cfr_sections
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| section_id ▼ | title_number | title_name | chapter | subchapter | part_number | part_name | subpart | subpart_name | section_number | section_heading | agency | authority | source_citation | amendment_citations | full_text |
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| 21:21:8.0.1.4.53.0.1.1 | 21 | Food and Drugs | I | K | 1150 | PART 1150—USER FEES | § 1150.1 Scope. | FDA | This part establishes requirements related to tobacco product user fees under section 919 of the Federal Food, Drug, and Cosmetic Act (21 U.S.C. 387s). The total amount of user fees may not exceed the amount specified for that fiscal year in section 919(b) of the Federal Food, Drug, and Cosmetic Act. All domestic manufacturers and importers of tobacco products are required to pay to FDA their percentage share of the total assessment for a fiscal year. | ||||||
| 21:21:8.0.1.4.53.0.1.2 | 21 | Food and Drugs | I | K | 1150 | PART 1150—USER FEES | § 1150.3 Definitions. | FDA | [79 FR 39310, July 10, 2014, as amended at 81 FR 28715, May 10, 2016] | The following definitions are applicable to this part: Class of tobacco products means each of the following types of tobacco products as defined in 26 U.S.C. 5702 and for which taxes are required to be paid for the removal of such into domestic commerce: Cigarettes, cigars, snuff, chewing tobacco, pipe tobacco, and roll-your-own tobacco. Domestic manufacturer means a person who is required to obtain a permit from the Alcohol and Tobacco Tax and Trade Bureau of the Department of the Treasury with respect to the production of tobacco products under title 27 of the Code of Federal Regulations. Fiscal year quarter means a quarter in a fiscal year (the fiscal year is October 1 through September 30). The fiscal year quarters are October 1-December 31, January 1-March 31, April 1-June 30, and July 1-September 30. Importer means a person who is required to obtain a permit from the Alcohol and Tobacco Tax and Trade Bureau of the Department of the Treasury with respect to the importation of tobacco products under title 27 of the Code of Federal Regulations. Total assessment means the total amount of user fees (in dollars) authorized to be assessed and collected for a specific fiscal year under section 919 of the Federal Food, Drug, and Cosmetic Act. Units of product means: (1) The number of sticks for cigarettes, or (2) The weight (measured in pounds) for snuff, chewing tobacco, and roll-your-own tobacco. Units of product means: (1) The number of sticks for cigarettes and cigars, or (2) The weight (measured in pounds) for snuff, chewing tobacco, pipe tobacco, and roll-your-own tobacco. Yearly class allocation means the amount of user fees (in dollars) assessed for a class of tobacco products for a particular fiscal year. | |||||
| 21:21:8.0.1.4.53.0.1.3 | 21 | Food and Drugs | I | K | 1150 | PART 1150—USER FEES | § 1150.5 Required information. | FDA | [79 FR 39310, July 10, 2014, as amended at 81 FR 28715, May 10, 2016] | (a) General. Each domestic manufacturer and importer of tobacco products that are part of a class of tobacco products must submit the information described in this section for such products each month, and the information must be received by FDA no later than the 20th day of each month. The information must be submitted using the form that FDA provides. The information must be submitted even if the domestic manufacturer or importer had no removals subject to tax during the prior month. FDA will use the information submitted under this section and any other available information, as FDA determines appropriate, to make tobacco product user fee assessments. (b) Contents. Each domestic manufacturer and importer must submit the following: (1) Identification information. (i) Its name and the mailing address of its principal place of business; (ii) The name and a telephone number including area code of an office or individual that FDA may contact for further information; (iii) The email address and postal address at which it wishes to receive notifications FDA sends under this part; (iv) The Alcohol and Tobacco Tax and Trade Bureau (TTB) Permit Number(s); and (v) The Employer Identification Number(s) (EIN). (2) Removal information. The units of product, by class, removed and not tax exempt for the prior month and the Federal excise tax it paid, by class, for such removal. (i) This information must be reported for each TTB tobacco permit. (ii) If the domestic manufacturer or importer did not remove any amount of tobacco product, it must report that no tobacco product was removed into domestic commerce. (3) Certified copies. Certified copies of the returns and forms that relate to: (i) The removal of tobacco products into domestic commerce (as defined by section 5702 of the Internal Revenue Code of 1986); and (ii) The payment of the Federal excise taxes imposed under chapter 52 of the Internal Revenue Code of 1986. (c) First report for cigars. Domestic manufacturers and importers of cigars must su… | |||||
| 21:21:8.0.1.4.53.0.1.4 | 21 | Food and Drugs | I | K | 1150 | PART 1150—USER FEES | § 1150.7 Yearly class allocation. | FDA | [79 FR 39310, July 10, 2014, as amended at 81 FR 28716, May 10, 2016] | For each fiscal year, FDA will allocate the total assessment among the classes of tobacco products. (a) Calculation. FDA will calculate the percentage shares for each class as follows: (1) Except for cigars, FDA will multiply the units of product removed and not tax exempt for the most recent full calendar year by the 2003 maximum Federal excise tax rate for that class (class dollar figure). (2) For cigars, FDA will: (i) Multiply the units of small cigars removed and not tax exempt for the most recent full calendar year by the 2003 maximum Federal excise tax rate for small cigars (small cigar subclass dollar figure). (ii) Multiply the units of large cigars removed and not tax exempt for the most recent full calendar year by the 2003 maximum Federal excise tax rate for large cigars (large cigar subclass dollar figure). (iii) Add the small cigar subclass dollar figure and the large cigar subclass dollar figure (cigar class dollar figure). (3) FDA will total the class dollar figures for all tobacco classes for the most recent full calendar year (total dollar figure). (4) FDA will divide the class dollar figure by the total dollar figure to determine the percentage share for each class. (5) FDA will calculate the allocation for each class of tobacco products by multiplying the percentage share for each class by the total assessment. (b) Reallocation. For any class of tobacco products that is not deemed by FDA to be subject to regulation under chapter IX of the Federal Food, Drug, and Cosmetic Act, the amount of user fees that would otherwise be assessed to such class of tobacco products will be reallocated to the classes of tobacco products that are subject to chapter IX of the Federal Food, Drug, and Cosmetic Act in the same manner and based on the same relative percentages otherwise determined under paragraph (a) of this section. | |||||
| 21:21:8.0.1.4.53.0.1.5 | 21 | Food and Drugs | I | K | 1150 | PART 1150—USER FEES | § 1150.9 Domestic manufacturer or importer assessment. | FDA | [79 FR 39310, July 10, 2014, as amended at 81 FR 28716, May 10, 2016] | Each quarter, FDA will calculate the assessment owed by each domestic manufacturer or importer for that quarter. (a) Calculation. (1) For each class of tobacco products except cigars, FDA will calculate the percentage share for each domestic manufacturer and importer by dividing the Federal excise taxes that it paid for the class for the prior quarter by the total excise taxes that all domestic manufacturers and importers paid for the class for that same quarter. (2) For the cigar class, FDA will calculate the percentage share for each domestic manufacturer and importer by dividing the Federal excise taxes that it paid for the class for the prior fiscal year by the total excise taxes that all domestic manufacturers and importers paid for the class for the prior fiscal year. (3) If the percentage share calculated for a domestic manufacturer or importer in this section, as applicable, is less than 0.0001 percent, the share is excluded from the assessment for that class of tobacco products. (4) Within each class of tobacco products, the assessment owed by a domestic manufacturer or importer for the quarter is the yearly class allocation, determined as described in § 1150.7, divided by four, multiplied by the domestic manufacturer's or importer's percentage share, truncated to the fourth decimal place, for that class of tobacco products. (b) Adjustments. Annually, FDA will make any necessary adjustments to individual domestic manufacturer or importer assessments if needed to account for any corrections (for example, to include domestic manufacturers or importers that were not included in a relevant assessment calculation). | |||||
| 21:21:8.0.1.4.53.0.1.6 | 21 | Food and Drugs | I | K | 1150 | PART 1150—USER FEES | § 1150.11 Notification of assessments. | FDA | (a) Notification. No later than 30 calendar days before the end of each fiscal year quarter, FDA will notify each domestic manufacturer and importer of the amount of the quarterly assessment imposed on the domestic manufacturer or importer. (b) Content of notification. The notification under paragraph (a) of this section will include the following: (1) The amount of the quarterly assessment imposed on the domestic manufacturer or importer and the date that payment of the assessment must be received by FDA; (2) Class assessment information, including each class' initial percentage share, the reallocation amount (if any) and each class' percentage share after any such reallocation, and the quarterly assessment for each class; (3) Domestic manufacturer or importer assessment information, including the domestic manufacturer's or importer's percentage share of each relevant class of tobacco products and invoice amount; (4) Any adjustments FDA has made under § 1150.9(b); (5) The manner in which assessments are to be remitted to FDA; (6) Information about the accrual of interest if a payment is late; and (7) Information regarding where to send a dispute and when it needs to be sent. | ||||||
| 21:21:8.0.1.4.53.0.1.7 | 21 | Food and Drugs | I | K | 1150 | PART 1150—USER FEES | § 1150.13 Payment of assessments. | FDA | (a) Payment of an assessment must be received by FDA no later than the last day of each fiscal year quarter. (b) Payments must be submitted to FDA in U.S. dollars and in the manner specified in the notification. (c) Except as provided in paragraph (d) of this section, if an assessment is not received by the last day of the fiscal year quarter, FDA will begin assessing interest on the unpaid amount in accordance with 31 U.S.C. 3717. (d) If FDA does not send the notification described in § 1150.11(a) 30 calendar days before the end of a quarter, no interest will be assessed by FDA under paragraph (c) of this section until 30 calendar days have elapsed from the date FDA sent notification of the amount owed. (e) If a domestic manufacturer or importer disputes the amount of an assessment, it must still pay the assessment in accordance with paragraphs (a) and (b) of this section. | ||||||
| 21:21:8.0.1.4.53.0.1.8 | 21 | Food and Drugs | I | K | 1150 | PART 1150—USER FEES | § 1150.15 Disputes. | FDA | [79 FR 39310, July 10, 2014, as amended at 89 FR 13980, Feb. 26, 2024] | (a) A domestic tobacco manufacturer or importer may dispute an FDA assessment. The dispute must include the basis for the dispute, and the dispute must be: (1) Submitted in writing; (2) Received by FDA no later than 45 days after the date on the assessment notification; (3) Legible and in English; and (4) Sent to the address found on our website ( https://www.fda.gov/tobacco-products/manufacturing/tobacco-user-fees ). (b) If FDA determines that there was an error related to the assessment and the assessment was too high, FDA will refund the amount assessed in error to the domestic manufacturer or importer. (c) FDA will provide a dated, written response, and its response will provide information about how to submit a request for further Agency review. (d) A request for further Agency review under § 10.75 of this chapter may be submitted. Such a request must be submitted in writing by the domestic manufacturer or importer and received by FDA within 30 days from the date on FDA's response. The request for further Agency review must be legible, in English, and submitted to the address found on our website ( https://www.fda.gov/tobacco-products/manufacturing/tobacco-user-fees ). | |||||
| 21:21:8.0.1.4.53.0.1.9 | 21 | Food and Drugs | I | K | 1150 | PART 1150—USER FEES | § 1150.17 Penalties. | FDA | (a) Under section 902(4) of the Federal Food, Drug, and Cosmetic Act (21 U.S.C. 387b), a tobacco product is deemed adulterated if the domestic manufacturer or importer of the tobacco product fails to pay a user fee assessed to such manufacturer or importer by the later of the date the assessment is due, 30 days from the date FDA sent notification of the amount owed, or 30 days after final Agency action on a resolution of any dispute as to the amount of the fee. (b) Under section 902(4) of the Federal Food, Drug, and Cosmetic Act, a tobacco product is deemed adulterated if the domestic manufacturer or importer of the tobacco product fails to report the information required by § 1150.5 to calculate assessments under this part. (c) The failure to report the information required by § 1150.5 to calculate assessments under this part is a prohibited act under section 301(e) of the Federal Food, Drug, and Cosmetic Act. (d) Information submitted under § 1150.5 is subject to 18 U.S.C. 1001 and other appropriate civil and criminal statutes. | ||||||
| 49:49:8.1.1.2.66.1.7.1 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | A | Subpart A—Applications Under 49 U.S.C. 10901 | § 1150.1 Introduction. | STB | [47 FR 8199, Feb. 25, 1982, as amended at 64 FR 53268, Oct. 1, 1999; 69 FR 58366, Sept. 30, 2004; 83 FR 15079, Apr. 9, 2018] | (a) When an application is required. This subpart governs applications under 49 U.S.C. 10901 for a certificate of public convenience and necessity authorizing the construction, acquisition or operation of railroad lines. Noncarriers require Board approval under section 10901 to construct, acquire or operate a rail line in interstate commerce. Existing carriers require approval under section 10901 only to construct a new rail line or operate a line owned by a noncarrier, since acquisition by a carrier of an active rail line owned by a carrier is covered by 49 U.S.C. 11323. We have exempted from these requirements the acquisition by a State entity of a rail line that has been approved for abandonment, as well as operations over these lines. See subpart C of this part. In addition, where appropriate, we have granted individual exemptions from these certification requirements. See 49 U.S.C. 10502. (b) Content of the application. Applications filed under this subpart shall include the information set forth in §§ 1150.2 through 1150.9. The applicant must also comply with the Energy and Environmental Regulations at 49 CFR parts 1106 and 1105 (including consulting with the Board's Office of Environmental Analysis at least 6 months prior to filing an application, to begin the scoping process to identify environmental issues and outline procedures for analysis of this aspect of the proposal). | |||
| 49:49:8.1.1.2.66.1.7.10 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | A | Subpart A—Applications Under 49 U.S.C. 10901 | § 1150.10 Procedures. | STB | [47 FR 8199, Feb. 25, 1982. Redesignated at 47 FR 49581, Nov. 1, 1982, and amended at 52 FR 46483, Dec. 8, 1987; 53 FR 19302, May 27, 1988; 64 FR 53268, Oct. 1, 1999; 74 FR 52908, Oct. 15, 2009; 83 FR 15079, Apr. 9, 2018; 84 FR 12945, Apr. 3, 2019] | (a) Waivers. Prior to filing an application, prospective applicants may seek an advance waiver, either on a permanent or temporary basis, of required information which is unavailable or not necessary or useful in analysis of the proposal. However, if the information is clearly not applicable to the individual proposal, a waiver is not necessary and need not be sought. A petition must specify the sections for which waiver or clarification is sought and the reasons why it should be granted. No replies will be permitted. Parties may, upon an appropriate showing, demonstrate their need to examine data which have previously been waived. In such circumstances, the Board only requires that it be produced under § 1150.8 above. (b) Filing procedures. An application and all documents shall be filed with the Chief of Case Administration, Office of Chief Counsel. A filing fee in the amount set forth in 49 CFR 1002.2(f) is required to file an application. Copies of documents shall be furnished promptly to interested parties upon request. The application may include a stamped self-addressed envelope to be used to notify applicant of the docket number. Additionally, if possible, telephonic communication of the docket number shall be made. (c) Signatures. The original of the application shall be signed by applicants (if a partnership, all general partners must sign; and if a corporation, association, or other similar form of organization, the signature should be that of the executive officer having knowledge of the matters and designated for that purpose). Applications shall be made under oath and shall contain an appropriate certification (if a corporation, by its secretary) showing that the affiant is duly authorized to verify and file the application. Any persons controlling an applicant shall also sign the application. (d) Related applications. Applicant shall file concurrently all directly related applications (e.g., to issue securities, control motor carriers, obtain access to terminal operations, acquire tracka… | |||
| 49:49:8.1.1.2.66.1.7.2 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | A | Subpart A—Applications Under 49 U.S.C. 10901 | § 1150.2 Overview. | STB | (a) A brief narrative description of the proposal. (b) The full name and address of applicant(s). | ||||
| 49:49:8.1.1.2.66.1.7.3 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | A | Subpart A—Applications Under 49 U.S.C. 10901 | § 1150.3 Information about applicant(s). | STB | [47 FR 8199, Feb. 25, 1982, as amended at 81 FR 8855, Feb. 23, 2016] | (a) The name, address, and phone number of the representative to receive correspondence concerning this application. (b) Facts showing that applicant is either a common carrier by railroad or has been organized to implement the proposal for which approval is being sought. (c) A statement indicating whether the rail line will be operated by applicant. If not, the operator which has been selected must join in the application, and provide all information required for an applicant. If the operator has not yet been selected, state who is being considered. (d) A statement indicating whether applicant is affiliated by stock ownership or otherwise with any industry to be served by the line. If so, provide details about the nature and extent of the affiliation. (e) Date and place of organization, applicable State statutes, and a brief description of the nature and objectives of the organization. (f) If a corporation, submit: (1) A list of officers, directors, and 10 principal stockholders of the corporation and their respective holdings. A statement whether any of these officers, directors or major shareholders control other regulated carriers. Also a list of entities, corporation(s) individual(s), or group(s) who control applicant, the extent of control, and whether any of them control other common carriers. (2) As exhibit A, any resolution of the stockholders or directors authorizing the proposal. (g) If a partnership or individual, submit the name and address of all general partners and their respective interests, and whether any of them control other carriers. (h) If applicant is an entity other than as described in paragraphs (f) or (g) of this section, submit name, title, and business address of principals or trustee, and whether the entity controls any other common carriers. (i) If applicant is a trustee, receiver, assignee, or a personal representative of the real party in interest, details about the appointment (including supporting documents, such as the court order authorizing the appointment and the … | |||
| 49:49:8.1.1.2.66.1.7.4 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | A | Subpart A—Applications Under 49 U.S.C. 10901 | § 1150.4 Information about the proposal. | STB | (a) A description of the proposal and the significant terms and conditions, including consideration to be paid (monetary or otherwise). As exhibit B, copies of all relevant agreements. (b) Details about the amount of traffic and a general description of commodities. (c) The purposes of the proposal and an explanation of why the public convenience and necessity require or permit the proposal. (d) As exhibit C, a map which clearly delineates the area to be served including origins, termini and stations, and cities, counties and States. The map should also delineate principal highways, rail routes and any possible interchange points with other railroads. If alternative routes are proposed for construction, the map should clearly indicate each route. (e) A list of the counties and cities to be served under the proposal, and whether there is other rail service available to them. The names of the railroads with which the line would connect, and the proposed connecting points; the volume of traffic estimated to be interchanged; and a description of the principal terms of agreements with carriers covering operation, interchange of traffic, division of rates or trackage rights. (f) The time schedule for consummation or completion of the proposal. (g) If a new line is proposed for construction: (1) The approximate area to be served by the line. (2) The nature or type of existing and prospective industries (e.g., agriculture, manufacturing, mining, warehousing, forestry) in the area, with general information about the age, size, growth potential and projected rail use of these industries. (3) Whether the construction will cross another rail line and the name of the railroad(s) owning the line(s) to be crossed. If the crossing will be accomplished with the permission of the railroad(s), include supporting agreements. If a Board determination under 49 U.S.C. 10901(d)(1) will be sought, include such requests. | ||||
| 49:49:8.1.1.2.66.1.7.5 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | A | Subpart A—Applications Under 49 U.S.C. 10901 | § 1150.5 Operational data. | STB | As exhibit D, an operating plan, including traffic projection studies; a schedule of the operations; information about the crews to be used and where employees will be obtained; the rolling stock requirements and where it will be obtained; information about the operating experience and record of the proposed operator unless it is an operating railroad; any significant change in patterns of service; any associated discontinuance or abandonments; and expected operating economies. | ||||
| 49:49:8.1.1.2.66.1.7.6 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | A | Subpart A—Applications Under 49 U.S.C. 10901 | § 1150.6 Financial information. | STB | (a) The manner in which applicant proposes to finance construction or acquisition, the kind and amount of securities to be issued, the approximate terms of their sale and total fixed charges, the extent to which funds for financing are now available, and whether any of the securities issued would be underwritten by industries to be served by the proposed line. Explain how the fixed charges will be met. (b) As exhibit E a recent balance sheet. As exhibit F, an income statement for the latest available calendar year prior to filing the application. (c) A present value determination of the full costs of the proposal. If construction is proposed, the costs for each year of such construction (in a short narrative or by chart). (d) A statement of projected net income for 2 years, based upon traffic projections. Where construction is contemplated, the statement should represent the 2 years following completion of construction. | ||||
| 49:49:8.1.1.2.66.1.7.7 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | A | Subpart A—Applications Under 49 U.S.C. 10901 | § 1150.7 Environmental and energy data. | STB | As exhibit H, information and data prepared under 49 CFR Part 1105, and the “Revision of the Nat'l. Guidelines Environmental Policy Act of 1969,” 363 I.C.C. 653 (1980), and in accordance with “Implementation of the Energy Policy and Conservation Act of 1975,” 49 CFR Part 1106. | ||||
| 49:49:8.1.1.2.66.1.7.8 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | A | Subpart A—Applications Under 49 U.S.C. 10901 | § 1150.8 Additional support. | STB | Any additional facts or reasons to show that the public convenience and necessity require or permit approval of this application. The Board may require additional information to be filed where appropriate. | ||||
| 49:49:8.1.1.2.66.1.7.9 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | A | Subpart A—Applications Under 49 U.S.C. 10901 | § 1150.9 Notice. | STB | A summary of the proposal which will be used to provide notice under § 1150.10(f). | ||||
| 49:49:8.1.1.2.66.2.7.1 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | B | Subpart B—Designated Operators | § 1150.11 Introduction. | STB | A certificate of designated operator will be issued to an operator providing service pursuant to a rail service continuation agreement under section 304 of the Regional Rail Reorganization Act of 1973, as amended by the Railroad Revitalization and Regulatory Reform Act of 1976. The designated operator (D-OP) may commence and terminate the service in accordance with the terms of the agreement. When service is terminated the D-OP must notify all shippers on the line. To obtain a D-OP certificate, the information in this subpart must be filed with the Board. A copy of the certificate of designated operator shall be served on the Association of American Railroads. | ||||
| 49:49:8.1.1.2.66.2.7.2 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | B | Subpart B—Designated Operators | § 1150.12 Information about the designated operator. | STB | (a) The name and address of the D-OP. (b) If a new corporation or other new business entity, a copy of the certificate of incorporation or, if unincorporated, the facts and official organizational documents relating to the business entity. (c) The names and addresses of all officers and directors, with a statement from each which indicates present affiliation, if any, with a railroad. (d) Sufficient information to establish its financial responsibility for the proposed undertaking, unless the D-OP is a common carrier by railroad. The nature and extent of all liability insurance coverage, including insurance binder or policy number, and name of insurer. | ||||
| 49:49:8.1.1.2.66.2.7.3 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | B | Subpart B—Designated Operators | § 1150.13 Relevant dates. | STB | The exact dates of the period of operation which have been agreed upon by the D-OP, the offeror of the rail service continuation payment, and the owner of the line to be operated, in their lease and operating agreements. | ||||
| 49:49:8.1.1.2.66.2.7.4 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | B | Subpart B—Designated Operators | § 1150.14 Proposed service. | STB | (a) A copy of all agreements between the D-OP, the offeror of the rail service continuation payment, and the owner of the line to be operated. (b) Any additional information which is necessary to provide the Board with a description of: (1) The line over which service is to be provided (e.g., U.S.R.A. Line); and (2) All interline connections, including the names of the connecting railroads. | ||||
| 49:49:8.1.1.2.66.2.7.5 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | B | Subpart B—Designated Operators | § 1150.15 Information about offeror. | STB | (a) The name and address of the offeror of the rail service continuation payment. (b) Sufficient information to establish the financial responsibility of the offeror for the proposed undertaking, or if the offeror is a State or municipal corporation or authority, a statement that it has authority to perform the service or enter into the agreement for subsidy. | ||||
| 49:49:8.1.1.2.66.2.7.6 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | B | Subpart B—Designated Operators | § 1150.16 Procedures. | STB | [47 FR 8199, Feb. 25, 1982. Redesignated at 47 FR 49581, Nov. 1, 1982, and amended at 64 FR 53268, Oct. 1, 1999; 84 FR 12945, Apr. 3, 2019] | Upon receipt of this information, the matter will be docketed by the prefix initials “D-OP.” Operators may begin operating immediately upon the filing of the necessary information. Although the designated operator will not be required to seek and obtain authority from the Board either to commence or to terminate operations, the designated operator is a common carrier by railroad subject to all other applicable provisions of 49 U.S.C. Subtitle IV. However, we have exempted designated operators from some aspects of regulation. See Exemption of Certain Designated Operators from Section 11343, 361 ICC 379 (1979), as modified by McGinness v. I.C.C., 662 F.2d 853 (D.C. Cir. 1981). | |||
| 49:49:8.1.1.2.66.3.7.1 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | C | Subpart C—Modified Certificate of Public Convenience and Necessity | § 1150.21 Scope of rules. | STB | [47 FR 8199, Feb. 25, 1982, as amended at 81 FR 8855, Feb. 23, 2016] | These special rules apply to operations over abandoned rail lines, which have been acquired (through purchase or lease) by a State. The rail line must have been fully abandoned, or approved for abandonment by the Board or a bankruptcy court. As used in these rules, the term “State” includes States, political subdivisions of States, and all instrumentalities through which the State can act. An operator has the option of applying for a modified certificate of public convenience and necessity under this subpart or a common carrier certificate under Subpart A of this part. A copy of the modified certificate shall be served on the Association of American Railroads. | |||
| 49:49:8.1.1.2.66.3.7.2 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | C | Subpart C—Modified Certificate of Public Convenience and Necessity | § 1150.22 Exemptions and common carrier status. | STB | The acquisition by a State of a fully abandoned line is not subject to the jurisdiction of the Surface Transportation Board. The acquisition by a State of a line approved for abandonment and not yet fully abandoned is exempted from the Board's jurisdiction. If the State intends to operate the line itself, it will be considered a common carrier. However, when a State acquires a rail line described under § 1150.21 and contracts with an operator to provide service over the line, only the operator incurs a common carrier obligation. The operators of these lines are exempted from 49 U.S.C. 10901 and 10903 which are the statutory requirements governing the start up and termination of operations. Operators exempted from these requirements must comply with the requirements of this part and must apply for a modified certificate of public convenience and necessity. The operator is a common carrier and incurs all benefits and responsibilities under 49 U.S.C. subtitle IV; however, the State through its operational agreement or the operator of the line may determine certain preconditions, such as payment of a subsidy, which must be met by shippers to obtain service over the line. The operator must notify the shippers on the line of any preconditions. The modified certificate will authorize service to shippers who meet these preconditions and the operator will be required to provide complete common carrier service under this certificate only to those shippers. (See 363 ICC 132.) | ||||
| 49:49:8.1.1.2.66.3.7.3 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | C | Subpart C—Modified Certificate of Public Convenience and Necessity | § 1150.23 Modified certificate of public convenience and necessity. | STB | (a) The operator must file a notice with the Board for a modified certificate of public convenience and necessity. Operations may commence immediately upon the filing; however, the Board will review the information filed, and if complete, will issue a modified certificate notice. (b) A notice for a modified certificate of public convenience and necessity shall include the following information: (1) The name and address of the operator and, unless the operator is an existing rail carrier: (i) Its articles of incorporation or, if it is unincorporated, the facts and organizational documents relating to its formation; (ii) The names and addresses of all of its officers and directors and a statement indicating any present affiliation each may have with a rail carrier; and (iii) Sufficient information to establish the financial responsibility of the operator. (2) Information about the prior abandonment, including docket number, status and date of the first decision approving the abandonment. (3) The exact dates of the period of operation which have been agreed upon by the operator and the State which owns the line (if there is any agreement, it should be provided); (4) A description of the service to be performed including, where applicable, a description of: (i) The line over which service is to be performed; (ii) All interline connections including the names of the connecting railroads; (iii) The nature and extent of all liability insurance coverage, including binder or policy number and name of insurer; and (iv) Any preconditions which shippers must meet to receive service. (5) The name and address of any subsidizers, and (6) Sufficient information to establish the financial responsibility of any subsidizers (if the subsidizer is a State, the information should show that it has authority to enter into the agreement for subsidized operations). (c) The service offered and the applicable rates, charges, and conditions must be described in tariffs published by the operator to the Board's rules. | ||||
| 49:49:8.1.1.2.66.3.7.4 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | C | Subpart C—Modified Certificate of Public Convenience and Necessity | § 1150.24 Termination of service. | STB | The duration of the service may be determined in the contract between the State and the operator. An operator may not terminate service over a line unless it first provides 60 days' notice of its intent to terminate the service. The notice of intent must be: (a) Filed with the State and the Board, and (b) Mailed to all persons that have used the line within the 6 months preceding the date of the notice. | ||||
| 49:49:8.1.1.2.66.4.7.1 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | D | Subpart D—Exempt Transactions Under 49 U.S.C. 10901 | § 1150.31 Scope of exemption. | STB | [51 FR 2504, Jan. 17, 1986, as amended at 81 FR 8855, Feb. 23, 2016] | (a) Except as indicated below, this exemption applies to all acquisitions and operations under section 10901 ( See 1150.1, supra ). This exemption also includes: (1) Acquisition by a noncarrier of rail property that would be operated by a third party; (2) Operation by a new carrier of rail property acquired by a third party; (3) A change in operators on the line; and (4) Acquisition of incidental trackage rights. Incidental trackage rights include the grant of trackage rights by the seller, or the assignment of trackage rights to operate over the line of a third party that occur at the time of the exempt acquisition or operation. This exemption does not apply when a class I railroad abandons a line and another class I railroad then acquires the line in a proposal that would result in a major market extension as defined at § 1180.3(c). (b) Other exemptions that may be relevant to a proposal under this subpart are the exemption for control at § 1180.2(d)(1) and (2), and the exemption from securities regulation at 49 CFR part 1177. | |||
| 49:49:8.1.1.2.66.4.7.2 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | D | Subpart D—Exempt Transactions Under 49 U.S.C. 10901 | § 1150.32 Procedures and relevant dates—transactions that involve creation of Class III carriers. | STB | [51 FR 2504, Jan. 17, 1986, as amended at 53 FR 4626, Feb. 17, 1988; 53 FR 5982, Feb. 29, 1988; 62 FR 47584, Sept. 10, 1997; 69 FR 58366, Sept. 30, 2004; 71 FR 62212, Oct. 24, 2006] | (a) To qualify for this exemption, applicant must file a verified notice providing details about the transaction, and a brief caption summary, conforming to the format in § 1150.34, for publication in the Federal Register. (b) The exemption will be effective 30 days after the notice is filed. The Board, through the Chief Counsel, will publish a notice in the Federal Register within 16 days of the filing. A change in operators would follow the provisions at § 1150.34, and notice must be given to shippers. (c) If the notice contains false or misleading information, the exemption is void ab initio. A petition to revoke under 49 U.S.C. 10502(d) does not automatically stay the exemption. Stay petitions must be filed at least 7 days before the exemption becomes effective. (d) Applicant must preserve intact all sites and structures more than 50 years old until compliance with the requirements of Section 106 of the National Historic Preservation Act, 16 U.S.C. 470 is achieved. (e) If the projected annual revenue of the carrier to be created by a transaction under this exemption exceeds $5 million, applicant must, at least 60 days before the exemption becomes effective, post a notice of intent to undertake the proposed transaction at the workplace of the employees on the affected line(s) and serve a copy of the notice on the national offices of the labor unions with employees on the affected line(s), setting forth the types and numbers of jobs expected to be available, the terms of employment and principles of employee selection, and the lines that are to be transferred, and certify to the Board that it has done so. | |||
| 49:49:8.1.1.2.66.4.7.3 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | D | Subpart D—Exempt Transactions Under 49 U.S.C. 10901 | § 1150.33 Information to be contained in notice—transactions that involve creation of Class III carriers. | STB | [51 FR 2504, Jan. 17, 1986, as amended at 51 FR 25207, July 11, 1986; 53 FR 4626, Feb. 17, 1988; 53 FR 5982, Feb. 29, 1988; 56 FR 36111, July 31, 1991; 73 FR 31034, May 30, 2008; 78 FR 54590, Sept. 5, 2013] | (a) The full name and address of the applicant; (b) The name, address, and telephone number of the representative of the applicant who should receive correspondence; (c) A statement that an agreement has been reached or details about when an agreement will be reached; (d) The operator of the property; (e) A brief summary of the proposed transaction, including: (1) The name and address of the railroad transferring the subject property, (2) The proposed time schedule for consummation of the transaction, (3) The mile-posts of the subject property, including any branch lines, and (4) The total route miles being acquired; (f) A map that clearly indicates the area to be served, including origins, termini, stations, cities, counties, and States; and (g) A certificate that applicant's projected revenues do not exceed those that would qualify it as a Class III carrier. (h) Interchange Commitments. (1) The filing party must certify whether or not a proposed acquisition or operation of a rail line involves a provision or agreement that may limit future interchange with a third-party connecting carrier, whether by outright prohibition, per-car penalty, adjustment in the purchase price or rental, positive economic inducement, or other means (“interchange commitment”). If such a provision exists, the following additional information must be provided (the information in paragraphs (h)(1)(ii), (iv), (vii) of this section may be filed with the Board under 49 CFR 1104.14(a) and will be kept confidential without need for the filing of an accompanying motion for a protective order under 49 CFR 1104.14(b)): (i) The existence of that provision or agreement and identification of the affected interchange points; and (ii) A confidential, complete version of the document(s) containing or addressing that provision or agreement; (iii) A list of shippers that currently use or have used the line in question within the last two years; (iv) The aggregate number of carloads those shippers specified in paragraph (h)(1)(iii) of th… | |||
| 49:49:8.1.1.2.66.4.7.4 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | D | Subpart D—Exempt Transactions Under 49 U.S.C. 10901 | § 1150.34 Caption summary—transactions that involve creation of Class III carriers. | STB | [47 FR 8199, Feb. 25, 1982. Redesignated at 47 FR 49581, Nov. 1, 1982, as amended at 53 FR 5982, Feb. 29, 1988; 69 FR 58366, Sept. 30, 2004] | The caption summary must be in the following form. The information symbolized by numbers is identified in the key below: (1) Has filed a notice of exemption to (2) (3)'s line between (4). Comments must be filed with the Board and served on (5). (6). Key to symbols: (1) Name of entity acquiring or operating the line, or both. (2) The type of transaction, e.g., to acquire, operate, or both. (3) The transferor. (4) Describe the line. (5) Petitioners representative, address, and telephone number. (6) Cross reference to other class exemptions being used. The notice is filed under § 1150.31. If the notice contains false or misleading information, the exemption is void ab initio. Petitions to revoke the exemption under 49 U.S.C. 10502(d) may be filed at any time. The filing of a petition to revoke will not automatically stay the transaction. | |||
| 49:49:8.1.1.2.66.4.7.5 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | D | Subpart D—Exempt Transactions Under 49 U.S.C. 10901 | § 1150.35 Procedures and relevant dates—transactions that involve creation of Class I or Class II carriers. | STB | [53 FR 5982, Feb. 29, 1988, as amended at 53 FR 31341, Aug. 18, 1988; 62 FR 47584, Sept. 10, 1997; 69 FR 58366, Sept. 30, 2004; 71 FR 62213, Oct. 24, 2006; 81 FR 8855, Feb. 23, 2016] | (a) To qualify for this exemption, applicant must serve a notice of intent to file a notice of exemption no later than 14 days before the notice of exemption is filed with the Board, and applicant must comply with the notice requirement of § 1150.32(e). (b) The notice of intent must contain all of the information required in § 1150.33, exclusive of § 1150.33(g), plus: (1) A general statement of service intentions; and (2) A general statement of labor impacts. (c) The notice of intent must be served on: (1) The Governor of each State in which track is to be sold; (2) The State(s) Department of Transportation or equivalent agency; (3) The national offices of the labor unions with employees on the affected line(s); and (4) Shippers representing at least 50 percent of the volume of local traffic and traffic originating or terminating on the line(s) in the most recent 12 months for which data is available (beginning with the largest shipper and working down). (d) Applicant must also file a verified notice of exemption conforming to the requirements of (b) above and of § 1150.34, and certify compliance with § 1150.35 (a), (b), and (c), attaching a copy of the notice of intent. (e) The exemption will be effective 45 days after the notice is filed. The Board, through the Chief Counsel, will publish a notice in the Federal Register within 16 days of the filing. (f) If the notice contains false or misleading information, the exemption is void ab initio. A petition to revoke under 49 U.S.C. 10502(d) does not automatically stay the transaction. Stay petitions must be filed within 7 days of the filing of the notice of exemption. Stay petitions must be filed at least 14 days before the exemption becomes effective. To be considered, stay petitions must be timely served on the applicant. (g) Applicant must comply with § 1150.32(d) regarding section 106 of the National Historic Preservation Act, 16 U.S.C. 470. | |||
| 49:49:8.1.1.2.66.4.7.6 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | D | Subpart D—Exempt Transactions Under 49 U.S.C. 10901 | § 1150.36 Exempt construction of connecting track. | STB | [61 FR 29974, June 13, 1996, as amended at 64 FR 53268, Oct. 1, 1999; 83 FR 15079, Apr. 9, 2018] | (a) Scope. This class exemption applies to proceedings involving the construction and operation of connecting lines of railroad within existing rail rights-of-way, or on land owned by connecting railroads, under 49 U.S.C. 10901 (a), (b), and (c). (See the reference to connecting track in 49 CFR 1105.6(b)(1).) This class exemption is designed to expedite and facilitate connecting track construction while ensuring full and timely environmental review. The Surface Transportation Board (Board) has found that its prior review of connecting track construction and operation is not necessary to carry out the rail transportation policy of 49 U.S.C. 10101; that continued regulation is not necessary to protect shippers from abuse of market power; and that the construction of connecting track would be of limited scope. See 49 U.S.C. 10502. To use this class exemption, a pre-filing notice, environmental report, historic report, and notice of exemption must be filed that complies with the procedures in § 1150.36 (b) and (c), and the Board's environmental rules, codified at 49 CFR part 1105. (b) Environmental requirements. The environmental regulations at 49 CFR part 1105 must be complied with fully. An environmental report containing the information specified at 49 CFR 1105.7(e), as well as an historic report containing the information specified at 49 CFR 1105.8(d), must be filed either before or at the same time as the notice of exemption is filed. See 49 CFR 1105.7(a). The entity seeking the exemption authority must also serve copies of the environmental report on the agencies listed at 49 CFR 1105.7(b). Because the environmental report must include a certification that appropriate agencies have been consulted in its preparation ( see 49 CFR 1105.7(c)), parties should begin environmental and historic consultations well before the notice of exemption is filed. Environmental requirements may be waived or modified where a petitioner demonstrates in writing that such action is appropriate. See 49 CFR 1105.10(c). It i… | |||
| 49:49:8.1.1.2.66.5.7.1 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | E | Subpart E—Exempt Transactions Under 49 U.S.C. 10902 for Class III Rail Carriers | § 1150.41 Scope of exemption. | STB | Except as indicated in paragraphs (a) through (d) of this section, this exemption applies to acquisitions or operations by Class III rail carriers under section 10902. This exemption also includes: (a) Acquisition by a Class III rail carrier of rail property that would be operated by a third party; (b) Operation by a Class III carrier of rail property acquired by a third party; (c) A change in operators on such a line; and (d) Acquisition of incidental trackage rights. Incidental trackage rights include the grant of trackage rights by the seller, or the acquisition of trackage rights to operate over the line of a third party, that occurs at the time of the purchase. | ||||
| 49:49:8.1.1.2.66.5.7.2 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | E | Subpart E—Exempt Transactions Under 49 U.S.C. 10902 for Class III Rail Carriers | § 1150.42 Procedures and relevant dates for small line acquisitions. | STB | [61 FR 32355, June 24, 1996, as amended at 62 FR 47584, Sept. 10, 1997; 71 FR 62213, Oct. 24, 2006; 81 FR 8855, Feb. 23, 2016] | (a) This exemption applies to the acquisition of rail lines with projected annual revenues which, together with the acquiring carrier's projected annual revenue, do not exceed the annual revenue of a Class III railroad. To qualify for this exemption, the Class III rail carrier applicant must file a verified notice providing details about the transaction, and a brief caption summary, conforming to the format in § 1150.44, for publication in the Federal Register. (b) The exemption will be effective 30 days after the notice is filed. The Board, through the Chief Counsel, will publish a notice in the Federal Register within 16 days of the filing. A change in operators must follow the provisions at § 1150.44, and notice must be given to shippers. (c) If the notice contains false or misleading information, the exemption is vid ab initio. A petition to revoke under 49 U.S.C. 10502(d) does not automatically stay the exemption. Stay petitions must be filed at least 7 days before the exemption becomes effective. (d) Applicant must preserve intact all sites and structures more than 50 years old until compliance with the requirements of section 106 of the National Historic Preservation Act, 16 U.S.C. 470f, is achieved. (e) If the projected annual revenue of the rail lines to be acquired or operated, together with the acquiring carrier's projected annual revenue, exceeds $5 million, the applicant must, at least 60 days before the exemption becomes effective, post a notice of applicant's intent to undertake the proposed transaction at the workplace of the employees on the affected line(s) and serve a copy of the notice on the national offices of the labor unions with employees on the affected line(s), setting forth the types and numbers of jobs expected to be available, the terms of employment and principles of employee selection, and the lines that are to be transferred, and certify to the Board that it has done so. | |||
| 49:49:8.1.1.2.66.5.7.3 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | E | Subpart E—Exempt Transactions Under 49 U.S.C. 10902 for Class III Rail Carriers | § 1150.43 Information to be contained in notice for small line acquisitions. | STB | [61 FR 32355, June 24, 1996, as amended at 73 FR 31035, May 30, 2008; 78 FR 54591, Sept. 5, 2013] | (a) The full name and address of the Class III rail carrier applicant; (b) The name, address, and telephone number of the representative of the applicant who should receive correspondence; (c) A statement that an agreement has been reached or details about when an agreement will be reached; (d) The operator of the property; (e) A brief summary of the proposed transaction, including: (1) The name and address of the railroad transferring the subject property to the Class III rail carrier applicant; (2) The proposed time schedule for consummation of the transaction; (3) The mileposts of the subject property, including any branch lines; and (4) The total route miles being acquired; (f) A map that clearly indicates the area to be served, including origins, termini, stations, cities, counties, and states; and (g) A certificate that applicant's projected revenues as a result of the transaction will not result in the creation of a Class II or Class I rail carrier so as to require processing under § 1150.45. (h) Interchange Commitments. (1) The filing party must certify whether or not a proposed acquisition or operation of a rail line involves a provision or agreement that may limit future interchange with a third-party connecting carrier, whether by outright prohibition, per-car penalty, adjustment in the purchase price or rental, positive economic inducement, or other means (“interchange commitment”). If such a provision exists, the following additional information must be provided (the information in paragraphs (h)(1)(ii), (iv), (vii) of this section may be filed with the Board under 49 CFR 1104.14(a) and will be kept confidential without need for the filing of an accompanying motion for a protective order under 49 CFR 1104.14(b)): (i) The existence of that provision or agreement and identification of the affected interchange points; and (ii) A confidential, complete version of the document(s) containing or addressing that provision or agreement; (iii) A list of shippers that currently use or have used … | |||
| 49:49:8.1.1.2.66.5.7.4 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | E | Subpart E—Exempt Transactions Under 49 U.S.C. 10902 for Class III Rail Carriers | § 1150.44 Caption summary. | STB | [61 FR 32355, June 24, 1996; 61 FR 36965, July 15, 1996] | The caption summary must be in the following form. The information symbolized by numbers is identified in the key as follows: (1) Has filed a notice of exemption to (2) (3)'s line between (4). Comments must be filed with the Board and served on (5). (6). Key to symbols: (1) Name of carrier acquiring or operating the line. (2) The type of transaction, e.g., to acquire or operate. (3) The transferor. (4) Describe the line. (5) Petitioner's representative, address, and telephone number. (6) Cross reference to other class exemptions being used. The notice is filed under 49 CFR 1150.41. If the notice contains false or misleading information, the exemption is void ab initio. The filing of a petition to revoke will not automatically stay the transaction. | |||
| 49:49:8.1.1.2.66.5.7.5 | 49 | Transportation | X | B | 1150 | PART 1150—CERTIFICATE TO CONSTRUCT, ACQUIRE, OR OPERATE RAILROAD LINES | E | Subpart E—Exempt Transactions Under 49 U.S.C. 10902 for Class III Rail Carriers | § 1150.45 Procedures and relevant dates—transactions under section 10902 that involve creation of Class I or Class II rail carriers. | STB | [61 FR 32355, June 24, 1996, as amended at 62 FR 47584, Sept. 10, 1997; 71 FR 62213, Oct. 24, 2006; 84 FR 12945, Apr. 3, 2019] | (a) To qualify for this exemption, applicant must serve a notice of intent to file a notice of exemption no later than 14 days before the notice of exemption is filed with the Board, and applicant must comply with the notice requirement of § 1150.42(e). (b) The notice of intent must contain all the information required in § 1150.43 plus: (1) A general statement of service intentions; and (2) A general statement of labor impacts. (c) The notice of intent must be served on: (1) The Governor of each state in which track is to be sold; (2) The state(s) Department of Transportation or equivalent agency; (3) The national offices of the labor unions with employees on the affected line(s); and (4) Shippers representing at least 50 percent of the volume of local traffic and traffic originating or terminating on the line(s) in the most recent 12 months for which data are available (beginning with the largest shipper and working down). (d) Applicant must also file a verified notice of exemption conforming to the requirements of paragraph (b) of this section and of § 1150.44, and certify compliance with paragraphs (a), (b), and (c) of this section, attaching a copy of the notice of intent. (e) The exemption will be effective 45 days after the notice is filed. The Board, through theChief Counsel, will publish a notice in the Federal Register within 16 days of the filing. (f) If the notice contains false or misleading information, the exemption is void ab initio. A petition to revoke under 49 U.S.C. 10502(d) does not automatically stay the transaction. Stay petitions must be filed at least 14 days before the exemption becomes effective. Replies will be due 7 days thereafter. To be considered, stay petitions must be timely served on the applicant. (g) Applicant must preserve intact all sites and structures more than 50 years old until compliance with the requirements of section 106 of the National Historic Preservation Act, 16 U.S.C. 470f, is achieved. | |||
| 7:7:9.1.1.1.24.1.191.1 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.101 Act. | AMS | Act means Title I, Subtitle B, of the Dairy and Tobacco Adjustment Act of 1983, Pub. L. 98-180, 97 Stat. 1128, as approved November 29, 1983, and any amendments thereto. | ||||||
| 7:7:9.1.1.1.24.1.191.10 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.110 Producer. | AMS | Producer means any person engaged in the production of milk for commercial use. | ||||||
| 7:7:9.1.1.1.24.1.191.11 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.111 Milk. | AMS | [76 FR 14788, Mar. 18, 2011] | Milk means any class of cow's milk. | |||||
| 7:7:9.1.1.1.24.1.191.12 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.112 Dairy products. | AMS | Dairy products means products manufactured for human consumption which are derived from the processing of milk, and includes fluid milk products. | ||||||
| 7:7:9.1.1.1.24.1.191.13 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.113 Fluid milk products. | AMS | Fluid milk products means those milk products normally consumed in liquid form as a beverage. | ||||||
| 7:7:9.1.1.1.24.1.191.14 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.114 Promotion. | AMS | Promotion means actions such as paid advertising, sales promotion, and publicity to advance the image and sales of, and demand for, dairy products generally. | ||||||
| 7:7:9.1.1.1.24.1.191.15 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.115 Research. | AMS | Research means studies testing the effectiveness of market development and promotion efforts, studies relating to the nutritional value of milk and dairy products, and other related efforts to expand demand for dairy products. | ||||||
| 7:7:9.1.1.1.24.1.191.16 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.116 Nutrition education. | AMS | Nutrition education means those activities intended to broaden the understanding of sound nutritional principles, including the role of milk and dairy products in a balanced diet. | ||||||
| 7:7:9.1.1.1.24.1.191.17 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.117 Plans and projects. | AMS | Plans and projects means promotion, research and nutrition education plans, studies or projects pursuant to §§ 1150.139, 1150.140 and 1150.161. | ||||||
| 7:7:9.1.1.1.24.1.191.18 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.118 Marketing. | AMS | Marketing means the sale or other disposition in commerce of dairy products. | ||||||
| 7:7:9.1.1.1.24.1.191.19 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.119 Cooperative association. | AMS | Cooperative association means any cooperative marketing association of producers which is organized under the provisions of the Act of Congress of February 18, 1922, as amended, known as the “Capper-Volstead Act”. | ||||||
| 7:7:9.1.1.1.24.1.191.2 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.102 Department. | AMS | Department means the United States Department of Agriculture. | ||||||
| 7:7:9.1.1.1.24.1.191.20 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.120 Imported dairy product. | AMS | [76 FR 14788, Mar. 18, 2011] | Imported dairy product means any product that is imported into the United States under any of the Harmonized Tariff Schedule (HTS) classification numbers listed in § 1150.152(b)(1). | |||||
| 7:7:9.1.1.1.24.1.191.21 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.121 Importer. | AMS | [76 FR 14788, Mar. 18, 2011] | Importer means a person that imports imported dairy products into the United States as a principal or as an agent, broker, or consignee of any person who produces or handles dairy products outside of the United States for sale in the United States, and who is listed as the importer of record for such dairy products. | |||||
| 7:7:9.1.1.1.24.1.191.22 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.122 CBP. | AMS | [76 FR 14788, Mar. 18, 2011] | CBP means the United States Customs and Border Protection of the Department of Homeland Security. | |||||
| 7:7:9.1.1.1.24.1.191.3 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.103 Secretary. | AMS | Secretary means the Secretary of Agriculture of the United States or any other officer or employee of the Department to whom authority has heretofore been delegated, or to whom authority may hereafter be delegated, to act in the Secretary's stead. | ||||||
| 7:7:9.1.1.1.24.1.191.4 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.104 Board. | AMS | Board means the National Dairy Promotion and Research Board established pursuant to § 1150.131. | ||||||
| 7:7:9.1.1.1.24.1.191.5 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.105 Person. | AMS | Person means any individual, group of individuals, partnership, corporation, association, cooperative or other entity. | ||||||
| 7:7:9.1.1.1.24.1.191.6 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.106 United States. | AMS | [76 FR 14787, Mar. 18, 2011] | United States means all of the States, the District of Columbia, and the Commonwealth of Puerto Rico. | |||||
| 7:7:9.1.1.1.24.1.191.7 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.107 Fiscal period. | AMS | Fiscal period means the calendar year or such other annual period as the Board may determine. | ||||||
| 7:7:9.1.1.1.24.1.191.8 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.108 Eligible organization. | AMS | Eligible organization means any organization which has been certified by the Secretary pursuant to §§ 1150.270 through 1150.278 of this part. | ||||||
| 7:7:9.1.1.1.24.1.191.9 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.109 Qualified program. | AMS | [76 FR 14788, Mar. 18, 2011] | Qualified program means any dairy product promotion, research or nutrition education program which is certified as a qualified program pursuant to § 1150.153. | |||||
| 7:7:9.1.1.1.24.1.192.23 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.131 Establishment and membership. | AMS | [76 FR 14788, Mar. 18, 2011, as amended at 76 FR 80216, Dec. 23, 2011; 81 FR 53247, Aug. 12, 2016] | (a) There is hereby established a National Dairy Promotion and Research Board. (b) Thirty-six members of the Board shall be United States producers. For purposes of nominating producers to the Board, the United States shall be divided into twelve geographic regions and the number of Board members from each region shall be as follows: (1) Two members from region number one comprised of the following States: Alaska, Oregon and Washington. (2) Seven members from region number two comprised of the following States: California and Hawaii. (3) Two members from region number three comprised of the following States: Arizona, Colorado, Montana, Nevada, Utah and Wyoming. (4) Four members from region number four comprised of the following States: Arkansas, Kansas, New Mexico, Oklahoma and Texas. (5) Two members from region number five comprised of the following States: Minnesota, North Dakota and South Dakota. (6) Five members from region number six comprised of the following State: Wisconsin. (7) Two members from region number seven comprised of the following States: Illinois, Iowa, Missouri and Nebraska. (8) Two members from region number eight comprised of the following State: Idaho. (9) Three members from region number nine comprised of the following States: Indiana, Michigan, Ohio and West Virginia. (10) Two members from region number ten comprised of the following States: Alabama, District of Columbia, Florida, Georgia, Kentucky, Louisiana, Mississippi, North Carolina, Commonwealth of Puerto Rico, South Carolina, Tennessee, and Virginia. (11) Two members from region number eleven comprised of the following States: Delaware, Maryland, New Jersey and Pennsylvania. (12) Three members from region number twelve comprised of the following States: Connecticut, Maine, Massachusetts, New Hampshire, New York, Rhode Island, and Vermont. (c) One member of the board shall be an importer who is subject to assessments under § 1150.152(b). (d) The Board shall be composed of milk producers and importers appointed by the… | |||||
| 7:7:9.1.1.1.24.1.192.24 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.132 Term of office. | AMS | [49 FR 11816, Mar. 28, 1984, as amended at 60 FR 53253, Oct. 13, 1995; 76 FR 14788, Mar. 18, 2011] | (a) The members of the Board shall serve for terms of three years, except that: (1) The members appointed to the initial Board shall serve proportionately, for terms of one, two and three years. (2) The 2 importer members initially appointed to the Board shall serve until October 31, 2013, and October 31, 2014. (b) Each member of the Board shall serve until October 31 of the year in which his/her term expires, except that a retiring member may serve until a successor is appointed. (c) No member shall serve more than two consecutive terms. | |||||
| 7:7:9.1.1.1.24.1.192.25 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.133 Nominations. | AMS | [49 FR 11816, Mar. 28, 1984, as amended at 76 FR 14788, Mar. 18, 2011] | Nominations for members of the Board shall be made in the following manner: (a) The Secretary shall solicit nominations for producer representation on the Board from all eligible organizations. For nominations of producers, if the Secretary determines that a substantial number of producers are not members of, or their interests are not represented by, such eligible organizations, the Secretary shall also solicit nominations from such producers through general farmer organizations or by other means. (b) After the appointment of the initial Board, the Secretary shall announce at least 120 days in advance when a Board member's term is expiring and shall solicit nominations for that position in the manner described in paragraph (a) of this section. Nominations for such position should be submitted to the Secretary not less than 60 days prior to the expiration of such term. (c) An eligible producer organization may submit nominations only for positions on the Board that represent regions in which such eligible organization can establish that it represents a substantial number of producers. If there is more than one Board position for any such region, the organization may submit nominations for each position. (d) Where there is more than one eligible organization representing producers in a specific geographic region, the organizations may caucus and jointly nominate producers for each position representing that region on the Board for which a member is to be appointed. If joint agreement is not reached with respect to any such nominations, or if no caucus is held, each eligible organization may submit to the Secretary nominations for each appointment to be made to represent that region. (e) Nominations for representation of importers may be submitted by: (1) Organizations that represent importers of dairy products, as approved by the Secretary. The primary considerations in determining if organizations adequately represent importers of dairy products shall be whether its membership consists primarily of importer… | |||||
| 7:7:9.1.1.1.24.1.192.26 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.134 Nominee's agreement to serve. | AMS | [49 FR 11816, Mar. 28, 1984, as amended at 76 FR 14789, Mar. 18, 2011] | Any producer or importer nominated to serve on the Board shall file with the Secretary at the time of the nomination a written agreement to: (a) Serve on the Board if appointed; (b) Disclose any relationship with any organization that operates a qualified program or has a contractual relationship with the Board; and (c) Withdraw from participation in deliberations, decision-making, or voting on matters where paragraph (b) applies. | |||||
| 7:7:9.1.1.1.24.1.192.27 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.135 Appointments. | AMS | [76 FR 14789, Mar. 18, 2011] | From the nominations made pursuant to § 1150.133, the Secretary shall appoint the members of the Board on the bases of representation provided for in §§ 1150.131(b) and 1150.131(c). | |||||
| 7:7:9.1.1.1.24.1.192.28 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.136 Vacancies. | AMS | To fill any vacancy occasioned by the death, removal, resignation, or disqualification of any member of the Board, the Secretary shall appoint a successor from the most recent list of nominations for the position or from nominations made by the Board. | ||||||
| 7:7:9.1.1.1.24.1.192.29 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.137 Procedure. | AMS | [49 FR 11816, Mar. 28, 1984, as amended at 50 FR 9984, Mar. 13, 1985] | (a) A majority of the members shall constitute a quorum at a properly convened meeting of the Board. Any action of the Board shall require the concurring votes of at least a majority of those present and voting. The Board shall establish rules concerning timely notice of meetings. (b) The Board may take action upon the concurring votes of a majority of its members by mail, telephone, or telegraph when in the opinion of the chairman of the Board such action must be taken before a meeting can be called. Action taken by this emergency procedure is valid only if all members are notified and provided the opportunity to vote and any telephone vote is confirmed promptly in writing. Any action so taken shall have the same force and effect as though such action had been taken at a properly convened meeting of the Board. | |||||
| 7:7:9.1.1.1.24.1.192.30 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.138 Compensation and reimbursement. | AMS | The members of the Board shall serve without compensation but shall be reimbursed for necessary and reasonable expenses, including a per diem allowance as recommended by the Board and approved by the Secretary, incurred by them in the performance of their duties under this subpart. | ||||||
| 7:7:9.1.1.1.24.1.192.31 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.139 Powers of the Board. | AMS | [49 FR 11816, Mar. 28, 1984, as amended at 76 FR 14789, Mar. 18, 2011] | The Board shall have the following powers: (a) To receive and evaluate, or on its own initiative develop, and budget for plans or projects to promote the use of fluid milk and dairy products as well as projects for research and nutrition education and to make recommendations to the Secretary regarding such proposals; (b) To administer the provisions of this subpart in accordance with its terms and provisions; (c) To make rules and regulations to effectuate the terms and provisions of this subpart; (d) To receive, investigate, and report to the Secretary complaints of violations of the provisions of this subpart; (e) To disseminate information to producers, producer organizations, importers, and importer organizations through programs or by direct contact utilizing the public postage system or other systems; (f) To select committees and subcommittees of Board members, and to adopt such rules for the conduct of its business as it may deem advisable; (g) To establish advisory committees of persons other than Board members and pay the necessary and reasonable expenses and fees of the members of such committees; (h) To recommend to the Secretary amendments to this subpart; and (i) With the approval of the Secretary, to invest, pending disbursement pursuant to a plan or project, funds collected through assessments authorized under § 1150.152 in, and only in, obligations of the United States or any agency thereof, in general obligations of any State or any political subdivision thereof, in any interest-bearing account or certificate of deposit of a bank that is a member of the Federal Reserve System, or in obligations fully guaranteed as to principal and interest by the United States. | |||||
| 7:7:9.1.1.1.24.1.192.32 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.140 Duties of the Board. | AMS | [49 FR 11816, Mar. 28, 1984, as amended at 76 FR 14789, Mar. 18, 2011] | The Board shall have the following duties: (a) To meet not less than annually, and to organize and select from among its members a chairman and such other officers as may be necessary; (b) To appoint from its members an executive committee whose membership shall equally reflect each of the different geographic regions in the United States in which milk is produced and importer representation on the Board, and to delegate to the committee authority to administer the terms and provisions of this subpart under the direction of the Board and within the policies determined by the Board; (c) To appoint or employ such persons as it may deem necessary and define the duties and determine the compensation of each; (d) To review all programs that promote milk and dairy products on a brand or trade name basis that have requested certification pursuant to § 1150.153, and to recommend to the Secretary whether such request should be granted; (e) To develop and submit to the Secretary for approval, promotion, research, and nutrition education plans or projects resulting from research or studies conducted either by the Board or others; (f) To solicit, among other proposals, research proposals that would increase the use of fluid milk and dairy products by the military and by persons in developing nations, and that would demonstrate the feasibility of converting surplus nonfat dry milk to casein for domestic and export use; (g) To prepare and submit to the Secretary for approval, budgets on a fiscal period basis of its anticipated expenses and disbursements in the administration of this subpart, including probable costs of promotion, research and nutrition education plans or projects, and also including a general description of the proposed promotion, research and nutrition education programs contemplated therein; (h) To maintain such books and records, which shall be available to the Secretary for inspection and audit, and prepare and submit such reports from time to time to the Secretary as the Secretary may prescribe, a… | |||||
| 7:7:9.1.1.1.24.1.193.33 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.151 Expenses. | AMS | [49 FR 11816, Mar. 28, 1984, as amended at 76 FR 14789, Mar. 18, 2011] | (a) The Board is authorized to incur such expenses (including provision for a reasonable reserve) as the Secretary finds are reasonable and likely to be incurred by the Board for its maintenance and functioning and to enable it to exercise its powers and perform its duties in accordance with the provisions of this subpart. However, after the first full year of operation of the order, administrative expenses incurred by the Board shall not exceed 5 percent of the projected revenue of that fiscal year. Such expenses shall be paid from assessments collected pursuant to § 1150.152. (b) The Board shall reimburse the Secretary, from assessments collected pursuant to § 1150.152, for administrative costs incurred by the Department after May 1, 1984. (c) The Board is authorized to expend up to the amount of the assessments collected from United States producers to promote dairy products produced in the United States in foreign markets. | |||||
| 7:7:9.1.1.1.24.1.193.34 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.152 Assessments. | AMS | [76 FR 14789, Mar. 18, 2011] | (a) Domestic Assessments. (1) Each person making payment to a producer for milk produced in the United States and marketed for commercial use shall collect an assessment on all such milk handled for the account of the producer at the rate of 15 cents per hundredweight of milk for commercial use, or the equivalent thereof, and shall remit the assessment to the Board. (2) Any producer marketing milk of that producer's own production in the form of milk or dairy products to consumers, either directly or through retail or wholesale outlets, shall remit to the Board an assessment on such milk at the rate of 15 cents per hundredweight of milk for commercial use or the equivalent thereof. (3) In determining the assessment due from each producer pursuant to § 1150.152(a)(1) and (a)(2), a producer who is participating in a qualified program(s) under § 1150.153 shall receive a credit for contributions to such program(s), but not to exceed 10 cents per hundredweight of milk marketed. (4) In order for a producer described in § 1150.152(a)(1) to receive the credit authorized in § 1150.152(a)(3), either the producer or a cooperative association on behalf of the producer must establish to the person responsible for remitting the assessment to the Board that the producer is contributing to a qualified program under § 1150.153. Producers who contribute to a qualified program directly (other than through a payroll deduction) must establish with the person responsible for remitting the assessment to the Board, with validation by the qualified program, that they are making such contributions. (5) In order for a producer described in § 1150.152(a)(2) to receive the credit authorized in § 1150.152(a)(3), the producer and the applicable qualified program must establish to the Board that the producer is contributing to the qualified program. (6) The collection of assessments pursuant to § 1150.152(a)(1) and (a)(2) shall begin with respect to milk marketed on and after the effective date of this section and shall continue until te… | |||||
| 7:7:9.1.1.1.24.1.193.35 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.153 Qualified dairy product promotion, research or nutrition education programs. | AMS | [49 FR 11816, Mar. 28, 1984, as amended at 56 FR 8258, Feb. 28, 1991; 76 FR 14791, Mar. 18, 2011] | (a) Any producer organization that conducts a State or regional dairy product promotion, research or nutrition education program, authorized by Federal or State law; or has been an active and ongoing producer program before enactment of the Act; or is an importer organization that conducts a promotion, research, or nutrition education program may apply to the Secretary for certification of qualification so that: (1) Producers may receive credit pursuant to § 1150.152(a)(3) for contributions to such program; and (2) The Board may remit payments designated by importers pursuant to § 1150.152(b)(5). (b) In order to be certified by the Secretary as a qualified program, the program must: (1) Conduct activities as defined in §§ 1150.114, 1150.115, and 1150.116 that are intended to increase consumption of milk and dairy products generally; (2) Except for producer programs operated under the laws of the United States or any State, and except for importer programs, have been active and ongoing before enactment of the Act; (3) For producer organizations, be financed primarily by producers, either individually or through cooperative associations, or for importer organizations, be financed primarily by importers; (4) Not use a private brand or trade name in its advertising and promotion of dairy products unless the Board recommends and the Secretary concurs that such preclusion should not apply; (5) Certify to the Secretary that any requests from producers or importers for refunds under the program will be honored by forwarding to either the Board or a qualified program designated by the producer or importer that portion of such refunds equal to the amount that otherwise would be applicable to that program pursuant to § 1150.152(a)(3) or (b)(5); and (6) Not use program funds for the purpose of influencing governmental policy or action. (c) An application for certification of qualifications of any dairy product promotion, research or nutrition education program which does not satisfy the requirements specified in pa… | |||||
| 7:7:9.1.1.1.24.1.193.36 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.154 Influencing governmental action. | AMS | No funds collected by the Board under this subpart shall in any manner be used for the purpose of influencing governmental policy or action, except to recommend to the Secretary amendments to this subpart. | ||||||
| 7:7:9.1.1.1.24.1.193.37 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.155 Adjustment of accounts. | AMS | [76 FR 14791, Mar. 18, 2011] | (a) Whenever the Board or the Department determines through an audit of a person's reports, records, books or accounts or through some other means that additional money is due the Board or that money is due such person from the Board in accordance with 1150.152(a), such person shall be notified of the amount due. The person shall then remit any amount due the Board by the next date for remitting assessments as provided in § 1150.152(a). Overpayments shall be credited to the account of the person remitting the overpayment and shall be applied against amounts due in succeeding months. (b) Any importer of dairy products against whose imports an assessment has been collected under § 1150.152(b) who believes that such assessment or any portion of such assessment was made on milk solids of U.S. origin or milk solids other than cow's milk may apply to the Secretary for a reimbursement. The importer would be required to submit satisfactory proof to the Secretary that the importer paid the assessment for milk solids from milk produced from the U.S. or milk solids other than cow's milk solids. The Secretary will instruct the Board to send such reimbursement to the importer. | |||||
| 7:7:9.1.1.1.24.1.193.38 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.156 Charges and penalties. | AMS | [49 FR 11816, Mar. 28, 1984, as amended at 70 FR 29579, May 24, 2005; 76 FR 14791, Mar. 18, 2011] | (a) Late-payment charge. Any unpaid assessments due to the Board pursuant to § 1150.152 shall be increased 1.5 percent each month beginning with the day following the date such assessments were due. Any remaining amount due, which shall include any unpaid charges previously made pursuant to this section, shall be increased at the same rate on the corresponding day of each month thereafter until paid. (1) For the purpose of this section, any assessment pursuant to § 1150.152(a) that was determined at a date later than prescribed by this subpart because of a person's failure to submit a report to the Board when due shall be considered to have been payable by the date it would have been due if the report had been filed when due. The timeliness of a payment to the Board shall be based on the applicable postmark date or the date actually received by the Board, whichever is earlier. (2) For the purpose of this section, any assessment not collected by CBP at the time entry summary documents are filed by the importer is considered to be past due. If CBP does not collect an assessment from an importer, the importer shall be responsible for paying the assessment and any late charges to the Secretary in the form of a negotiable instrument made payable to “USDA.” The payment shall be mailed to a location designated by the Secretary or sent in an electronic form approved by the Secretary. (b) Penalties. Any person who willfully violates any provision of this subpart shall be assessed a civil penalty by the Secretary of not more than the amount specified in § 3.91(b)(1)(xx) of this title for each such violation and, in the case of a willful failure to pay, collect, or remit the assessment as required by this subpart, in addition to the amount due, a penalty equal to the amount of the assessment on the quantity of milk as to which the failure applies. The amount of any such penalty shall accrue to the United States and may be recovered in a civil suit brought by the United States. The remedies provided in this section sh… | |||||
| 7:7:9.1.1.1.24.1.193.39 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.157 Assessment exemption. | AMS | [76 FR 14792, Mar. 18, 2011, as amended at 80 FR 82021, Dec. 31, 2015] | (a) A producer described in § 1150.152(a)(1) and (2) who operates under an approved National Organic Program (7 CFR part 205) (NOP) organic production system plan may be exempt from the payment of assessments under this part, provided that: (1) Only agricultural products certified as “organic” or “100 percent organic” (as defined in the NOP) are eligible for exemption; (2) The exemption shall apply to all certified “organic” or “100 percent organic” (as defined in the NOP) products of the producer regardless of whether the agricultural commodity subject to the exemption is produced by a person that also produces conventional or nonorganic agricultural products of the same agricultural commodity as that for which the exemption is claimed; (3) The producer maintains a valid certificate of organic operation as issued under the Organic Foods Production Act of 1990 (7 U.S.C. 6501-6522) (OFPA) and the NOP regulations issued under OFPA (7 CFR part 205); and (4) Any producer so exempted shall continue to be obligated to pay assessments under this part that are associated with any agricultural products that do not qualify for an exemption under this section. (b) To apply for exemption under this section, a producer subject to assessments pursuant to § 1150.152(a)(1) and (2) shall submit a request to the Board on an Organic Exemption Request Form (Form AMS-15) at any time during the year initially, and annually thereafter on or before July 1, for as long as the producer continues to be eligible for the exemption. (c) A producer request for exemption shall include the following: (1) The applicant's full name, company name, address, telephone and fax numbers, and email address; (2) Certification that the applicant maintains a valid organic certificate issued under the OFPA and the NOP; (3) Certification that the applicant produces organic products eligible to be labeled “organic” or “100 percent organic” under the NOP; (4) A requirement that the applicant attach a copy of their certificate of organic operation is… | |||||
| 7:7:9.1.1.1.24.1.194.40 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.161 Promotion, research and nutrition education. | AMS | (a) The Board shall receive and evaluate, or on its own initiative develop, and submit to the Secretary for approval any plans or projects authorized in §§ 1150.139, 1150.140 and this section. Such plans or projects shall provide for: (1) The establishment, issuance, effectuation, and administration of appropriate plans or projects for promotion, research and nutrition education with respect to milk and dairy products; and (2) The establishment and conduct of research and studies with respect to the sale, distribution, marketing and utilization of milk and dairy products and the creation of new products thereof, to the end that marketing and utilization of milk and dairy products may be encouraged, expanded, improved or made more acceptable. Included shall be research and studies of proposals intended to increase the use of fluid milk and dairy products by the military and by persons in developing nations and proposals intended to demonstrate the feasibility of converting nonfat dry milk to casein for domestic and export use. (b) Each plan or project authorized under § 1150.161(a) shall be periodically reviewed or evaluated by the Board to insure that the plan or project contributes to an effective program of promotion, research and nutrition education. If it is found by the Board that any such plan or project does not further the purposes of the Act, the Board shall terminate such plan or project. (c) No plan or project authorized under § 1150.161(a) shall make use of unfair or deceptive acts or practices with respect to the quality, value or use of any competing product. | ||||||
| 7:7:9.1.1.1.24.1.195.41 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.171 Reports. | AMS | [76 FR 14792, Mar. 18, 2011] | (a) Each producer marketing milk of that producer's own production directly to consumers and each person making payment to producers and responsible for the collection of the assessment under § 1150.152(a) shall be required to report at the time for remitting assessments to the Board such information as may be required by the Board or by the Secretary. Such information may include but not be limited to the following: (1) The quantity of milk purchased, initially transferred or which, in any other manner, are subject to the collection of the assessment; (2) The amount of assessment remitted; (3) The basis, if necessary, to show why the remittance is less than the number of hundredweights of milk multiplied by 15 cents; and (4) The date any assessment was paid. (b) Importers of dairy products shall submit reports as requested by the Secretary as necessary to verify that provisions pursuant to § 1150.152(b) have been carried out correctly, including verification that correct amounts were paid based upon milk solids content of the imported dairy products pursuant to § 1150.152(b)(1). | |||||
| 7:7:9.1.1.1.24.1.195.42 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.172 Books and records. | AMS | [76 FR 14792, Mar. 18, 2011] | (a) Each producer who is subject to this subpart, and other persons subject to § 1150.171(a), shall maintain and make available for inspection by employees of the Board and the Secretary such books and records as are necessary to carry out the provisions of this subpart and the regulations issued hereunder, including such records as are necessary to verify any reports required. Such records shall be retained for at least two years beyond the fiscal period of their applicability. (b) Each importer of dairy products shall maintain and make available for inspection by the Secretary such books and records to verify that provisions pursuant to § 1150.152(b) have been carried out correctly, including verification that correct amounts were paid based upon milk solids content of the imported dairy products. Such records shall be retained for at least two years beyond the calendar period of their applicability. Such information may include but not be limited to invoices, packing slips, bills of lading, laboratory test results, and letters from the manufacturer on the manufacturer's letterhead stating the milk solids content of imported dairy products. | |||||
| 7:7:9.1.1.1.24.1.195.43 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.173 Confidential treatment. | AMS | All information obtained from such books, records or reports under the Act and this subpart shall be kept confidential by all persons, including employees and former employees of the Board, all officers and employees and all former officers and employees of the Department, and by all officers and all employees and all former officers and employees of contracting agencies having access to such information, and shall not be available to Board members. Only those persons having a specific need for such information in order to effectively administer the provisions of this subpart shall have access to such information. In addition, only such information so furnished or acquired as the Secretary deems relevant shall be disclosed by them, and then only in a suit or administrative hearing brought at the discretion, or upon the request, of the Secretary, or to which the Secretary or any officer of the United States is a party, and involving this subpart. Nothing in this section shall be deemed to prohibit: (a) The issuance of general statements based upon the reports of the number of persons subject to this subpart or statistical data collected therefrom, which statements do not identify the information furnished by any person; and (b) The publication, by direction of the Secretary, of the name of any person who has been adjudged to have violated this subpart, together with a statement of the particular provisions of the subpart violated by such person. | ||||||
| 7:7:9.1.1.1.24.1.196.44 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.181 Proceedings after termination. | AMS | (a) Upon the termination of this subpart, the Board shall recommend not more than five of its members to the Secretary to serve as trustees for the purpose of liquidating the affairs of the Board. Such persons, upon designation by the Secretary, shall become trustees of all the funds and property owned, in the possession of, or under the control of the Board, including unpaid claims or property not delivered or any other claim existing at the time of such termination. (b) The said trustees shall: (1) Continue in such capacity until discharged by the Secretary; (2) Carry out the obligations of the Board under any contract or agreements entered into by it pursuant to § 1150.140(i); (3) From time to time account for all receipts and disbursements and deliver all property on hand, together with all books and records of the Board and of the trustees, to such persons as the Secretary may direct; and (4) Upon the request of the Secretary, execute such assignments or other instruments necessary or appropriate to vest in such persons full title and right to all of the funds, property, and claims vested in the Board or the trustees pursuant to this subpart. (c) Any person to whom funds, property, or claims have been transferred or delivered pursuant to this subpart shall be subject to the same obligation imposed upon the Board and upon the trustees. (d) Any residual funds not required to defray the necessary expenses of liquidation shall be turned over to the Secretary to be used, to the extent practicable, in the interest of continuing one or more of the promotion, research or nutrition education plans or projects authorized pursuant to this subpart. | ||||||
| 7:7:9.1.1.1.24.1.196.45 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.182 Effect of termination or amendment. | AMS | Unless otherwise expressly provided by the Secretary, the termination of this subpart or of any regulation issued pursuant hereto, or the issuance of any amendment to either thereof, shall not: (a) Affect or waive any right, duty, obligation, or liability which shall have arisen or which may hereafter arise in connection with any provision of this subpart or any regulation issued thereunder; (b) Release or extinguish any violation of this subpart or any regulation issued thereunder; or (c) Affect or impair any rights or remedies of the United States, or of the Secretary, or of any person, with respect to any such violation. | ||||||
| 7:7:9.1.1.1.24.1.196.46 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.183 Personal liability. | AMS | No member or employee of the Board shall be held personally responsible, either individually or jointly, in any way whatsoever to any person for errors in judgment, mistakes, or other acts of either commission or omission of such member or employee, except for acts of dishonesty or willful misconduct. | ||||||
| 7:7:9.1.1.1.24.1.196.47 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.184 Patents, copyrights, inventions and publications. | AMS | Any patents, copyrights, trademarks, inventions or publications developed through the use of funds collected under the provisions of this subpart shall be the property of the U.S. Government as represented by the Board, and shall, along with any rents, royalties, residual payments, or other income from the rental, sale, leasing, franchising, or other uses of such patents, copyrights, inventions, or publications, inure to the benefit of the Board. Upon termination of this subpart, § 1150.181 shall apply to determine disposition of all such property. | ||||||
| 7:7:9.1.1.1.24.1.196.48 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.185 Amendments. | AMS | The Secretary may from time to time amend provisions of this part. Any interested person or organization affected by the provisions of the Act may propose such amendments to the Secretary. | ||||||
| 7:7:9.1.1.1.24.1.196.49 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.186 Separability. | AMS | If any provision of this subpart is declared invalid or the applicability thereof to any person or circumstances is held invalid, the validity of the remainder of this subpart or the applicability thereof to other persons or circumstances shall not be affected thereby. | ||||||
| 7:7:9.1.1.1.24.1.196.50 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Dairy Promotion and Research Order | § 1150.187 Paperwork Reduction Act assigned number. | AMS | [76 FR 14793, Mar. 18, 2011] | The information collection and recordkeeping requirements contained in §§ 1150.133, 1150.152, 1150.153, 1150.171, 1150.172, and 1150.273 of these regulations (7 CFR part 1150) 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 0581-0093 as appropriate. | |||||
| 7:7:9.1.1.1.24.2.197.1 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Procedure for Certification of Milk Producer Organizations | § 1150.270 General. | AMS | Organizations must be certified by the Secretary that they are eligible to represent milk producers and to participate in the making of nominations of milk producers to serve as members of the National Dairy Promotion and Research Board as provided in the Dairy and Tobacco Adjustment Act of 1983. Certifications of eligibility required of the Secretary shall be conducted in accordance with this subpart. | ||||||
| 7:7:9.1.1.1.24.2.197.2 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Procedure for Certification of Milk Producer Organizations | § 1150.271 Definitions. | AMS | As used in this subpart: (a) Act means Title I, Subtitle B, of the Dairy and Tobacco Adjustment Act of 1983, Pub. L. 98-180, 97 Stat. 1128, as approved November 29, 1983, and any amendments thereto; (b) Department means the United States Department of Agriculture; (c) Secretary means the Secretary of Agriculture of the United States, or any officer or employee of the Department to whom authority has heretofore been delegated, or to whom authority may hereafter be delegated to act in the Secretary's stead; (d) Dairy Division means the Dairy Division of the Department's Agricultural Marketing Service; (e) Producer means any person engaged in the production of milk for commercial use; (f) Dairy products means products manufactured for human consumption which are derived from the processing of milk, and includes fluid milk products; and (g) Fluid milk products means those milk products normally consumed in liquid form as a beverage. | ||||||
| 7:7:9.1.1.1.24.2.197.3 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Procedure for Certification of Milk Producer Organizations | § 1150.272 Responsibility for administration of regulations. | AMS | The Dairy Division shall have the responsibility for administering the provisions of this subpart. | ||||||
| 7:7:9.1.1.1.24.2.197.4 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Procedure for Certification of Milk Producer Organizations | § 1150.273 Application for certification. | AMS | Any organization whose membership consists primarily of milk producers may apply for certification. Applicant organizations should supply information for certification using as a guide “Application for Certification of Organizations,” Form DA-26. Form DA-26 may be obtained from the Dairy Division, Agricultural Marketing Service, United States Department of Agriculture, Washington, DC 20250. | ||||||
| 7:7:9.1.1.1.24.2.197.5 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Procedure for Certification of Milk Producer Organizations | § 1150.274 Certification standards. | AMS | (a) Certification of eligible organizations shall be based, in addition to other available information, on a factual report submitted by the organization, which shall contain information deemed relevant and specified by the Secretary for the making of such determination, including the following: (1) Geographic territory covered by the organization's active membership; (2) Nature and size of the organization's active membership including the total number of active milk producers represented by the organization; (3) Evidence of stability and permanency of the organization; (4) Sources from which the organization's operating funds are derived; (5) Functions of the organization; and (6) The organization's ability and willingness to further the aims and objectives of the Act. (b) The primary considerations in determining the eligibility of an organization shall be whether its membership consists primarily of milk producers who produce a substantial volume of milk, and whether the primary or overriding interest of the organization is in the production or processing of fluid milk and dairy products and promotion of the nutritional attributes of fluid milk and dairy products. (c) The Secretay shall certify any organization which he finds meets the criteria under this section and his determination as to eligibility shall be final. | ||||||
| 7:7:9.1.1.1.24.2.197.6 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Procedure for Certification of Milk Producer Organizations | § 1150.275 Inspection and investigation. | AMS | The Secretary shall have the right, at any time after an application is received from an organization, to examine such books, documents, papers, records, files, and facilities of an organization as he deems necessary to verify the information submitted and to procure such other information as may be required to determine whether the organization is eligible for certification. | ||||||
| 7:7:9.1.1.1.24.2.197.7 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Procedure for Certification of Milk Producer Organizations | § 1150.276 Review of certification. | AMS | Certifications issued pursuant to this subpart are subject to termination or suspension if the organization does not currently meet the certification standards. A certified organization may be requested at any time to supply the Dairy Division with such information as may be required to show that the organization continues to be eligible for certification. Any information submitted to satisfy a request pursuant to this section shall be subject to inspection and investigation as provided in § 1150.275. | ||||||
| 7:7:9.1.1.1.24.2.197.8 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Procedure for Certification of Milk Producer Organizations | § 1150.277 Listing of certified organizations. | AMS | A copy of each certification shall be furnished by the Dairy Division to the respective organization. Copies also shall be filed in the Dairy Division where they will be available for public inspection. | ||||||
| 7:7:9.1.1.1.24.2.197.9 | 7 | Agriculture | X | 1150 | PART 1150—DAIRY PROMOTION PROGRAM | Subpart—Procedure for Certification of Milk Producer Organizations | § 1150.278 Confidential treatment. | AMS | All documents and other information submitted by applicant organizations and otherwise obtained by the Department by investigation or examination of books, documents, papers, records, files, or facilities shall be kept confidential by all employees of the Department. Only such information so furnished or acquired as the Secretary deems relevant shall be disclosed by them, and then only in the issuance of general statements based upon the applications of a number of persons, which do not identify the information furnished by any one person. |
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