership, corporation, association or 
other legal entity.
    (m) Purchases from foreign sellers. A transaction involving the 
purchase of a commodity from a seller whose place of business with 
respect to the transaction is outside the United States.

[[Page 548]]

    (n) Quantity. The actual contract quantity (exclusive of any upward 
or downward tolerance) specified in the agreement between the reporting 
exporter and foreign buyer or seller.
    (o) Reporting exporter. A person who enters into a transaction 
referred to in this section whose place of doing business with respect 
to such transaction is in the United States. A reporting exporter shall 
include any person who sells a commodity to a foreign buyer irrespective 
of whether or not such person may appear as the shipper on the export 
documentation or whether or not such person is required to file a 
Shipper's Export Declaration. A reporting exporter would not normally 
include agents of either the reporting exporter or foreign buyer, 
brokers, or freight forwarders unless such agents, brokers or freight 
forwarders are acting in the capacity of a principal. (See examples 
Sec.  20.6(c).)
    (p) United States. All of the 50 States, the District of Columbia 
and Puerto Rico.

[Rev. 2, 40 FR 23839, June 3, 1975, as amended by Amdt. 1, 41 FR 19950, 
May 14, 1976; Amdt. 3, 45 FR 8562, Feb. 8, 1980; Amdt. 4, 45 FR 24104, 
Apr. 9, 1980; 68 FR 62214, Nov. 3, 2003; 78 FR 16778, Mar. 19, 2013]



Sec.  20.5  Announcements.

    Commodities for which reports are required under these regulations 
are set forth in appendix 1 to this part. Any change therein will be 
made by publication in the Federal Register of an amendment thereto, 
and, in addition, announcement of such change will be made through the 
press service. The unit of measure to be used in reporting the 
commodity, the beginning and ending dates of the marketing year for each 
commodity, and any other information deemed necessary to be included in 
the report will be specified in appendix 1 to this part and amendments 
thereto and in the announcements through press service.

[Rev. 2, 40 FR 23839, June 3, 1975, as amended at 68 FR 62214, Nov. 3, 
2003]



Sec.  20.6  Submission of reports.

    (a) Weekly reports. For each commodity for which reports are 
required under these regulations, the reporting exporter shall file 
weekly with the office specified in Sec.  20.10 and not later than the 
time specified in paragraph (k) of this section, a report by marketing 
year on the applicable forms contained in appendix 2 (FAS-97, ``Report 
of Optional Origin Sales,'' FAS-98, ``Report of Export Sales and 
Exports,'' and on FAS-100, ``Report of Exports for Exporter's Own 
Account''), setting forth the following information and that required by 
such forms. Information for each applicable item on the respective form 
shall be reported. If the reporting exporter determines that the report 
forms cannot be received in the office specified in ``20.10 by the time 
specified in paragraph (k) of this section, the exporter shall transmit 
the information contained in the report forms by the use of FAX, 
telephone, or electronic submission. The required form must be 
subsequently submitted in accordance with Sec.  20.6(k)(2). Exporters 
have the option to submit the weekly reports using an electronic 
reporting system (forms 97e, 98e, and 100e) which may be accessed via a 
secured Internet website. Reporting exporters should contact the Export 
Sales Reporting staff to obtain passwords and access to the Internet 
reporting site. Exporters also have the option of satisfying the 
requirements of Forms FAS-97, FAS-98, and FAS-100 by submitting ASCII 
comma delimited files via e-mail to the ESR mailbox at [email protected].
    (1) United States origin sales only. (i) Total quantity of 
outstanding export sales from the previous report by country of 
destination.
    (ii) Quantity of new export sales made during the week expressed in 
the specified unit of measure (do not include any tolerance). Include 
the quantity of any optional original export sale for which an option 
was exercised during the week to export the commodity from the United 
States.
    (iii) Quantity of any purchases of the same kind of commodity made 
from foreign sellers during the week.
    (iv) Quantity of export sales cancelled and quantity of buyback 
contracts made during the week.
    (v) Changes in destination during the week for export sales 
previously reported.

[[Page 549]]

    (vi) Changes in the marketing year during the week for export sales 
previously reported.
    (vii) Exports made against export sales during the week.
    (viii) Total outstanding balance of export sales at the close of 
business for the current report.
    (2) Optional origin sales (United States and other countries). (i) 
Total quantity of outstanding export sales from the previous report by 
country of destination.
    (ii) Quantity of new export sales made during the week expressed in 
the specified unit of measure (do not include any tolerance) by country 
of destination.
    (iii) Quantity of export sales for which an option was exercised 
during the week which would determine the origin of the commodity to be 
exported with the origin indicated as the United States or other than 
the United States.
    (iv) Quantity of optional export sales cancelled and the quantity of 
optional buy-back contracts made during the week.
    (v) Changes in destination during the week for sales previously 
reported.
    (vi) Changes in the marketing year during the week for sales 
previously reported.
    (vii) Total outstanding balance of optional export sales for which 
an option has not been exercised at the time of compiling the report.
    (3) Exports for exporter's own account. (i) Total outstanding 
balance of exports for exporter's own account that has been shipped from 
the United States as shown on the previous report by country where 
located or, if in transit, by country of intermediate destination.
    (ii) Quantity of new exports for exporter's own account exported 
during the week.
    (iii) Quantity of previously reported exports for exporter's own 
account that was applied to outstanding or new export sales during the 
week.
    (iv) Quantity of previously reported exports for exporter's own 
account sold to other U.S. exporters during the week.
    (v) Changes in destination during the week for exports previously 
reported.
    (vi) The total outstanding balance of exports for exporter's own 
account at the close of business for the current report.
    (b) Monthly reports. The information described in paragraph (a) of 
this section shall be reported monthly when specified by an announcement 
issued pursuant to Sec.  20.5. The forms specified in paragraph (a) of 
this section shall be utilized to furnish the information required to be 
reported monthly and such information shall be filed in the manner and 
at the time required by Sec.  20.6(k).
    (c) Exporters who are required to report. The reporting exporter has 
the sole responsibility of reporting any and all information required by 
these regulations. The following are examples of who shall be considered 
the reporting exporter for the purpose of these regulations. (Firm A in 
each example is a firm whose place of doing business with respect to the 
transaction is in the United States, and the commodity to be delivered 
under the purchase contract is subject to these regulations. See Sec.  
20.4(i) for definition of a foreign buyer and foreign seller.)
    (1) Firm A makes an export sale to Firm B whose place of doing 
business with respect to the transaction is also in the United States. 
Firm B has made or will make an export sale to a foreign buyer. In this 
case Firm A cannot report the sale to Firm B since Firm B's place of 
doing business with respect to the transaction is located in the United 
States. In this example, Firm B is required to report the sale to the 
foreign buyer.
    (2) Firm A makes an export sale to a foreign buyer through the 
foreign buyer's agent and the agent's place of doing business with 
respect to the transaction is in the United States. In this example Firm 
A is required to report the export sale since the resulting contract is 
between Firm A and the foreign buyer.
    (3) Firm A consigns an export to his agent (other than an employee 
of Firm A). When the agent makes a sale to a foreign buyer, Firm A is 
required to report the sale. If the agent makes the sale to a firm whose 
place of doing

[[Page 550]]

business with respect to the transaction is in the United States, Firm A 
will not report the sale.
    (4) Firm A makes a purchase from a foreign seller. In this example, 
Firm A is required to report the purchase.
    (5) Firm A makes a purchase from an agent of a foreign seller and 
the agent's place of doing business with respect to the transaction is 
in the United States. In this example, Firm A is required to report the 
purchase. The agent is not a principal party in interest in the contract 
and cannot report the sale to Firm A. The foreign seller is not a 
reporting exporter and is not required to make a report of the sale.
    (6) Firm A, the agent of the foreign buyer, whose place of doing 
business with respect to the transaction is in the United States, 
purchases commodities domestically at interior warehouses and arranges 
for exportation to its principal, the foreign buyer. In this example, 
Firm A is required to report the sale and export.
    (7) If a reporting exporter has a transaction not described in 
paragraphs (1) through (6) of this paragraph (c) and is in doubt whether 
a transaction should be reported, the exporter should request a decision 
from the office specified in Sec.  20.10.
    (d) Contract terms. Reports of contract terms shall be filed when 
requested in accordance with Sec.  20.11. The report showing contract 
terms shall be filed on FAS-99, ``Contract Terms Supporting Export Sales 
and Foreign Purchases,'' and shall include the following:
    (1) Reporting exporter's contract number.
    (2) Date of export sale or purchase.
    (3) Name of foreign buyer or foreign seller.
    (4) Delivery period specified in the export sale or purchase.
    (5) Delivery terms specified in the export sale or purchase (F.O.B., 
C. & F., etc.).
    (6) Actual quantity of the export sale or purchase.
    (7) Quantity not exported against the sale or foreign purchase (do 
not include any tolerance).
    (8) Country of destination.
    (9) On purchases from foreign sellers, show separately from export 
sales all items of this paragraph (d).
    (e) Reporting of destination. The reporting exporters shall report 
the country of destination specified in the export sale contract or 
otherwise declared in writing by the foreign buyer. (Where a government, 
or agency of such government, is the sole importer of the commodity in a 
country, the exporter shall report that country as the country of 
destination only if the exporter or foreign buyer has made a direct sale 
to that foreign government or agency.) If the country of destination is 
not so specified or declared, the exporter shall report the destination 
as ``unknown.'' If by the time of exportation the exporter has not so 
ascertained the country of destination, the name of the country reported 
to the Bureau of Customs of the Shipper's Export Declaration for such 
export shipment should be reported, even though it may be an 
intermediate destination. The reporting exporter is not expected to 
report destination changes made after reporting the export on FAS-98, 
``Report of Export Sales and Exports.''
    (f) Optional class or kind of commodity. If the export sale provides 
for an option as to the class or kind of commodity to be delivered under 
the export sale, the reporting exporter should report the particular 
class or kind of commodity expected to be exported.
    (g) Range in contract quantity. If the export sale provides for a 
range in quantity (e.g. 10,000 metric tons to 12,000 metric tons with or 
without a loading tolerance) with the reporting exporter or buyer having 
the option to declare a firm quantity at a later date, the reporting 
exporter shall report the maximum export sale quantity (exclusive of any 
loading tolerance). If an option is exercised for a lesser quantity at a 
later date, the reporting exporter shall report the reduction as an 
amendment to an export sale previously reported.
    (h) Transfer of unexported balances from one marketing year to the 
next marketing year. If exports against an export sale are not complete 
by the end of the marketing year in which the

[[Page 551]]

commodity is being reported for export, the reporting exporter shall 
transfer the quantity not exported against the export sale to the next 
marketing year on the first report submitted after the beginning of the 
new marketing year.
    (i) Errors on previous reports. Whenever an exporter discovers an 
error or is advised by the office specified in Sec.  20.10 of an error 
on a prior report, the error shall be corrected in the current weekly 
report to reflect the proper outstanding export sales and exports. The 
exporter shall also furnish a complete written explanation of such 
reporting error.
    (j) When reports are required. (1) A reporting exporter shall submit 
reports for those commodities for which there are new export sales, 
outstanding export sales, exports for exporter's own account for which 
an offsetting export sale has not been made and reported, or purchases 
from foreign sellers.
    (2) A reporting exporter may discontinue reporting for a commodity 
only when actual exports and other required reporting of changes have 
reduced to zero all export sales, exports for exporter's own account and 
purchases from foreign sellers. The reporting exporter shall report a 
zero balance prior to discontinuing reporting for the commodity 
involved.
    (3) If a reporting exporter discontinues making reports because a 
zero balance has been reached for a particular commodity, the exporter 
shall be responsible to commence reporting again once a new export sale, 
a new export for exporter's own account, or a new purchase from a 
foreign seller for that commodity is made.
    (k) Manner and time of reporting--(1) Manner. An original of all 
report forms, other than electronic forms and ASCII comma delimited 
files, must be filed with the office specified in Sec.  20.10. Each 
report form shall contain the full business name, address and telephone 
number of the reporting exporter and the name and original signature of 
the person submitting the report form on behalf of the reporting 
exporter. Computer generated printouts may be used in lieu of standard 
reporting forms when approved by the office specified in Sec.  20.10.
    (2) Time of filing reports. Information required to be reported 
weekly (either via fax, telephone, or electronically) must be received 
in the office specified in Sec.  20.10 no later than 11:59 p.m. eastern 
time, on each Monday or such other time as may be approved in advance by 
that office. Such weekly report must set forth the required information 
as to export sales transactions made during the seven day period ending 
the preceding Thursday, midnight. If Friday or Monday is a national 
holiday, the due date shall be Tuesday. If information is transmitted by 
other than use of forms specified in Sec.  20.6(a) (such as by use of 
telephone or electronic transmission) the required forms containing such 
information shall be transmitted by first class mail the next business 
day. It is the responsibility of the reporting exporter to arrange the 
most efficient and expeditious manner for the office specified in Sec.  
20.10 to receive the reported information. Information required to be 
reported monthly must be received in the office specified in Sec.  20.10 
no later than 5:00 p.m., Eastern time, the fourth business day following 
the end of the reporting month, or such other time as may be approved in 
advance by that office, setting forth the required information as to 
export sales transactions made during the reporting month ending 
midnight the last day of such month.

[Rev. 2, 40 FR 23839, June 3, 1975, as amended by Amdt. 3, 45 FR 8562, 
Feb. 8, 1980; Amdt. 4, 45 FR 24104, Apr. 9, 1980; 45 FR 24439, Apr. 10, 
1980; Amdt. 5, 45 FR 24439, Apr. 10, 1980; 47 FR 746, Jan. 7, 1982; 68 
FR 62214, Nov. 3, 2003]



Sec.  20.7  Confidentiality of reports.

    A reporting exporter's individual reports shall remain confidential 
and subject to examination only by designatees of the Administrator. 
Information from reports filed by exporters on a weekly basis will be 
compiled and published in compilation form each week following the week 
of reporting. Information from daily reports filed by exporters will be 
made available to the public on the following business day at 9 a.m., 
eastern time. Information from monthly reports filed by exporters will 
be compiled and published in compilation form in the weekly report no 
later

[[Page 552]]

than the week following the time of filing specified in Sec.  20.6(k).

[43 FR 5497, Feb. 9, 1978, as amended by Amdt. 3, 45 FR 8562, Feb. 8, 
1980; Amdt. 5, 45 FR 24440, Apr. 10, 1980; 68 FR 62215, Nov. 3, 2003]



Sec.  20.8  Failure to report.

    Any person who knowingly fails to report export sales pursuant to 
the requirements of these regulations shall be fined not more than 
$25,000 or imprisoned not more than one year, or both.



Sec.  20.9  Records.

    Each reporting exporter shall establish and maintain accurate 
records as to all export sales of commodities subject to these 
regulations. Such records shall include, but shall not be limited to, 
export sales contracts or other agreements with the foreign buyer or 
foreign seller pursuant to which any export has or will be made; bills 
of lading or delivery documents evidencing all such exports and 
inspection and weight certificates relating thereto. Such records shall 
be available during regular business hours for inspection and audit by 
authorized employees of the United States Department of Agriculture and 
shall be preserved for three years after the date of export to which 
they relate.



Sec.  20.10  Place of submission of reports.

    Weekly reports and information required to be submitted in 
connection therewith shall be addressed to or delivered to the following 
office FAX: (202) 690-3270 or (202) 690-3273:

Foreign Agricultural Service, Export Sales Reporting Division, U.S. 
Department of Agriculture, Washington, DC 20250.

[Amdt. 4, 45 FR 8562, Feb. 8, 1980, as amended at 68 FR 62215, Nov. 3, 
2003]



Sec.  20.11  Additional reports and information.

    (a) Daily reports. The reporting exporter shall report daily to the 
Administrator information with respect to sales of agricultural 
commodities as requested. Daily reports shall be made by telephone no 
later than 3 p.m., E.s.t., on the next business day following the 
calendar day of the sale.
    (b) Additional information. The reporting exporter shall furnish 
such other additional reports and information, including price data, as 
may be requested with respect to export sales of agricultural 
commodities.

[Rev. 2, 40 FR 23839, June 3, 1975, as amended by Amdt. 3, 45 FR 8562, 
Feb. 8, 1980]



Sec.  20.12  OMB control number assigned pursuant to Paperwork 
Reduction Act.

    The information collection requirements contained in these 
regulations have been approved by the Office of Management and Budget 
(OMB) under the provisions of 44 U.S.C. chapter 35 and have been 
assigned OMB control number 0551-0007.

[51 FR 30203, Aug. 25, 1986]



 Sec. Appendix 1 to Part 20--Commodities Subject to Reporting, Units of 
   Measure To Be Used in Reporting, and Beginning and Ending Dates of 
                             Marketing Years

----------------------------------------------------------------------------------------------------------------
                                     Unit of measure to be     Beginning of marketing
     Commodity to be reported          used in reporting                year              End of marketing year
----------------------------------------------------------------------------------------------------------------
Wheat--Hard red winter...........  Metric Tons..............  June 1..................  May 31.
Wheat--Soft red winter...........  Metric Tons..............  June 1..................  May 31.
Wheat--Hard red Spring...........  Metric Tons..............  June 1..................  May 31.
Wheat--White (incl. Hard and soft  Metric Tons..............  June 1..................  May 31.
 white).
Wheat--Durum.....................  Metric Tons..............  June 1..................  May 31.
Wheat--Products--All wheat flours  Metric Tons..............  June 1..................  May 31.
 (including clears) bulgur,
 semolina, farina, and rolled,
 cracked and crushed wheat.
Barley--Unmilled (including feed   Metric Tons..............  June 1..................  May 31.
 and hull-less waxy barley).
Corn--Unmilled (including waxy,    Metric Tons..............  Sept. 1.................  Aug. 31.
 cracked--if 50% whole kernels).
Rye--Unmilled....................  Metric Tons..............  June 1..................  May 31.

[[Page 553]]

 
Oats--Unmilled...................  Metric Tons..............  June 1..................  May 31.
Grain Sorghum--Unmilled..........  Metric Tons..............  Sept. 1.................  Aug. 31.
Soybeans.........................  Metric Tons..............  Sept. 1.................  Aug. 31.
Soybean Cake and Meal............  Metric Tons..............  Oct. 1..................  Sept. 30.
Soybean Oil--including: crude      Metric Tons..............  Oct. 1..................  Sept. 30.
 (including degummed), once
 refined, soybean salad oil
 (including refined and further
 processed by bleaching,
 deodorizing or winterizing),
 hydro-genated, packaged oil.
Flaxseed.........................  Metric Tons..............  June 1..................  May 31.
Linseed Oil--including raw,        Metric Tons..............  June 1..................  May 31.
 boiled.
Cottonseed.......................  Metric Tons..............  Aug. 1..................  July 31.
Cottonseed Cake and Meal.........  Metric Tons..............  Oct. 1..................  Sept. 30.
Cottonseed Oil--including crude,   Metric Tons..............  Oct. 1..................  Sept. 30.
 once refined, cottonseed salad
 oil (refined and further
 processed by bleaching,
 deodorizing or winterizing),
 hydrogenated.
Sunflowerseed Oil crude, once      Metric Tons..............  Oct. 1..................  Sept. 30.
 refined, sunflowerseed salad oil
 (refined and further processed
 by bleaching, deodorizing or
 winterizing), hydrogenated.
Cotton--American Pima--Raw, extra  Running Bales............  Aug. 1..................  July 31.
 long staple.
Cotton--Upland--Raw, staple        Running Bales............  Aug. 1..................  July 31.
 length 1 1/16 inches and over.
Cotton--Upland--Raw, staple        Running Bales............  Aug. 1..................  July 31.
 length 1 inch up to 1 1/16
 inches.
Cotton--Upland--Raw, staple        Running Bales............  Aug. 1..................  July 31.
 length under 1 inch.
Rice--Long grain, rough            Metric Tons..............  Aug. 1..................  July 31.
 (including parboiled).
Rice--Medium, short and other      Metric Tons..............  Aug. 1..................  July 31.
 classes, rough (including
 parboiled).
Rice--Long grain, brown            Metric Tons..............  Aug. 1..................  July 31.
 (including parboiled).
Rice--Medium, short and other      Metric Tons..............  Aug. 1..................  July 31.
 classes, brown (including
 parboiled).
Rice--Long grain, milled           Metric Tons..............  Aug. 1..................  July 31.
 (including parboiled).
Rice--Medium, short and other      Metric Tons..............  Aug. 1..................  July 31.
 classes, milled (including
 parboiled, brewer's rice).
Cattle Hides and Skins--Whole      Pieces...................  Jan. 1..................  Dec. 31.
 cattle hides, (excluding wet
 blues).
Cattle Hides and Skins--Whole      Pieces...................  Jan. 1..................  Dec. 31.
 calf skins (excluding wet blues).
Cattle Hides and Skins--Whole kip  Pieces...................  Jan. 1..................  Dec. 31.
 skins, (excluding wet blues).
Cattle Hides and Skins--Cattle,    Number...................  Jan. 1..................  Dec. 31.
 calf, and kip cut into croupons,
 crops, dossets, sides, butts and
 butt bend (hide equivalent)
 (excluding wet blues).
Cattle Hides and Skins--Cattle,    Pounds...................  Jan. 1..................  Dec. 31.
 calf and kip, in cuts not
 otherwise specified; pickled/
 limed (excluding wet blues).
Cattle, calf and kip, Wet blues--  Number...................  Jan. 1..................  Dec. 31.
 unsplit (whole or sided) hide
 equivalent.
Cattle, calf and kip, Wet blues--  Number...................  Jan. 1..................  Dec. 31.
 grain splits (whole or sided)
 hide equivalent.
Cattle, calf and kip, Wet blues--  Pounds...................  Jan. 1..................  Dec. 31.
 splits, (excluding grain splits).
Beef--fresh, chilled or frozen     Metric Tons..............  Jan. 1..................  Dec. 31.
 muscle cuts/whether or not boxed.
Pork--fresh, chilled or frozen     Metric Tons..............  Jan. 1..................  Dec. 31.
 muscle cuts/whether or not boxed.
----------------------------------------------------------------------------------------------------------------


[78 FR 16778, Mar. 19, 2013]



PART 21_UNIFORM RELOCATION ASSISTANCE AND REAL PROPERTY ACQUISITION FOR 
FEDERAL AND FEDERALLY ASSISTED PROGRAMS--Table of Contents



    Authority: Sec. 231, Uniform Relocation Assistance and Real Property 
Acquisition Policies Act of 1970, Pub. L. 91-646, 84 Stat. 1894 (42 
U.S.C. 4601) as amended by the Surface Transportation and Uniform 
Relocation Assistance Act of 1987, title IV of Pub. L. 100-17, 101 Stat. 
246-256 (42 U.S.C. 4601 note).

[[Page 554]]



Sec.  21.1  Uniform relocation assistance and real property acquisition.

    Regulations and procedures for complying with the Uniform Relocation 
Assistance and Real Property Acquisition Policies Act of 1970 (Pub. L. 
91-646, 84 Stat. 1894, 42 U.S.C. 4601) as amended by the Surface 
Transportation and Uniform Relocation Assistance Act of 1987 (title IV 
of Pub. L. 100-17, 101 Stat. 246-256, 42 U.S.C 4601 note) are set forth 
in 49 CFR part 24.

[52 FR 48017, Dec. 17, 1987, and 54 FR 8912, 8913, Mar. 2, 1989]



PART 22_RURAL DEVELOPMENT COORDINATION--Table of Contents



                            Subpart A_General

Sec.
22.101 The Rural Development Act of 1972 (Pub. L. 92-419).
22.102 Summary of authorities.
22.103 Purpose.
22.104 General policy.

       Subpart B_Roles and Responsibilities of Federal Government

22.201 Coordination.
22.202 Federal unit responsibilities.
22.203 Major responsibilities under title VI, Sec. 603.
22.204 Rural development committees.
22.205 Allocation of loan and grant funds.

        Subpart C_Roles and Responsibilities of State Governments

22.301 Selection and designation.
22.302 Area eligibility.
22.303 Cooperation with Federal Regional Councils.
22.304 Multiyear planning and programming.
22.305 Conformance with OMB Circular No. A-95.
22.306 Financing rural development planning.
22.307 Program evaluation.
22.308 Project approval.
22.309 Seeking Federal review.

    Authority: Sec. 301, 80 Stat. 379, 5 U.S.C. 301 and delegations of 
authority by the Secretary of Agriculture, 38 FR 14944-14948, 7 CFR 
2.23, as amended by 38 FR 24633.

    Source: 38 FR 29020, Oct. 18, 1973, unless otherwise noted.



                            Subpart A_General



Sec.  22.101  The Rural Development Act of 1972 (Pub. L. 92-419).

    The Rural Development Act of 1972 (Pub. L. 92-419), herein called 
the Act consists of six titles designed to facilitate the development of 
rural communities through a series of authorizations including grants, 
loans, and administrative provisions. This Act adds new statutory rural 
development coordination responsibilities to certain Federal departments 
and agencies to be carried out under the leadership of the Secretary of 
Agriculture.



Sec.  22.102  Summary of authorities.

    The purpose of this section is to give notice that certain 
authorities have been delegated by the Secretary of USDA agencies for 
implementation. New Secretarial delegations covering the Rural 
Development Act were effective May 31, 1973, and were published in the 
Federal Register June 7, 1973 (38 FR 14944-14953). These are as follows:
    (a) Title I (38 FR 14948). Responsibility delegated to the Assistant 
Secretary for Rural Development. The responsibility for administering 
loan and grant authorities is redelegated to the Farmers Home 
Administration, except the responsibility for administering loan 
authorities with respect to rural electrification and telephone 
facilities and service which has been redelegated to the Rural 
Electrification Administration.
    (b) Titles II (38 FR 14945-14948), III (38 FR 14945-14948), and V 
(38 FR 14945-14948. Responsibility delegated to the Assistant Secretary 
for Conservation, Research and Education and redelegated as follows:
    (1) Titles II (38 FR 14951-14952) and III (38 FR 14951-14952) to the 
Administrator, Soil Conservation Service.
    (2) Title V (38 FR 14949-14950) to the Administrators, Cooperative 
State Research Service and the Extension Service respectively.
    (c) Title IV (38 FR 14945-14948). Responsibility delegated to the 
Assistant Secretary for Conservation, Research and Education and 
redelegated (38 FR 14950-14951) to the Chief of the Forest Service.

[[Page 555]]

    (d) Title VI, section 603 (38 FR 14948). Responsibility delegated to 
Assistant Secretary for Rural Development and redelegated (38 FR 14953) 
to the Administrator, Rural Development Service.

The Rural Development Act recognizes that many Federal departments and 
agencies of the executive branch of government administer programs and 
provide services which are applicable to the needs of rural communities. 
Section 603 of the Rural Development Act charges the Secretary of 
Agriculture with providing governmentwide leadership for, and with 
coordinating a nationwide rural development program. In such 
coordination, the Secretary shall seek measures that will achieve 
effective integration of relevant Federal services in rural areas as 
provided by Agriculture agencies and other Departments and agencies. 
This section also requires that the Secretary shall establish goals and 
report to the Congress on progress in complying with specified purposes 
of the Act. The Federal Regional Council will play a major role in 
coordination at the field level. An organic Act of the Department (7 
U.S.C. 2201) has been amended to require the Secretary to add Rural 
Development to those purposes for which he is authorized to acquire and 
diffuse useful information.



Sec.  22.103  Purpose.

    The purpose of these regulations is to establish the policies, 
procedures, and responsibilities required by section 603 of the Rural 
Development Act.



Sec.  22.104  General policy.

    Federal implementation of the Act will be consistent with the 
President's policy of decentralized decisionmaking and administrative 
responsibility which gives fullest possible consideration to State and 
local rural development goals and priorities. As a result of section 
817(4) of the Agriculture and Consumer Protection Act of 1973 (Pub. L. 
93-86) which prohibits prior approval by any State officials of any loan 
or grant under any program authorized by title I of the Rural 
Development Act of 1972 (Pub. L. 92-419), it has been necessary to 
substantially modify the planned administration of programs under 
section 603 of the Rural Development Act.



       Subpart B_Roles and Responsibilities of Federal Government



Sec.  22.201  Coordination.

    The following identifies types and levels of coordination:
    (a) Washington level interdepartmental and interagency coordination 
for purposes of the Act.
    (b) Coordination for purposes of the Act among agencies within the 
U.S. Department of Agriculture.
    (c) Coordination among and between the field operations of Federal 
agencies for purposes of the Act.
    (d) Coordination for purposes of the Act between levels of field 
operations of the Federal government and State governments.



Sec.  22.202  Federal unit responsibilities.

    The following Federal units have major responsibilities in 
implementing the Act.
    (a) Rural Development policy questions requiring resolution by the 
Committee on Community Development of the President's Domestic Council 
may be so referred by the Secretary of Agriculture, who will sit as a 
member and as Chairman of the Rural Development Committee.
    (b) The Under Secretary of Agriculture will represent the Secretary 
in matters pertaining to rural development policy when such matters are 
of mutual concern to the Under Secretaries' Group for Regional 
Operations (Executive Order 11647 as amended by E.O. 11731) and the 
Federal Regional Councils, or at such other times that he or the 
Secretary may deem appropriate.
    (c) The Assistant Secretary of Agriculture for Rural Development 
will chair an Assistant Secretaries' Working Group consisting of 
interdepartmental and interagency members from Agriculture, Health, 
Education, and Welfare, Housing and Urban Development, Defense, Labor, 
Commerce, Transportation, Environmental Protection Agency, Small 
Business Administration and others as appropriate. This working group 
will operate under the

[[Page 556]]

aegis of the Rural Development Committee of the Domestic Council. The 
purpose of this working group is:
    (1) To develop and recommend rural development policy applicable to 
more than one executive department or agency.
    (2) To develop cooperative procedures between and among executive 
departments and agencies in matters pertaining to rural development.
    (3) To devise effective rural development strategies and to bring 
Federal resources and services to bear toward their realization.
    (4) To advise the Under Secretaries' Group on involvement of Federal 
Regional Councils in rural development activities.

The Secretary of Agriculture may utilize the services of the Assistant 
Secretaries' Working Group in performing his rural development functions 
for the Rural Development Committee of the Domestic Council.
    (d) The Administrator, Rural Development Service, under the policy 
direction of the Assistant Secretary for Rural Development shall 
coordinate rural development activities under section 603 of the Rural 
Development Act as directed by the Secretary. In the fulfillment of such 
responsibilities, he is authorized to communicate directly with other 
Federal department and agency officials of corresponding levels of 
authority and with State and Federal Regional Council officials.
    (e) The Federal Regional Councils shall have primary responsibility 
for interagency program coordination at the field level and will provide 
assistance to and liaison with States in promoting rural development. 
Federal attention to this type of cooperation and coordination will be 
emphasized. In addition, the Federal Regional Councils, operating within 
policy determined at the Washington level, shall be responsible for 
performing an oversight function to assess how well the machinery is 
working in carrying out the Rural Development Act authorities. Each 
Federal Regional Council shall create an appropriate management 
structure to accomplish the foregoing. This may include the creation of 
a Rural Development Committee. The Department of Agriculture will chair 
such Rural Development Committees or otherwise assume the lead in 
managing rural development activities of the Federal Regional Councils.
    (1) Procedures for the coordination of rural development activities 
will be consistent with the policies expressed herein and with any 
specific Federal guideline based on these regulations or on Executive 
Order 11647, as amended by Executive Order 11731.
    (2) Councils shall exercise authority under Executive Order 11647, 
as amended by Executive Order 11731, to promote in rural areas 
integrated program and funding plans involving several Federal agencies.



Sec.  22.203  Major responsibilities under title VI, Sec. 603.

    (a) Title VI, section 603(b). (1) Section 603(b) of the Rural 
Development Act charges the Secretary of Agriculture with providing 
leadership in the development of a nationwide rural development program. 
Included in this program would be pertinent Federal departments and 
agencies which might contribute to this rural development mission. In 
carrying out his responsibilities, the Secretary shall report annually, 
prior to September 1, to the Congress on rural development goals for 
employment, income, population, housing, and quality of community 
services and facilities. To carry out the provisions of the Act 
specified above, the following major responsibilities are identified:
    (i) The Rural Development Committee of the Domestic Council will 
assume responsibility for interdepartmental policy formulation and 
resolution of issues pertaining to this section of the Act as determined 
by the Secretary of Agriculture. This committee consists of members of 
the Community Development Committee of the Domestic Council, to wit: The 
Secretary of Agriculture, Chairman of the Rural Development Committee; 
the Secretary of HUD, Chairman of the Urban Development Committee; the 
Secretary of Transportation, Chairman of the Transportation Policy 
Development Committee; the Secretaries of Treasury, Commerce, and Labor 
and the Director of OMB.

[[Page 557]]

    (ii) The Secretary of Agriculture shall be responsible for 
Washington level coordination pursuant to this section of the Act.
    (iii) At the regional level, the Federal Regional Councils shall 
develop and implement procedures designed to identify and facilitate 
access to Federal resources appropriate for rural development purposes 
within States. Such procedures will be consistent with policies 
expressed or endorsed by the Under Secretaries' Group. The Councils 
shall also be responsible for monitoring the effectiveness with which 
the Rural Development Act is implemented within their respective 
regions.
    (2) The Secretary of Agriculture is also authorized to initiate or 
expand research and development efforts related to solution of rural 
development problems including problems of rural water supply, rural 
sewage and solid waste management, and rural industrialization.
    (3) The Rural Development Service will operate a rural development 
research program and may also participate in rural development research 
in cooperation with Federal, State, and private research units.
    (b) Title VI, section 603(c) of the Rural Development Act. (1) Under 
guidance by the Under Secretaries' Group, and under the leadership of 
the U.S. Department of Agriculture member on each of the Federal 
Regional Councils, the Rural Development Committees of the Federal 
Regional Councils or other Federal Regional Council mechanisms assigned 
to work with rural development, shall be responsible for proposing to 
the appropriate Federal and State agencies actions in such areas as:
    (i) Adjustment, where appropriate, of administrative boundaries used 
by field staffs of Federal and federally supported agencies to conform 
with boundaries of multicounty jurisdictions. ``Multicounty 
jurisdictions'' as used means substate planning districts or other 
combinations of county jurisdictions as designated by States for State 
planning purposes.
    (ii) Co-location of field units of Federal agencies and 
consolidation of offices in the vicinity of principal centers of local 
government administration (including multicounty jurisdictional 
administration), to encourage increased cooperation within and among 
different governmental levels.
    (iii) Exchange of personnel between Federal and State agencies under 
the Intergovernmental Personnel Act (Pub. L. 91-648), to supplement and 
broaden staffs administering rural development programs, and provide 
specific technical expertise for certain projects.
    (iv) Interchange of personnel among Federal agencies for the 
purposes expressed in paragraph (b)(1)(ii) of this section.
    (2) In addition, the U.S. Department of Agriculture member on the 
Federal Regional Councils shall, by July 31, of each year, report to the 
Assistant Secretary for Rural Development who shall in turn report to 
the Under Secretaries' Group and the Congress on progress made in 
carrying out the programs outlined in paragraphs (b)(1)(ii) through (iv) 
of this section and plans for programs to be implemented during the 
following fiscal year. The first report will be due to the Assistant 
Secretary by July 31, 1974.



Sec.  22.204  Rural development committees.

    State rural development committees, consisting of USDA agency 
members and, in most instances, State governments and other Federal 
agency representatives are available to assist States in accomplishing 
their rural development objectives. Such assistance if requested by the 
State can take the form of technical assistance and cooperative services 
to States in carrying out their rural development priorities.



Sec.  22.205  Allocation of loan and grant funds.

    (a) Title I grant funds and approved loan funding levels will be 
allocated among States by a formula designed to ensure equitable 
treatment. This applies to amounts made available for business and 
industrial loans, water, sewer and other community facilities except 
electrical and telephone facilities provided by or through the Rural 
Electrification Administration.
    (b) During the second half of the fiscal year, the Secretary of 
Agriculture

[[Page 558]]

shall review State and multicounty jurisdictional rural development 
programs and projects so that unused allocations may be shifted from one 
State to another so as to enable the obligation of all available funds 
prior to the end of the fiscal year.
    (c) The formula used for fund allocation will ensure that a minimum 
loan and grant level is established so that no State receives an amount 
too small to serve the purposes of the Act. A percentage of total loan 
and grant authority will be withheld from initial allocation to allow 
subsequent appropriate technical adjustments in amounts allocated to 
individual States.
    (d) Title V funds shall be distributed by the Secretary under the 
formula specified in the Act. Title V activities will be consistent with 
the principle that States and multicounty jurisdictions have 
responsibility for the rural development planning and priority setting 
functions.



        Subpart C_Roles and Responsibilities of State Governments



Sec.  22.301  Selection and designation.

    Procedures for implementing the Act are designed to give the fullest 
possible consideration to planning and development goals and strategies 
at the State and multicounty jurisdictional levels. The governing bodies 
of multicounty organizations should include representatives of local 
governments contained within the respective multicounty jurisdictions. 
State development strategies and priorities shall be fully considered in 
the Federal administration of Rural Development Act authorities.



Sec.  22.302  Area eligibility.

    Eligibility for programs under the Act will be based on the criteria 
of community size and location of population as specified in the Act. 
State designations of eligible areas will be duly considered by the 
Federal government in the determination of eligibility for loan and 
grant assistance.



Sec.  22.303  Cooperation with Federal Regional Councils.

    States are urged to establish and maintain close and cooperative 
relationships with the Federal Regional Councils which will be in a 
position to assist the States and multicounty jurisdictions in the 
identification and application of available resources. States may 
authorize direct communications and liaison between the Regional 
Councils and multicounty jurisdictions within States.



Sec.  22.304  Multiyear planning and programming.

    State and multicounty jurisdictions are encouraged to adopt 
multiyear planning and development programs. As administrative 
procedures for implementing the Act support the feasibility of such a 
process, these programs should consider joint State, Federal, and local 
budget planning factors and be refined to conform to the actual fund 
availability as annual budgets are finalized and allocated. Such 
programs, once initiated, will be extended by the annual addition of a 
new planning year until programs are completed or terminated.



Sec.  22.305  Conformance with OMB Circular No. A-95.

    The State and multicounty jurisdictional rural development planning 
process must conform to the review requirements expressed in OMB 
Circular No. A-95 under parts I, III, and IV as appropriate.



Sec.  22.306  Financing rural development planning.

    States will be required to finance rural development planning 
through their own resources, revenue-sharing allocations, or the 
Department of Housing and Urban Development planning and management 
assistance program or other available Federal planning programs.



Sec.  22.307  Program evaluation.

    The Department of Agriculture is responsible for continuous program 
evaluation to determine if individual projects and the entire program is 
cost effective in terms of reaching rural development goals. As a 
result, USDA is responsible for conducting and reporting an annual 
evaluation of selected rural development projects and the overall rural 
development program. USDA shall include as a part of its

[[Page 559]]

evaluation Federal Regional Council assessment of the effectiveness of 
interagency coordination and delivery of services within the overall 
rural development program. States and multicounty districts are 
encouraged to participate in the joint preparation of such program 
evaluations. Copies of such evaluations should be supplied to the 
Administrator, Rural Development Service, Department of Agriculture and 
to the Federal Regional Councils, in sufficient time so as to arrive not 
later than July 1. The initial evaluation, due July 1, 1974, in addition 
to the requirements listed below, should include a background statement 
and should summarize first year program efforts and results. Annual 
evaluation should:
    (a) Describe the process used in planning, project selection and 
priority setting, and the criteria and process used in evaluating 
program effectiveness.
    (b) Describe the specific objectives of the programs.
    (c) Describe and assess the cost and effectiveness of projects being 
pursued within individual multicounty jurisdictions.
    (d) Express observations, conclusions and recommendations based on 
such evaluations which may contribute to the development of better 
management, coordination and planning procedures.



Sec.  22.308  Project approval.

    State and multicounty jurisdictional planning is a State and local 
prerogative. Federal agencies will be responsive to State rural 
development strategies and priorities. However, determination of 
eligibility and feasibility and final approval of individual projects 
involving Federal funds must remain with the Federal government 
consistent with the Act and implementing regulations.



Sec.  22.309  Seeking Federal review.

    States may, if they elect, submit multicounty development plans and 
proposals to the Federal Regional Councils and to the Rural Development 
Service, USDA, for review and comment. Such review will neither obligate 
the Federal government with respect to such programs nor require States 
to conform with suggestions supplied by the USDA or the Federal Regional 
Council.



PART 23_STATE AND REGIONAL ANNUAL PLANS OF WORK--Table of Contents



                         Subpart A_State Program

Sec.
23.1 General.
23.2 Administration.
23.3 Coordination.
23.4 State Rural Development Advisory Council.
23.5 Availability of funds.
23.6 Plan of Work.

                       Subpart B_Regional Program

23.9 General.
23.10 Administration.
23.11 Board of Directors.
23.12 Availability of funds.
23.13 Plan of Work.

    Authority: Sec. 508, 86 Stat. 674 (7 U.S.C. 2668).

    Source: 38 FR 29023, Oct. 18, 1973, unless otherwise noted.



                         Subpart A_State Program



Sec.  23.1  General.

    (a) Title V of the Rural Development Act of 1972 (Pub. L. 92-419) 
hereafter referred to as ``Title V'' is the Research and Education 
component of the Rural Development Act of 1972. Title V provides the 
opportunity to utilize and build upon the research, extension, and 
community service capability of public and private institutions of 
higher education in each State to expand scientific inquiry and 
education backup for rural development. The higher educational and 
research institutions in each State, including the Land Grant 
Institutions of 1890, are authorized to assist in developing and 
disseminating through the most appropriate manner, scientific 
information, technical assistance, and feasibility studies required to 
improve the rural development capability of local citizens, agencies, 
and governments. Programs authorized under title V shall be organized 
and conducted by one or more colleges or universities in each State to 
provide a coordinated program in each State which will have the greatest 
impact on accomplishing the objectives of rural

[[Page 560]]

development in both the short and longer term and the use of these 
studies to support the State's comprehensive program to be supported 
under title V.
    (b) Title V operations will be consonant with the purpose that all 
Federal rural development activities be coordinated with other federally 
assisted rural development activities and with the State's ongoing rural 
development program. To effectuate such purpose, the Assistant Secretary 
for Conservation, Research and Education will implement title V plans 
and activities in close coordination with the Assistant Secretary for 
Rural Development.



Sec.  23.2  Administration.

    (a) Title V will be administered by the Director of the National 
Institute of Food and Agriculture in cooperation with the chief 
administrative officer of the State Land Grant University who will 
administer the program within his respective State. To assure national 
and State coordination with programs under the Smith-Lever Act of 1914 
and the Hatch Act (as amended), August 11, 1955, the administration of 
the programs shall be in association with the programs conducted under 
the Smith-Lever Act and the Hatch Act as required by section 504(b) of 
the Act.
    (b) Programs authorized under title V shall be conducted as mutually 
agreed upon by the Secretary and the chief administrative officer of the 
State Land Grant University responsible for administering said programs 
in a memorandum of understanding which shall provide for the 
coordination of the programs, coordination of these programs with other 
rural development programs of Federal, State, and local government, and 
such other matters as the Secretary shall determine.

[38 FR 29023, Oct. 18, 1973, as amended at 76 FR 4804, Jan. 27, 2011]



Sec.  23.3  Coordination.

    The chief administrative officer of the administratively responsible 
State Land Grant University will designate an official who will be 
responsible for the overall coordination of the authorized programs for 
the State. The designated official will be responsible for the overall 
coordination of planning, organizing, funding, conducting and evaluating 
programs in association with the person responsible for the 
administration of research programs, the person responsible for the 
administration of the extension programs, and the administrative head of 
agriculture of the University (chairman of the State Rural Development 
Advisory Council).



Sec.  23.4  State Rural Development Advisory Council.

    (a) The chief administrative officer of the administratively 
responsible State Land Grant University will appoint a State Rural 
Development Advisory Council with membership as set forth in section 
504(e) of title V. The function of the Council shall be to review and 
approve annual program plans conducted under title V. The Council will 
also advise the chief administrative officer on all matters pertaining 
to the authorized programs.
    (b) The Chairman of the State Rural Development Advisory Council 
will insure that programs proposed under title V including regional 
programs applicable within the State are not inconsistent with and are, 
to a maximum extent practicable, in consonance with other rural 
development programs and activities approved in that State.
    (c) Those elements of the research and extension plan which would 
impact directly on rural development activities being developed or 
pursued by States will be considered jointly by the State Rural 
Development Advisory Council and appropriate State agencies to assure a 
constructive reinforcement of those State activities.



Sec.  23.5  Availability of funds.

    Funds available under title V for extension and research programs 
shall be allocated to, and following approval of a State Annual Plan of 
Work, paid to the official of the State Land Grant University designated 
to receive funds under the Smith-Lever and Hatch Acts respectively. 
Funds will be available for State programs for expenditures authorized 
by section 503(c) of title V, in the fiscal year for which the funds 
were appropriated and the next fiscal year.

[[Page 561]]



Sec.  23.6  Plan of Work.

    (a) A State Annual Plan of Work for carrying out the programs 
authorized under title V shall be prepared. The Plan of Work should 
include:
    (1) Identification of major problems and needs which can be met by 
each related extension and research program in the geographic or problem 
area.
    (2) The relationship of this program to ongoing planning and 
development efforts.
    (3) The organizational structure for planning, conducting, and 
evaluating each pilot program, including the names and title of the 
members of the Rural Development Advisory Council and the composition of 
major committees and work groups.
    (4) A separate concise statement describing specific extension 
projects to be funded under each program. The statement should contain 
the following elements: Title, objectives, organization and operational 
procedures, probable duration, personnel, institutions involved, and 
relation to the research effort. In addition, a brief description of 
each regular or special extension project which is complementary and 
supports the title V pilot program, but which is funded from other 
sources shall be included.
    (5) A separate concise statement describing specific research 
projects to be funded under each program. The statement should contain 
the following elements: Title, objectives, organization, and operational 
procedures, probable duration, personnel, institutions involved, and 
relation to the extension effort. In addition, a brief description of 
each regular or special research project which is complementary and 
supports the title V program, but which is funded from other sources, 
shall be included.
    (6) A plan for evaluating the impact of each program on the 
development of the area, including the effectiveness of the extension 
and research program techniques, and organizational structure for 
planning and conducting each program. Appraisals by community leaders in 
the area should be included in the evaluation.
    (7) Provisions for making an annual progress report to the Assistant 
Secretary for Conservation, Research, and Education which will document 
achievements pertaining to the goals and objectives as stated in the 
Plan of Work.
    (8) A budget statement for each program to be submitted on forms 
provided by the Assistant Secretary for Conservation, Research, and 
Education.
    (b) The Plan of Work shall include plans for all programs to be 
conducted with funds authorized under section 503(b)(3) and (4) of title 
V. The Plan of Work shall include plans for the programs to be conducted 
by each cooperating and participating university or college and such 
other information as included in these guidelines. Each State program 
must include research and extension activities directed toward 
identification of programs which are likely to have the greatest impact 
upon accomplishing the objectives of rural development in both the short 
and longer terms and the use of these studies to support the State's 
comprehensive program to be supported under section 505(b) of title V. 
In addition, all other rural development extension and research efforts 
funded from other sources that contribute directly to the proposed 
programs shall be described in the Plan of Work.
    (c) Since the appropriation authorization for title V is limited to 
a three-year period the Plan of Work should be developed to demonstrate 
extension and research program techniques and organizational structures 
for providing essential knowledge to assist and support rural 
development efforts within that time.
    (1) In accordance with the above criteria, the Plan of Work should:
    (i) Concentrate on limited geographic or problem areas where title V 
efforts would be expected to have high impact within the three-year 
authorization.
    (ii) Give emphasis to rural areas, including towns and cities with 
populations of less than 50,000.
    (iii) Involve the administratively responsible Land Grant University 
and other public or private colleges and universities, as appropriate, 
in meeting with high priority extension and research needs of the 
area(s).

[[Page 562]]

    (iv) Give priority to education and research assistance leading to 
increasing job and income opportunities, improving quality of life, 
improving essential community services and facilities, improving housing 
and home improvements, and enhancing those social processes necessary to 
achieve these goals.
    (v) Be consistent with Statewide comprehensive planning and 
development efforts and objectives. Procedures set forth under Sec.  
23.4(c) are designed to achieve attainment of this requirement.
    (d) Four copies of the Plan of Work approved by the State Rural 
Development Advisory Council shall be submitted by the person 
responsible for the overall coordination of the title V programs in the 
State to the Assistant Secretary for Conservation, Research and 
Education, U.S. Department of Agriculture, Washington, DC 20250, within 
60 days after enactment of the annual Appropriation Act for the 
Department of Agriculture.
    (e) Plans of Work not meeting the above criteria will not be 
approved by the Assistant Secretary for Conservation, Research and 
Education.



                       Subpart B_Regional Program



Sec.  23.9  General.

    (a) Section 503(b)(2), title V, of the Rural Development Act of 1972 
(Pub. L. 92-419) hereafter referred to as ``Title V'' authorizes funds 
to finance work authorized under title V which serve two or more States; 
in which universities in two or more States cooperate; or which is 
conducted by one University serving two or more States. The authorized 
funding under section 503(b)(2) is hereafter referred to as the 
``Regional Programs.''
    (b) The Regional Programs shall develop and provide knowledge 
essential to assist and support rural development in the region, and 
shall provide for technical consultation and personnel development for 
the research and extension staff in the several States of the region to 
help them to be more responsive to rural development needs and 
activities.
    (c) The Regional Programs will concentrate on the high priority 
knowledge, training, and personnel needs required for the research and 
extension staff in the several States to conduct effective rural 
development research and extension to carry out the provisions of title 
V. These efforts may include personnel development and consultation; 
synthesis of existing research knowledge and the interpretation of this 
knowledge for rural development program and policy purposes; the 
development of strategies and procedures on high priority rural 
development problems of regional significance; as funds permit, the 
conduct of research on one of two high priority problems for which 
information is lacking but is urgently needed for rural development, and 
the evaluation of rural development programs and policies.
    (d) Regional Programs will be consonant with all rural development 
activities under the Act and other pertinent Federal development 
programs. To effectuate such purpose, the Assistant Secretary for 
Conservation, Research and Education will implement title V plans and 
activities in close cooperation with the Assistant Secretary for Rural 
Development. In order to insure such consonance, the Director of each 
Regional Center will insure that regional programs having an impact 
within one or more States are brought to the attention of the 
appropriate State overall coordinator for consideration pursuant to 
procedures in Sec.  23.4(c).



Sec.  23.10  Administration.

    (a) The Regional Programs will be administered through four Regional 
Rural Development Centers hereafter referred to as ``Regional Centers'' 
in cooperation with the National Institute of Food and Agriculture. The 
Director of each Regional Center shall be responsible for compliance 
with all appropriate provisions of title V and the regulations of this 
subpart. Regions as delineated for purposes under section 503(b)(2) will 
be coterminous with the regional delineation by the National Association 
of State Universities and Land Grant Colleges. Each Regional Center will 
be established by the regional association of State Agricultural 
Experiment Station Directors

[[Page 563]]

and the regional organization of Cooperative Extension Directors in the 
region to be served by the Regional Center. These associations and 
organizations will designate the location of the Regional Center.
    (b) Although the Regional Center will administer the program, it is 
also expected that it will draw on expertise from outside the Regional 
Center. The Director of each Regional Center shall seek advice and 
assistance from regional and subregional committees, groups or persons 
who can contribute to the Regional Center's program.

[38 FR 29023, Oct. 18, 1973, as amended at 76 FR 4804, Jan. 27, 2011]



Sec.  23.11  Board of Directors.

    (a) For each Regional Center there shall be a Board of Directors 
selected by the Regional Association of Agricultural Experiment Station 
Directors and the Regional Organization of Cooperative State Extension 
Directors. Membership on the Board of Directors shall include 
representatives from State Cooperative Extension Services and State 
Agricultural Experiment Stations from the States in the region and/or 
other State administrators of programs carried out under title V in the 
region.
    (b) The Director of each Regional Center will be responsible to the 
Board of Directors for the Regional Program conducted at that Regional 
Center. The Regional Annual Plan of Work will be developed by the 
Director and reviewed and approved by the Board of Directors.



Sec.  23.12  Availability of funds.

    Available funds will be allocated equally and following approval of 
a Regional Annual Plan of Work paid to the Directors of the four 
Regional Centers. Funds will be available for Regional Programs for 
expenditures authorized by section 503(c) of title V, in the fiscal year 
for which the funds were appropriated and the next fiscal year.



Sec.  23.13  Plan of Work.

    (a) A Regional Plan of Work for carrying out the programs authorized 
to be funded under section 503(b)(2) of title V shall be prepared. The 
Plan of Work should include:
    (1) A brief narrative statement including identification of high 
priority knowledge, skill, and organization needs for rural development 
program and policy purposes in the region and identification of 
technical consultation, training, and personnel needs of research and 
extension workers in support of rural development programs.
    (2) A statement indicating:
    (i) The types of personnel to be trained, technical consultation to 
be conducted, the estimated number of participants, the location or 
locations where the program will be conducted, and the staff who will 
conduct the work;
    (ii) The types of topical areas of rural development for which the 
synthesis of available research knowledge for rural development purposes 
is planned;
    (iii) The type of high priority rural development research which 
will be undertaken as funds permit and the staff which would do the 
research;
    (iv) The type of evaluation studies which will be made and the staff 
which will do the evaluation; and
    (v) The relationship of the Plan of Work to priorities activated 
under subpart A of this part, which in turn support State development 
strategies.
    (3) A concise statement of the organization structure for planning 
and conducting the program funded under section 503(b)(2).
    (4) A plan for evaluating the usefulness of the program and the 
effectiveness of the organizational structure.
    (5) Provision for making an annual progress report to the Assistant 
Secretary for Conservation, Research and Education which will document 
achievements pertaining to the goals and objectives as stated in the 
Plan of Work.
    (6) A budget statement to be submitted on forms provided by the 
Assistant Secretary for Conservation, Research and Education.
    (b) The Plan of Work shall be coordinated with the work program of 
other pertinent multi-State organizations or bodies for those activities 
of the Regional Rural Development Centers which go beyond direct 
assistance to individual State programs conducted under title V.

[[Page 564]]

    (c) The Director of the Center will forward four copies of the Plan 
of Work to the Assistant Secretary for Conservation, Research and 
Education, U.S. Department of Agriculture, Washington, D.C. 20250, by a 
time to be specified by the Assistant Secretary for Conservation, 
Research and Education.
    (d) Regional Annual Plans of Work not meeting the above criteria 
will not be approved by the Assistant Secretary for Conservation, 
Research and Education.

                           PART 24 [RESERVED]



PART 25_RURAL EMPOWERMENT ZONES AND ENTERPRISE COMMUNITIES--Table of Contents



                      Subpart A_General Provisions

Sec.
25.1 Applicability and scope.
25.2 Objective and purpose.
25.3 Definitions.
25.4 Secretarial review and designation.
25.5 Waivers.
25.6-25.9 [Reserved]

                       Subpart B_Area Requirements

25.100 Eligibility requirements.
25.101 Data utilized for eligibility determinations.
25.102 Pervasive poverty, unemployment and general distress.
25.103 Area size and boundary requirements.
25.104 Poverty rate.
25.105-25.199 [Reserved]

                     Subpart C_Nomination Procedure

25.200 Nominations by State and local governments.
25.201 Application.
25.202 Strategic plan.
25.203 Submission of applications.
25.204 Evaluation of the strategic plan.
25.205-25.299 [Reserved]

                      Subpart D_Designation Process

25.300 USDA action and review of nominations for designation.
25.301 Selection factors for designation of nominated rural areas.
25.302-25.399 [Reserved]

                 Subpart E_Post-Designation Requirements

25.400 Reporting.
25.401 Responsibility of lead managing entity.
25.402 Periodic performance reviews.
25.403 Ongoing 2-year work plan requirement.
25.404 Validation of designation.
25.405 Revocation of designation.
25.406-25.499 [Reserved]

                         Subpart F_Special Rules

25.500 Indian reservations.
25.501 Governments.
25.502 Nominations by State-chartered economic development corporations.
25.503 Rural areas.
25.504-25.999 [Reserved]

                 Subpart G_Round II and Round IIS Grants

25.600 Purpose.
25.601 Delegation of authority.
25.602 Eligible recipients.
25.603 Grant approval and obligation of funds.
25.604 Disbursement of grant funds.
25.605 Grant program reporting requirements.
25.606 Financial management and records.
25.607 Suspension or termination of grant funds.
25.608-25.619 [Reserved]
25.620 Eligible grant purposes.
25.621 Ineligible grant purposes.
25.622 Other considerations.
25.623 Programmatic changes.
25.624-25.999 [Reserved]

    Authority: 5 U.S.C. 301; 26 U.S.C. 1391; Pub. L. 103-66, 107 Stat. 
543; Pub L. 105-34, 111 Stat. 885; Sec. 766, Pub. L. 105-277, 112 Stat. 
2681-37; Pub. L. 106-554 [Title I of H.R. 5562], 114 Stat. 2763.

    Source: 63 FR 19114, Apr. 16, 1998, unless otherwise noted.



                      Subpart A_General Provisions



Sec.  25.1  Applicability and scope.

    (a) Applicability. This part contains policies and procedures 
applicable to rural empowerment zones and enterprise communities, 
authorized under the Omnibus Budget Reconciliation Act of 1993, title 
XIII, subchapter C, part I (Round I), the Taxpayer Relief Act of 1997, 
title IX, subtitle F (Round II), the Agriculture, Rural Development, 
Food and Drug Administration, and Related Agencies Appropriations Act, 
1999 (Public Law 105-277) (Round IIS), and the Community Renewal Tax 
Relief Act of 2000 (Public Law 106-554) (Round III).
    (b) Scope. This part contains provisions relating to area 
requirements,

[[Page 565]]

the nomination process for rural Empowerment Zones and rural Enterprise 
Communities, and the designation of these Zones and Communities by the 
Secretary of the U.S. Department of Agriculture (Secretary) (USDA). 
Provisions dealing with the nominations and designation of urban 
Empowerment Zones and Enterprise Communities are promulgated by the U.S. 
Department of Housing and Urban Development (HUD). This part also 
contains provisions relating to granting certain nominated areas status 
as Champion communities.

[63 FR 19114, Apr. 16, 1998, as amended at 67 FR 13556, Apr. 24, 2002]



Sec.  25.2  Objective and purpose.

    The purpose of this part is to provide for the establishment of 
Empowerment Zones and Enterprise Communities in rural areas in order to 
facilitate the empowerment of the disadvantaged and long-term unemployed 
such that they may become economically self-sufficient, and to promote 
revitalization of economically distressed areas, primarily by 
facilitating:
    (a) Coordination of economic, human services, health, 
transportation, education, community, and physical development plans, 
and other plans and related activities at the local level;
    (b) Local partnerships fully involving affected communities and 
local institutions and organizations in developing and implementing a 
comprehensive multi-sectoral strategic plan for any nominated rural 
Empowerment Zone or Enterprise Community;
    (c) Tax incentives and credits; and
    (d) Distribution of other federal resources including grants from 
USDA and other federal departments, including Empowerment Zone and 
Enterprise Community Social Services Block Grant (EZ/EC SSBG) funds as 
may be available from the U.S. Department of Health and Human Services 
(HHS).



Sec.  25.3  Definitions.

    As used in this part--
    Annual report means the report submitted to USDA by all rural 
Empowerment Zones and Enterprise Communities pursuant to Sec.  25.400.
    Applicant means the entity that is submitting the community's 
strategic plan for accomplishing comprehensive economic, human 
community, and physical development within the area; such an entity may 
include, but is not limited to, State governments, local governments, 
tribal governments, regional planning agencies, non-profit 
organizations, community-based organizations, or a partnership of 
community members and other entities. The applicant may be the same as 
or different from the lead managing entity.
    Baseline condition means a measurable condition or problem at the 
time of designation for which benchmark goals have been established for 
improvement.
    Benchmark activity means a program, project, task or combination 
thereof which is designed to achieve a benchmark goal.
    Benchmark goal means a measurable goal targeted for achievement in 
the strategic plan.
    Brownfield means a ``qualified contaminated site'' meeting the 
requirements of section 941 of the Taxpayer Relief Act of 1997, (26 
U.S.C. 198(c)), where the site is located in an empowerment zone or 
enterprise community.
    Census tract means a population census tract, or, if census tracts 
are not defined for the area, a block numbering area (BNA) as 
established by the Bureau of the Census, U.S. Department of Commerce. 
BNAs are areas delineated by state officials or (lacking state 
participation) by the Census Bureau, following Census Bureau guidelines, 
for the purpose of grouping and numbering decennial census blocks in 
counties or statistically equivalent entities in which census tracts 
have not been established. A BNA is equivalent to a census tract in the 
Census Bureau's geographic hierarchy.
    Champion Community means a rural area granted such status by the 
Secretary pursuant to this part from among those communities which 
applied for designation as either a rural Empowerment Zone or Enterprise 
Community and which were not so designated.
    Designation means the process by which the Secretary designates 
rural

[[Page 566]]

areas as empowerment zones or enterprise communities pursuant to 
eligibility criteria established by subchapter U of the Internal Revenue 
Code (26 U.S.C. 1391 et seq.).
    Designation date means December 21, 1994, in the case of Round I 
designations, December 24, 1998, in the case of Round II and Round IIS 
designations and January 11, 2002, in the case of Round III designations
    Designation period means, in the case of empowerment zones, the 
lesser of such time as has elapsed from the designation date to December 
31, 2009 or from the designation date to the effective date of an 
applicable notice of revocation pursuant to 7 CFR 25.405(e) and, in the 
case of enterprise communities, the lesser of ten years or such time as 
has elapsed from the designation date to the effective date of an 
applicable notice of revocation pursuant to 7 CFR 25.405(e).
    Developable site means a parcel of land in a nominated area which 
may be developed for commercial or industrial purposes.
    Empowerment Zone means a rural area so designated by the Secretary 
pursuant to this part.
    Enterprise Community means a rural area so designated by the 
Secretary pursuant to this part.
    EZ/EC SSBG funds or EZ/EC Social Services Block Grant funds means 
any funds that may be provided to states or tribal governments by HHS in 
accordance with section 2007(a) of the Social Security Act (42 U.S.C. 
1397f), for use by designated Empowerment Zones or Enterprise 
Communities.
    Funding official means the state director in the state where the 
designated rural area is located, or if the designated rural area is 
located in more than one state, the state where the headquarters office 
of the lead managing entity is located.
    HHS means the U.S. Department of Health and Human Services.
    HUD means the U.S. Department of Housing and Urban Development.
    Indian reservation means a reservation as defined in section 
168(j)(6) of the Internal Revenue Code, 26 U.S.C. 168(j)(6).
    Lead managing entity means the entity that will administer and be 
responsible for the implementation of the strategic plan.
    Local government means any county, city, town, township, parish, 
village, or other general purpose political subdivision of a state, and 
any combination of these political subdivisions that is recognized by 
the Secretary.
    Nominated area means an area which is nominated by one or more local 
governments and the state or states in which it is located for 
designation in accordance with this part.
    Office of Community Development or OCD means the office of the 
Deputy Administrator, Community Development, as identified in 7 CFR 
2003.26(b)(4).
    Outmigration means the negative percentage change reported by the 
Bureau of the Census, U.S. Department of Commerce, for the sum of:
    (1) Net Domestic Migration;
    (2) Net Federal Movement; and
    (3) Net International Migration, as such terms are defined for 
purposes of the 1990 Census.
    Poverty rate means, for a given Census tract, the poverty rate 
reported in Table 19 of the Bureau of the Census CPH-3 series of 
publications from the 1990 Census of Population and Housing: Population 
and Housing Characteristics for Census Tracts and Block Numbering Areas.
    Revocation of designation means the process by which the Secretary 
may revoke the designation of an area as an Empowerment Zone or 
Enterprise Community pursuant to Sec.  25.405.
    Round I identifies designations of rural Empowerment Zones and 
Enterprise Communities pursuant to subchapter C, part I (Empowerment 
Zones, Enterprise Communities and Rural Development Investment Areas) of 
Title XIII of the Omnibus Budget Reconciliation Act of 1993 (Pub. L. 
103-66).
    Round II identifies designations of rural Empowerment Zones pursuant 
to subtitle F (Empowerment Zones, Enterprise Communities, Brownfields, 
and Community Development Financial Institutions) of Title IX of the 
Taxpayer Relief Act of 1997 (Pub. L. 105-34).
    Round IIS identifies designations of rural enterprise communities 
pursuant to section 766 of the Agriculture, Rural

[[Page 567]]

Development, Food and Drug Administration, and Related Agencies 
Appropriations Act, 1999 (Public Law 105-277).
    Round III identifies designations of empowerment zones pursuant to 
section 111 of the Community Renewal Tax Relief Act of 2000 (Public Law 
106-554).
    Rural area means any area defined pursuant to Sec.  25.503.
    Secretary means the Secretary of the U.S. Department of Agriculture.
    State means any state in the United States.
    State director means the state director for the Rural Development 
mission area within USDA, as identified in 7 CFR 2003.10.
    Strategic plan means a plan for achieving benchmark goals evidencing 
improvement over identified baseline conditions, developed with the 
participation and commitment of local governments, tribal governments, 
state governments, private sector, community members and others, 
pursuant to the provisions of Sec.  25.202.
    USDA means the U.S. Department of Agriculture.
    USDA EZ/EC grant program means the grant program authorized by 
section 766 of the Agriculture, Rural Development, Food and Drug 
Administration, and Related Agencies Appropriations Act, 1999 (Public 
Law 105-277).

[63 FR 19114, Apr. 16, 1998, as amended at 67 FR 13556, Apr. 24, 2002; 
68 FR 16170, Apr. 3, 2003]



Sec.  25.4  Secretarial review and designation.

    (a) Designation. The Secretary will review applications for the 
designation of nominated rural areas to determine the effectiveness of 
the strategic plans submitted by applicants; such designations of rural 
empowerment zones and enterprise communities as are made shall be from 
the applications submitted in response to the notice inviting 
applications or other applicable notice published in the Federal 
Register. The Secretary may elect to designate as champion communities 
those nominated areas which are not designated as either a rural 
empowerment zone or enterprise community and whose applications meet the 
criteria contained in Sec.  25.301.
    (b) Number of rural empowerment zones, enterprise communities and 
champion communities--(1) Round I. The Secretary may designate up to 
three rural Empowerment Zones and up to thirty rural Enterprise 
Communities prior to December 31, 1996.
    (2) Round II. The Secretary may, prior to January 1, 1999, designate 
up to five rural empowerment zones in addition to those designated in 
Round I.
    (3) Round IIS. The Secretary may designate up to 20 rural enterprise 
communities in addition to those designated in Round I.
    (4) Round III. The Secretary may, prior to January 1, 2002, 
designate up to two rural empowerment zones in addition to those 
designated in Round I and Round II.
    (5) Champion communities. The number of champion communities is 
limited to the number of applicants which are not designated empowerment 
zones or enterprise communities.
    (c) Period of designation. The designation of a rural area as an 
Empowerment Zone or Enterprise Community shall remain in effect during 
the period beginning on the designation date and ending on the earliest 
of the:
    (1) End of the tenth calendar year beginning on or after the 
designation date;
    (2) Termination date designated by the state and local governments 
in their application for nomination;
    (3) Date the Secretary revokes the designation; or
    (4) Date the Empowerment Zone or Enterprise Community modifies its 
boundary without first obtaining the written approval of the Secretary.

[63 FR 19114, Apr. 16, 1998, as amended at 67 FR 13556, Apr. 24, 2002]



Sec.  25.5  Waivers.

    The Secretary may waive any provision of this part in any particular 
case for good cause, where it is determined that application of the 
requirement would produce a result adverse to the purpose and objectives 
of this part.

[[Page 568]]



Sec. Sec.  25.6-25.99  [Reserved]



                       Subpart B_Area Requirements



Sec.  25.100  Eligibility requirements.

    A nominated rural area may be eligible for designation pursuant to 
this part only if the area:
    (a) Has a maximum population of 30,000;
    (b) Is one of pervasive poverty, unemployment, and general distress, 
as described in Sec.  25.102;
    (c) Meets the area size and boundary requirements of Sec.  25.103;
    (d) Is located entirely within the jurisdiction of the general local 
government making the nomination; and
    (e) Meets the poverty rate criteria contained in Sec.  25.104.
    (f) Provision for Alaska and Hawaii. A nominated area in Alaska or 
Hawaii shall be presumed to meet the criteria of paragraphs (b), (c), 
and (e) of this section if, for each Census tract or block group in the 
area, at least 20 percent of the families in such tract have an income 
which is 50 percent or less of the statewide median family income.



Sec.  25.101  Data utilized for eligibility determinations.

    (a) Source of data. The data to be employed in determining 
eligibility pursuant to this part shall be based on the 1990 Census, and 
from information published by the Bureau of Census and the Bureau of 
Labor Statistics, provided, however, that for purposes of demonstrating 
outmigration pursuant to Sec.  25.104(b)(2)(iii), data from the 1980 
Census and interim data collected by the Bureau of Census for the 1990-
1994 period may be used. The data shall be comparable in point or period 
of time and methodology employed.
    (b) Use of statistics on boundaries. The boundary of a rural area 
nominated for designation as an Empowerment Zone or Enterprise Community 
must coincide with the boundaries of Census tracts, or, where tracts are 
not defined, with block numbering areas, except:
    (1) Nominated areas in Alaska and Hawaii shall coincide with the 
boundaries of census tracts or block groups as such term is used for 
purposes of the 1990 Census;
    (2) Developable sites are not required to coincide with the 
boundaries of Census tracts; and
    (3) Nominated areas wholly within an Indian reservation are not 
required to adhere to census tract boundaries if sufficient credible 
data are available to show compliance with other requirements of this 
part. The requirements of Sec.  25.103 are otherwise applicable.

[63 FR 19114, Apr. 16, 1998, as amended at 63 FR 53780, Oct. 7, 1998]



Sec.  25.102  Pervasive poverty, unemployment and general distress.

    (a) Pervasive poverty. Conditions of poverty must be reasonably 
distributed throughout the entire nominated area. The degree of poverty 
shall be demonstrated by citing available statistics on low-income 
population, levels of public assistance, numbers of persons or families 
in poverty or similar data.
    (b) Unemployment. The degree of unemployment shall be demonstrated 
by the provision of information on the number of persons unemployed, 
underemployed (those with only a seasonal or part-time job) or 
discouraged workers (those capable of working but who have dropped out 
of the labor market--hence are not counted as unemployed), increase in 
unemployment rate, job loss, plant or military base closing, or other 
relevant unemployment indicators having a direct effect on the nominated 
area.
    (c) General distress. General distress shall be evidenced by 
describing adverse conditions within the nominated area other than those 
of pervasive poverty and unemployment. Below average or decline in per 
capita income, earnings per worker, per capita property tax base, 
average years of school completed; outmigration and population decline, 
a high or rising incidence of crime, narcotics use, abandoned housing, 
deteriorated infrastructure, school dropouts, teen pregnancy, incidents 
of domestic violence, incidence of certain health conditions and 
illiteracy are examples of appropriate indicators of general distress. 
The data and methods used to produce such indicators that are used to 
describe general distress must all be stated.

[[Page 569]]



Sec.  25.103  Area size and boundary requirements.

    (a) General eligibility requirements. A nominated area:
    (1) May not exceed one thousand square miles in total land area;
    (2) Must have one continuous boundary if located in more than one 
State or may consist of not more than three noncontiguous parcels if 
located in only one State;
    (3) If located in more than one State, must be located within no 
more than three contiguous States;
    (4) May not include any portion of a central business district (as 
such term is used for purposes of the most recent Census of Retail 
Trade) unless the poverty rate for each Census tract in such district is 
not less than 35 percent for an Empowerment Zone (30 percent in the case 
of an Enterprise Community);
    (5) Subject to paragraph (b)(4) of this section, may not include any 
portion of an area already included in an Empowerment Zone or Enterprise 
Community or included in an area otherwise nominated to be designated 
under this section;
    (b) Eligibility requirements specific to different rounds.
    (1) For purposes of Round I designations only, a nominated area may 
not include any area within an Indian reservation;
    (2) For purposes of applying paragraph (a)(1) of this section to 
Round II, Round IIS and Round III designations:
    (i) A Census tract larger than 1,000 square miles shall be reduced 
to a 1,000 square mile area with a continuous boundary, if necessary, 
after application of Sec. Sec.  25.103(b)(2) (ii) and (iii);
    (ii) Land owned by the Federal, State or local government may (and 
in the event the Census tract exceeds 1,000 square miles, will) be 
excluded in determining the square mileage of a nominated area; and
    (iii) Developable sites, in the aggregate not exceeding 2,000 acres, 
may (and in the event the Census tract exceeds 1,000 square miles, will) 
be excluded in determining the square mileage of the nominated area;
    (3) For purposes of applying paragraph (a)(2) of this section to 
Round II, Round IIS and Round III designations, the following shall not 
be treated as violating the continuous boundary requirement nor the 
limit on the number of noncontiguous parcels:
    (i) Exclusion of excess area pursuant to paragraph (b)(2)(i) of this 
section;
    (ii) Exclusion of government owned land pursuant to paragraph 
(b)(2)(ii) of this section; or
    (iii) Exclusion of developable sites pursuant to paragraph 
(b)(2)(iii) of this section; and
    (4) Paragraph (a)(5) of this section shall not apply where a Round I 
Enterprise Community is applying either in its entirety or together with 
an additional area for a Round II Empowerment Zone designation.

[63 FR 19114, Apr. 16, 1998, as amended at 63 FR 53780, Oct. 7, 1998; 67 
FR 13557, Mar. 25, 2002]



Sec.  25.104  Poverty rate.

    (a) General. Eligibility of an area on the basis of poverty shall be 
established in accordance with the following poverty rate criteria 
specific to Round I, Round II, Round IIS and Round III nominated areas:
    (1) Round I--(i) In each Census tract, the poverty rate may not be 
less than 20 percent;
    (ii) For at least 90 percent of the Census tracts within the 
nominated area, the poverty rate may not be less than 25 percent; and
    (iii) For at least 50 percent of the Census tracts within the 
nominated area, the poverty rate may not be less than 35 percent.
    (2) Round II, Round IIS and Round III--(i) In each Census tract, the 
poverty rate may not be less than 20 percent;
    (ii) For at least 90 percent of the Census tracts within the 
nominated area, the poverty rate may not be less than 25 percent;
    (iii) Up to three noncontiguous developable sites, in the aggregate 
not exceeding 2,000 acres, may be excluded in determining whether the 
requirements of paragraphs (a)(2)(i) and (a)(2)(ii) of this section are 
met; and
    (iv) The Secretary may designate not more than one rural Empowerment 
Zone without regard to paragraphs (a)(2)(i) and (a)(2)(ii) of this 
section if

[[Page 570]]

such nominated area satisfies the emigration criteria specified in 
paragraph (b)(2)(iii) of this section.
    (b) Special rules. The following special rules apply to the 
determination of poverty rate for Round I, Round II, Round IIS and Round 
III nominated areas:
    (1) Round I--(i) Census tracts with no population. Census tracts 
with no population shall be treated as having a poverty rate that meets 
the requirements of paragraphs (a)(1)(i) and (a)(1)(ii) of this section, 
but shall be treated as having a zero poverty rate for purposes of 
applying paragraph (a)(1)(iii) of this section;
    (ii) Census tracts with populations of less than 2,000. A Census 
tract with a population of less than 2,000 shall be treated as having a 
poverty rate which meets the requirements of paragraphs (a)(1) (i) and 
(ii) of this section if more than 75 percent of the tract is zoned for 
commercial or industrial use;
    (iii) Adjustment of poverty rates for Round I Enterprise 
Communities. For Round I Enterprise Communities only, the Secretary may, 
where necessary to carry out the purposes of this part, apply one of the 
following alternatives:
    (A) Reduce by 5 percentage points one of the following thresholds 
for not more than 10 percent of the Census tracts (or, if fewer, five 
Census tracts) in the nominated area:
    (1) The 20 percent threshold in paragraph (a)(1)(i) of this section;
    (2) The 25 percent threshold in paragraph (a)(1)(ii) of this 
section;
    (3) The 35 percent threshold in paragraph (a)(1)(iii) of this 
section; or
    (B) Reduce the 35 percent threshold in paragraph (a)(1)(iii) of this 
section by 10 percentage points for three Census tracts.
    (2) Round II, Round IIS and Round III--(i) Census tracts with no 
population. Census tracts with no population shall be treated the same 
as those Census tracts having a population of less than 2,000;
    (ii) Census tracts with populations of less than 2,000. A Census 
tract with a population of less than 2,000 shall be treated as having a 
poverty rate of not less than 25 percent if:
    (A) More than 75 percent of such tract is zoned for commercial or 
industrial use; and
    (B) Such tract is contiguous to 1 or more other Census tracts which 
have a poverty rate of 25 percent or more, where such determination is 
made without applying Sec.  25.104(b)(2)(ii).
    (iii) Emigration criteria. For purposes of the discretion as may be 
exercised by the Secretary pursuant to paragraph (a)(2)(iv) of this 
section, a nominated area must demonstrate outmigration of not less than 
15 percent over the period 1980-1994 for each census tract. The 
outmigration for each census tract in the nominated area shall be as 
reported for the county in which the census tract is located: Provided, 
however, That the nominated area may include not more than one census 
tract where the reported outmigration is less than 15 percent, which 
tract shall be contiguous to at least one other census tract in the 
nominated area.
    (c) General rules. The following general rules apply to the 
determination of poverty rate for Round I, Round II, Round IIS and Round 
III nominated areas.
    (1) Rounding up of percentages. In making the calculations required 
by this section, the Secretary shall round all fractional percentages of 
one-half percentage point or more up to the next highest whole 
percentage point figure.
    (2) Noncontiguous parcels. Each such parcel (excluding, in the case 
of Round II, Round IIS and Round III, up to three noncontiguous 
developable sites not exceeding 2,000 acres in the aggregate) must 
separately meet the poverty criteria contained in this section.
    (3) Areas not within census tracts. In the case of an area which is 
not tracted for Census tracts, the block numbering area shall be used 
for purposes of determining poverty rates. Block groups may be used for 
Alaska and Hawaii.

[63 FR 19114, Apr. 16, 1998, as amended at 67 FR 13557, Apr. 24, 2002]

[[Page 571]]



Sec. Sec.  25.105-25.199  [Reserved]



                     Subpart C_Nomination Procedure



Sec.  25.200  Nominations by State and local governments.

    (a) Nomination criteria. One or more local governments and the 
States in which an area is located must nominate such area for 
designation as an Empowerment Zone or Enterprise Community. Nominated 
areas can be considered for designation only if:
    (1) The rural area meets the applicable requirements for eligibility 
identified in Sec.  25.100;
    (2) The Secretary determines such governments have the authority to 
nominate the area for designation and to provide the assurances 
described in paragraph (b) of this section; and
    (3) The Secretary determines all information furnished by the 
nominating States and local governments is reasonably accurate.
    (b) Required certifications and assurances. The State and local 
governments nominating an area for designation must:
    (1) Submit the following certifications:
    (i) Each nominating governmental entity has the authority to:
    (A) Nominate the rural area for designation as an Empowerment Zone 
or Enterprise Community and make the assurances required under this 
part;
    (B) Make the State and local commitments contained in the strategic 
plan or otherwise required under this part; and
    (C) Provide written assurances satisfactory to the Secretary that 
these commitments will be met; and
    (ii) The nominated area satisfies the eligibility criteria 
referenced in Sec.  25.100, inclusive of the requirement that either;
    (A) No portion of the area nominated is already included in a 
designated Empowerment Zone or Enterprise Community or in an area 
otherwise nominated to be designated under this section; or
    (B) Where an existing Round I Enterprise Community is seeking to be 
designated as a Round II Empowerment Zone, that the nominated area 
includes the entirety of the applicable Round I Enterprise Community and 
that any other areas as may be included in the application do not 
comprise any portion of a designated Empowerment Zone or Enterprise 
Community or part of an area otherwise nominated to be designated under 
this section; and
    (2) Provide written assurance that:
    (i) The strategic plan will be implemented;
    (ii) The nominating governments will make available, or cause to be 
made available, all information requested by USDA to aid in the 
evaluation of progress in implementing the strategic plan; and
    (iii) EZ/EC SSBG funds, as applicable, will be used to supplement, 
not supplant, other Federal or non-Federal funds available for financing 
services or activities which promote the purposes of section 2007 of the 
Social Security Act.



Sec.  25.201  Application.

    No rural area may be considered for designation pursuant to this 
part unless the application:
    (a) Demonstrates that the nominated rural area satisfies the 
eligibility criteria contained in Sec.  25.100;
    (b) Includes a strategic plan, which meets the requirements 
contained in Sec.  25.202;
    (c) Includes the written commitment of the applicant, as applicable, 
that EZ/EC SSBG funds will be used to supplement, not replace, other 
Federal and non-Federal funds available for financing services or 
activities that promote the purposes of section 2007 of the Social 
Security Act; and
    (d) Includes such other information as may be required by USDA.



Sec.  25.202  Strategic plan.

    (a) Principles of strategic plan. The strategic plan included in the 
application must be developed in accordance with the following four key 
principles:
    (1) Strategic vision for change, which identifies what the community 
will become and a strategic map for revitalization. The vision should 
build on assets and coordinate a response to community needs in a 
comprehensive fashion. It should also set goals and performance 
benchmarks for measuring progress and establish a framework for

[[Page 572]]

evaluating and adjusting the revitalization plan.
    (2) Community-based partnerships, involving the participation of all 
segments of the community, including the political and governmental 
leadership, community groups, local public health and social service 
departments and nonprofit groups providing similar services, 
environmental groups, local transportation planning entities, public and 
private schools, religious organizations, the private and nonprofit 
sectors, centers of learning, and other community institutions and 
individual citizens.
    (3) Economic opportunity, including job creation within the 
community and throughout the region, entrepreneurial initiatives, small 
business expansion, job training and other important services such as 
affordable childcare and transportation services that may enable 
residents to be employed in jobs that offer upward mobility.
    (4) Sustainable community development, to advance the creation of 
livable and vibrant communities through comprehensive approaches that 
coordinate economic, physical, environmental, community, and human 
development. These approaches should preserve the environment and 
historic landmarks--they may include ``brownfields'' clean-up and 
redevelopment, and promote transportation, education, and public safety.
    (b) Minimum requirements. The strategic plan must:
    (1) Describe the coordinated economic, human, community, and 
physical development plan and related activities proposed for the 
nominated area;
    (2) Describe the process by which the affected community is a full 
partner in the process of developing and implementing the plan and the 
extent to which local institutions and organizations have contributed to 
the planning process;
    (3) Identify the amount of State, local, and private resources that 
will be available in the nominated area and the private and public 
partnerships to be used, which may include participation by, and 
cooperation with, universities, medical centers, and other private and 
public entities;
    (4) Identify the funding requested under any Federal program in 
support of the proposed economic, human, community, and physical 
development and related activities, including details about proposed 
uses of EZ/EC SSBG funds that may be available from HHS;
    (5) Identify the baselines, methods, and benchmarks for measuring 
the success of carrying out the strategic plan, including the extent to 
which poor persons and families will be empowered to become economically 
self-sufficient;
    (6) Must not include any action to assist any establishment in 
relocating from one area outside the nominated area to the nominated 
area, except that assistance for the expansion of an existing business 
entity through the establishment of a new branch, affiliate, or 
subsidiary is permitted if:
    (i) The establishment of the new branch, affiliate, or subsidiary 
will not result in a decrease in employment in the area of original 
location or in any other area where the existing business entity 
conducts business operations; and
    (ii) There is no reason to believe that the new branch, affiliate, 
or subsidiary is being established with the intention of closing down 
the operations of the existing business entity in the area of its 
original location or in any other area where the existing business 
entity conducts business operation; and
    (7) Include such other information as required by USDA in the notice 
inviting applications or other applicable notice.
    (c) Implementation of strategic plan. The strategic plan may be 
implemented by State governments, tribal governments, local governments, 
regional planning agencies, non-profit organizations, community-based 
organizations, or other nongovernmental entities. Activities included in 
the strategic plan may be funded from any source, Federal, State, local, 
or private, which agrees to provide assistance to the nominated area.
    (d) Public access to materials and proceedings. The applicant or the 
lead managing entity, as applicable, must make available to the public 
copies of

[[Page 573]]

the strategic plan and supporting documentation and must conduct its 
meetings in accordance with the applicable open meetings acts.

[63 FR 19114, Apr. 16, 1998, as amended at 67 FR 13557, Apr. 24, 2002]



Sec.  25.203  Submission of applications.

    General. A separate application for designation as an empowerment 
zone or enterprise community must be submitted for each rural area for 
which such designation is requested. The application shall be submitted 
in a form to be prescribed by USDA in the notice inviting applications 
or other applicable notice as published in the Federal Register and must 
contain complete and accurate information.

[67 FR 13557, Apr. 24, 2002]



Sec.  25.204  Evaluation of the strategic plan.

    The strategic plan will be evaluated for effectiveness as part of 
the designation process for nominated rural areas described in subpart D 
of this part. On the basis of this evaluation, USDA may request 
additional information pertaining to the plan and the proposed area and 
may, as part of that request, suggest modifications to the plan, 
proposed area, or term that would enhance its effectiveness. The 
effectiveness of the strategic plan will be determined in accordance 
with the four key principles contained in Sec.  25.202(a). USDA will 
review each plan submitted in terms of the four equally weighted 
principal objectives, and of such other elements of these principal 
objectives as are appropriate to address the opportunities and problems 
of each nominated area, which may include:
    (a) Strategic vision for change--(1) Goals and coordinated strategy. 
The extent to which the strategic plan reflects a projection for the 
community's revitalization which links economic, human, physical, 
community development and other activities in a mutually reinforcing, 
synergistic way to achieve ultimate goals;
    (2) Creativity and innovation. The extent to which the activities 
proposed in the plan are creative, innovative and promising and will 
promote the civic spirit necessary to revitalize the nominated area;
    (3) Building on assets. The extent to which the vision for 
revitalization realistically addresses the needs of the nominated area 
in a way that takes advantage of its assets; and
    (4) Benchmarks and learning. The extent to which the plan includes 
performance benchmarks for measuring progress in its implementation, 
including an on-going process for adjustments, corrections and building 
on what works.
    (b) Community-based partnerships--(1) Community partners. The extent 
to which residents of the community participated in developing the 
strategic plan and their commitment to implementing it, the extent to 
which community-based organizations in the nominated area have 
participated in the development of the nominated area, and their record 
of success measured by their achievements and support for undertakings 
within the nominated area;
    (2) Private and nonprofit organizations as partners. The extent to 
which partnership arrangements include commitments from private and 
nonprofit organizations, including corporations, utilities, banks and 
other financial institutions, human services organizations, health care 
providers, and educational institutions supporting implementation of the 
strategic plan;
    (3) State and local government partners. The extent to which States 
and local governments are committed to providing support to the 
strategic plan, including their commitment to ``reinventing'' their 
roles and coordinating programs to implement the strategic plan; and
    (4) Permanent implementation and evaluation structure. The extent to 
which a responsible and accountable implementation structure or process 
has been created to ensure that the plan is successfully carried out and 
that improvements are made throughout the period of the zone or 
community's designation.
    (c) Economic opportunity. (1) The extent to which businesses, jobs, 
and entrepreneurship will increase within the zone or community;

[[Page 574]]

    (2) The extent to which residents will achieve a real economic stake 
in the zone or community;
    (3) The extent to which residents will be employed in the process of 
implementing the plan and in all phases of economic, community and human 
development;
    (4) The extent to which residents will be linked with employers and 
jobs throughout the entire area and the way in which residents will 
receive training, assistance, and family support to become economically 
self-sufficient;
    (5) The extent to which economic revitalization in the zone or 
community interrelates with the broader regional economies; and
    (6) The extent to which lending and investment opportunities will 
increase within the zone or community through the establishment of 
mechanisms to encourage community investment and to create new economic 
growth.
    (d) Sustainable community development--(1) Consolidated planning. 
The extent to which the plan is part of a larger strategic community 
development plan for the nominating localities and is consistent with 
broader regional development strategies;
    (2) Public safety. The extent to which strategies such as community 
policing will be used to guarantee the basic safety and security of 
persons and property within the zone or community;
    (3) Amenities and design. The extent to which the plan considers 
issues of design and amenities that will foster a sustainable community, 
such as open spaces, recreational areas, cultural institutions, 
transportation, energy, land and water uses, waste management, 
environmental protection and the vitality of life of the community;
    (4) Sustainable development. The extent to which economic 
development will be achieved in a manner consistent that protects public 
health and the environment;
    (5) Supporting families. The extent to which the strengths of 
families will be supported so that parents can succeed at work, provide 
nurture in the home, and contribute to the life of the community;
    (6) Youth development. The extent to which the development of 
children, youth, and young adults into economically productive and 
socially responsible adults will be promoted and the extent to which 
young people will be:
    (i) Provided with the opportunity to take responsibility for 
learning the skills, discipline, attitude, and initiative to make work 
rewarding;
    (ii) Invited to take part as resources in the rebuilding of their 
community; and
    (iii) Provided the opportunity to develop a sense of industry and 
competency and a belief they might exercise some control over the course 
of their lives.
    (7) Education goals. The extent to which schools, religious 
organizations, non-profit organizations, for-profit enterprises, local 
governments and families will work cooperatively to provide all 
individuals with the fundamental skills and knowledge they need to 
become active participants and contributors to their community, and to 
succeed in an increasingly competitive global economy;
    (8) Affordable housing. The extent to which a housing component, 
providing for adequate safe housing and ensuring that all residents will 
have equal access to that housing is contained in the strategic plan;
    (9) Drug abuse. The extent to which the plan addresses levels of 
drug abuse and drug-related activity through the expansion of drug 
treatment services, drug law enforcement initiatives, and community-
based drug abuse education programs;
    (10) Health care. The extent to which the plan promotes a community-
based system of health care that facilitates access to comprehensive, 
high quality care, particularly for the residents of EZ/EC 
neighborhoods;
    (11) Equal opportunity. The extent to which the plan offers an 
opportunity for diverse residents to participate in the rewards and 
responsibilities of work and service. The extent to which the plan 
ensures that no business within a nominated zone or community will 
directly or through contractual or other arrangements subject a person 
to discrimination on the basis of race, color, creed, national origin, 
gender, handicap or age in its employment

[[Page 575]]

practices, including recruitment, recruitment advertising, employment, 
layoff, termination, upgrading, demotion, transfer, rates of pay or the 
forms of compensation, or use of facilities. Applicants must comply with 
the provisions of Title VI of the Civil Rights Act of 1964, section 504 
of the Rehabilitation Act of 1973, and the Age Discrimination Act of 
1975.



Sec. Sec.  25.205-25.299  [Reserved]



                      Subpart D_Designation Process



Sec.  25.300  USDA action and review of nominations for designation.

    (a) Establishment of submission procedures. USDA will establish a 
time period and procedure for the submission of applications for 
designation as empowerment zones or enterprise communities, including 
submission deadlines and addresses, in a notice inviting applications or 
other applicable notice, to be published in the Federal Register.
    (b) Acceptance for processing. USDA will accept for processing those 
applications as empowerment zones and enterprise communities which USDA 
determines have met the criteria required under this part. USDA will 
notify the states and local governments whether or not the nomination 
has been accepted for processing. The application must be received by 
USDA on or before the close of business on the date established by the 
notice inviting applications or other applicable notice published in the 
Federal Register. The applications must be complete, inclusive of the 
strategic plan, as required by Sec.  25.202, and the certifications and 
written assurances required by Sec.  25.200(b).
    (c) Site visits. In the process of reviewing each application 
accepted for processing, USDA may undertake site visits to any nominated 
area to aid in the process of evaluation.
    (d) Modification of the strategic plan, boundaries of nominated 
rural areas, or period during the application review period. Subject to 
the limitations imposed by Sec.  25.100.
    (1) USDA may request additional information pertaining to the 
strategic plan and proposed area and may, as a part of that request, 
suggest modifications to the strategic plan or nominated area that would 
enhance the effectiveness of the strategic plan;
    (2) Enlargement of a nominated area will not be allowed if the 
inclusion of the additional area will result in an average poverty rate 
less than the average poverty rate at the time of initial application; 
and
    (3) An applicant may modify the nominated area or strategic plan 
during the application review period with USDA approval.
    (e) Designations. Final determination of the boundaries of areas and 
the term for which the designations will remain in effect will be made 
by the Secretary.

[63 FR 19114, Apr. 16, 1998, as amended at 67 FR 13557, Apr. 24, 2002]



Sec.  25.301  Selection factors for designation of nominated rural areas.

    In choosing among nominated rural areas eligible for designation as 
Empowerment Zone, Enterprise Community or Champion Community, the 
Secretary shall consider:
    (a) The potential effectiveness of the strategic plan, in accordance 
with the key principles in Sec.  25.202(a);
    (b) The strength of the assurances made pursuant to Sec.  25.200(b) 
that the strategic plan will be implemented;
    (c) The extent to which an application proposes activities that are 
creative and innovative;
    (d) The extent to which areas consisting of noncontiguous parcels 
are not so widely separated as to compromise achievement by the 
nominated area of a cohesive community or regional identity; and
    (e) Such other factors as established by the Secretary, which 
include the degree of need demonstrated by the nominated area for 
assistance under this part and the diversity within and among the 
nominated areas. If other factors are established by USDA, a Federal 
Register Notice will be published identifying such factors, along with 
an extension of the application due date if necessary.

[[Page 576]]



Sec. Sec.  25.302-25.399  [Reserved]



                 Subpart E_Post-Designation Requirements



Sec.  25.400  Reporting.

    (a) Periodic reports. Empowerment Zones, Enterprise Communities and 
Champion Communities shall submit to USDA periodic reports which 
identify the community, local government and State actions which have 
been taken in accordance with the strategic plan. In addition to these 
reports, such other information relating to designated Empowerment 
Zones, Enterprise Communities and Champion communities as USDA may 
request from time to time shall be submitted promptly. On the basis of 
this information and of on-site reviews, USDA will prepare and issue 
periodic reports on the effectiveness of the Empowerment Zones/
Enterprise Communities Program.
    (b) Annual report. All rural Empowerment Zones and Enterprise 
Communities shall submit an annual report to USDA for each calendar year 
which includes an executive summary and benchmark progress report as 
follows:
    (1) Executive summary. The executive summary shall identify the 
progress and setbacks experienced in efforts to achieve benchmark goals. 
Activities other than those expressly included in the strategic plan 
should also be noted in order to provide an understanding of where the 
community stands with respect to implementation of the strategic plan. 
Furthermore, the executive summary should address the following:
    (i) Identify the most significant accomplishments to date.
    (ii) Describe the level of community participation and overall 
support for the EZ/EC initiative.
    (iii) List and describe new partnerships or alliances formed.
    (iv) Identify problems or obstacles not otherwise anticipated in the 
strategic plan.
    (v) Describe solutions developed or efforts to address the problems 
and obstacles.
    (vi) Identify practices or concepts which were found especially 
effective in implementing the strategic plan.
    (2) Benchmark progress report. For each benchmark goal the community 
will provide a current measure of the baseline condition which is the 
subject of targeted improvement and whether the current measure 
represents an improvement from the baseline condition as initially 
stated in the strategic plan. For each benchmark activity the community 
will provide a status report in form and substance acceptable to USDA.
    (c) Timely State data. Where not prevented by State law, nominating 
State governments must provide the timely release of data requested by 
USDA for the purposes of monitoring and assisting the success of 
Empowerment Zones and Enterprise Communities.



Sec.  25.401  Responsibility of lead managing entity.

    (a) Financial. The lead managing entity will be responsible for 
strategic plan program activities and monitoring the fiscal management 
of the funds of the Empowerment Zone or Enterprise Community.
    (b) Reporting. The lead managing entity will be responsible for 
developing the reports required under this subpart.
    (c) Cooperation. All entities with significant involvement in 
implementing the strategic plan shall cooperate with the lead managing 
entity in its compliance with paragraphs (a) and (b) of this section.



Sec.  25.402  Periodic performance reviews.

    USDA will regularly evaluate the progress in implementing the 
strategic plan in each designated Empowerment Zone and Enterprise 
Community on the basis of performance reviews to be conducted on site 
and using other information submitted. USDA may also commission 
evaluations of the Empowerment Zone program as a whole by an impartial 
third party. Evidence of continual involvement of all segments of the 
community, including low income and disadvantaged residents, must be 
evidenced in the implementation of the strategic plan.

[[Page 577]]



Sec.  25.403.  Ongoing 2-year work plan requirement.

    (a) Each Empowerment Zone and Enterprise Community shall prepare and 
submit annually, work plans for the subsequent 2-year interval of the 
designation period.
    (b) The 2-year work plan shall be submitted to USDA 45 days prior to 
the start of the applicable 2-year period.
    (c) The 2-year work plan must include the following sections and 
content:
    (1) Section 1--Work Plan. Identify the benchmark goals to be 
achieved in the applicable 2 years of the strategic plan, together with 
the benchmark activities to be undertaken during the applicable 2 years 
of implementation. Include references to the applicable baseline 
conditions and performance indicators to be used in assessing 
performance.
    (2) Section 2--Operational Budget. For each benchmark activity to be 
undertaken in the applicable 2 years of the strategic plan, set forth 
the following information:
    (i) Expected implementation costs;
    (ii) Proposed sources of funding and whether actual commitments have 
been obtained;
    (iii) Technical assistance resources and other forms of support 
pledged by Federal, State and local governments, non-profit 
organizations, foundations, private businesses, and any other entity to 
assist in implementation of the community's strategic plan, and whether 
this support is conditional upon the designation of the community as an 
Empowerment Zone; and
    (iv) Documentation of applications for assistance and commitments 
identified as proposed funding and other resources.



Sec.  25.404  Validation of designation.

    (a) Maintaining the principles of the program. The empowerment zone, 
enterprise community or champion community (the designated community) 
must maintain a process for ensuring ongoing broad-based participation 
by community residents consistent with the approved application and 
planning process outlined in the strategic plan.
    (1) Continuous improvement. The designated community must maintain a 
process for evaluating and learning from its experiences. It must detail 
the methods by which the community will assess its own performance in 
implementing its benchmarks, the process it will use for reviewing goals 
and benchmarks and revising its strategic plan.
    (2) Participation. The designated community must develop as part of 
its strategic plan a written plan for assuring continuous broad-based 
community participation in the implementation of the strategic plan and 
the means by which the strategic plan is implemented, including board 
membership in the lead entity and other key partnership entities.
    (b) Administration of the strategic plan. The strategic plan must be 
administered in a manner consistent with the principles of the program 
contained in Sec.  25.202(a).
    (1) Lead entity. The lead entity must have legal status and 
authority to receive and administer funds pursuant to Federal, state and 
other government or nonprofit programs.
    (2) Capacity. The lead entity must have the capacity to implement 
the strategic plan, as demonstrated by audited financial statements as 
of the most recent fiscal year or other documentation that may be 
requested by USDA.
    (3) Board membership. The membership of the board must be 
representative of the entire socio-economic spectrum in the designated 
community including business, social service agencies, health and 
education entities, low income and minority residents. Board membership 
may be determined by either broad-based election or by appointment to 
meet this diversity requirement; however, not more than 45 percent of 
board members may be selected by appointment. Elections of community 
residents to the board may be done by any locally acceptable process; 
however, at least one board member from each of the designated 
community's census tracts must be elected and representative of the low 
income residents in their census tract. The Deputy Administrator, Office 
of Community Development, may waive the 45 percent maximum appointment 
limit only for Tribal Governmental Organizations where the Deputy 
Administrator determines, in writing, that a

[[Page 578]]

more representative board would be obtained through the appointment 
process.
    (4) Partnerships. The relationship between the designated 
community's lead entity board and local governments and other major 
regional and community organizations operating in the same geographic 
area is critical to the community's success in implementing its 
strategic plan. Every effort should be made to identify and maintain 
relationships with local partners. Documentation including, but not 
limited to, minutes of meetings, benchmark activity reports and annual 
reports of the lead entity must reflect the contributions of local 
partnership entities.
    (5) Public information. The designated community must have written 
procedures in place describing the means by which citizens of the 
community and partnership organizations will be kept informed of the 
community's activities and progress in implementing the strategic plan, 
consistent with the principal objective of community based partnerships 
pursuant to Sec.  25.202(a)(2). These procedures must be kept current 
and compliance with them documented on an ongoing basis.
    (c) Reevaluation of designations. On the basis of the performance 
reviews described in Sec.  25.402, and subject to the provisions 
relating to the revocation of designation appearing at Sec.  25.405, 
USDA will make findings as to the continuing eligibility for and the 
validity of the designation of any Empowerment Zone, Enterprise 
Community, or Champion Community.
    (d) Modification of designation. Based on a rural zone or 
community's success in carrying out its strategic plan, and subject to 
the provisions relating to revocation of designation in accordance with 
Sec.  25.405 and the requirements as to the number, maximum population 
and other characteristics of rural Empowerment Zones referenced in Sec.  
25.100, the Secretary may modify designations by reclassifying rural 
Empowerment Zones as Enterprise Communities or Enterprise Communities as 
Empowerment Zones.

[63 FR 19114, Apr. 16, 1998, as amended at 67 FR 13557, Apr. 24, 2002]



Sec.  25.405  Revocation of designation.

    (a) Basis for revocation. The Secretary may revoke the designation 
of a rural area as an Empowerment Zone or Enterprise Community, or 
withdraw status as a Champion Community, if the Secretary determines, on 
the basis of the periodic monitoring and assessments described in Sec.  
25.402, that the applicant, lead managing entity, or the States or local 
governments in which the rural area is located have:
    (1) Modified the boundaries of the area without written approval 
from USDA;
    (2) Failed to make progress in implementing the strategic plan; or
    (3) Not complied substantially with the strategic plan (which may 
include failing to apply funds as contained in the strategic plan 
without advance written approval from USDA).
    (b) Letter of Warning. Before revoking the designation of a rural 
area as an Empowerment Zone or Enterprise Community, the Secretary will 
issue a letter of warning to the applicant, the lead managing entity (if 
different from the applicant) and the nominating States and local 
governments, with a copy to all affected Federal agencies of which USDA 
is aware:
    (1) Advising that the Secretary has determined that the applicant 
and/or lead managing entity and/or the nominating local governments and 
State:
    (i) Have modified the boundaries of the area without written 
approval from USDA; or
    (ii) Are not complying substantially with, or have failed to make 
satisfactory progress in implementing the strategic plan; and
    (2) Requesting a reply from all involved parties within 90 days of 
the receipt of this letter of warning.
    (c) Notice of revocation. To revoke the designation, the Secretary 
must issue a final notice of revocation of the designation of the rural 
area as an Empowerment Zone or Enterprise Community, after:
    (1) Allowing 90 days from the date of receipt of the letter of 
warning for response; and
    (2) Making a determination pursuant to paragraph (a) of this 
section.
    (d) Notice to affected Federal agencies. USDA will notify all 
affected Federal

[[Page 579]]

agencies of which it is aware of its determination to revoke any 
designation pursuant to this section or to modify a designation pursuant 
to Sec.  25.404(b).
    (e) Effective date. The final notice of revocation of designation 
will be published in the Federal Register, and the revocation will be 
effective on the date of publication.



Sec. Sec.  25.406-25.499  [Reserved]



                         Subpart F_Special Rules



Sec.  25.500  Indian reservations.

    (a) An area in an Indian reservation shall be treated as nominated 
by a State and a local government if it is nominated by the reservation 
governing body.
    (b) For purposes of paragraph (a) of this section, a reservation 
governing body must be the governing body of an Indian entity recognized 
and eligible to receive services from the United States Bureau of Indian 
Affairs, U.S. Department of Interior.
    (c) Where two or more governing bodies have joint jurisdiction over 
an Indian reservation, the nomination of a reservation area must be a 
joint nomination.



Sec.  25.501  Governments.

    If more than one State or local government seeks to nominate an area 
under this part, any reference to or requirement of this part shall 
apply to all such governments.



Sec.  25.502  Nominations by State-chartered economic development 
corporations.

    Any rural area nominated by an economic development corporation 
chartered by a State and qualified to do business in the State in which 
it is located shall be treated as nominated by a State and local 
government.



Sec.  25.503  Rural areas.

    (a) What constitutes ``rural''. A rural area may consist of any area 
that lies outside the boundaries of a Metropolitan Area, as designated 
by the Office of Management and Budget, or, is an area that has a 
population density less than or equal to 1,000 persons per square mile, 
the land use of which is primarily agricultural.
    (b) Exceptions to the definition. On a case by case basis, the 
Secretary may grant requests for waiver from the definition of ``rural'' 
stated in paragraph (a) of this section upon a showing of good cause. 
Applicants seeking to apply for a rural designation who do not satisfy 
the definition in paragraph (a) of this section must submit a request 
for waiver in writing to the Deputy Administrator, USDA Office of 
Community Development, Reporters Building, Room 701, STOP 3203, 300 7th 
Street, SW., Washington, DC 20024-3202. Requests must include:
    (1) The name, address and daytime phone number of the contact person 
for the applicant seeking the waiver; and
    (2) Sufficient information regarding the area that would support the 
infrequent exception from the definition.
    (c) Waiver process. The Secretary, in consultation with the 
Department of Commerce, will have discretion to permit rural 
applications for communities that do not meet the above rural criteria.



Sec. Sec.  25.504-25.999  [Reserved]



                 Subpart G_Round II and Round IIS Grants

    Source: 67 FR 13558, Mar. 25, 2002, unless otherwise noted.



Sec.  25.600  Purpose.

    This subpart outlines USDA policies and authorizations and contains 
procedures for the USDA EZ/EC grant program.



Sec.  25.601  Delegation of authority.

    (a) Program administration. The Deputy Administrator, Office of 
Community Development, shall be responsible for the overall development 
of policy and administration of the USDA EZ/EC grant program.
    (b) Funding official. Unless otherwise provided, the state director 
is responsible for implementing the authorities in this subpart, 
consistent with the guidance issued by the Office of Community 
Development. Except for grant approval and environmental determination 
authorities, state directors

[[Page 580]]

may re-delegate their duties to qualified staff members.
    (c) Environmental review determinations. The funding official is 
responsible for making environmental review determinations.
    (d) Authority to issue regulations. The Under Secretary, Rural 
Development, may promulgate regulations under this part.



Sec.  25.602  Eligible recipients.

    (a) General. The grants made under this subpart shall be made to the 
lead managing entities on behalf of the Round II rural empowerment zones 
and Round IIS rural enterprise communities, respectively, in accordance 
with an approved strategic plan. Such grants shall be available to 
successor entities approved in writing by USDA.
    (b) Exception. The funding official, with the approval of the Office 
of Community Development, may elect to award all or part of the 
available grant funds to an alternate grantee.
    (c) Subrecipients. The grantee shall relay funds to subrecipients, 
as provided in the approved strategic plan, as soon as practicable.



Sec.  25.603  Grant approval and obligation of funds.

    Grants may be made at such time as the nominated area has been 
designated and such other prerequisites as USDA shall determine have 
been met, including but not limited to:
    (a) The empowerment zone or enterprise community has entered into a 
memorandum of agreement satisfactory to USDA;
    (b) The empowerment zone or enterprise community has conformed its 
strategic plan to be consistent with the level of federal grant aid 
available and such conforming amendments (if any) have met with the 
approval of the Office of Community Development and the funding 
official;
    (c) Completion of the environmental review process, including all 
appropriate public notices;
    (d) The proposed grantee has agreed, in form and substance 
satisfactory to the Office of Community Development, to any funding 
conditions imposed by USDA;
    (e) The grantee has submitted a request for obligation of funds, in 
form and substance satisfactory to the Office of Community Development, 
inclusive of the following certification:

    ``The grantee certifies that it and all direct or substantial 
subrecipients are in compliance and will continue to comply with all 
applicable laws, regulations, executive orders and other generally 
applicable requirements, including those contained in 7 CFR parts 25, 
3015, 3016, 3017, 3018, 3019 and 3052 and any agreement to meet funding 
conditions, in effect at the time of the grant or as subsequently 
amended.''



Sec.  25.604  Disbursement of grant funds.

    (a) The funding official will determine, based on 7 CFR parts 3015, 
3016 and 3019, as applicable, whether disbursement of a grant will be by 
advance or reimbursement.
    (b) A ``request for advance or reimbursement,'' in form and 
substance satisfactory to USDA, must be completed by the grantee on 
behalf of itself and all applicable subrecipients and submitted to the 
funding official.
    (c) Requests for advance or reimbursement must identify:
    (1) The amount requested for each benchmark activity;
    (2) The cumulative amount advanced to date (not inclusive of the 
current amount requested) for each benchmark activity;
    (3) The total USDA EZ/EC grant obligated for each benchmark 
activity;
    (4) The total approved budget for the applicable project or program 
(inclusive of non USDA EZ/EC grant program sources);
    (5) An estimated percentage of completion or progress made in 
accomplishing the benchmark goal associated with each benchmark 
activity;
    (6) Certification that the lead managing entity and the 
subrecipients (where applicable) are in compliance with all applicable 
laws and regulatory requirements; and
    (7) Such other information as the funding official may require.
    (d) Requests for advance or reimbursement may include only 
activities or projects which are identified in an approved strategic 
plan.

[[Page 581]]



Sec.  25.605  Grant program reporting requirements.

    Grantees may incorporate grant reporting requirements in the reports 
submitted pursuant to Sec.  25.400, or submit them separately. In 
complying with the requirements of 7 CFR parts 3015, 3016, or 3019, as 
applicable, grantees must submit, in lieu of the forms prescribed 
therein, the equivalent of such forms prescribed by the Office of 
Community Development pursuant to this subpart as such may be adapted to 
the USDA EZ/EC grant program and which may be submitted and retained in 
electronic form.



Sec.  25.606  Financial management and records.

    (a) In complying with the requirements of 7 CFR parts 3015, 3016, or 
3019, as applicable, grantees must submit, in lieu of the forms 
prescribed therein, the equivalent of such forms prescribed by the 
Office of Community Development pursuant to this subpart as such may be 
adapted to the USDA EZ/EC grant program and which may be submitted and 
retained in electronic form.
    (b) Grantees must retain financial records, supporting documents, 
statistical records and all other records pertinent to the grant for a 
period of at least 3 years after the end of the designation period, 
except that the records shall be retained beyond the 3 year period if 
audit findings have not been resolved or if directed by the United 
States. Records may be retained and submitted in electronic form if 
allowed by Generally Accepted Government Accounting Principles.



Sec.  25.607  Suspension or termination of grant funds.

    (a) Grants under this subpart may be suspended or terminated by the 
funding official, in all or in part, in accordance with this subpart and 
the applicable provisions of 7 CFR parts 3015, 3016 and 3019, as 
applicable.
    (b) The funding official may elect to suspend or terminate the 
entirety of a grant, or funding of a particular benchmark activity, but 
nevertheless fund the remainder of a request for advance or 
reimbursement, where the funding official has determined:
    (1) That grantee or subrecipient of the grant funds has demonstrated 
insufficient progress toward achieving the related benchmark goal or in 
any other way failed to comply with the strategic plan;
    (2) There is reason to believe that other sources of joint funding 
have not been or will not be forthcoming on a timely basis;
    (3) The strategic plan calls for a revised use of the grant funds; 
or
    (4) Such other cause as the funding official identifies in writing 
to the grantee (including but not limited to the use of federal grant 
funds for ineligible purposes).



Sec. Sec.  25.608-25.619  [Reserved]



Sec.  25.620  Eligible grant purposes.

    Eligible grant purposes are:
    (a) Services directed at the goals of--
    (1) Achieving or maintaining economic self-support to prevent, 
reduce, or eliminate dependency;
    (2) Achieving or maintaining self sufficiency, including reduction 
or prevention of dependency;
    (3) Preventing or remedying neglect, abuse, or exploitation of 
children and adults unable to protect their own interests, or 
preserving, rehabilitating or reuniting families;
    (b) Projects and activities identified in the strategic plan for the 
area; and
    (c) Activities that benefit residents of the area for which the 
grant is made.



Sec.  25.621  Ineligible grant purposes.

    Grant funds may not be used:
    (a) As a source of local matching funds required for other federal 
grants;
    (b) To fund political activities;
    (c) To duplicate current services or replace or substitute for 
financial support provided from other sources. If the current service is 
inadequate, however, grant funds may be used to augment financial 
support or service levels beyond what is currently provided;
    (d) To pay costs of preparing the application package for 
designation under this program;
    (e) To pay costs of a project which were incurred prior to the 
execution date of the applicable memorandum of agreement;

[[Page 582]]

    (f) To pay for assistance to any private business enterprise which 
does not have at least 51 percent ownership by those who are either 
citizens of the United States or reside in the United States after being 
legally admitted for permanent residence;
    (g) To pay any judgment or debt owed to the United States;
    (h) To assist in the relocation of businesses;
    (i) To support or promote gambling; or
    (j) For political lobbying.



Sec.  25.622  Other considerations.

    (a) Civil rights compliance requirements. All grants made under this 
subpart are subject to Title VI of the Civil Rights Act of 1964 and 7 
CFR part 1901, subpart E.
    (b) Environmental review requirements. Grants made under this 
subpart must comply with environmental review requirements in accordance 
with 7 CFR part 1970.
    (c) Other USDA regulations. This program is subject to the 
provisions of the following regulations, as applicable:
    (1) 7 CFR part 3015, ``Uniform Federal Assistance Regulations'';
    (2) 7 CFR part 3016, ``Uniform Administrative Requirements for 
Grants and Cooperative Agreements to State and Local Governments'';
    (3) 7 CFR part 3017, ``Governmentwide Debarment and Suspension 
(Nonprocurement) and Governmentwide Requirements for Drug-Free Workplace 
(Grants)'';
    (4) 7 CFR part 3018, ``New Restrictions on Lobbying'';
    (5) 7 CFR part 3019, ``Uniform Administrative Requirements for 
Grants and Agreements with Institutions of Higher Education, Hospitals, 
and other Non-Profit Organizations; and
    (6) 7 CFR part 3052, ``Audits of States, Local Governments, and Non-
Profit Organizations.''

[67 FR 13558, Mar. 25, 2002, as amended at 81 FR 11025, Mar. 2, 2016]



Sec.  25.623  Programmatic changes.

    Prior approval from USDA is required for all changes to the scope or 
objectives of an approved strategic plan or benchmark activity. Failure 
to obtain prior approval of changes to the strategic plan or benchmarks, 
including changes to the scope of work or a project budget may result in 
suspension, termination, and recovery of USDA EZ/EC grant funds.



Sec. Sec.  25.624-25.999  [Reserved]

                           PART 26 [RESERVED]

[[Page 583]]



                              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

[[Page 585]]



                    Table of CFR Titles and Chapters




                     (Revised as of January 1, 2018)

                      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--599)
        VI  National Capital Planning Commission (Parts 600--699)

                    Title 2--Grants and Agreements

            Subtitle A--Office of Management and Budget Guidance 
                for Grants and Agreements
         I  Office of Management and Budget Governmentwide 
                Guidance for Grants and Agreements (Parts 2--199)
        II  Office of Management and Budget Guidance (Parts 200--
                299)
            Subtitle B--Federal Agency Regulations for Grants and 
                Agreements
       III  Department of Health and Human Services (Parts 300--
                399)
        IV  Department of Agriculture (Parts 400--499)
        VI  Department of State (Parts 600--699)
       VII  Agency for International Development (Parts 700--799)
      VIII  Department of Veterans Affairs (Parts 800--899)
        IX  Department of Energy (Parts 900--999)
         X  Department of the Treasury (Parts 1000--1099)
        XI  Department of Defense (Parts 1100--1199)
       XII  Department of Transportation (Parts 1200--1299)
      XIII  Department of Commerce (Parts 1300--1399)
       XIV  Department of the Interior (Parts 1400--1499)
        XV  Environmental Protection Agency (Parts 1500--1599)
     XVIII  National Aeronautics and Space Administration (Parts 
                1800--1899)
        XX  United States Nuclear Regulatory Commission (Parts 
                2000--2099)
      XXII  Corporation for National and Community Service (Parts 
                2200--2299)
     XXIII  Social Security Administration (Parts 2300--2399)
      XXIV  Housing and Urban Development (Parts 2400--2499)
       XXV  National Science Foundation (Parts 2500--2599)
      XXVI  National Archives and Records Administration (Parts 
                2600--2699)

[[Page 586]]

     XXVII  Small Business Administration (Parts 2700--2799)
    XXVIII  Department of Justice (Parts 2800--2899)
      XXIX  Department of Labor (Parts 2900--2999)
       XXX  Department of Homeland Security (Parts 3000--3099)
      XXXI  Institute of Museum and Library Services (Parts 3100--
                3199)
     XXXII  National Endowment for the Arts (Parts 3200--3299)
    XXXIII  National Endowment for the Humanities (Parts 3300--
                3399)
     XXXIV  Department of Education (Parts 3400--3499)
      XXXV  Export-Import Bank of the United States (Parts 3500--
                3599)
     XXXVI  Office of National Drug Control Policy, Executive 
                Office of the President (Parts 3600--3699)
    XXXVII  Peace Corps (Parts 3700--3799)
     LVIII  Election Assistance Commission (Parts 5800--5899)
       LIX  Gulf Coast Ecosystem Restoration Council (Parts 5900--
                5999)

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  Government Accountability Office (Parts 1--199)

                   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  Office of Personnel Management and Office of the 
                Director of National Intelligence (Parts 1400--
                1499)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
      VIII  Office of Special Counsel (Parts 1800--1899)
        IX  Appalachian Regional Commission (Parts 1900--1999)
        XI  Armed Forces Retirement 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)
       XVI  Office of Government Ethics (Parts 2600--2699)
       XXI  Department of the Treasury (Parts 3100--3199)
      XXII  Federal Deposit Insurance Corporation (Parts 3200--
                3299)
     XXIII  Department of Energy (Parts 3300--3399)
      XXIV  Federal Energy Regulatory Commission (Parts 3400--
                3499)
       XXV  Department of the Interior (Parts 3500--3599)
      XXVI  Department of Defense (Parts 3600--3699)

[[Page 587]]

    XXVIII  Department of Justice (Parts 3800--3899)
      XXIX  Federal Communications Commission (Parts 3900--3999)
       XXX  Farm Credit System Insurance Corporation (Parts 4000--
                4099)
      XXXI  Farm Credit Administration (Parts 4100--4199)
    XXXIII  Overseas Private Investment Corporation (Parts 4300--
                4399)
     XXXIV  Securities and Exchange Commission (Parts 4400--4499)
      XXXV  Office of Personnel Management (Parts 4500--4599)
     XXXVI  Department of Homeland Security (Parts 4600--4699)
    XXXVII  Federal Election Commission (Parts 4700--4799)
        XL  Interstate Commerce Commission (Parts 5000--5099)
       XLI  Commodity Futures Trading Commission (Parts 5100--
                5199)
      XLII  Department of Labor (Parts 5200--5299)
     XLIII  National Science Foundation (Parts 5300--5399)
       XLV  Department of Health and Human Services (Parts 5500--
                5599)
      XLVI  Postal Rate Commission (Parts 5600--5699)
     XLVII  Federal Trade Commission (Parts 5700--5799)
    XLVIII  Nuclear Regulatory Commission (Parts 5800--5899)
      XLIX  Federal Labor Relations Authority (Parts 5900--5999)
         L  Department of Transportation (Parts 6000--6099)
       LII  Export-Import Bank of the United States (Parts 6200--
                6299)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Parts 6400--6499)
        LV  National Endowment for the Arts (Parts 6500--6599)
       LVI  National Endowment for the Humanities (Parts 6600--
                6699)
      LVII  General Services Administration (Parts 6700--6799)
     LVIII  Board of Governors of the Federal Reserve System 
                (Parts 6800--6899)
       LIX  National Aeronautics and Space Administration (Parts 
                6900--6999)
        LX  United States Postal Service (Parts 7000--7099)
       LXI  National Labor Relations Board (Parts 7100--7199)
      LXII  Equal Employment Opportunity Commission (Parts 7200--
                7299)
     LXIII  Inter-American Foundation (Parts 7300--7399)
      LXIV  Merit Systems Protection Board (Parts 7400--7499)
       LXV  Department of Housing and Urban Development (Parts 
                7500--7599)
      LXVI  National Archives and Records Administration (Parts 
                7600--7699)
     LXVII  Institute of Museum and Library Services (Parts 7700--
                7799)
    LXVIII  Commission on Civil Rights (Parts 7800--7899)
      LXIX  Tennessee Valley Authority (Parts 7900--7999)
       LXX  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 8000--8099)
      LXXI  Consumer Product Safety Commission (Parts 8100--8199)
    LXXIII  Department of Agriculture (Parts 8300--8399)

[[Page 588]]

     LXXIV  Federal Mine Safety and Health Review Commission 
                (Parts 8400--8499)
     LXXVI  Federal Retirement Thrift Investment Board (Parts 
                8600--8699)
    LXXVII  Office of Management and Budget (Parts 8700--8799)
      LXXX  Federal Housing Finance Agency (Parts 9000--9099)
   LXXXIII  Special Inspector General for Afghanistan 
                Reconstruction (Parts 9300--9399)
    LXXXIV  Bureau of Consumer Financial Protection (Parts 9400--
                9499)
    LXXXVI  National Credit Union Administration (Parts 9600--
                9699)
     XCVII  Department of Homeland Security Human Resources 
                Management System (Department of Homeland 
                Security--Office of Personnel Management) (Parts 
                9700--9799)
    XCVIII  Council of the Inspectors General on Integrity and 
                Efficiency (Parts 9800--9899)
      XCIX  Military Compensation and Retirement Modernization 
                Commission (Parts 9900--9999)
         C  National Council on Disability (Parts 10000--10049)

                      Title 6--Domestic Security

         I  Department of Homeland Security, Office of the 
                Secretary (Parts 1--199)
         X  Privacy and Civil Liberties Oversight Board (Parts 
                1000--1099)

                         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  Natural Resources Conservation Service, Department of 
                Agriculture (Parts 600--699)
       VII  Farm Service Agency, Department of Agriculture (Parts 
                700--799)
      VIII  Grain Inspection, Packers and Stockyards 
                Administration (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)

[[Page 589]]

         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 Utilities Service, Department of Agriculture 
                (Parts 1700--1799)
     XVIII  Rural Housing Service, Rural Business-Cooperative 
                Service, Rural Utilities Service, and Farm Service 
                Agency, Department of Agriculture (Parts 1800--
                2099)
        XX  Local Television Loan Guarantee Board (Parts 2200--
                2299)
       XXV  Office of Advocacy and Outreach, 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 Policy and New Uses, Department of 
                Agriculture (Parts 2900--2999)
       XXX  Office of the Chief Financial Officer, Department of 
                Agriculture (Parts 3000--3099)
      XXXI  Office of Environmental Quality, Department of 
                Agriculture (Parts 3100--3199)
     XXXII  Office of Procurement and Property Management, 
                Department of Agriculture (Parts 3200--3299)
    XXXIII  Office of Transportation, Department of Agriculture 
                (Parts 3300--3399)
     XXXIV  National Institute of Food and Agriculture (Parts 
                3400--3499)
      XXXV  Rural Housing Service, Department of Agriculture 
                (Parts 3500--3599)
     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)
       XLI  [Reserved]
      XLII  Rural Business-Cooperative Service and Rural Utilities 
                Service, Department of Agriculture (Parts 4200--
                4299)

[[Page 590]]

                    Title 8--Aliens and Nationality

         I  Department of Homeland Security (Immigration and 
                Naturalization) (Parts 1--499)
         V  Executive Office for Immigration Review, Department of 
                Justice (Parts 1000--1399)

                 Title 9--Animals and Animal Products

         I  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 1--199)
        II  Grain Inspection, Packers and Stockyards 
                Administration (Packers and Stockyards Programs), 
                Department of Agriculture (Parts 200--299)
       III  Food Safety and Inspection Service, Department of 
                Agriculture (Parts 300--599)

                           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)
      XIII  Nuclear Waste Technical Review Board (Parts 1300--
                1399)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)
     XVIII  Northeast Interstate Low-Level Radioactive Waste 
                Commission (Parts 1800--1899)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)
        II  Election Assistance Commission (Parts 9400--9499)

                      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)
         X  Bureau of Consumer Financial Protection (Parts 1000--
                1099)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XII  Federal Housing Finance Agency (Parts 1200--1299)

[[Page 591]]

      XIII  Financial Stability Oversight Council (Parts 1300--
                1399)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Department of the Treasury (Parts 1500--1599)
       XVI  Office of Financial Research (Parts 1600--1699)
      XVII  Office of Federal Housing Enterprise Oversight, 
                Department of Housing and Urban Development (Parts 
                1700--1799)
     XVIII  Community Development Financial Institutions Fund, 
                Department of the Treasury (Parts 1800--1899)

               Title 13--Business Credit and Assistance

         I  Small Business Administration (Parts 1--199)
       III  Economic Development Administration, Department of 
                Commerce (Parts 300--399)
        IV  Emergency Steel Guarantee Loan Board (Parts 400--499)
         V  Emergency Oil and Gas Guaranteed Loan Board (Parts 
                500--599)

                    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  Commercial Space Transportation, Federal Aviation 
                Administration, Department of Transportation 
                (Parts 400--1199)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)
        VI  Air Transportation System Stabilization (Parts 1300--
                1399)

                 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, Department of Commerce 
                (Parts 400--499)
       VII  Bureau of Industry and Security, 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)

[[Page 592]]

        XI  National Technical Information Service, Department of 
                Commerce (Parts 1100--1199)
      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) [Reserved]

                    Title 16--Commercial Practices

         I  Federal Trade Commission (Parts 0--999)
        II  Consumer Product Safety Commission (Parts 1000--1799)

             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)

          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)

                       Title 19--Customs Duties

         I  U.S. Customs and Border Protection, Department of 
                Homeland Security; Department of the Treasury 
                (Parts 0--199)
        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  U.S. Immigration and Customs Enforcement, Department 
                of Homeland Security (Parts 400--599) [Reserved]

                     Title 20--Employees' Benefits

         I  Office of Workers' Compensation Programs, Department 
                of Labor (Parts 1--199)
        II  Railroad Retirement Board (Parts 200--399)

[[Page 593]]

       III  Social Security Administration (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  Office of Workers' Compensation Programs, 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 Service, Department of 
                Labor (Parts 1000--1099)

                       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)
       III  Office of National Drug Control Policy (Parts 1400--
                1499)

                      Title 22--Foreign Relations

         I  Department of State (Parts 1--199)
        II  Agency for International Development (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  Broadcasting Board of Governors (Parts 500--599)
       VII  Overseas Private Investment Corporation (Parts 700--
                799)
        IX  Foreign Service Grievance Board (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  Millennium Challenge Corporation (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)
      XVII  United States Institute of Peace (Parts 1700--1799)

                          Title 23--Highways

         I  Federal Highway Administration, Department of 
                Transportation (Parts 1--999)

[[Page 594]]

        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)

                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)
        IV  Office of Housing and Office of Multifamily Housing 
                Assistance Restructuring, Department of Housing 
                and Urban Development (Parts 400--499)
         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) [Reserved]
       VII  Office of the Secretary, Department of Housing and 
                Urban Development (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, Section 202 Direct Loan Program, Section 
                202 Supportive Housing for the Elderly Program and 
                Section 811 Supportive Housing for Persons With 
                Disabilities Program) (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--1699)
         X  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Interstate Land Sales 
                Registration Program) (Parts 1700--1799)
       XII  Office of Inspector General, Department of Housing and 
                Urban Development (Parts 2000--2099)
        XV  Emergency Mortgage Insurance and Loan Programs, 
                Department of Housing and Urban Development (Parts 
                2700--2799) [Reserved]
        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)

[[Page 595]]

      XXIV  Board of Directors of the HOPE for Homeowners Program 
                (Parts 4000--4099) [Reserved]
       XXV  Neighborhood Reinvestment Corporation (Parts 4100--
                4199)

                           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, Department of the 
                Interior (Parts 500--599)
        IV  Office of Navajo and Hopi Indian Relocation (Parts 
                700--899)
         V  Bureau of Indian Affairs, Department of the Interior, 
                and Indian Health Service, Department of Health 
                and Human Services (Part 900)
        VI  Office of the Assistant Secretary, Indian Affairs, 
                Department of the Interior (Parts 1000--1199)
       VII  Office of the Special Trustee for American Indians, 
                Department of the Interior (Parts 1200--1299)

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--End)

           Title 27--Alcohol, Tobacco Products and Firearms

         I  Alcohol and Tobacco Tax and Trade Bureau, Department 
                of the Treasury (Parts 1--399)
        II  Bureau of Alcohol, Tobacco, Firearms, and Explosives, 
                Department of Justice (Parts 400--699)

                   Title 28--Judicial Administration

         I  Department of Justice (Parts 0--299)
       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)
      VIII  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 800--899)
        IX  National Crime Prevention and Privacy Compact Council 
                (Parts 900--999)
        XI  Department of Justice and Department of State (Parts 
                1100--1199)

[[Page 596]]

                            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  Office of Labor-Management Standards, 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  Employee Benefits Security Administration, Department 
                of Labor (Parts 2500--2599)
     XXVII  Federal Mine Safety and Health Review Commission 
                (Parts 2700--2799)
        XL  Pension Benefit Guaranty Corporation (Parts 4000--
                4999)

                      Title 30--Mineral Resources

         I  Mine Safety and Health Administration, Department of 
                Labor (Parts 1--199)
        II  Bureau of Safety and Environmental Enforcement, 
                Department of the Interior (Parts 200--299)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
         V  Bureau of Ocean Energy Management, Department of the 
                Interior (Parts 500--599)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)
       XII  Office of Natural Resources Revenue, Department of the 
                Interior (Parts 1200--1299)

                 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)

[[Page 597]]

        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 Investment Security, Department of the 
                Treasury (Parts 800--899)
        IX  Federal Claims Collection Standards (Department of the 
                Treasury--Department of Justice) (Parts 900--999)
         X  Financial Crimes Enforcement Network, Department of 
                the Treasury (Parts 1000--1099)

                      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)
      XVII  Office of the Director of National Intelligence (Parts 
                1700--1799)
     XVIII  National Counterintelligence Center (Parts 1800--1899)
       XIX  Central Intelligence Agency (Parts 1900--1999)
        XX  Information Security Oversight Office, National 
                Archives and Records Administration (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)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Homeland Security (Parts 
                1--199)
        II  Corps of Engineers, Department of the Army, Department 
                of Defense (Parts 200--399)
        IV  Saint Lawrence Seaway Development Corporation, 
                Department of Transportation (Parts 400--499)

                          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)

[[Page 598]]

        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 Career, Technical and Adult Education, 
                Department of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599) 
                [Reserved]
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
       VII  Office of Educational Research and Improvement, 
                Department of Education (Parts 700--799) 
                [Reserved]
            Subtitle C--Regulations Relating to Education
        XI  (Parts 1100--1199) [Reserved]
       XII  National Council on Disability (Parts 1200--1299)

                          Title 35 [Reserved]

             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)
        VI  [Reserved]
       VII  Library of Congress (Parts 700--799)
      VIII  Advisory Council on Historic Preservation (Parts 800--
                899)
        IX  Pennsylvania Avenue Development Corporation (Parts 
                900--999)
         X  Presidio Trust (Parts 1000--1099)
        XI  Architectural and Transportation Barriers Compliance 
                Board (Parts 1100--1199)
       XII  National Archives and Records Administration (Parts 
                1200--1299)
        XV  Oklahoma City National Memorial Trust (Parts 1500--
                1599)
       XVI  Morris K. Udall Scholarship and Excellence in National 
                Environmental Policy Foundation (Parts 1600--1699)

             Title 37--Patents, Trademarks, and Copyrights

         I  United States Patent and Trademark Office, Department 
                of Commerce (Parts 1--199)
        II  U.S. Copyright Office, Library of Congress (Parts 
                200--299)
       III  Copyright Royalty Board, Library of Congress (Parts 
                300--399)
        IV  National Institute of Standards and Technology, 
                Department of Commerce (Parts 400--599)

[[Page 599]]

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--199)
        II  Armed Forces Retirement Home (Parts 200--299)

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Regulatory Commission (Parts 3000--3099)

                  Title 40--Protection of Environment

         I  Environmental Protection Agency (Parts 1--1099)
        IV  Environmental Protection Agency and Department of 
                Justice (Parts 1400--1499)
         V  Council on Environmental Quality (Parts 1500--1599)
        VI  Chemical Safety and Hazard Investigation Board (Parts 
                1600--1699)
       VII  Environmental Protection Agency and Department of 
                Defense; Uniform National Discharge Standards for 
                Vessels of the Armed Forces (Parts 1700--1799)
      VIII  Gulf Coast Ecosystem Restoration Council (Parts 1800--
                1899)

          Title 41--Public Contracts and Property Management

            Subtitle A--Federal Procurement Regulations System 
                [Note]
            Subtitle B--Other Provisions Relating to Public 
                Contracts
        50  Public Contracts, Department of Labor (Parts 50-1--50-
                999)
        51  Committee for Purchase From People Who Are Blind or 
                Severely Disabled (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 Service, Department of 
                Labor (Parts 61-1--61-999)
   62--100  [Reserved]
            Subtitle C--Federal Property Management Regulations 
                System
       101  Federal Property Management Regulations (Parts 101-1--
                101-99)
       102  Federal Management Regulation (Parts 102-1--102-299)
  103--104  [Reserved]
       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)
  129--200  [Reserved]
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]

[[Page 600]]

            Subtitle E--Federal Information Resources Management 
                Regulations System [Reserved]
            Subtitle F--Federal Travel Regulation System
       300  General (Parts 300-1--300-99)
       301  Temporary Duty (TDY) 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 (Part 303-1--303-99)
       304  Payment of Travel Expenses from a Non-Federal Source 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
   ii--III  [Reserved]
        IV  Centers for Medicare & Medicaid Services, Department 
                of Health and Human Services (Parts 400--699)
         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1099)

                   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 400--999)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10099)

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency, Department of 
                Homeland Security (Parts 0--399)
        IV  Department of Commerce and Department of 
                Transportation (Parts 400--499)

                       Title 45--Public Welfare

            Subtitle A--Department of Health and Human Services 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Welfare
        II  Office of Family Assistance (Assistance Programs), 
                Administration for Children and Families, 
                Department of Health and Human Services (Parts 
                200--299)

[[Page 601]]

       III  Office of Child Support Enforcement (Child Support 
                Enforcement Program), Administration for Children 
                and Families, Department of Health and Human 
                Services (Parts 300--399)
        IV  Office of Refugee Resettlement, Administration for 
                Children and Families, 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)
        IX  Denali Commission (Parts 900--999)
         X  Office of Community Services, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 1000--1099)
        XI  National Foundation on the Arts and the Humanities 
                (Parts 1100--1199)
       XII  Corporation for National and Community Service (Parts 
                1200--1299)
      XIII  Administration for Children and Families, 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)
       XXI  Commission of Fine Arts (Parts 2100--2199)
     XXIII  Arctic Research Commission (Part 2301)
      XXIV  James Madison Memorial Fellowship Foundation (Parts 
                2400--2499)
       XXV  Corporation for National and Community Service (Parts 
                2500--2599)

                          Title 46--Shipping

         I  Coast Guard, Department of Homeland Security (Parts 
                1--199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
       III  Coast Guard (Great Lakes Pilotage), Department of 
                Homeland Security (Parts 400--499)
        IV  Federal Maritime Commission (Parts 500--599)

                      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)

[[Page 602]]

        IV  National Telecommunications and Information 
                Administration, Department of Commerce, and 
                National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 400--499)
         V  The First Responder Network Authority (Parts 500--599)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)
         2  Defense Acquisition Regulations System, Department of 
                Defense (Parts 200--299)
         3  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  Broadcasting Board of Governors (Parts 1900--1999)
        20  Nuclear Regulatory Commission (Parts 2000--2099)
        21  Office of Personnel Management, Federal Employees 
                Group Life Insurance Federal Acquisition 
                Regulation (Parts 2100--2199)
        23  Social Security Administration (Parts 2300--2399)
        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)
        30  Department of Homeland Security, Homeland Security 
                Acquisition Regulation (HSAR) (Parts 3000--3099)
        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)
        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) 
                [Reserved]

[[Page 603]]

        54  Defense Logistics Agency, Department of Defense (Parts 
                5400--5499)
        57  African Development Foundation (Parts 5700--5799)
        61  Civilian Board of Contract Appeals, General Services 
                Administration (Parts 6100--6199)
        99  Cost Accounting Standards Board, Office of Federal 
                Procurement Policy, Office of Management and 
                Budget (Parts 9900--9999)

                       Title 49--Transportation

            Subtitle A--Office of the Secretary of Transportation 
                (Parts 1--99)
            Subtitle B--Other Regulations Relating to 
                Transportation
         I  Pipeline and Hazardous Materials Safety 
                Administration, Department of Transportation 
                (Parts 100--199)
        II  Federal Railroad Administration, Department of 
                Transportation (Parts 200--299)
       III  Federal Motor Carrier Safety Administration, 
                Department of Transportation (Parts 300--399)
        IV  Coast Guard, Department of Homeland Security (Parts 
                400--499)
         V  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 500--599)
        VI  Federal Transit Administration, Department of 
                Transportation (Parts 600--699)
       VII  National Railroad Passenger Corporation (AMTRAK) 
                (Parts 700--799)
      VIII  National Transportation Safety Board (Parts 800--999)
         X  Surface Transportation Board (Parts 1000--1399)
        XI  Research and Innovative Technology Administration, 
                Department of Transportation (Parts 1400--1499) 
                [Reserved]
       XII  Transportation Security Administration, Department of 
                Homeland Security (Parts 1500--1699)

                   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 Fishing and Related Activities (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)

[[Page 604]]

        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

[[Page 605]]





           Alphabetical List of Agencies Appearing in the CFR




                     (Revised as of January 1, 2018)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Committee of the Federal Register  1, I
Administrative Conference of the United States    1, III
Advisory Council on Historic Preservation         36, VIII
Advocacy and Outreach, Office of                  7, XXV
Afghanistan Reconstruction, Special Inspector     5, LXXXIII
     General for
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development              2, VII; 22, II
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture Department                            2, IV; 5, LXXIII
  Advocacy and Outreach, Office of                7, XXV
  Agricultural Marketing Service                  7, I, IX, X, XI
  Agricultural Research Service                   7, V
  Animal and Plant Health Inspection Service      7, III; 9, I
  Chief Financial Officer, Office of              7, XXX
  Commodity Credit Corporation                    7, XIV
  Economic Research Service                       7, XXXVII
  Energy Policy and New Uses, Office of           2, IX; 7, XXIX
  Environmental Quality, Office of                7, XXXI
  Farm Service Agency                             7, VII, XVIII
  Federal Acquisition Regulation                  48, 4
  Federal Crop Insurance Corporation              7, IV
  Food and Nutrition Service                      7, II
  Food Safety and Inspection Service              9, III
  Foreign Agricultural Service                    7, XV
  Forest Service                                  36, II
  Grain Inspection, Packers and Stockyards        7, VIII; 9, II
       Administration
  Information Resources Management, Office of     7, XXVII
  Inspector General, Office of                    7, XXVI
  National Agricultural Library                   7, XLI
  National Agricultural Statistics Service        7, XXXVI
  National Institute of Food and Agriculture      7, XXXIV
  Natural Resources Conservation Service          7, VI
  Operations, Office of                           7, XXVIII
  Procurement and Property Management, Office of  7, XXXII
  Rural Business-Cooperative Service              7, XVIII, XLII
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV
  Rural Telephone Bank                            7, XVI
  Rural Utilities Service                         7, XVII, XVIII, XLII
  Secretary of Agriculture, Office of             7, Subtitle A
  Transportation, Office of                       7, XXXIII
  World Agricultural Outlook Board                7, XXXVIII
Air Force Department                              32, VII
  Federal Acquisition Regulation Supplement       48, 53
Air Transportation Stabilization Board            14, VI
Alcohol and Tobacco Tax and Trade Bureau          27, I
Alcohol, Tobacco, Firearms, and Explosives,       27, II
     Bureau of
AMTRAK                                            49, VII
American Battle Monuments Commission              36, IV
American Indians, Office of the Special Trustee   25, VII

[[Page 606]]

Animal and Plant Health Inspection Service        7, III; 9, I
Appalachian Regional Commission                   5, IX
Architectural and Transportation Barriers         36, XI
     Compliance Board
Arctic Research Commission                        45, XXIII
Armed Forces Retirement Home                      5, XI
Army Department                                   32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
Bilingual Education and Minority Languages        34, V
     Affairs, Office of
Blind or Severely Disabled, Committee for         41, 51
     Purchase from People Who Are
Broadcasting Board of Governors                   22, V
  Federal Acquisition Regulation                  48, 19
Career, Technical and Adult Education, Office of  34, IV
Census Bureau                                     15, I
Centers for Medicare & Medicaid Services          42, IV
Central Intelligence Agency                       32, XIX
Chemical Safety and Hazardous Investigation       40, VI
     Board
Chief Financial Officer, Office of                7, XXX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X, XIII
Civil Rights, Commission on                       5, LXVIII; 45, VII
Civil Rights, Office for                          34, I
Council of the Inspectors General on Integrity    5, XCVIII
     and Efficiency
Court Services and Offender Supervision Agency    5, LXX
     for the District of Columbia
Coast Guard                                       33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage)                46, III
Commerce Department                               2, XIII; 44, IV; 50, VI
  Census Bureau                                   15, I
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 13
  Foreign-Trade Zones Board                       15, IV
  Industry and Security, Bureau of                15, VII
  International Trade Administration              15, III; 19, III
  National Institute of Standards and Technology  15, II; 37, IV
  National Marine Fisheries Service               50, II, IV
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Technical Information Service          15, XI
  National Telecommunications and Information     15, XXIII; 47, III, IV
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office, United States      37, I
  Secretary of Commerce, Office of                15, Subtitle A
Commercial Space Transportation                   14, III
Commodity Credit Corporation                      7, XIV
Commodity Futures Trading Commission              5, XLI; 17, I
Community Planning and Development, Office of     24, V, VI
     Assistant Secretary for
Community Services, Office of                     45, X
Comptroller of the Currency                       12, I
Construction Industry Collective Bargaining       29, IX
     Commission
Consumer Financial Protection Bureau              5, LXXXIV; 12, X
Consumer Product Safety Commission                5, LXXI; 16, II
Copyright Royalty Board                           37, III
Corporation for National and Community Service    2, XXII; 45, XII, XXV
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Court Services and Offender Supervision Agency    5, LXX; 28, VIII
     for the District of Columbia
Customs and Border Protection                     19, I
Defense Contract Audit Agency                     32, I
Defense Department                                2, XI; 5, XXVI; 32, 
                                                  Subtitle A; 40, VII
  Advanced Research Projects Agency               32, I

[[Page 607]]

  Air Force Department                            32, VII
  Army Department                                 32, V; 33, II; 36, III; 
                                                  48, 51
  Defense Acquisition Regulations System          48, 2
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  National Imagery and Mapping Agency             32, I
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 2, XI; 32, I
Defense Contract Audit Agency                     32, I
Defense Intelligence Agency                       32, I
Defense Logistics Agency                          32, XII; 48, 54
Defense Nuclear Facilities Safety Board           10, XVII
Delaware River Basin Commission                   18, III
Denali Commission                                 45, IX
District of Columbia, Court Services and          5, LXX; 28, VIII
     Offender Supervision Agency for the
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          2, XXXIV; 5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Career, Technical and Adult Education, Office   34, IV
       of
  Civil Rights, Office for                        34, I
  Educational Research and Improvement, Office    34, VII
       of
  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,  34, III
       Office of
  Career, Technical, and Adult Education, Office  34, IV
       of
Educational Research and Improvement, Office of   34, VII
Election Assistance Commission                    2, LVIII; 11, II
Elementary and Secondary Education, Office of     34, II
Emergency Oil and Gas Guaranteed Loan Board       13, V
Emergency Steel Guarantee Loan Board              13, IV
Employee Benefits Security Administration         29, XXV
Employees' Compensation Appeals Board             20, IV
Employees Loyalty Board                           5, V
Employment and Training Administration            20, V
Employment Standards Administration               20, VI
Endangered Species Committee                      50, IV
Energy, Department of                             2, IX; 5, XXIII; 10, II, 
                                                  III, X
  Federal Acquisition Regulation                  48, 9
  Federal Energy Regulatory Commission            5, XXIV; 18, I
  Property Management Regulations                 41, 109
Energy, Office of                                 7, XXIX
Engineers, Corps of                               33, II; 36, III
Engraving and Printing, Bureau of                 31, VI
Environmental Protection Agency                   2, XV; 5, LIV; 40, I, IV, 
                                                  VII
  Federal Acquisition Regulation                  48, 15
  Property Management Regulations                 41, 115
Environmental Quality, Office of                  7, XXXI
Equal Employment Opportunity Commission           5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary  24, I
     for
Executive Office of the President                 3, I
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                2, Subtitle A; 5, III, 
                                                  LXXVII; 14, VI; 48, 99
  National Drug Control Policy, Office of         2, XXXVI; 21, III
  National Security Council                       32, XXI; 47, 2

[[Page 608]]

  Presidential Documents                          3
  Science and Technology Policy, Office of        32, XXIV; 47, II
  Trade Representative, Office of the United      15, XX
       States
Export-Import Bank of the United States           2, XXXV; 5, LII; 12, IV
Family Assistance, Office of                      45, II
Farm Credit Administration                        5, XXXI; 12, VI
Farm Credit System Insurance Corporation          5, XXX; 12, XIV
Farm Service Agency                               7, VII, XVIII
Federal Acquisition Regulation                    48, 1
Federal Aviation Administration                   14, I
  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               31, IX
Federal Communications Commission                 5, XXIX; 47, I
Federal Contract Compliance Programs, Office of   41, 60
Federal Crop Insurance Corporation                7, IV
Federal Deposit Insurance Corporation             5, XXII; 12, III
Federal Election Commission                       5, XXXVII; 11, I
Federal Emergency Management Agency               44, I
Federal Employees Group Life Insurance Federal    48, 21
     Acquisition Regulation
Federal Employees Health Benefits Acquisition     48, 16
     Regulation
Federal Energy Regulatory Commission              5, XXIV; 18, I
Federal Financial Institutions Examination        12, XI
     Council
Federal Financing Bank                            12, VIII
Federal Highway Administration                    23, I, II
Federal Home Loan Mortgage Corporation            1, IV
Federal Housing Enterprise Oversight Office       12, XVII
Federal Housing Finance Agency                    5, LXXX; 12, XII
Federal Housing Finance Board                     12, IX
Federal Labor Relations Authority                 5, XIV, XLIX; 22, XIV
Federal Law Enforcement Training Center           31, VII
Federal Management Regulation                     41, 102
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Motor Carrier Safety Administration       49, III
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
Federal Railroad Administration                   49, II
Federal Register, Administrative Committee of     1, I
Federal Register, Office of                       1, II
Federal Reserve System                            12, II
  Board of Governors                              5, LVIII
Federal Retirement Thrift Investment Board        5, VI, LXXVI
Federal Service Impasses Panel                    5, XIV
Federal Trade Commission                          5, XLVII; 16, I
Federal Transit Administration                    49, VI
Federal Travel Regulation System                  41, Subtitle F
Financial Crimes Enforcement Network              31, X
Financial Research Office                         12, XVI
Financial Stability Oversight Council             12, XIII
Fine Arts, Commission of                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
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 the       45, V
     United States
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 Services Administration                   5, LVII; 41, 105

[[Page 609]]

  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Management Regulation                   41, 102
  Federal Property Management Regulations         41, 101
  Federal Travel Regulation System                41, Subtitle F
  General                                         41, 300
  Payment From a Non-Federal Source for Travel    41, 304
       Expenses
  Payment of Expenses Connected With the Death    41, 303
       of Certain Employees
  Relocation Allowances                           41, 302
  Temporary Duty (TDY) Travel Allowances          41, 301
Geological Survey                                 30, IV
Government Accountability Office                  4, I
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Gulf Coast Ecosystem Restoration Council          2, LIX; 40, VIII
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          2, III; 5, XLV; 45, 
                                                  Subtitle A
  Centers for Medicare & Medicaid Services        42, IV
  Child Support Enforcement, Office of            45, III
  Children and Families, Administration for       45, II, III, IV, X, XIII
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  Indian Health Service                           25, V
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Homeland Security, Department of                  2, XXX; 5, XXXVI; 6, I; 8, 
                                                  I
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Customs and Border Protection                   19, I
  Federal Emergency Management Agency             44, I
  Human Resources Management and Labor Relations  5, XCVII
       Systems
  Immigration and Customs Enforcement Bureau      19, IV
  Transportation Security Administration          49, XII
HOPE for Homeowners Program, Board of Directors   24, XXIV
     of
Housing and Urban Development, Department of      2, XXIV; 5, LXV; 24, 
                                                  Subtitle B
  Community Planning and Development, Office of   24, V, VI
       Assistant Secretary for
  Equal Opportunity, Office of Assistant          24, I
       Secretary for
  Federal Acquisition Regulation                  48, 24
  Federal Housing Enterprise Oversight, Office    12, XVII
       of
  Government National Mortgage Association        24, III
  Housing--Federal Housing Commissioner, Office   24, II, VIII, X, XX
       of Assistant Secretary for
  Housing, Office of, and Multifamily Housing     24, IV
       Assistance Restructuring, Office of
  Inspector General, Office of                    24, XII
  Public and Indian Housing, Office of Assistant  24, IX
       Secretary for
  Secretary, Office of                            24, Subtitle A, VII
Housing--Federal Housing Commissioner, Office of  24, II, VIII, X, XX
     Assistant Secretary for
Housing, Office of, and Multifamily Housing       24, IV
     Assistance Restructuring, Office of
Immigration and Customs Enforcement Bureau        19, IV
Immigration Review, Executive Office for          8, V
Independent Counsel, Office of                    28, VII
Independent Counsel, Offices of                   28, VI
Indian Affairs, Bureau of                         25, I, V
Indian Affairs, Office of the Assistant           25, VI
   Secretary
[[Page 610]]

Indian Arts and Crafts Board                      25, II
Indian Health Service                             25, V
Industry and Security, Bureau of                  15, VII
Information Resources Management, Office of       7, XXVII
Information Security Oversight Office, National   32, XX
     Archives and Records Administration
Inspector General
  Agriculture Department                          7, XXVI
  Health and Human Services Department            42, V
  Housing and Urban Development Department        24, XII, XV
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Interior Department                               2, XIV
  American Indians, Office of the Special         25, VII
       Trustee
  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, V
  Indian Affairs, Office of the Assistant         25, VI
       Secretary
  Indian Arts and Crafts Board                    25, II
  Land Management, Bureau of                      43, II
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Natural Resource Revenue, Office of             30, XII
  Ocean Energy Management, Bureau of              30, V
  Reclamation, Bureau of                          43, I
  Safety and Enforcement Bureau, Bureau of        30, II
  Secretary of the Interior, Office of            2, XIV; 43, Subtitle A
  Surface Mining Reclamation and Enforcement,     30, VII
       Office of
Internal Revenue Service                          26, I
International Boundary and Water Commission,      22, XI
     United States and Mexico, United States 
     Section
International Development, United States Agency   22, II
     for
  Federal Acquisition Regulation                  48, 7
International Development Cooperation Agency,     22, XII
     United States
International Joint Commission, United States     22, IV
     and Canada
International Organizations Employees Loyalty     5, V
     Board
International Trade Administration                15, III; 19, III
International Trade Commission, United States     19, II
Interstate Commerce Commission                    5, XL
Investment Security, Office of                    31, VIII
James Madison Memorial Fellowship Foundation      45, XXIV
Japan-United States Friendship Commission         22, XVI
Joint Board for the Enrollment of Actuaries       20, VIII
Justice Department                                2, XXVIII; 5, XXVIII; 28, 
                                                  I, XI; 40, IV
  Alcohol, Tobacco, Firearms, and Explosives,     27, II
       Bureau of
  Drug Enforcement Administration                 21, II
  Federal Acquisition Regulation                  48, 28
  Federal Claims Collection Standards             31, IX
  Federal Prison Industries, Inc.                 28, III
  Foreign Claims Settlement Commission of the     45, V
       United States
  Immigration Review, Executive Office for        8, V
  Independent Counsel, Offices of                 28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor Department                                  2, XXIX; 5, XLII
  Employee Benefits Security Administration       29, XXV
  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    41, 60
     of
[[Page 611]]

  Federal Procurement Regulations System          41, 50
  Labor-Management Standards, Office of           29, II, IV
  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  Public Contracts                                41, 50
  Secretary of Labor, Office of                   29, Subtitle A
  Veterans' Employment and Training Service,      41, 61; 20, IX
       Office of the Assistant Secretary for
  Wage and Hour Division                          29, V
  Workers' Compensation Programs, Office of       20, I, VII
Labor-Management Standards, Office of             29, II, IV
Land Management, Bureau of                        43, II
Legal Services Corporation                        45, XVI
Library of Congress                               36, VII
  Copyright Royalty Board                         37, III
  U.S. Copyright Office                           37, II
Local Television Loan Guarantee Board             7, XX
Management and Budget, Office of                  5, III, LXXVII; 14, VI; 
                                                  48, 99
Marine Mammal Commission                          50, V
Maritime Administration                           46, II
Merit Systems Protection Board                    5, II, LXIV
Micronesian Status Negotiations, Office for       32, XXVII
Military Compensation and Retirement              5, XCIX
     Modernization Commission
Millennium Challenge Corporation                  22, XIII
Mine Safety and Health Administration             30, I
Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV
Monetary Offices                                  31, I
Morris K. Udall Scholarship and Excellence in     36, XVI
     National Environmental Policy Foundation
Museum and Library Services, Institute of         2, XXXI
National Aeronautics and Space Administration     2, XVIII; 5, LIX; 14, V
  Federal Acquisition Regulation                  48, 18
National Agricultural Library                     7, XLI
National Agricultural Statistics Service          7, XXXVI
National and Community Service, Corporation for   2, XXII; 45, XII, XXV
National Archives and Records Administration      2, XXVI; 5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
National Capital Planning Commission              1, IV, VI
National Commission for Employment Policy         1, IV
National Commission on Libraries and Information  45, XVII
     Science
National Council on Disability                    5, C; 34, XII
National Counterintelligence Center               32, XVIII
National Credit Union Administration              5, LXXXVI; 12, VII
National Crime Prevention and Privacy Compact     28, IX
     Council
National Drug Control Policy, Office of           2, XXXVI; 21, III
National Endowment for the Arts                   2, XXXII
National Endowment for the Humanities             2, XXXIII
National Foundation on the Arts and the           45, XI
     Humanities
National Geospatial-Intelligence Agency           32, I
National Highway Traffic Safety Administration    23, II, III; 47, VI; 49, V
National Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute of Food and Agriculture        7, XXXIV
National Institute of Standards and Technology    15, II; 37, IV
National Intelligence, Office of Director of      5, IV; 32, XVII
National Labor Relations Board                    5, LXI; 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                       2, XXV; 5, XLIII; 45, VI

[[Page 612]]

  Federal Acquisition Regulation                  48, 25
National Security Council                         32, XXI
National Security Council and Office of Science   47, II
     and Technology Policy
National Telecommunications and Information       15, XXIII; 47, III, IV, V
     Administration
National Transportation Safety Board              49, VIII
Natural Resources Conservation Service            7, VI
Natural Resource Revenue, Office of               30, XII
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy Department                                   32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Northeast Interstate Low-Level Radioactive Waste  10, XVIII
     Commission
Nuclear Regulatory Commission                     2, XX; 5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Ocean Energy Management, Bureau of                30, V
Oklahoma City National Memorial Trust             36, XV
Operations Office                                 7, XXVIII
Overseas Private Investment Corporation           5, XXXIII; 22, VII
Patent and Trademark Office, United States        37, I
Payment From a Non-Federal Source for Travel      41, 304
     Expenses
Payment of Expenses Connected With the Death of   41, 303
     Certain Employees
Peace Corps                                       2, XXXVII; 22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 5, IV; 45, 
                                                  VIII
  Human Resources Management and Labor Relations  5, XCVII
       Systems, Department of Homeland Security
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
       Acquisition Regulation
  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Pipeline and Hazardous Materials Safety           49, I
     Administration
Postal Regulatory Commission                      5, XLVI; 39, III
Postal Service, United States                     5, LX; 39, I
Postsecondary Education, Office of                34, VI
President's Commission on White House             1, IV
     Fellowships
Presidential Documents                            3
Presidio Trust                                    36, X
Prisons, Bureau of                                28, V
Privacy and Civil Liberties Oversight Board       6, X
Procurement and Property Management, Office of    7, XXXII
Public Contracts, Department of Labor             41, 50
Public and Indian Housing, Office of Assistant    24, IX
     Secretary for
Public Health Service                             42, I
Railroad Retirement Board                         20, II
Reclamation, Bureau of                            43, I
Refugee Resettlement, Office of                   45, IV
Relocation Allowances                             41, 302
Research and Innovative Technology                49, XI
     Administration
Rural Business-Cooperative Service                7, XVIII, XLII
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII, XXXV
Rural Telephone Bank                              7, XVI
Rural Utilities Service                           7, XVII, XVIII, XLII
Safety and Environmental Enforcement, Bureau of   30, II
Saint Lawrence Seaway Development Corporation     33, IV
Science and Technology Policy, Office of          32, XXIV
Science and Technology Policy, Office of, and     47, II
     National Security Council
Secret Service                                    31, IV

[[Page 613]]

Securities and Exchange Commission                5, XXXIV; 17, II
Selective Service System                          32, XVI
Small Business Administration                     2, XXVII; 13, I
Smithsonian Institution                           36, V
Social Security Administration                    2, XXIII; 20, III; 48, 23
Soldiers' and Airmen's Home, United States        5, XI
Special Counsel, Office of                        5, VIII
Special Education and Rehabilitative Services,    34, III
     Office of
State Department                                  2, VI; 22, I; 28, XI
  Federal Acquisition Regulation                  48, 6
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Tennessee Valley Authority                        5, LXIX; 18, XIII
Thrift Supervision Office, Department of the      12, V
     Treasury
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     2, XII; 5, L
  Commercial Space Transportation                 14, III
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 12
  Federal Aviation Administration                 14, I
  Federal Highway Administration                  23, I, II
  Federal Motor Carrier Safety Administration     49, III
  Federal Railroad Administration                 49, II
  Federal Transit Administration                  49, VI
  Maritime Administration                         46, II
  National Highway Traffic Safety Administration  23, II, III; 47, IV; 49, V
  Pipeline and Hazardous Materials Safety         49, I
       Administration
  Saint Lawrence Seaway Development Corporation   33, IV
  Secretary of Transportation, Office of          14, II; 49, Subtitle A
  Transportation Statistics Bureau                49, XI
Transportation, Office of                         7, XXXIII
Transportation Security Administration            49, XII
Transportation Statistics Bureau                  49, XI
Travel Allowances, Temporary Duty (TDY)           41, 301
Treasury Department                               2, X;5, XXI; 12, XV; 17, 
                                                  IV; 31, IX
  Alcohol and Tobacco Tax and Trade Bureau        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I
  Customs and Border Protection                   19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Claims Collection Standards             31, IX
  Federal Law Enforcement Training Center         31, VII
  Financial Crimes Enforcement Network            31, X
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  Investment Security, Office of                  31, VIII
  Monetary Offices                                31, I
  Secret Service                                  31, IV
  Secretary of the Treasury, Office of            31, Subtitle A
  Thrift Supervision, Office of                   12, V
Truman, Harry S. Scholarship Foundation           45, XVIII
United States and Canada, International Joint     22, IV
     Commission
United States and Mexico, International Boundary  22, XI
     and Water Commission, United States Section
U.S. Copyright Office                             37, II
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs Department                       2, VIII; 38, I
  Federal Acquisition Regulation                  48, 8
Veterans' Employment and Training Service,        41, 61; 20, IX
     Office of the Assistant Secretary for
Vice President of the United States, Office of    32, XXVIII
Wage and Hour Division                            29, V
Water Resources Council                           18, VI

[[Page 614]]

Workers' Compensation Programs, Office of         20, I, VII
World Agricultural Outlook Board                  7, XXXVIII

[[Page 615]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations (CFR) that 
were made by documents published in the Federal Register since January 
1, 2013 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, parts and 
subparts as well as sections for revisions.
For changes to this volume of the CFR prior to this listing, consult the 
annual edition of the monthly List of CFR Sections Affected (LSA). The 
LSA is available at www.fdsys.gov. For changes to this volume of the CFR 
prior to 2001, see the ``List of CFR Sections Affected, 1949-1963, 1964-
1972, 1973-1985, and 1986-2000'' published in 11 separate volumes. The 
``List of CFR Sections Affected 1986-2000'' is available at 
www.fdsys.gov.

                                  2013

7 CFR
                                                                   78 FR
                                                                    Page
Subtitle A
2 Authority citation revised.......................................40936
2.5 Revised........................................................40936
2.16 (a)(2)(viii) removed..........................................40937
2.17 (a)(17) removed...............................................40937
2.20 (a)(2)(xlv) and (3)(xxiv) added...............................40937
2.24 (a)(2)(xi)(C), (D), (3)(xxv), (4)(xx) and (7)(xiv) revised; 
        (a)(4)(xxii) and (11) removed; (a)(3)(xxx), (6)(iii)(I), 
        (xx), (9)(vi), (vii) and (viii) added......................40937
2.25 (a)(21) revised; (a)(22) redesignated as (a)(23); new (a)(22) 
        added......................................................40937
2.29 (a)(2)(iii), (11)(iii) and (iv) removed; (a)(12), (13) and 
        (14) added.................................................40938
2.31 Introductory text and (a) through (p) redesignated as (a) 
        introductory text and (1) through (16); new introductory 
        text revised; new (a)(12)(1) through (5) redesignated as 
        (a)(12)(i) through (v); (a)(17) and new (b) added..........40938
2.42 (a)(35) removed...............................................40938
2.47 (a)(9) removed................................................40938
2.48 (a)(15) removed...............................................40938
2.49 (a)(7) removed................................................40938
2.60 (a)(54) added.................................................40938
2.61 (a)(29) added.................................................40938
2.71 (a)(3) removed................................................40938
2.74 Added.........................................................40938
2.75 Added.........................................................40938
2.89 (a)(11)(iii) and (iv) revised.................................40939
2.90 (a)(25) revised; (a)(30) added................................40939
2.91 (a)(20) revised; (a)(22) removed..............................40939
2.93 (a)(20) added.................................................40939
2.94 (a)(14) revised...............................................40939
2.96 (a)(6), (7) and (8) added.....................................40939
2.98 Removed.......................................................40940
2.200 Revised......................................................40940
2.201 Added........................................................40940
2.202 Revised......................................................40940
6 Appendices 1, 2 and 3 evised.....................................46491
7 Regulation at 77 FR 33070 confirmed..............................13776
20.4 (c) revised...................................................16778
20 Appendix 1 revised..............................................16778

                                  2014

7 CFR
                                                                   79 FR
                                                                    Page
Subtitle A
1 Authority citation revised.......................................44105
1.131 (a) amended..................................................44105
2.4 Revised........................................................44105

[[Page 616]]

2.16 (a)(1) heading, (xviii), (xxv), (2)(i)(C), (H), (I), (J), 
        (3)(xii), (xiii), (xiv) and (b)(2)(iii) revised; 
        (a)(1)(xxx), (xxxi), (xxxiv)(A), (C), (D), (F), (G), 
        (3)(xv) and (xvi) removed; (a)(1)(xxxvi), (2)(i)(M), 
        (3)(xlix) and (4)(vi) through (ix) added...................44105
2.17 (a)(20)(x), (21)(iv) and (28) removed; (a)(20)(xii), (xiii), 
        (21)(xxvi) and (xxvii) added; (a)(21)(ii)(E) revised.......44106
2.19 (a)(1)(i)(M) removed; (a)(1)(vii), (viii) and (ix) added......44107
2.20 (a)(2)(viii), (xxxix) and (xliv) revised; (a)(2)(xxvii)(E), 
        (xxxvii), (xliii) removed; (a)(2)(xxviii), (xlvi) through 
        (li), (3)(xiii)(S) through (V) and (xxv) added.............44107
2.21 (a)(1)(ii), (xix), (xxv), (xxx), (xlviii), (l), (lxvi), 
        (lxxx), (lxxxii), (ciii), (cxvii), (cxxiv), (cxxxv), 
        (cxli), (cliii), (clxxxiv), (clxxxv), (7)(i)(C) and 
        (b)(2)(i) revised; (a)(1)(xxviii), (xxix), (xlii), (lv), 
        (lxvii), (lxxii) through (lxxvi), (lxxviii), (lxxxi), 
        (lxxxviii), (cxi), (cxvi), (cxix), (cxx), (cxlv), (cxlvi), 
        (clxx), (clxxix), (clxxxviii), (cxcvi), (cxcix), (cc), 
        (8)(iii), (xi) and (10)(iv) removed; (a)(1)(ccvi) through 
        (ccxii) and (8)(xviii) added...............................44107
2.22 (a)(1)(i), (ii)(C), (viii)(CCC) and (2)(xli) revised; 
        (a)(1)(viii)(MMM) and (PPP) removed; (a)(1)(viii)(QQQ), 
        (RRR), (SSS), (xiii) and (2)(xlii) added...................44109
2.23 (a)(1)(v) removed.............................................44109
2.24 (a)(3), (4)(x)(Z) and (13) removed; (a)(5) revised; 
        (a)(6)(xix) and (7)(xv) added..............................44109
2.25 (a)(16)(i)(C) revised.........................................44109
2.28 Added.........................................................44110
2.29 (a)(11)(ix) removed; (a)(14)(iii) and (b) added...............44111
2.30 Added.........................................................44111
2.31 (a)(18) added.................................................44112
2.34 Introductory text revised.....................................44112
2.37 Added.........................................................44112
2.38 Added.........................................................44112
2.42 (a)(20), (28)(iii), (viii), (ix), (x), (45) revised; 
        (a)(28)(xiii), (58) and (59) added; (a)(52), (53), 
        (56)(i), (56)(iii), (iv), (vi) and (vii) removed...........44112
2.43 (a)(16) and (17) revised; (a)(18) and (19) removed; (a)(50) 
        added......................................................44113
2.44 (a)(5) through (8) added......................................44113
2.45 Revised.......................................................44113
2.47 (a) introductory text revised; (a)(4)(xii) and (15) removed; 
        (a)(17) and (18) added.....................................44113
2.48 (a) introductory text revised; (a)(4) removed; (a)(33) and 
        (34) added.................................................44113
2.49 (a) introductory text revised.................................44114
2.57 (a)(1)(xiii) removed; (a)(15) and (16) added..................44114
2.60 (a)(28), (48) and (53) revised; (a)(45) and (52) removed; 
        (a)(55) through (60) added.................................44114
2.61 (a)(13)(xix) through (xxii) and (30) added; (a)(16) removed 
                                                                   44114
2.65 (a)(15), (58), (64) introductory text, (iii) and (113) 
        revised; (a)(16), (25), (30), (34) through (37), (53), 
        (55), (61), (82) and (83) removed; (a)(114) and (115) 
        added......................................................44115
2.66 (a)(6), (17), (18), (42), (44), (57), (78), (83), (102), 
        (121), (143) and (144) revised; (a)(16), (21), (34), (35), 
        (36), (39), (43), (64), (65), (73), (79), (80), (81), 
        (91), (96), (105), (109), (137), (147), (152), (154) and 
        (155) removed; (a)(161) through (165) added................44115
2.67 (a)(3) and (7) removed; (a)(21) and (22) added................44116
2.68 (a)(13) added.................................................44116
2.73 (a)(10) removed...............................................44116
2.79 (a)(1), (2)(iii) and (8)(lxiii) revised; (a)(8)(lxxiii) and 
        (lxxvi) removed; (a)(8)(lxxvii), (lxxviii), (lxxix) and 
        (15) added.................................................44116
2.80 (a)(47) revised; (a)(48) added................................44116
2.85 (a)(5) removed................................................44117
2.90 Removed.......................................................44117
2.91 (a)(10)(xxvi) removed.........................................44117
2.92 Removed.......................................................44117
2.93 (a) introductory text revised.................................44117

[[Page 617]]

2.94 (a)(15) added.................................................44117
2.500 Revised......................................................44117
2.501 Removed......................................................44117
6.20--6.37 (Subpart) Appendices 1, 2 and 3 revised.................34213
15 Policy statement................................................70771
15c Added; eff. 1-9-15.............................................73192
15d.2 Redesignated as 15d.3; new 15d.2 added.......................41410
15d.3 Redesignated as 15d.4; redesignated from 15d.2...............41410
15d.3 Revised......................................................41411
15d.4 Redesignated as 15d.5; redesignated from 15d.3...............41410
15d.4 Revised......................................................41411
15d.5 Redesignated from 15d.4......................................41410
15d.5 Revised......................................................41411

                                  2015

7 CFR
                                                                   80 FR
                                                                    Page
Subtitle A
1.601--1.675 (Subpart O) Revised; interim..........................17181
1a.3 Amended; CFR correction.......................................79459
2.16 (a)(1)(xxvi)(C) removed; (a)(1)(xxvii) and (6) revised; 
        (a)(10), (b)(1)(iii) and (4) added.........................58336
2.17 (a)(31) and (b)(2) added......................................58336
2.18 (a)(8) and (b) added..........................................58337
2.19 (a)(6) and (b)(2) added.......................................58337
2.20 (a)(3)(xvi)(C) removed; (a)(10) and (b)(2) added..............58337
2.21 (a)(1)(ccxiii), (13) and (b)(3) added.........................58337
2.22 (a)(11) and (b)(3) added......................................58337
2.23 (a)(2)(v) removed.............................................58337
2.24 (a)(8)(ii)(A) revised; (a)(13) and (b)(3) added...............58337
2.25 (a)(23) revised; (a)(24), (25) and (b) added..................58337
2.28 (a)(28) revised; (a)(29) and (b) added........................58338
2.29 (a)(15) and (b) added.........................................58338
2.42 (a)(5) and (50) revised; (a)(46)(iii) removed.................58338
2.51 Revised.......................................................58338
2.61 (a)(25) introductory text revised; (a)(25)(i) and (ii) 
        amended; (a)(25)(iii) removed..............................58339
2.95 (b)(1)(i) revised.............................................58339
6.20--6.37 (Subpart) Heading revised...............................44254
6.20 Revised.......................................................44254
6.21 Revised.......................................................44254
6.22 Revised.......................................................44254
6.23 Revised.......................................................44254
6.24 Revised.......................................................44254
6.25 Revised.......................................................44254
6.26 Revised.......................................................44254
6.27 Revised.......................................................44254
6.28 Revised.......................................................44254
6.29 Revised.......................................................44254
6.30 Revised.......................................................44254
6.31 Revised.......................................................44254
6.32 Revised.......................................................44254
6.33 Revised.......................................................44254
6.34 Revised.......................................................44254
6.35 Revised.......................................................44254
6.36 Revised.......................................................44254
6.37 Removed.......................................................44258
6.20--6.36 (Subpart) Appendices 1, 2 and 3 removed.................44258
    Appendices 1, 2 and 3 revised..................................46185
12 Heading and authority citation revised; interim.................22879
12.2 (a) amended; interim..........................................22879
12.3 Revised; interim..............................................22879
12.4 (a) introductory text, (2), (c) and (d)(5) amended; (d)(1) 
        revised; (d)(6) added; (f) removed; (g) and (h) 
        redesignated as new (f) and (g); interim...................22880
12.5 (b)(4)(i)(C) and (E) amended; interim.........................22880
12.6 (a) revised; (b)(3)(x), (c)(1) and (2)(iii)(B) amended; 
        (c)(10), (f) and (g) amended; interim......................22880
12.7 (a)(2) amended; (d) added; interim............................22880
12.9 (a) and (b)(1) revised; (b)(2) redesignated as (b)(3); new 
        (b)(2) added; new (b)(3) amended; interim..................22881
12.13 Added; interim...............................................22881
12.31 (b)(1) amended; interim......................................22885
12.34 Removed; interim.............................................22885

                                  2016

7 CFR
                                                                   81 FR
                                                                    Page
Subtitle A
1 Policy statement.................................................84389
2.6 Added..........................................................45963
6.29 (c), (d) and (e) revised......................................87802
16 Authority citation revised......................................19413
16.1 (b) revised...................................................19413
16.2 Redesignated as 16.3; added...................................19413

[[Page 618]]

16.3 Redesignated as 16.4; redesignated from 16.2; (a) and (b) 
        introductory text revised..................................19413
16.4 Redesignated as 16.5; redesignated from 16.3; (a), (b) and 
        (d) revised; (e) through (h) added.........................19413
16.5 Redesignated as 16.6; redesignated from 16.4..................19413
    Revised........................................................19414
16.6 Redesignated from 16.5........................................19413
16 Appendix A amended..............................................19415
25.622 (b) revised.................................................11025

                                  2017

7 CFR
                                                                   82 FR
                                                                    Page
Subtitle A
1.130--1.151 (Subpart H) Authority citation revised................37171
1.131 (a) amended..................................................37171
1.800--1.819 (Subpart P) Added.....................................51149
1c Revised; eff. 7-19-18............................................7269
3.91 (a)(1), (2) and (b) revised...................................57332
12.13 (b) revised..................................................58334
15a Revised........................................................46656


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