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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 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 14:14:4.0.1.1.24.0.8.1 | 14 | Aeronautics and Space | II | A | 247 | PART 247—DIRECT AIRPORT-TO-AIRPORT MILEAGE RECORDS | § 247.1 Official mileage record of the Department of Transportation. | FAA | [Amdt. 247-2, 56 FR 67170, Dec. 30, 1991, as amended at 60 FR 66725, Dec. 26, 1995; Doc. No. DOT-OST-2014-0140, 84 FR 15932, Apr. 16, 2019] | The direct airport-to-airport mileage record now maintained, and as hereafter amended or revised from time to time by the Office of Airline Information of the Bureau of Transportation Statistics of the Department of Transportation in the regular performance of its duties, is hereby adopted as the official mileage record of the Department and the mileages set forth therein shall be used in all instances where it shall be necessary to determine direct airport-to-airport mileages pursuant to the provisions of 49 U.S.C. Subtitle VII (Transportation)or any rule, regulation, or order of the Department pursuant thereto. | |||||
| 14:14:4.0.1.1.24.0.8.2 | 14 | Aeronautics and Space | II | A | 247 | PART 247—DIRECT AIRPORT-TO-AIRPORT MILEAGE RECORDS | §§ 247.2-247.10 [Reserved] | FAA | |||||||
| 17:17:5.0.1.1.7.0.9.1 | 17 | Commodity and Securities Exchanges | II | 247 | PART 247—REGULATION R—EXEMPTIONS AND DEFINITIONS RELATED TO THE EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER | § 247.100 Definition. | SEC | For purposes of this part the following definition shall apply: Act means the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq. ). | |||||||
| 17:17:5.0.1.1.7.0.9.10 | 17 | Commodity and Securities Exchanges | II | 247 | PART 247—REGULATION R—EXEMPTIONS AND DEFINITIONS RELATED TO THE EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER | § 247.771 Exemption from the definition of “broker” for banks effecting transactions in securities issued pursuant to Regulation S. | SEC | (a) A bank is exempt from the definition of the term “broker” under section 3(a)(4) of the Act (15 U.S.C. 78c(a)(4)), to the extent that, as agent, the bank: (1) Effects a sale in compliance with the requirements of 17 CFR 230.903 of an eligible security to a purchaser who is not in the United States; (2) Effects, by or on behalf of a person who is not a U.S. person under 17 CFR 230.902(k), a resale of an eligible security after its initial sale with a reasonable belief that the eligible security was initially sold outside of the United States within the meaning of and in compliance with the requirements of 17 CFR 230.903 to a purchaser who is not in the United States or a registered broker or dealer, provided that if the resale is made prior to the expiration of any applicable distribution compliance period specified in 17 CFR 230.903(b)(2) or (b)(3), the resale is made in compliance with the requirements of 17 CFR 230.904; or (3) Effects, by or on behalf of a registered broker or dealer, a resale of an eligible security after its initial sale with a reasonable belief that the eligible security was initially sold outside of the United States within the meaning of and in compliance with the requirements of 17 CFR 230.903 to a purchaser who is not in the United States, provided that if the resale is made prior to the expiration of any applicable distribution compliance period specified in 17 CFR 230.903(b)(2) or (b)(3), the resale is made in compliance with the requirements of 17 CFR 230.904. (b) Definitions. For purposes of this section: (1) Distributor has the same meaning as in 17 CFR 230.902(d). (2) Eligible security means a security that: (i) Is not being sold from the inventory of the bank or an affiliate of the bank; and (ii) Is not being underwritten by the bank or an affiliate of the bank on a firm-commitment basis, unless the bank acquired the security from an unaffiliated distributor that did not purchase the security from the bank or an affiliate of the bank. (3) Purchaser means a pers… | |||||||
| 17:17:5.0.1.1.7.0.9.11 | 17 | Commodity and Securities Exchanges | II | 247 | PART 247—REGULATION R—EXEMPTIONS AND DEFINITIONS RELATED TO THE EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER | § 247.772 Exemption from the definition of “broker” for banks engaging in securities lending transactions. | SEC | (a) A bank is exempt from the definition of the term “broker” under section 3(a)(4) of the Act (15 U.S.C. 78c(a)(4)), to the extent that, as an agent, it engages in or effects securities lending transactions, and any securities lending services in connection with such transactions, with or on behalf of a person the bank reasonably believes to be: (1) A qualified investor as defined in section 3(a)(54)(A) of the Act (15 U.S.C. 78c(a)(54)(A)); or (2) Any employee benefit plan that owns and invests on a discretionary basis, not less than $ 25,000,000 in investments. (b) Securities lending transaction means a transaction in which the owner of a security lends the security temporarily to another party pursuant to a written securities lending agreement under which the lender retains the economic interests of an owner of such securities, and has the right to terminate the transaction and to recall the loaned securities on terms agreed by the parties. (c) Securities lending services means: (1) Selecting and negotiating with a borrower and executing, or directing the execution of the loan with the borrower; (2) Receiving, delivering, or directing the receipt or delivery of loaned securities; (3) Receiving, delivering, or directing the receipt or delivery of collateral; (4) Providing mark-to-market, corporate action, recordkeeping or other services incidental to the administration of the securities lending transaction; (5) Investing, or directing the investment of, cash collateral; or (6) Indemnifying the lender of securities with respect to various matters. | |||||||
| 17:17:5.0.1.1.7.0.9.12 | 17 | Commodity and Securities Exchanges | II | 247 | PART 247—REGULATION R—EXEMPTIONS AND DEFINITIONS RELATED TO THE EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER | § 247.775 Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in investment company securities. | SEC | [72 FR 56554, Oct. 3, 2007, as amended at 73 FR 20780, Apr. 17, 2008] | (a) A bank that meets the conditions for an exception or exemption from the definition of the term “broker” except for the condition in section 3(a)(4)(C)(i) of the Act (15 U.S.C. 78c(a)(4)(C)(i)), is exempt from such condition to the extent that it effects a transaction in a covered security, if: (1) Any such security is neither traded on a national securities exchange nor through the facilities of a national securities association or an interdealer quotation system; (2) The security is distributed by a registered broker or dealer, or the sales charge is no more than the amount permissible for a security sold by a registered broker or dealer pursuant to any applicable rules adopted pursuant to section 22(b)(1) of the Investment Company Act of 1940 (15 U.S.C. 80a-22(b)(1)) by a securities association registered under section 15A of the Act (15 U.S.C. 78o-3); and (3) Any such transaction is effected: (i) Through the National Securities Clearing Corporation; or (ii) Directly with a transfer agent or with an insurance company or separate account that is excluded from the definition of transfer agent in Section 3(a)(25) of the Act. (b) Definitions. For purposes of this section: (1) Covered security means: (i) Any security issued by an open-end company, as defined by section 5(a)(1) of the Investment Company Act (15 U.S.C. 80a-5(a)(1)), that is registered under that Act; and (ii) Any variable insurance contract funded by a separate account, as defined by section 2(a)(37) of the Investment Company Act (15 U.S.C. 80a-2(a)(37)), that is registered under that Act. (2) Interdealer quotation system has the same meaning as in 17 CFR 240.15c2-11. (3) Insurance company has the same meaning as in 15 U.S.C. 77b(a)(13). | ||||||
| 17:17:5.0.1.1.7.0.9.13 | 17 | Commodity and Securities Exchanges | II | 247 | PART 247—REGULATION R—EXEMPTIONS AND DEFINITIONS RELATED TO THE EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER | § 247.776 Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in a company's securities for its employee benefit plans. | SEC | (a) A bank that meets the conditions for an exception or exemption from the definition of the term “broker” except for the condition in section 3(a)(4)(C)(i) of the Act (15 U.S.C. 78c(a)(4)(C)(i)), is exempt from such condition to the extent that it effects a transaction in the securities of a company directly with a transfer agent acting for the company that issued the security, if: (1) No commission is charged with respect to the transaction; (2) The transaction is conducted by the bank solely for the benefit of an employee benefit plan account; (3) Any such security is obtained directly from: (i) The company; or (ii) An employee benefit plan of the company; and (4) Any such security is transferred only to: (i) The company; or (ii) An employee benefit plan of the company. (b) For purposes of this section, the term employee benefit plan account has the same meaning as in § 247.760(h)(4). | |||||||
| 17:17:5.0.1.1.7.0.9.14 | 17 | Commodity and Securities Exchanges | II | 247 | PART 247—REGULATION R—EXEMPTIONS AND DEFINITIONS RELATED TO THE EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER | § 247.780 Exemption for banks from liability under section 29 of the Securities Exchange Act of 1934. | SEC | (a) No contract entered into before March 31, 2009, shall be void or considered voidable by reason of section 29(b) of the Act (15 U.S.C. 78cc(b)) because any bank that is a party to the contract violated the registration requirements of section 15(a) of the Act (15 U.S.C. 78o(a)), any other applicable provision of the Act, or the rules and regulations thereunder based solely on the bank's status as a broker when the contract was created. (b) No contract shall be void or considered voidable by reason of section 29(b) of the Act (15 U.S.C. 78cc(b)) because any bank that is a party to the contract violated the registration requirements of section 15(a) of the Act (15 U.S.C. 78o(a)) or the rules and regulations thereunder based solely on the bank's status as a broker when the contract was created, if: (1) At the time the contract was created, the bank acted in good faith and had reasonable policies and procedures in place to comply with section 3(a)(4)(B) of the Act (15 U.S.C. 78c(a)(4)(B)) and the rules and regulations thereunder; and (2) At the time the contract was created, any violation of the registration requirements of section 15(a) of the Act by the bank did not result in any significant harm or financial loss or cost to the person seeking to void the contract. | |||||||
| 17:17:5.0.1.1.7.0.9.15 | 17 | Commodity and Securities Exchanges | II | 247 | PART 247—REGULATION R—EXEMPTIONS AND DEFINITIONS RELATED TO THE EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER | § 247.781 Exemption from the definition of “broker” for banks for a limited period of time. | SEC | A bank is exempt from the definition of the term “broker” under section 3(a)(4) of the Act (15 U.S.C. 78c(a)(4)) until the first day of its first fiscal year commencing after September 30, 2008. | |||||||
| 17:17:5.0.1.1.7.0.9.2 | 17 | Commodity and Securities Exchanges | II | 247 | PART 247—REGULATION R—EXEMPTIONS AND DEFINITIONS RELATED TO THE EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER | § 247.700 Defined terms relating to the networking exception from the definition of “broker.” | SEC | When used with respect to the Third Party Brokerage Arrangements (“Networking”) Exception from the definition of the term “broker” in section 3(a)(4)(B)(i) of the Act (15 U.S.C. 78c(a)(4)(B)(i)) in the context of transactions with a customer, the following terms shall have the meaning provided: (a) Contingent on whether the referral results in a transaction means dependent on whether the referral results in a purchase or sale of a security; whether an account is opened with a broker or dealer; whether the referral results in a transaction involving a particular type of security; or whether it results in multiple securities transactions; provided, however, that a referral fee may be contingent on whether a customer: (1) Contacts or keeps an appointment with a broker or dealer as a result of the referral; or (2) Meets any objective, base-line qualification criteria established by the bank or broker or dealer for customer referrals, including such criteria as minimum assets, net worth, income, or marginal federal or state income tax rate, or any requirement for citizenship or residency that the broker or dealer, or the bank, may have established generally for referrals for securities brokerage accounts. (b)(1) Incentive compensation means compensation that is intended to encourage a bank employee to refer customers to a broker or dealer or give a bank employee an interest in the success of a securities transaction at a broker or dealer. The term does not include compensation paid by a bank under a bonus or similar plan that is: (i) Paid on a discretionary basis; and (ii) Based on multiple factors or variables and: (A) Those factors or variables include multiple significant factors or variables that are not related to securities transactions at the broker or dealer; (B) A referral made by the employee is not a factor or variable in determining the employee's compensation under the plan; and (C) The employee's compensation under the plan is not determined by reference to referrals made by any other person… | |||||||
| 17:17:5.0.1.1.7.0.9.3 | 17 | Commodity and Securities Exchanges | II | 247 | PART 247—REGULATION R—EXEMPTIONS AND DEFINITIONS RELATED TO THE EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER | § 247.701 Exemption from the definition of “broker” for certain institutional referrals. | SEC | [72 FR 56554, Oct. 3, 2007, as amended at 73 FR 20780, Apr. 17, 2008] | (a) General. A bank that meets the requirements for the exception from the definition of “broker” under section 3(a)(4)(B)(i) of the Act (15 U.S.C. 78c(a)(4)(B)(i)), other than section 3(a)(4)(B)(i)(VI) of the Act (15 U.S.C. 78c(a)(4)(B)(i)(VI)), is exempt from the conditions of section 3(a)(4)(B)(i)(VI) of the Act solely to the extent that a bank employee receives a referral fee for referring a high net worth customer or institutional customer to a broker or dealer with which the bank has a contractual or other written arrangement of the type specified in section 3(a)(4)(B)(i) of the Act, if: (1) Bank employee. (i) The bank employee is: (A) Not registered or approved, or otherwise required to be registered or approved, in accordance with the qualification standards established by the rules of any self-regulatory organization; (B) Predominantly engaged in banking activities other than making referrals to a broker or dealer; and (C) Not subject to statutory disqualification, as that term is defined in section 3(a)(39) of the Act (15 U.S.C. 78c(a)(39)), except subparagraph (E) of that section; and (ii) The high net worth customer or institutional customer is encountered by the bank employee in the ordinary course of the employee's assigned duties for the bank. (2) Bank determinations and obligations —(i) Disclosures. The bank provides the high net worth customer or institutional customer the information set forth in paragraph (b) of this section (A) In writing prior to or at the time of the referral; or (B) Orally prior to or at the time of the referral and ( 1 ) The bank provides such information to the customer in writing within 3 business days of the date on which the bank employee refers the customer to the broker or dealer; or ( 2 ) The written agreement between the bank and the broker or dealer provides for the broker or dealer to provide such information to the customer in writing in accordance with paragraph (a)(3)(i) of this section. (ii) Customer qualification. (A) In the case of a cus… | ||||||
| 17:17:5.0.1.1.7.0.9.4 | 17 | Commodity and Securities Exchanges | II | 247 | PART 247—REGULATION R—EXEMPTIONS AND DEFINITIONS RELATED TO THE EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER | § 247.721 Defined terms relating to the trust and fiduciary activities exception from the definition of “broker.” | SEC | [72 FR 56554, Oct. 3, 2007, as amended at 73 FR 20780, Apr. 17, 2008] | (a) Defined terms for chiefly compensated test. For purposes of this part and section 3(a)(4)(B)(ii) of the Act (15 U.S.C. 78c(a)(4)(B)(ii)), the following terms shall have the meaning provided: (1) Chiefly compensated—account-by-account test. Chiefly compensated shall mean the relationship-total compensation percentage for each trust or fiduciary account of the bank is greater than 50 percent. (2) The relationship-total compensation percentage for a trust or fiduciary account shall be the mean of the yearly compensation percentage for the account for the immediately preceding year and the yearly compensation percentage for the account for the year immediately preceding that year. (3) The yearly compensation percentage for a trust or fiduciary account shall be (i) Equal to the relationship compensation attributable to the trust or fiduciary account during the year divided by the total compensation attributable to the trust or fiduciary account during that year, with the quotient expressed as a percentage; and (ii) Calculated within 60 days of the end of the year. (4) Relationship compensation means any compensation a bank receives attributable to a trust or fiduciary account that consists of: (i) An administration fee, including, without limitation, a fee paid— (A) For personal services, tax preparation, or real estate settlement services; (B) For disbursing funds from, or for recording receipt of payments to, a trust or fiduciary account; (C) In connection with securities lending or borrowing transactions; (D) For custody services; or (E) In connection with an investment in shares of an investment company for personal service, the maintenance of shareholder accounts or any service described in paragraph (a)(4)(iii)(C) of this section; (ii) An annual fee (payable on a monthly, quarterly or other basis), including, without limitation, a fee paid for assessing investment performance or for reviewing compliance with applicable investment guidelines or restrictions; (iii) A fee… | ||||||
| 17:17:5.0.1.1.7.0.9.5 | 17 | Commodity and Securities Exchanges | II | 247 | PART 247—REGULATION R—EXEMPTIONS AND DEFINITIONS RELATED TO THE EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER | § 247.722 Exemption allowing banks to calculate trust and fiduciary compensation on a bank-wide basis. | SEC | (a) General. A bank is exempt from meeting the “chiefly compensated” condition in section 3(a)(4)(B)(ii)(I) of the Act (15 U.S.C. 78c(a)(4)(B)(ii)(I)) to the extent that it effects transactions in securities for any account in a trustee or fiduciary capacity within the scope of section 3(a)(4)(D) of the Act (15 U.S.C. 78c(a)(4)(D)) if: (1) The bank meets the other conditions for the exception from the definition of the term “broker” under sections 3(a)(4)(B)(ii) and 3(a)(4)(C) of the Act (15 U.S.C. 78c(a)(4)(B)(ii) and 15 U.S.C. 78c(a)(4)(C)), including the advertising restrictions in section 3(a)(4)(B)(ii)(II) of the Act (15 U.S.C. 78c(a)(4)(B)(ii)(II) as implemented by § 247.721(c); and (2) The aggregate relationship-total compensation percentage for the bank's trust and fiduciary business is at least 70 percent. (b) Aggregate relationship-total compensation percentage. For purposes of this section, the aggregate relationship-total compensation percentage for a bank's trust and fiduciary business shall be the mean of the bank's yearly bank-wide compensation percentage for the immediately preceding year and the bank's yearly bank-wide compensation percentage for the year immediately preceding that year. (c) Yearly bank-wide compensation percentage. For purposes of this section, a bank's yearly bank-wide compensation percentage for a year shall be (1) Equal to the relationship compensation attributable to the bank's trust and fiduciary business as a whole during the year divided by the total compensation attributable to the bank's trust and fiduciary business as a whole during that year, with the quotient expressed as a percentage; and (2) Calculated within 60 days of the end of the year. (d) Revenues derived from transactions conducted under other exceptions or exemptions. For purposes of calculating the yearly compensation percentage for a trust or fiduciary account, a bank may at its election exclude the compensation associated with any securities transaction conducted in accordanc… | |||||||
| 17:17:5.0.1.1.7.0.9.6 | 17 | Commodity and Securities Exchanges | II | 247 | PART 247—REGULATION R—EXEMPTIONS AND DEFINITIONS RELATED TO THE EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER | § 247.723 Exemptions for special accounts, transferred accounts, foreign branches and a de minimis number of accounts. | SEC | [72 FR 56554, Oct. 3, 2007, as amended at 73 FR 20780, Apr. 17, 2008] | (a) Short-term accounts. A bank may, in determining its compliance with the chiefly compensated test in § 247.721(a)(1) or § 247.722(a)(2), exclude any trust or fiduciary account that had been open for a period of less than 3 months during the relevant year. (b) Accounts acquired as part of a business combination or asset acquisition. For purposes of determining compliance with the chiefly compensated test in § 247.721(a)(1) or § 247.722(a)(2), any trust or fiduciary account that a bank acquired from another person as part of a merger, consolidation, acquisition, purchase of assets or similar transaction may be excluded by the bank for 12 months after the date the bank acquired the account from the other person. (c) Non-shell foreign branches —(1) Exemption. For purposes of determining compliance with the chiefly compensated test in § 247.722(a)(2), a bank may exclude the trust or fiduciary accounts held at a non-shell foreign branch of the bank if the bank has reasonable cause to believe that trust or fiduciary accounts of the foreign branch held by or for the benefit of a U.S. person as defined in 17 CFR 230.902(k) constitute less than 10 percent of the total number of trust or fiduciary accounts of the foreign branch. (2) Rules of construction. Solely for purposes of this paragraph (c), a bank will be deemed to have reasonable cause to believe that a trust or fiduciary account of a foreign branch of the bank is not held by or for the benefit of a U.S. person if (i) The principal mailing address maintained and used by the foreign branch for the accountholder(s) and beneficiary(ies) of the account is not in the United States; or (ii) The records of the foreign branch indicate that the accountholder(s) and beneficiary(ies) of the account is not a U.S. person as defined in 17 CFR 230.902(k). (3) Non-shell foreign branch. Solely for purposes of this paragraph (c), a non-shell foreign branch of a bank means a branch of the bank (i) That is located outside the United States and provides banking se… | ||||||
| 17:17:5.0.1.1.7.0.9.7 | 17 | Commodity and Securities Exchanges | II | 247 | PART 247—REGULATION R—EXEMPTIONS AND DEFINITIONS RELATED TO THE EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER | § 247.740 Defined terms relating to the sweep accounts exception from the definition of “broker.” | SEC | For purposes of section 3(a)(4)(B)(v) of the Act (15 U.S.C. 78c(a)(4)(B)(v)), the following terms shall have the meaning provided: (a) Deferred sales load has the same meaning as in 17 CFR 270.6c-10. (b) Money market fund means an open-end company registered under the Investment Company Act of 1940 (15 U.S.C. 80a-1 et seq. ) that is regulated as a money market fund pursuant to 17 CFR 270.2a-7. (c)(1) No-load , in the context of an investment company or the securities issued by an investment company, means, for securities of the class or series in which a bank effects transactions, that: (i) That class or series is not subject to a sales load or a deferred sales load; and (ii) Total charges against net assets of that class or series of the investment company's securities for sales or sales promotion expenses, for personal service, or for the maintenance of shareholder accounts do not exceed 0.25 of 1% of average net assets annually. (2) For purposes of this definition, charges for the following will not be considered charges against net assets of a class or series of an investment company's securities for sales or sales promotion expenses, for personal service, or for the maintenance of shareholder accounts: (i) Providing transfer agent or sub-transfer agent services for beneficial owners of investment company shares; (ii) Aggregating and processing purchase and redemption orders for investment company shares; (iii) Providing beneficial owners with account statements showing their purchases, sales, and positions in the investment company; (iv) Processing dividend payments for the investment company; (v) Providing sub-accounting services to the investment company for shares held beneficially; (vi) Forwarding communications from the investment company to the beneficial owners, including proxies, shareholder reports, dividend and tax notices, and updated prospectuses; or (vii) Receiving, tabulating, and transmitting proxies executed by beneficial owners of investment company shares. (d) Open-end … | |||||||
| 17:17:5.0.1.1.7.0.9.8 | 17 | Commodity and Securities Exchanges | II | 247 | PART 247—REGULATION R—EXEMPTIONS AND DEFINITIONS RELATED TO THE EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER | § 247.741 Exemption for banks effecting transactions in money market funds. | SEC | [72 FR 56554, Oct. 3, 2007, as amended at 73 FR 20780, Apr. 17, 2008] | (a) A bank is exempt from the definition of the term “broker” under section 3(a)(4) of the Act (15 U.S.C. 78c(a)(4)) to the extent that it effects transactions on behalf of a customer in securities issued by a money market fund, provided that: (1) The bank either (i) Provides the customer, directly or indirectly, any other product or service, the provision of which would not, in and of itself, require the bank to register as a broker or dealer under section 15(a) of the Act (15 U.S.C. 78o(a)); or (ii) Effects the transactions on behalf of another bank as part of a program for the investment or reinvestment of deposit funds of, or collected by, the other bank; and (2)(i) The class or series of securities is no-load; or (ii) If the class or series of securities is not no-load (A) The bank or, if applicable, the other bank described in paragraph (a)(1)(B) of this section provides the customer, not later than at the time the customer authorizes the securities transactions, a prospectus for the securities; and (B) The bank and, if applicable, the other bank described in paragraph (a)(1)(B) of this section do not characterize or refer to the class or series of securities as no-load. (b) Definitions. For purposes of this section: (1) Money market fund has the same meaning as in § 247.740(b). (2) No-load has the same meaning as in § 247.740(c). | ||||||
| 17:17:5.0.1.1.7.0.9.9 | 17 | Commodity and Securities Exchanges | II | 247 | PART 247—REGULATION R—EXEMPTIONS AND DEFINITIONS RELATED TO THE EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER | § 247.760 Exemption from definition of “broker” for banks accepting orders to effect transactions in securities from or on behalf of custody accounts. | SEC | (a) Employee benefit plan accounts and individual retirement accounts or similar accounts. A bank is exempt from the definition of the term “broker” under section 3(a)(4) of the Act (15 U.S.C. 78c(a)(4)) to the extent that, as part of its customary banking activities, the bank accepts orders to effect transactions in securities for an employee benefit plan account or an individual retirement account or similar account for which the bank acts as a custodian if: (1) Employee compensation restriction and additional conditions. The bank complies with the employee compensation restrictions in paragraph (c) of this section and the other conditions in paragraph (d) of this section; (2) Advertisements. Advertisements by or on behalf of the bank do not: (i) Advertise that the bank accepts orders for securities transactions for employee benefit plan accounts or individual retirement accounts or similar accounts, except as part of advertising the other custodial or safekeeping services the bank provides to these accounts; or (ii) Advertise that such accounts are securities brokerage accounts or that the bank's safekeeping and custody services substitute for a securities brokerage account; and (3) Advertisements and sales literature for individual retirement or similar accounts. Advertisements and sales literature issued by or on behalf of the bank do not describe the securities order-taking services provided by the bank to individual retirement accounts or similar accounts more prominently than the other aspects of the custody or safekeeping services provided by the bank to these accounts. (b) Accommodation trades for other custodial accounts. A bank is exempt from the definition of the term “broker” under section 3(a)(4) of the Act (15 U.S.C. 78c(a)(4)) to the extent that, as part of its customary banking activities, the bank accepts orders to effect transactions in securities for an account for which the bank acts as custodian other than an employee benefit plan account or an individual retirement accoun… | |||||||
| 24:24:2.1.1.2.23.1.211.1 | 24 | Housing and Urban Development | II | B | 247 | PART 247—EVICTIONS FROM CERTAIN SUBSIDIZED AND HUD-OWNED PROJECTS | A | Subpart A—Subsidized Projects | § 247.1 Applicability. | HUD | [54 FR 236, Jan. 4, 1989, as amended at 81 FR 80806, Nov. 16, 2016; 89 FR 38290, May 7, 2024] | (a) Except as provided in §§ 247.5 and 247.6(c), the provisions of this subpart shall apply to all decisions by a landlord to terminate the occupancy of a tenant in a subsidized project as defined in § 247.2(e). (Termination of tenancy of a family assisted with tenant-based assistance under the Housing Voucher Program is not subject to this part.) (b) Landlords of subsidized projects that have been assisted under a covered housing program listed in 24 CFR 5.2003 must comply with 24 CFR part 5, subpart L (Protection for Victims of Domestic Violence, Dating Violence, Sexual Assault, or Stalking), as described in § 200.38. | |||
| 24:24:2.1.1.2.23.1.211.2 | 24 | Housing and Urban Development | II | B | 247 | PART 247—EVICTIONS FROM CERTAIN SUBSIDIZED AND HUD-OWNED PROJECTS | A | Subpart A—Subsidized Projects | § 247.2 Definitions. | HUD | [41 FR 43330, Sept. 30, 1976. Redesignated at 49 FR 6713, Feb. 23, 1984, and amended at 53 FR 3368, Feb. 5, 1988; 54 FR 236, Jan. 4, 1989; 61 FR 47381, Sept. 6, 1996; 66 FR 28797, May 24, 2001] | Drug-related criminal activity means the illegal manufacture, sale, distribution, use or possession with the intent to manufacture, sell, distribute, or use, of a controlled substance as defined in section 102 of the Controlled Substances Act, 21 U.S.C. 802. Eviction means the dispossession of the tenant from the leased unit as a result of the termination of the tenancy, including a termination prior to the end of a term or at the end of a term. Landlord means either the owner of the property or his representative, or the managing agent or his representative, as shall be designated by the owner. Rental agreement means all agreements, written or oral, between the landlord and tenant (and valid rules and regulations adopted by the landlord pursuant to a written agreement) relating to the use and occupancy of a dwelling unit and surrounding premises. State landlord and tenant act means any state statute or local ordinance which imposes obligations on a landlord and tenant in connection with the occupancy of a dwelling unit and surrounding premises and which provides that violations of such obligations by the tenant constitute grounds for eviction. Subsidized project means a multifamily housing project (with the exception of a project owned by a cooperative housing mortgagor corporation or association) that receives the benefit of subsidy in the form of: below-market interest rates under section 221(d) (3) and (5), interest reduction payments under section 236 of the National Housing Act, or below market interest rate direct loans under section 202 of the Housing Act of 1959. For purposes of this part, subsidized project also includes those units in a housing project that receive the benefit of: (1) Rental subsidy in the form of rent supplement payments under section 101 of the Housing and Urban Development Act of 1965 (12 U.S.C. 1701s); or (2) Housing assistance payments for project-based assistance under Section 8 of the 1937 Act (42 U.S.C. 1437f). However, this part is not applicable to Section 8 pr… | |||
| 24:24:2.1.1.2.23.1.211.3 | 24 | Housing and Urban Development | II | B | 247 | PART 247—EVICTIONS FROM CERTAIN SUBSIDIZED AND HUD-OWNED PROJECTS | A | Subpart A—Subsidized Projects | § 247.3 Entitlement of tenants to occupancy. | HUD | [41 FR 43330, Sept. 30, 1976. Redesignated at 49 FR 6713, Feb. 23, 1984, and amended at 54 FR 39697, Sept. 27, 1989; 56 FR 7531, Feb. 22, 1991; 61 FR 13624, Mar. 27, 1996; 61 FR 47382, Sept. 6, 1996; 66 FR 28797, May 24, 2001] | (a) General. The landlord may not terminate any tenancy in a subsidized project except upon the following grounds: (1) Material noncompliance with the rental agreement, (2) Material failure to carry out obligations under any state landlord and tenant act, (3) Criminal activity by a covered person in accordance with sections 5.858 and 5.859, or alcohol abuse by a covered person in accordance with section 5.860. If necessary, criminal records can be obtained for lease enforcement purposes under section 5.903(d)(3). (4) Other good cause. No termination by a landlord under paragraph (a)(1) or (2) of this section shall be valid to the extent it is based upon a rental agreement or a provision of state law permitting termination of a tenancy without good cause. No termination shall be valid unless it is in accordance with the provisions of § 247.4. (b) Notice of good cause. The conduct of a tenant cannot be deemed other good cause under § 247.3(a)(4) unless the landlord has given the tenant prior notice that said conduct shall henceforth constitute a basis for termination of occupancy. Said notice shall be served on the tenant in the same manner as that provided for termination notices in § 247.4(b). (c) Material noncompliance. The term material noncompliance with the rental agreement includes: (1) One or more substantial violations of the rental agreement; (2) Repeated minor violations of the rental agreement that: (i) Disrupt the livability of the project, (ii) Adversely affect the health or safety of any person or the right of any tenant to the quiet enjoyment of the leased premises and related project facilities, (iii) Interfere with the management of the project, or (iv) Have an adverse financial effect on the project; (3) If the tenant: (i) Fails to supply on time all required information on the income and composition, or eligibility factors, of the tenant household, as provided in 24 CFR part 5; or (ii) Knowingly provides incomplete or inaccurate information as required under these provisi… | |||
| 24:24:2.1.1.2.23.1.211.4 | 24 | Housing and Urban Development | II | B | 247 | PART 247—EVICTIONS FROM CERTAIN SUBSIDIZED AND HUD-OWNED PROJECTS | A | Subpart A—Subsidized Projects | § 247.4 Termination notice. | HUD | [41 FR 43330, Sept. 30, 1976, as amended at 48 FR 22915, May 23, 1983. Redesignated at 49 FR 6713, Feb. 23, 1984, as amended at 61 FR 47382, Sept. 6, 1996; 86 FR 55701, Oct. 7, 2021; 89 FR 101302, Dec. 13, 2024] | (a) Requisites of Termination Notice. The landlord's determination to terminate the tenancy shall be in writing and shall: (1) State that the tenancy is terminated on a date specified therein; (2) state the reasons for the landlord's action with enough specificity so as to enable the tenant to prepare a defense; (3) advise the tenant that if he or she remains in the leased unit on the date specified for termination, the landlord may seek to enforce the termination only by bringing a judicial action, at which time the tenant may present a defense; and (4) be served on the tenant in the manner prescribed by paragraph (b) of this section. (b) Manner of service. The notice provided for in paragraph (a) of this section shall be accomplished by: (1) Sending a letter by first class mail, properly stamped and addressed, to the tenant at his or her address at the project, with a proper return address, and (2) serving a copy of the notice on any adult person answering the door at the leased dwelling unit, or if no adult responds, by placing the notice under or through the door, if possible, or else by affixing the notice to the door. Service shall not be deemed effective until both notices provided for herein have been accomplished. The date on which the notice shall be deemed to be received by the tenant shall be the date on which the first class letter provided for in this paragraph is mailed, or the date on which the notice provided for in this paragraph is properly given, whichever is later. (c) Time of service. When the termination of the tenancy is based on other good cause pursuant to § 247.3(a)(4), the termination notice shall be effective, and the termination notice shall so state, at the end of a term and in accordance with the termination provisions of the rental agreement, but in no case earlier than 30 days after receipt of the tenant of the notice. Where the termination notice is based on material noncompliance with the rental agreement or material failure to carry out obligations under a state landlo… | |||
| 24:24:2.1.1.2.23.1.211.5 | 24 | Housing and Urban Development | II | B | 247 | PART 247—EVICTIONS FROM CERTAIN SUBSIDIZED AND HUD-OWNED PROJECTS | A | Subpart A—Subsidized Projects | § 247.5 Inapplicability to substantial rehabilitation or demolition. | HUD | This subpart shall not apply in any case in which the landlord terminates the occupancy of a tenant as a direct result of a determination, concurred in by HUD, to substantially rehabilitate or demolish the project or to dispose of the project to a purchaser who purchases for the purpose of substantial rehabilitation or demolition. | ||||
| 24:24:2.1.1.2.23.1.211.6 | 24 | Housing and Urban Development | II | B | 247 | PART 247—EVICTIONS FROM CERTAIN SUBSIDIZED AND HUD-OWNED PROJECTS | A | Subpart A—Subsidized Projects | § 247.6 Eviction. | HUD | [48 FR 22915, May 23, 1983. Redesignated and amended at 49 FR 6713, 6715, Feb. 23, 1984] | (a) General. The landlord shall not evict any tenant except by judicial action pursuant to State or local law and in accordance with the requirements of this subpart. (b) Limitations on allegations of new grounds. In any judicial action instituted to evict the tenant, the landlord must rely on grounds which were set forth in the termination notice served on the tenant under this subpart. The landlord shall not, however, be precluded from relying on grounds about which he or she had no knowledge at the time the termination notice was sent. (c) State and local law. A tenant may rely on State or local law governing eviction procedures where such law provides the tenant procedural rights which are in addition to those provided by this subpart, except where such State or local law has been preempted under part 246 of this chapter or by other action of the United States. | |||
| 24:24:2.1.1.2.23.1.211.7 | 24 | Housing and Urban Development | II | B | 247 | PART 247—EVICTIONS FROM CERTAIN SUBSIDIZED AND HUD-OWNED PROJECTS | A | Subpart A—Subsidized Projects | § 247.7 Implementation. | HUD | Every rental agreement entered into or renewed on and after the date on which this subpart is applicable to such tenant shall contain appropriate provisions implementing this subpart. | ||||
| 24:24:2.1.1.2.23.2.211.1 | 24 | Housing and Urban Development | II | B | 247 | PART 247—EVICTIONS FROM CERTAIN SUBSIDIZED AND HUD-OWNED PROJECTS | B | Subpart B—HUD-Owned Projects | § 247.8 Incorporation by reference. | HUD | All of the provisions of subpart A of this part covering certain multifamily projects (excepting § 247.5) apply with full force to the property described in § 247.9 and they are hereby incorporated by reference. | ||||
| 24:24:2.1.1.2.23.2.211.2 | 24 | Housing and Urban Development | II | B | 247 | PART 247—EVICTIONS FROM CERTAIN SUBSIDIZED AND HUD-OWNED PROJECTS | B | Subpart B—HUD-Owned Projects | § 247.9 Applicability of procedures. | HUD | The procedures outlined in this subpart apply to all decisions to terminate the occupancy of a tenant by the termination of a lease prior to the end of its term or at the end of a term where the tenant resides in any multifamily project which is presently owned by HUD, regardless of whether said project was a subsidized project prior to the acquisition of title by HUD. | ||||
| 24:24:2.1.1.2.23.2.211.3 | 24 | Housing and Urban Development | II | B | 247 | PART 247—EVICTIONS FROM CERTAIN SUBSIDIZED AND HUD-OWNED PROJECTS | B | Subpart B—HUD-Owned Projects | § 247.10 Inapplicability to substantial rehabilitation or demolition; right of disposition unimpaired. | HUD | This subpart shall not apply in any case in which HUD terminates the occupancy of a tenant as a direct result of a determination by HUD to substantially rehabilitate or demolish the project or to dispose of the project to a purchaser who purchases for the purpose of substantial rehabilitation or demolition. Nothing in this subpart should be construed to affect in any way the right of HUD to exercise its full statutory authority and discretion to dispose of property acquired pursuant to the National Housing Act. | ||||
| 40:40:27.0.1.4.34.1.17.1 | 40 | Protection of Environment | I | I | 247 | PART 247—COMPREHENSIVE PROCUREMENT GUIDELINE FOR PRODUCTS CONTAINING RECOVERED MATERIALS | A | Subpart A—General | § 247.1 Purpose and scope. | EPA | (a) The purpose of this guideline is to assist procuring agencies in complying with the requirements of section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act of 1976 (RCRA), as amended, 42 U.S.C. 6962, and Executive Order 12873, as they apply to the procurement of the items designated in subpart B of this part. (b) This guideline designates items that are or can be made with recovered materials and whose procurement by procuring agencies will carry out the objectives of section 6002 of RCRA. EPA's recommended practices with respect to the procurement of specific designated items are found in the companion Recovered Materials Advisory Notice(s). (c) EPA believes that adherence to the recommendations in the Recovered Materials Advisory Notice(s) constitutes compliance with RCRA section 6002. However, procuring agencies may adopt other types of procurement programs consistent with RCRA section 6002. | ||||
| 40:40:27.0.1.4.34.1.17.2 | 40 | Protection of Environment | I | I | 247 | PART 247—COMPREHENSIVE PROCUREMENT GUIDELINE FOR PRODUCTS CONTAINING RECOVERED MATERIALS | A | Subpart A—General | § 247.2 Applicability. | EPA | [60 FR 21381, May 1, 1995, as amended at 62 FR 60973, Nov. 13, 1997] | (a)(1) This guideline applies to all procuring agencies and to all procurement actions involving items designated by EPA in this part, where the procuring agency purchases $10,000 or more worth of one of these items during the course of a fiscal year, or where the cost of such items or of functionally equivalent items purchased during the preceding fiscal year was $10,000 or more. (2) This guideline applies to Federal agencies, to State and local agencies using appropriated Federal funds to procure designated items, and to persons contracting with any such agencies with respect to work performed under such contracts. Federal procuring agencies should note that the requirements of RCRA section 6002 apply to them whether or not appropriated Federal funds are used for procurement of designated items. (3) The $10,000 threshold applies to procuring agencies as a whole rather than to agency subgroups such as regional offices or subagencies of a larger department or agency. (b) The term procurement actions includes: (1) Purchases made directly by a procuring agency and purchases made directly by any person (e.g., a contractor) in support of work being performed for a procuring agency, and (2) Any purchases of designated items made “indirectly” by a procuring agency, as in the case of procurements resulting from grants, loans, funds, and similar forms of disbursements of monies. (c)(1) This guideline does not apply to purchases of designated items which are unrelated to or incidental to Federal funding, i.e., not the direct result of a contract or agreement with, or a grant, loan, or funds disbursement to, a procuring agency. (2) This guideline also does not apply to purchases made by private party recipients (e.g., individuals, non-profit organizations) of Federal funds pursuant to grants, loans, cooperative agreements, and other funds disbursements. (d) RCRA section 6002(c)(1) requires procuring agencies to procure designated items composed of the highest percentage of recovered materials practicable, consist… | |||
| 40:40:27.0.1.4.34.1.17.3 | 40 | Protection of Environment | I | I | 247 | PART 247—COMPREHENSIVE PROCUREMENT GUIDELINE FOR PRODUCTS CONTAINING RECOVERED MATERIALS | A | Subpart A—General | § 247.3 Definitions. | EPA | [60 FR 21381, May 1, 1995, as amended at 62 FR 60973, Nov. 13, 1997; 65 FR 3080, Jan. 19, 2000; 69 FR 24038, Apr. 30, 2004; 72 FR 52488, Sept. 14, 2007] | As used in this procurement guideline and the related Recovered Materials Advisory Notice(s): Act or RCRA means the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act, as amended, 42 U.S.C 6901 et seq; Awards and plaques refers to free-standing statues and boardlike products generally used as wall-hangings. Bike racks are free-standing or anchored units that provide a method for cyclists to secure their bicycles safely. Blanket insulation means relatively flat and flexible insulation in coherent sheet form, furnished in units of substantial area. Batt insulation is included in this term; Blasting grit is a type of industrial abrasive used to shape, cut, sharpen, polish, or finish surfaces and materials. Board insulation means semi-rigid insulation preformed into rectangular units having a degree of suppleness, particularly related to their geometrical dimensions; Building insulation means a material, primarily designed to resist heat flow, which is installed between the conditioned volume of a building and adjacent unconditioned volumes or the outside. This term includes but is not limited to insulation products such as blanket, board, spray-in-place, and loose-fill that are used as ceiling, floor, foundation, and wall insulation; Carpet cushion, also known as carpet underlay, is padding placed beneath carpet to reduce carpet wear caused by foot traffic or furniture indentation, enhance comfort, and prolong appearance. Cellulose fiber loose-fill means a basic material of recycled wood-based cellulosic fiber made from selected paper, paperboard stock, or ground wood stock, excluding contaminated materials which may reasonably be expected to be retained in the finished product, with suitable chemicals introduced to provide properties such as flame resistance, processing and handling characteristics. The basic cellulosic material may be processed into a form suitable for installation by pneumatic or pouring methods; Cenospheres, a naturally-occurring waste compo… | |||
| 40:40:27.0.1.4.34.1.17.4 | 40 | Protection of Environment | I | I | 247 | PART 247—COMPREHENSIVE PROCUREMENT GUIDELINE FOR PRODUCTS CONTAINING RECOVERED MATERIALS | A | Subpart A—General | § 247.4 Contracting officer requirements. | EPA | Within one year after the effective date of each item designation, contracting officers shall require that vendors: (a) Certify that the percentage of recovered materials to be used in the performance of the contract will be at least the amount required by applicable specifications or other contractual requirements, and (b) Estimate the percentage of total material utilized for the performance of the contract which is recovered materials. | ||||
| 40:40:27.0.1.4.34.1.17.5 | 40 | Protection of Environment | I | I | 247 | PART 247—COMPREHENSIVE PROCUREMENT GUIDELINE FOR PRODUCTS CONTAINING RECOVERED MATERIALS | A | Subpart A—General | § 247.5 Specifications. | EPA | (a) RCRA section 6002(d)(1) required Federal agencies that have the responsibility for drafting or reviewing specifications for procurement items procured by Federal agencies to revise their specifications by May 8, 1986, to eliminate any exclusion of recovered materials and any requirement that items be manufactured from virgin materials. (b) RCRA section 6002(d)(2) requires that within one year after the publication date of each item designation by the EPA, each procuring agency must assure that its specifications for these items require the use of recovered materials to the maximum extent possible without jeopardizing the intended end use of these items. | ||||
| 40:40:27.0.1.4.34.1.17.6 | 40 | Protection of Environment | I | I | 247 | PART 247—COMPREHENSIVE PROCUREMENT GUIDELINE FOR PRODUCTS CONTAINING RECOVERED MATERIALS | A | Subpart A—General | § 247.6 Affirmative procurement programs. | EPA | RCRA section 6002(i) provides that each procuring agency which purchases items designated by EPA must establish an affirmative procurement program, containing the four elements listed below, for procuring such items containing recovered materials to the maximum extent practicable: (a) Preference program for purchasing the designated items; (b) Promotion program; (c) Procedures for obtaining estimates and certifications of recovered materials content and for verifying the estimates and certifications; and (d) Annual review and monitoring of the effectiveness of the program. | ||||
| 40:40:27.0.1.4.34.1.17.7 | 40 | Protection of Environment | I | I | 247 | PART 247—COMPREHENSIVE PROCUREMENT GUIDELINE FOR PRODUCTS CONTAINING RECOVERED MATERIALS | A | Subpart A—General | § 247.7 Effective date. | EPA | Within one year after the date of publication of any item designation, procuring agencies which purchase that designated item must comply with the following requirements of RCRA: affirmative procurement of the designated item (6002(c)(1) and (i)), specifications revision (6002(d)(2)), vendor certification and estimation of recovered materials content of the item (6002(c)(3) and (i)(2)(C)), and verification of vendor estimates and certifications (6002(i)(2)C)). | ||||
| 40:40:27.0.1.4.34.2.17.1 | 40 | Protection of Environment | I | I | 247 | PART 247—COMPREHENSIVE PROCUREMENT GUIDELINE FOR PRODUCTS CONTAINING RECOVERED MATERIALS | B | Subpart B—Item Designations | § 247.10 Paper and paper products. | EPA | Paper and paper products, excluding building and construction paper grades. | ||||
| 40:40:27.0.1.4.34.2.17.2 | 40 | Protection of Environment | I | I | 247 | PART 247—COMPREHENSIVE PROCUREMENT GUIDELINE FOR PRODUCTS CONTAINING RECOVERED MATERIALS | B | Subpart B—Item Designations | § 247.11 Vehicular products. | EPA | [60 FR 21381, May 1, 1995, as amended at 69 FR 24038, Apr. 30, 2004] | (a) Lubricating oils containing re-refined oil, including engine lubricating oils, hydraulic fluids, and gear oils, excluding marine and aviation oils. (b) Tires, excluding airplane tires. (c) Reclaimed engine coolants, excluding coolants used in non-vehicular applications. (d) Rebuilt vehicular parts. | |||
| 40:40:27.0.1.4.34.2.17.3 | 40 | Protection of Environment | I | I | 247 | PART 247—COMPREHENSIVE PROCUREMENT GUIDELINE FOR PRODUCTS CONTAINING RECOVERED MATERIALS | B | Subpart B—Item Designations | § 247.12 Construction products. | EPA | [60 FR 21381, May 1, 1995, as amended at 62 FR 60974, Nov. 13, 1997; 65 FR 3081, Jan. 19, 2000; 69 FR 24038, Apr. 30, 2004] | (a) Building insulation products, including the following items: (1) Loose-fill insulation, including but not limited to cellulose fiber, mineral fibers (fiberglass and rock wool), vermiculite, and perlite; (2) Blanket and batt insulation, including but not limited to mineral fibers (fiberglass and rock wool); (3) Board (sheathing, roof decking, wall panel) insulation, including but not limited to structural fiberboard and laminated paperboard products, perlite composite board, polyurethane, polyisocyanurate, polystyrene, phenolics, and composites; and (4) Spray-in-place insulation, including but not limited to foam-in-place polyurethane and polyisocyanurate, and spray-on cellulose. (b) Structural fiberboard and laminated paperboard products for applications other than building insulation, including building board, sheathing, shingle backer, sound deadening board, roof insulating board, insulating wallboard, acoustical and non-acoustical ceiling tile, acoustical and non-acoustical lay-in panels, floor underlayments, and roof overlay (coverboard). (c) Cement and concrete, including concrete products such as pipe and block containing: (1) Coal fly ash; (2) Ground granulated blast furnace slag (GGBF); (3) Cenospheres; or (4) Silica fume from silicon and ferrosilicon metal production. (d) Carpet made from polyester fiber made from recovered materials for use in moderate-wear applications such as single-family housing and similar wear applications. (e) Floor tiles and patio blocks containing recovered rubber or plastic. (f) Shower and restroom dividers/partitions containing recovered plastic or steel. (g)(1) Consolidated latex paint used for covering graffiti; and (2) Reprocessed latex paint used for interior and exterior architectural applications such as wallboard, ceilings, and trim; gutter boards; and concrete, stucco, masonry, wood, and metal surfaces. (h) Carpet cushion made from bonded polyurethane, jute, synthetic fibers, or rubber containing recovered materials. (i) Flowable fill containing c… | |||
| 40:40:27.0.1.4.34.2.17.4 | 40 | Protection of Environment | I | I | 247 | PART 247—COMPREHENSIVE PROCUREMENT GUIDELINE FOR PRODUCTS CONTAINING RECOVERED MATERIALS | B | Subpart B—Item Designations | § 247.13 Transportation products. | EPA | [60 FR 21381, May 1, 1995, as amended at 62 FR 60974, Nov. 13, 1997] | (a) Traffic barricades and traffic cones used in controlling or restricting vehicular traffic. (b) Parking stops made from concrete or containing recovered plastic or rubber. (c) Channelizers containing recovered plastic or rubber. (d) Delineators containing recovered plastic, rubber, or steel. (e) Flexible delineators containing recovered plastic. | |||
| 40:40:27.0.1.4.34.2.17.5 | 40 | Protection of Environment | I | I | 247 | PART 247—COMPREHENSIVE PROCUREMENT GUIDELINE FOR PRODUCTS CONTAINING RECOVERED MATERIALS | B | Subpart B—Item Designations | § 247.14 Park and recreation products. | EPA | [60 FR 21381, May 1, 1995, as amended at 62 FR 60974, Nov. 13, 1997; 65 FR 3081, Jan. 19, 2000] | (a) Playground surfaces and running tracks containing recovered rubber or plastic. (b) Plastic fencing containing recovered plastic for use in controlling snow or sand drifting and as a warning/safety barrier in construction or other applications. (c) Park benches and picnic tables containing recovered steel, aluminum, plastic, or concrete. (d) Playground equipment containing recovered plastic, steel, or aluminum. | |||
| 40:40:27.0.1.4.34.2.17.6 | 40 | Protection of Environment | I | I | 247 | PART 247—COMPREHENSIVE PROCUREMENT GUIDELINE FOR PRODUCTS CONTAINING RECOVERED MATERIALS | B | Subpart B—Item Designations | § 247.15 Landscaping products. | EPA | [60 FR 21381, May 1, 1995, as amended at 62 FR 60974, Nov. 13, 1997; 65 FR 3081, Jan. 19, 2000; 72 FR 52488, Sept. 14, 2007] | (a) Hydraulic mulch products containing recovered paper or recovered wood used for hydroseeding and as an over-spray for straw mulch in landscaping, erosion control, and soil reclamation. (b) Compost made from recovered organic materials. (c) Garden and soaker hoses containing recovered plastic or rubber. (d) Lawn and garden edging containing recovered plastic or rubber. (e) Plastic lumber landscaping timbers and posts containing recovered materials. (f) Fertilizer made from recovered organic materials. | |||
| 40:40:27.0.1.4.34.2.17.7 | 40 | Protection of Environment | I | I | 247 | PART 247—COMPREHENSIVE PROCUREMENT GUIDELINE FOR PRODUCTS CONTAINING RECOVERED MATERIALS | B | Subpart B—Item Designations | § 247.16 Non-paper office products. | EPA | [60 FR 21381, May 1, 1995, as amended at 62 FR 60974, Nov. 13, 1997; 65 FR 3081, Jan. 19, 2000; 69 FR 24038, Apr. 30, 2004] | (a) Office recycling containers and office waste receptacles. (b) Plastic desktop accessories. (c) Toner cartridges. (d) Plastic-covered binders containing recovered plastic; chipboard and pressboard binders containing recovered paper; and solid plastic binders containing recovered plastic. (e) Plastic trash bags. (f) Printer ribbons. (g) Plastic envelopes. (h) Plastic clipboards containing recovered plastic. (i) Plastic file folders containing recovered plastic. (j) Plastic clip portfolios containing recovered plastic. (k) Plastic presentation folders containing recovered plastic. (1) Office furniture containing recovered steel, aluminum, wood, agricultural fiber, or plastic. | |||
| 40:40:27.0.1.4.34.2.17.8 | 40 | Protection of Environment | I | I | 247 | PART 247—COMPREHENSIVE PROCUREMENT GUIDELINE FOR PRODUCTS CONTAINING RECOVERED MATERIALS | B | Subpart B—Item Designations | § 247.17 Miscellaneous products. | EPA | [62 FR 60974, Nov. 13, 1997, as amended at 65 FR 3081, Jan. 19, 2000; 69 FR 24038, Apr. 30, 2004] | (a) Pallets containing recovered wood, plastic, or paperboard. (b) Sorbents containing recovered materials for use in oil and solvent clean-ups and as animal bedding. (c) Industrial drums containing recovered steel, plastic, or paper. (d) Awards and plaques containing recovered glass, wood, paper, or plastic. (e) Mats containing recovered rubber and/or plastic. (f)(1) Non-road signs containing recovered plastic or aluminum and road signs containing recovered aluminum. (2) Sign supports and posts containing recovered plastic or steel. (g) Manual-grade strapping containing recovered steel or plastic. (h) Bike racks containing recovered steel or plastic. (i) Blasting grit containing recovered steel, coal and metal slag, bottom ash, glass, plastic, fused alumina oxide, or walnut shells. | |||
| 7:7:4.1.1.1.11.0.1.1 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.1 Definitions. | FNS | [70 FR 47063, Aug. 11, 2005, as amended at 81 FR 66495, Sept. 28, 2016; 85 FR 68721, Oct. 30, 2020, 89 FR 87244, Oct. 31, 2024] | Following is a list of definitions that apply to the Commodity Supplemental Food Program (CSFP). 2 CFR part 200, means the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards published by OMB. The part reference covers applicable: Acronyms and Definitions (subpart A), General Provisions (subpart B), Post Federal Award Requirements (subpart D), Cost Principles (subpart E), and Audit Requirements (subpart F). (NOTE: Pre-Federal Award Requirements and Contents of Federal Awards (subpart C) does not apply to the National School Lunch Program). Applicant means any person who applies to receive program benefits. Applicants include program participants applying for recertification. Caseload means the number of persons the State agency may serve on an average monthly basis over the course of the caseload cycle. Caseload cycle means the period from January 1 through the following December 31. Certification means the use of procedures to determine an applicant's eligibility for the program. Certification period means the period during which a CSFP participant may continue to receive benefits under CSFP without a formal review of eligibility. CSFP means the Commodity Supplemental Food Program. Department means the U.S. Department of Agriculture. Disqualification means the act of ending Program participation of a participant as a punitive sanction. Dual participation means the simultaneous participation by an individual in CSFP at more than one distribution site. Fiscal year means the period from October 1 through the following September 30. FNS means the Food and Nutrition Service. Local agency means a public or private nonprofit agency, including an Indian tribal organization, which enters into an agreement with the State agency to administer CSFP at the local level. Nonprofit agency means a private agency or organization with tax-exempt status under the Internal Revenue Code, or that has applied for tax-exempt status with the Internal Revenue Service.… | |||||
| 7:7:4.1.1.1.11.0.1.10 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.10 Distribution and use of USDA Foods. | FNS | [89 FR 87246, Oct. 31, 2024] | (a) What are the requirements for distributing USDA Foods to participants? The local agency must distribute a package of USDA Foods to participants each month, or a two-month supply of USDA Foods to participants every other month, in accordance with the food package guide rates established by FNS. (b) What must the local agency do to ensure that USDA Foods are distributed only to CSFP participants? The local agency must have a process in place, in accordance with State agency requirements, to verify the identity of participants or the participant's proxy before distributing USDA Foods to that person. (c) What restrictions apply to State and local agencies in the distribution of USDA Foods? State and local agencies must not require, or request, that participants make any payments, or provide any materials or services, in connection with the receipt of USDA Foods. State and local agencies must not use the distribution of USDA Foods as a means of furthering the political interests of any person or party. (d) What are the restrictions for the use of USDA Foods? USDA Foods may not be used for outreach, refreshments, or for any purposes other than distribution to, and nutrition education for, CSFP participants. | |||||
| 7:7:4.1.1.1.11.0.1.11 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.11 Applicants exceed caseload levels. | FNS | [70 FR 47063, Aug. 11, 2005, as amended at 75 FR 5879, Feb. 5, 2010] | (a) What must the local agency do if the number of applicants exceeds the local agency's caseload level? If all caseload has been filled, the local agency must maintain a waiting list of individuals who apply for the program. In establishing the waiting list, the local agency must include the date of application and information necessary to allow the local agency to contact the applicant when caseload space becomes available. Unless they have been determined ineligible, applicants must be notified of their placement on a waiting list within 10 days of their request for benefits in accordance with § 247.15. (b) What are the requirements for serving individuals on the waiting list once caseload slots become available? The local agency must certify eligible individuals from the waiting list consistent with civil rights requirements at § 247.37. For example, a local agency may certify eligible individuals from the waiting list based on the date the application was received on a first-come, first-served basis. | |||||
| 7:7:4.1.1.1.11.0.1.12 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.12 Rights and responsibilities. | FNS | [70 FR 47063, Aug. 11, 2005, as amended at 79 FR 38751, July 9, 2014; 85 FR 68721, Oct. 30, 2020] | (a) What information regarding an individual's rights in CSFP must the local agency provide to the applicant? The local agency is responsible for informing the applicant, orally or in writing, of the following: (1) The local agency will provide notification of a decision to deny or terminate CSFP benefits, and of an individual's right to appeal this decision by requesting a fair hearing, in accordance with § 247.33(a); (2) The local agency will make nutrition education available to all participants and will encourage them to participate; and (3) The local agency will provide information on other nutrition, health, or assistance programs, and make referrals as appropriate. (b) What information regarding an individual's responsibilities in CSFP must the local agency provide to the applicant? In addition to the written statement required by § 247.8(b), the local agency is responsible for informing the applicant, orally or in writing, of the following: (1) Improper use or receipt of CSFP benefits as a result of dual participation or other program violations may lead to a claim against the individual to recover the value of the benefits, and may lead to disqualification from CSFP; and (2) Participants must report changes in household income or composition within 10 days after the change becomes known to the household. | |||||
| 7:7:4.1.1.1.11.0.1.13 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.13 Provisions for non-English or limited-English speakers. | FNS | (a) What must State and local agencies do to ensure that non-English or limited-English speaking persons are aware of their rights and responsibilities in the program? If a significant proportion of the population in an area is comprised of non-English or limited-English speaking persons with a common language, the State agency must ensure that local agencies inform such persons of their rights and responsibilities in the program, as listed under § 247.12, in an appropriate language. State and local agencies must ensure that bilingual staff members or interpreters are available to serve these persons. (b) What must State and local agencies do to ensure that non-English or limited-English speaking persons are aware of other program information? If a significant proportion of the population in an area is comprised of non-English or limited-English speaking persons with a common language, the State agency must ensure that local agencies provide other program information, except application forms, to such persons in their appropriate language. | ||||||
| 7:7:4.1.1.1.11.0.1.14 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.14 Other public assistance programs. | FNS | [70 FR 47063, Aug. 11, 2005, as amended at 79 FR 38751, July 9, 2014; 85 FR 68721, Oct. 30, 2020; 89 FR 87246, Oct. 31, 2024] | (a) What information on other public assistance programs must the local agency provide to applicants? The local agency must provide applicants with written information on the following programs, and make referrals, as appropriate: (1) Supplemental security income benefits provided under Title XVI of the Social Security Act (42 U.S.C. 1381 et seq. ); (2) Medical assistance provided under Title XIX of the Social Security Act (42 U.S.C. 1396 et seq. ), including medical assistance provided to a qualified Medicare beneficiary (42 U.S.C. 1395(p) and 1396d(5)); (3) The Supplemental Nutrition Assistance Program (7 U.S.C. 2011 et seq. ); and (4) The Senior Farmers' Market Nutrition Program (7 U.S.C. 3007 et seq. ). (b) Is the value of CSFP benefits counted as income or resources for any other public assistance programs? No. The value of benefits received in CSFP may not be considered as income or resources of participants or their families for any purpose under Federal, State, or local laws, including laws relating to taxation and public assistance programs. | |||||
| 7:7:4.1.1.1.11.0.1.15 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.15 Notification of eligibility or ineligibility of applicant. | FNS | (a) What is the timeframe for notifying an applicant of eligibility or ineligibility for CSFP benefits? Local agencies must notify applicants of their eligibility or ineligibility for CSFP benefits, or their placement on a waiting list, within 10 days from the date of application. (b) What must be included in the notification of eligibility or ineligibility? The notification of eligibility must include information on the time, location, and means of food distribution, and the length of the certification period. Notification of ineligibility must be in writing, and must include the reason the applicant is not eligible, a statement of the individual's right to a fair hearing to appeal the decision, and a statement that informs the applicant that program standards are applied without discrimination by race, color, national origin, age, sex, or disability. | ||||||
| 7:7:4.1.1.1.11.0.1.16 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.16 Certification period. | FNS | [70 FR 47063, Aug. 11, 2005, as amended at 75 FR 5879, Feb. 5, 2010; 79 FR 38751, July 9, 2014; 85 FR 68722, Oct. 30, 2020] | (a) How long is the certification period —(1) Minimum certification period. The State agency must establish certification periods that are not less than one year but not more than three years in duration. If the State agency chooses to establish a certification period that exceeds one year, the State must first receive approval from FNS by submitting a State Plan amendment. FNS shall approve State requests for a certification period exceeding one year on the condition that, on an annual basis, local agencies do the following: (i) Verify the address and continued interest of the participant; and (ii) Have sufficient reason to determine that the participant still meets the income eligibility standards, which may include a determination that the participant has a fixed income. (2) Temporary certification. An eligible CSFP applicant, including individuals on waiting lists, may be provided with a temporary monthly certification to fill any caseload slot resulting from nonparticipation by certified participants. (3) Recertification. Participants must be recertified following the application procedures outlined at § 247.8 in order to continue receiving program benefits beyond the expiration of their certification period. (b) On what day of the final month does the certification period end? The certification period extends to the final day of the month in which eligibility expires. (c) Does the certification period end when a participant moves from the local area in which he or she was receiving benefits? No. The State agency must ensure that local agencies serve a CSFP participant who moves from another area to an area served by CSFP and whose certification period has not expired. The participant must be given the opportunity to continue to receive CSFP benefits for the duration of the certification period. If the local agency has a waiting list, the participant must be placed on its waiting list ahead of all other waiting applicants. The local agency that determined the participant's eligibility must p… | |||||
| 7:7:4.1.1.1.11.0.1.17 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.17 Notification of discontinuance of participant. | FNS | (a) What must a local agency do if it has evidence that a participant is no longer eligible for CSFP benefits during the certification period? If a local agency has evidence that a participant is no longer eligible for CSFP benefits during the certification period, it must provide the participant with a written notification of discontinuance at least 15 days before the effective date of discontinuance. (b) What must a local agency do if it has to discontinue a participant from participation in the program prior to the end of the certification period due to the lack of resources necessary to continue providing benefits to the participant? If a local agency does not have sufficient resources, such as a sufficient number of caseload slots, to continue providing benefits to the participant(s) for the entire certification period, it must provide the participant(s) with a written notification of discontinuance at least 15 days before the effective date of discontinuance. (c) What must be included in the notification of discontinuance? The notification of discontinuance must include the effective date of discontinuance, the reason for the participant's discontinuance, a statement of the individual's right to appeal the discontinuance through the fair hearing process, in accordance with § 247.33(a), and a statement that informs the applicant that program standards are applied without discrimination by race, color, national origin, age, sex, or disability. | ||||||
| 7:7:4.1.1.1.11.0.1.18 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.18 Nutrition education. | FNS | [70 FR 47063, Aug. 11, 2005, as amended at 79 FR 38751, July 9, 2014; 85 FR 68722, Oct. 30, 2020; 89 FR 87246, Oct. 31, 2024] | (a) What are the State agency's responsibilities in ensuring that nutrition education is provided? The State agency must establish an overall nutrition education plan and must ensure that local agencies provide nutrition education to participants in accordance with the plan. The State agency may allow local agencies to share personnel and educational resources with other programs in order to provide the best nutrition education possible to participants. The State agency must establish an evaluation procedure to ensure that the nutrition education provided is effective. The evaluation procedure must include participant input and must be directed by a nutritionist or other qualified professional. The evaluation may be conducted by the State or local agency, or by another agency under agreement with the State or local agency. (b) What type of nutrition education must the local agency provide? The local agency must provide nutrition education that can be easily understood by participants and is related to their nutritional needs and household situations. The local agency must provide nutrition education that includes the following information, which should account for specific ethnic and cultural characteristics whenever possible: (1) The nutritional value of USDA Foods, and their relationship to the overall dietary needs of the population groups served; (2) Nutritious ways to use USDA Foods; (3) Special nutritional needs of participants and how these needs may be met; (4) The importance of health care, and the role nutrition plays in maintaining good health; and (5) The importance of the use of the foods by the participant to whom they are distributed, and not by another person. (c) To whom must local agencies provide nutrition education? The local agency must make nutrition education available to all participants. (d) May USDA Foods be used in cooking demonstrations? Yes. The State or local agency, or another agency with which it has signed an agreement, may use USDA Foods to conduct cooking demonst… | |||||
| 7:7:4.1.1.1.11.0.1.19 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.19 Dual participation. | FNS | [70 FR 47063, Aug. 11, 2005, as amended at 79 FR 38751, July 9, 2014; 85 FR 68722, Oct. 30, 2020] | (a) What must State and local agencies do to prevent and detect dual participation? The State agency must work with local agencies to prevent and detect dual participation. The State agency must work with local agencies to prevent and detect dual participation. In accordance with § 247.8(a)(1), the local agency must check the identification of all applicants when they are certified or recertified. In accordance with § 247.8(b), the local agency must ensure that the applicant or caretaker of the applicant signs an application form which includes a statement advising the applicant that he or she may not receive CSFP benefits at more than one CSFP site at the same time. (b) What must the local agency do if a CSFP participant is found to be committing dual participation? A participant found to be committing dual participation must be discontinued from participation at more than one CSFP site. In accordance with § 247.20(b), if the dual participation resulted from the participant or caretaker of the participant making false or misleading statements, or intentionally withholding information, the local agency must disqualify the participant from CSFP, unless the local agency determines that disqualification would result in a serious health risk. The local agency must also initiate a claim against the participant to recover the value of CSFP benefits improperly received, in accordance with § 247.30(c). Whenever an individual's participation in CSFP is discontinued, the local agency must notify the individual of the discontinuance, in accordance with § 247.17. The individual may appeal the discontinuance through the fair hearing process, in accordance with § 247.33(a). | |||||
| 7:7:4.1.1.1.11.0.1.2 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.2 The purpose and scope of CSFP. | FNS | [70 FR 47063, Aug. 11, 2005, as amended at 79 FR 38750, July 9, 2014; 85 FR 68721, Oct. 30, 2020; 89 FR 87244, Oct. 31, 2024] | (a) How does CSFP help participants? Through CSFP, the Department provides nutritious USDA Foods to help State and local agencies meet the nutritional needs of low-income participants. Food packages include such nutritious foods as canned fruits and vegetables, canned meat, poultry and other protein items, and grain products such as pasta, as well as other foods. Participants are offered the opportunity to receive nutrition education. (b) How many persons may be served in CSFP? State agencies may serve eligible persons up to the caseload limit assigned to them by FNS. Caseload is the number of persons that may be served on an average monthly basis over the course of the caseload cycle, which extends from January 1 through the following December 31. | |||||
| 7:7:4.1.1.1.11.0.1.20 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.20 Program violations. | FNS | [70 FR 47063, Aug. 11, 2005, as amended at 79 FR 38751, July 9, 2014; 89 FR 87246, Oct. 31, 2024] | (a) What are program violations in CSFP? Program violations are actions taken by CSFP applicants or participants, or caretakers of applicants or participants, to obtain or use CSFP benefits improperly. Program violations include the following actions: (1) Intentionally making false or misleading statements, orally or in writing; (2) Intentionally withholding information pertaining to eligibility in CSFP; (3) Selling USDA Foods obtained in the program, or exchanging them for non-food items; (4) Physical abuse, or threat of physical abuse, of program staff; or (5) Committing dual participation. (b) What are the penalties for committing program violations? If applicants or participants, or caretakers of applicants or participants, commit program violations, the State agency may require local agencies to disqualify the applicants or participants for a period of up to one year. However, if the local agency determines that disqualification would result in a serious health risk, the disqualification may be waived. For program violations that involve fraud, the State agency must require local agencies to disqualify the participant from CSFP for a period of up to one year, unless the local agency determines that disqualification would result in a serious health risk. The State agency must require local agencies to permanently disqualify a participant who commits three program violations that involve fraud. For purposes of this program, fraud includes: (1) Intentionally making false or misleading statements to obtain USDA Foods; (2) Intentionally withholding information to obtain USDA Foods; or (3) Selling USDA Foods, or exchanging them for non-food items. (c) What must the local agency do to notify the individual of disqualification from CSFP? The local agency must provide the individual with written notification of disqualification from CSFP at least 15 days before the effective date of disqualification. The notification must include the effective date and period of disqualification, the reason for the d… | |||||
| 7:7:4.1.1.1.11.0.1.21 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.21 Caseload assignment. | FNS | [70 FR 47063, Aug. 11, 2005, as amended at 75 FR 5879, Feb. 5, 2010; 79 FR 38751, July 9, 2014; 89 FR 87247, Oct. 31, 2024] | (a) How does FNS assign caseload to State agencies? Each year, FNS assigns a caseload to each State agency to allow persons meeting the eligibility criteria listed under § 247.9 to participate in the program, up to the caseload limit. To the extent that resources are available, FNS assigns caseload to State agencies in the following order: (1) Base caseload. The State agency may not receive base caseload in excess of its total caseload assigned for the previous caseload cycle. Base caseload is determined in the following manner: (i) Each State agency entering its second year of program participation receives base caseload equal to the amount assigned to it in its first year of participation; and (ii) A State agency that has participated in two or more caseload cycles receives base caseload equal to the highest of: (A) Average monthly participation for the previous fiscal year; or (B) Average monthly participation for the last quarter of the previous fiscal year; or (C) Participation during September of the previous fiscal year, but only if: ( 1 ) The full-year appropriation for the preceding fiscal year was enacted on or after February 15; and ( 2 ) The State agency received additional caseload equal to or greater than 10 percent of its base caseload in the previous caseload cycle; and ( 3 ) October participation in the current fiscal year was equal to or greater than 95 percent of September participation in the previous fiscal year. (2) Additional caseload. Each participating State agency may request additional caseload to increase program participation. Eligibility for and assignment of additional caseload are determined in the following manner: (i) A State agency entering its second year of program participation qualifies to receive additional caseload if the State achieved a participation level which was equal to or greater than 95 percent of assigned caseload for the previous caseload cycle, based on the highest of: (A) Average monthly participation for the previous fiscal year; or (B) Ave… | |||||
| 7:7:4.1.1.1.11.0.1.22 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.22 Allocation and disbursement of administrative funds to State agencies. | FNS | (a) What must State agencies do to be eligible to receive administrative funds? In order to receive administrative funds, the State agency must have signed an agreement with FNS to operate the program, in accordance with § 247.4(a)(1), and must have an approved State Plan. (b) How does FNS allocate administrative funds to State agencies? (1) As required by law, each fiscal year FNS allocates to each State agency an administrative grant per assigned caseload slot, adjusted each year for inflation. (2) For fiscal year 2003, the amount of the grant per assigned caseload slot was equal to the per-caseload slot amount provided in fiscal year 2001, adjusted by the percentage change between: (i) The value of the State and local government price index, as published by the Bureau of Economic Analysis of the Department of Commerce, for the 12-month period ending June 30, 2001; and (ii) The value of that index for the 12-month period ending June 30, 2002. (3) For subsequent fiscal years, the amount of the grant per assigned caseload slot is equal to the amount of the grant per assigned caseload slot for the preceding fiscal year, adjusted by the percentage change between: (i) The value of the State and local government price index, as published by the Bureau of Economic Analysis of the Department of Commerce, for the 12-month period ending June 30 of the second preceding fiscal year; and (ii) The value of that index for the 12-month period ending June 30 of the preceding fiscal year. (c) How do State agencies access administrative funds? FNS provides administrative funds to State agencies on a quarterly basis. Such funds are provided by means of a Letter of Credit, unless other funding arrangements have been made with FNS. The State agency obtains the funds by electronically accessing its Letter of Credit account. | ||||||
| 7:7:4.1.1.1.11.0.1.23 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.23 State provision of administrative funds to local agencies. | FNS | (a) How much of the administrative funds must State agencies provide to local agencies for their use? The State agency must provide to local agencies for their use all administrative funds it receives, except that the State agency may retain for its own use the amount determined by the following formula: (1) 15 percent of the first $50,000 received; (2) 10 percent of the next $100,000 received; (3) 5 percent of the next $250,000 received; and (4) A maximum of $30,000, if the administrative grant exceeds $400,000. (b) May a State agency request to retain more than the amount determined by the above formula in the event of special needs? Yes, the State agency may request approval from FNS to retain a larger amount than is allowed under the formula prescribed in paragraph (a) of this section. However, in making its request, the State agency must provide justification of the need for the larger amount at the State level, and must ensure that local agencies will not suffer undue hardship as a result of a reduction in administrative funds. (c) How must the State agency distribute funds among local agencies? The State agency must distribute funds among local agencies on the basis of their respective needs, and in a manner that ensures the funds will be used to achieve program objectives. | ||||||
| 7:7:4.1.1.1.11.0.1.24 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.24 Recovery and redistribution of caseload and administrative funds. | FNS | (a) May FNS recover and redistribute caseload and administrative funds assigned to a State agency? Yes. FNS may recover and redistribute caseload and administrative funds assigned to a State agency during the fiscal year. FNS will redistribute these resources to other State agencies in accordance with the provisions of §§ 247.21(a) and 247.22(b). In reassigning caseload, FNS will use the most up-to-date data on participation and the extent to which caseload is being utilized, as well as other information provided by State agencies. In accordance with § 247.21(a)(2), in instances in which FNS recovers caseload slots, the State agency must use 95 percent of its original caseload allocation to be eligible for additional caseload. However, the State agency must not exceed its reduced caseload allocation on an average monthly basis. (b) Is there a limit on the amount of caseload slots or administrative funds that FNS may recover? Yes. FNS will not unilaterally recover caseload that would result in the recovery of more than 50 percent of the State's administrative funds. However, in instances in which the State agency requests that FNS recover any portion of its assigned caseload, the 50-percent limitation will not apply. | ||||||
| 7:7:4.1.1.1.11.0.1.25 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.25 Allowable uses of administrative funds and other funds. | FNS | [70 FR 47063, Aug. 11, 2005, as amended at 81 FR 66496, Sept. 28, 2016; 83 FR 14173, Apr. 3, 2018; 85 FR 68722, Oct. 30, 2020; 89 FR 87247, Oct. 31, 2024] | (a) What are allowable uses of administrative funds provided to State and local agencies? Administrative funds may be used for costs that are necessary to ensure the efficient and effective administration of the program, in accordance with 2 CFR part 200, subpart E and USDA implementing regulations 2 CFR part 400 and part 415, which set out the principles for determining whether specific costs are allowable. Some examples of allowable costs in CSFP include: (1) Storing, transporting, and distributing foods; (2) Determining the eligibility of program applicants; (3) Program outreach; (4) Nutrition education; (5) Audits and fair hearings; (6) Monitoring and review of program operations; and (7) Transportation of participants to and from the local agency, if necessary. (b) What are unallowable uses of administrative funds? In addition to those costs determined to be unallowable by the principles contained in the OMB circulars referenced in paragraph (a) of this section, specific examples of unallowable uses of administrative funds in CSFP include: (1) The cost of alteration of facilities not required specifically for the program; and (2) Actual losses which could have been covered by permissible insurance (through an approved self-insurance program or by other means). (c) What costs are allowable only with prior approval of FNS? Capital expenditures, which include the acquisition of facilities or equipment, or enhancements to such capital assets, with a cost per unit of at least $5,000, are allowable only with prior approval of FNS. Examples of equipment include automated information systems, automated data processing equipment, and other computer hardware and software. (d) What procedures must State and local agencies use in procuring property, equipment, or services with program funds, and disposing of such property or equipment? The procedures that State and local agencies must follow in procuring property, equipment, or services with program funds, or disposing of such property or equipment, … | |||||
| 7:7:4.1.1.1.11.0.1.26 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.26 Return of administrative funds. | FNS | (a) Must State agencies return administrative funds that they do not use at the end of the fiscal year? Yes. If, by the end of the fiscal year, a State agency has not obligated all of its allocated administrative funds, the unobligated funds must be returned to FNS. (b) What happens to administrative funds that are returned by State agencies at the end of the fiscal year? If, in the following fiscal year, OMB reapportions the returned administrative funds, the funds are used to support the program. Such funds are not returned to State agencies in the form of administrative funds in addition to the legislatively mandated grant per assigned caseload slot. | ||||||
| 7:7:4.1.1.1.11.0.1.27 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.27 Financial management. | FNS | [70 FR 47063, Aug. 11, 2005, as amended at 83 FR 14174, Apr. 3, 2018] | (a) What are the Federal requirements for State and local agencies with regard to financial management? State and local public agencies, as well as nonprofit organizations, must maintain a financial management system that complies with the Federal regulations contained in 2 CFR part 200, subparts D and E, and USDA implementing regulations 2 CFR parts 400 and 415. The State agency's financial management system must provide accurate, current, and complete disclosure of the financial status of the program, including an accounting of all program funds received and expended each fiscal year. The State agency must ensure that local agencies develop and implement a financial management system that allows them to meet Federal requirements. (b) What are some of the major components of the State agency's financial management system? In addition to other requirements, the State agency's financial management system must provide for: (1) Prompt and accurate payment of allowable costs; (2) Timely disbursement of funds to local agencies; (3) Timely and appropriate resolution of claims and audit findings; and (4) Maintenance of records identifying the receipt and use of administrative funds, funds recovered as a result of claims actions, program income (as defined under § 247.25(e)), and property and other assets procured with program funds. | |||||
| 7:7:4.1.1.1.11.0.1.28 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.28 Storage and inventory of USDA Foods. | FNS | [89 FR 87247, Oct. 31, 2024] | (a) What are the requirements for storage of USDA Foods? State and local agencies must provide for storage of USDA Foods that protects them from theft, spoilage, damage or destruction, or other loss. State and local agencies may contract with commercial facilities to store and distribute USDA Foods. The required standards for warehousing and distribution systems, and for contracts with storage facilities, are included in §§ 250.12 and 250.14 of this chapter. (b) What are the requirements for the inventory of USDA Foods? A physical inventory of all USDA Foods must be conducted annually at each storage and distribution site where these USDA Foods are stored. Results of the physical inventory must be reconciled with inventory records and maintained on file by the State or local agency. | |||||
| 7:7:4.1.1.1.11.0.1.29 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.29 Reports and recordkeeping. | FNS | [70 FR 47063, Aug. 11, 2005, as amended at 72 FR 24184, May 2, 2007; 79 FR 38751, July 9, 2014; 85 FR 68722, Oct. 30, 2020; 89 FR 87247, Oct. 31, 2024] | (a) What recordkeeping requirements must State and local agencies meet? State and local agencies must maintain accurate and complete records relating to the receipt, disposal, and inventory of USDA Foods, the receipt and disbursement of administrative funds and other funds, eligibility determinations, fair hearings, and other program activities. State and local agencies must also maintain records pertaining to liability for any improper distribution of, use of, loss of, or damage to USDA Foods, and the results obtained from the pursuit of claims arising in favor of the State or local agency. All records must be retained for a period of three years from the end of the fiscal year to which they pertain, or, if they are related to unresolved claims actions, audits, or investigations, until those activities have been resolved. All records must be available during normal business hours for use in management reviews, audits, investigations, or reports of the General Accounting Office. (b) What reports must State and local agencies submit to FNS? State agencies must submit the following reports to FNS: (1) SF-425, Federal Financial Report. The State agency must submit the SF-425, Federal Financial Report, to report the financial status of the program at the close of the fiscal year. This report must be submitted within 90 days after the end of the fiscal year. Obligations must be reported for the fiscal year in which they occur. Revised reports may be submitted at a later date, but FNS will not be responsible for reimbursing unpaid obligations later than one year after the end of the fiscal year in which they were incurred. (2) FNS-153, Monthly Report of the Commodity Supplemental Food Program and Quarterly Administrative Financial Status Report. The State agency must submit the FNS-153 on a monthly basis. FNS may permit the data contained in the report to be submitted less frequently, or in another format. The report must be submitted within 30 days after the end of the reporting period. On the FNS-153, the … | |||||
| 7:7:4.1.1.1.11.0.1.3 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.3 Administering agencies. | FNS | [70 FR 47063, Aug. 11, 2005, as amended at 89 FR 87244, Oct. 31, 2024] | (a) What agencies are responsible for administering CSFP? CSFP is administered at the Federal level by the Department's Food and Nutrition Service (FNS), which provides USDA Foods, assigns caseload, and allocates administrative funds to State agencies. State agencies are responsible for administering the program at the State level. The State agency may select local agencies to administer the program in local areas of the State. The State agency must provide guidance to local agencies on all aspects of program operations. The State agency may also select subdistributing agencies (e.g., another State agency, a local governmental agency, or a nonprofit organization) to distribute or store USDA Foods, or to perform other program functions on behalf of the State agency. Local or subdistributing agencies may also select other agencies to perform specific program functions (e.g., food distribution or storage), with the State agency's approval. Although the State agency may select other organizations to perform specific activities, the State agency is ultimately responsible for all aspects of program administration. (b) Are there specific functions that the State agency cannot delegate to another agency? Yes. The State agency may not delegate the performance of the following functions to another agency: (1) Establishing eligibility requirements, in accordance with the options provided to the State agency under § 247.9; or (2) Establishing a management review system and conducting reviews of local agencies, in accordance with § 247.34. (c) What Federal requirements must State, subdistributing, and local agencies follow in administering CSFP? State, subdistributing, and local agencies must administer the program in accordance with the provisions of this part, and with the provisions contained in part 250 of this chapter, unless they are inconsistent with the provisions of this part. | |||||
| 7:7:4.1.1.1.11.0.1.30 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.30 Claims. | FNS | [70 FR 47063, Aug. 11, 2005, as amended at 79 FR 38751, July 9, 2014; 85 FR 68722, Oct. 30, 2020; 89 FR 87247, Oct. 31, 2024] | (a) What happens if a State or local agency misuses program funds? If FNS determines that a State or local agency has misused program funds through negligence, fraud, theft, embezzlement, or other causes, FNS must initiate and pursue a claim against the State agency to repay the amount of the misused funds. The State agency will be given the opportunity to contest the claim. The State agency is responsible for initiating and pursuing claims against subdistributing and local agencies if they misuse program funds. (b) What happens if a State or local agency misuses USDA Foods? If a State or local agency misuses USDA Foods, FNS must initiate a claim against the State agency to recover the value of the misused USDA Foods. The procedures for pursuing claims resulting from misuse of USDA Foods are detailed in § 250.16(a) of this chapter. Misused USDA Foods include USDA Foods improperly distributed or lost, spoiled, stolen, or damaged as a result of improper storage, care, or handling. The State agency is responsible for initiating and pursuing claims against subdistributing agencies, local agencies, or other agencies or organizations if they misuse USDA Foods. The State agency must use funds recovered as a result of claims for USDA Foods losses in accordance with § 250.17(c) of this chapter. (c) What happens if a participant improperly receives or uses CSFP benefits through fraud? The State agency must ensure that a local agency initiates a claim against a participant to recover the value of USDA Foods improperly received or used if the local agency determines that the participant or caretaker of the participant fraudulently received or used the USDA Foods. For purposes of this program, fraud includes intentionally making false or misleading statements, or intentionally withholding information, to obtain USDA Foods, or the selling or exchange of USDA Foods for non-food items. The local agency must advise the participant of the opportunity to appeal the claim through the fair hearing process, in accordance with … | |||||
| 7:7:4.1.1.1.11.0.1.31 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.31 Audits and investigations. | FNS | [70 FR 47063, Aug. 11, 2005, as amended at 89 FR 87247, Oct. 31, 2024] | (a) What is the purpose of an audit? The purpose of an audit is to ensure that: (1) Financial operations are properly conducted; (2) Financial reports are fairly presented; (3) Proper inventory controls are maintained; and (4) Applicable laws, regulations, and administrative requirements are followed. (b) When may the Department conduct an audit or investigation of the program? The Department may conduct an audit of the program at the State or local agency level at its discretion, or may investigate an allegation that the State or local agency has not complied with Federal requirements. An investigation may include a review of any State or local agency policies or practices related to the specific area of concern. (c) What are the responsibilities of the State agency in responding to an audit by the Department? In responding to an audit by the Department, the State agency must: (1) Provide access to any records or documents compiled by the State or local agencies, or contractors; and (2) Submit a response or statement to FNS describing the actions planned or taken in response to audit findings or recommendations. The corrective action plan must include time frames for implementation and completion of actions. FNS will determine if actions or planned actions adequately respond to the program deficiencies identified in the audit. If additional actions are needed, FNS will schedule a follow-up review and allow sufficient time for further corrective actions. The State agency may also take exception to particular audit findings or recommendations. (d) When is a State or local agency audit required? State and local agency audits must be conducted in accordance with part 3052 of this title, which contains the Department's regulations pertaining to audits of States, local governments, and nonprofit organizations. The value of USDA Foods distributed by the agency or organization must be considered part of the Federal award. (e) What are the requirements for State or local agency audits? State and local… | |||||
| 7:7:4.1.1.1.11.0.1.32 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.32 Termination of agency participation. | FNS | [70 FR 47063, Aug. 11, 2005, as amended at 83 FR 14174, Apr. 3, 2018] | (a) When may a State agency's participation in CSFP be terminated? While paragraphs (a)(1), (a)(2), and (a)(3) of this section, as applicable, describe the circumstances and basic procedures for terminating State agency programs, specific actions and procedures relating to program termination are more fully described in 2 CFR part 200, subpart D, and USDA implementing regulations 2 CFR parts 400 and 415. (1) Termination by FNS. FNS may terminate a State agency's participation in CSFP, in whole or in part, if the State agency does not comply with the requirements of this part. FNS must provide written notification to the State agency of termination, including the reasons for the action, and the effective date. (2) Termination by State agency. The State agency may terminate the program, in whole or in part, upon written notification to FNS, stating the reasons and effective date of the action. In accordance with § 247.4(b)(6), which relates to the termination of agreements, either party must provide, at minimum, 30 days' written notice. (3) Termination by mutual agreement. The State agency's program may also be terminated, in whole or in part, if both parties agree the action would be in the best interest of the program. The two parties must agree upon the conditions of the termination, including the effective date. (b) When may a local agency's participation in CSFP be terminated? While paragraphs (b)(1), (b)(2), and (b)(3) of this section, as applicable, describe the circumstances and basic procedures in termination of local agency programs, specific actions and procedures relating to program termination are more fully described in 2 CFR part 200, subpart D, and USDA implementing regulations 2 CFR parts 400 and 415. (1) Termination by State agency. The State agency may terminate a local agency's participation in CSFP, or may be required to terminate a local agency's participation, in whole or in part, if the local agency does not comply with the requirements of this part. The State agency must no… | |||||
| 7:7:4.1.1.1.11.0.1.33 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.33 Fair hearings. | FNS | [70 FR 47063, Aug. 11, 2005, as amended at 79 FR 38751, July 9, 2014; 89 FR 87247, Oct. 31, 2024] | (a) What is a fair hearing? A fair hearing is a process that allows a CSFP applicant or participant to appeal an adverse action, which may include the denial or discontinuance of program benefits, disqualification from the program, or a claim to repay the value of USDA Foods received as a result of fraud. State and local agencies must ensure that CSFP applicants and participants understand their right to appeal an adverse action through the fair hearing process, which includes providing written notification of the individual's right to a fair hearing along with notification of the adverse action. Such notification is not required at the expiration of a certification period. (b) What are the basic requirements the State agency must follow in establishing procedures to be used in fair hearings? The State agency must establish simple, clear, uniform rules of procedure to be used in fair hearings, including, at a minimum, the procedures outlined in this section. The State agency may use alternate procedures if approved by FNS. The rules of procedure must be available for public inspection and copying. (c) How may an individual request a fair hearing? An individual or an individual's caretaker may request a fair hearing by making a clear expression, verbal or written, to a State or local agency official that an appeal of the adverse action is desired. (d) How much time does an individual have to request a fair hearing? The State or local agency must allow an individual at least 60 days from the date the agency mails or gives the individual the notification of adverse action to request a fair hearing. (e) When may a State or local agency deny a request for a fair hearing? The State or local agency may deny a request for a fair hearing when: (1) The request is not received within the time limit established in paragraph (d) of this section; (2) The request is withdrawn in writing by the individual requesting the hearing or by an authorized representative of the individual; or (3) The individual fails to … | |||||
| 7:7:4.1.1.1.11.0.1.34 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.34 Management reviews. | FNS | (a) What must the State agency do to ensure that local agencies meet program requirements and objectives? The State agency must establish a management review system to ensure that local agencies, subdistributing agencies, and other agencies conducting program activities meet program requirements and objectives. As part of the system, the State agency must perform an on-site review of all local agencies, and of all storage facilities utilized by local agencies, at least once every two years. As part of the on-site review, the State agency must evaluate all aspects of program administration, including certification procedures, nutrition education, civil rights compliance, food storage practices, inventory controls, and financial management systems. In addition to conducting on-site reviews, the State agency must evaluate program administration on an ongoing basis by reviewing financial reports, audit reports, food orders, inventory reports, and other relevant information. (b) What must the State agency do if it finds that a local agency is deficient in a particular area of program administration? The State agency must record all deficiencies identified during the review and institute follow-up procedures to ensure that local agencies and subdistributing agencies correct all deficiencies within a reasonable period of time. To ensure improved program performance in the future, the State agency may require that local agencies adopt specific review procedures for use in reviewing their own operations and those of subsidiaries or contractors. The State agency must provide copies of review reports to FNS upon request. | ||||||
| 7:7:4.1.1.1.11.0.1.35 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.35 Local agency appeals of State agency actions. | FNS | (a) What recourse must the State agency provide local agencies to appeal a decision that adversely affects their participation in CSFP? The State agency must establish a hearing procedure to allow local agencies to appeal a decision that adversely affects their participation in CSFP—e.g., the termination of a local agency's participation in the program. The adverse action must be postponed until a decision on the appeal is made. (b) What must the State agency include in the hearing procedure to ensure that the local agency has a fair chance to present its case? The hearing procedure must provide the local agency: (1) Adequate advance notice of the time and place of the hearing; (2) An opportunity to review the record before the hearing, and to present evidence at the hearing; (3) An opportunity to confront and cross-examine witnesses; and (4) An opportunity to be represented by counsel, if desired. (c) Who conducts the hearing and how is a decision on the appeal made? The hearing must be conducted by an impartial person who must make a decision on the appeal that is based solely on the evidence presented at the hearing, and on program legislation and regulations. A decision must be made within 60 days from the date of the request for a hearing, and must be provided in writing to the local agency. | ||||||
| 7:7:4.1.1.1.11.0.1.36 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.36 Confidentiality of applicants or participants. | FNS | (a) Can the State or local agency disclose information obtained from applicants or participants to other agencies or individuals? State and local agencies must restrict the use or disclosure of information obtained from CSFP applicants or participants to persons directly connected with the administration or enforcement of the program, including persons investigating or prosecuting program violations. The State or local agency may exchange participant information with other health or welfare programs for the purpose of preventing dual participation. In addition, with the consent of the participant, as indicated on the application form, the State or local agency may share information obtained with other health or welfare programs for use in determining eligibility for those programs, or for program outreach. However, the State agency must sign an agreement with the administering agencies for these programs to ensure that the information will be used only for the specified purposes, and that agencies receiving such information will not further share it. (b) Can the State or local agency disclose the identity of persons making a complaint or allegation against another individual participating in or administering the program? The State or local agency must protect the confidentiality, and other rights, of any person making allegations or complaints against another individual participating in, or administering CSFP, except as necessary to conduct an investigation, hearing, or judicial proceeding. | ||||||
| 7:7:4.1.1.1.11.0.1.37 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.37 Civil rights requirements. | FNS | (a) What are the civil rights requirements that apply to CSFP? State and local agencies must comply with the requirements of Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et seq. ), Title IX of the Education Amendments of 1972 (20 U.S.C. 1681 et seq. ), section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794 et seq. ), the Age Discrimination Act of 1975 (42 U.S.C. 6101 et seq. ), and titles II and III of the Americans with Disabilities Act of 1990 (42 U.S.C. 12101 et seq. ). State and local agencies must also comply with the Department's regulations on nondiscrimination (parts 15, 15a, and 15b of this title), and with the provisions of FNS Instruction 113-2, including the collection of racial/ethnic participation data and public notification of nondiscrimination policy. State and local agencies must ensure that no person shall, on the grounds of race, color, national origin, age, sex, or disability, be subjected to discrimination under the program. (b) How does an applicant or participant file a complaint of discrimination? CSFP applicants or participants who believe they have been discriminated against should file a discrimination complaint with the USDA Director, Office of Civil Rights, Room 326W, Whitten Building, 1400 Independence Avenue, SW., Washington, DC 20250-9410, or telephone (202) 720-5964. | ||||||
| 7:7:4.1.1.1.11.0.1.4 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.4 Agreements. | FNS | [70 FR 47063, Aug. 11, 2005, as amended at 85 FR 68721, Oct. 30, 2020; 89 FR 87244, Oct. 31, 2024] | (a) What agreements are necessary for agencies to administer CSFP? The following agreements are necessary for agencies to administer CSFP: (1) Agreements between FNS and State agencies. Each State agency must enter into an agreement with FNS (Form FNS-74, the Federal-State Agreement) prior to receiving USDA Foods or administrative funds; (2) Agreements between State agencies and local or subdistributing agencies. The State agency must enter into written agreements with local or subdistributing agencies prior to making USDA Foods or administrative funds available to them. The agreements must contain the information specified in paragraph (b) of this section. Agreements between State and local agencies must also contain the information specified in paragraph (c) of this section. Copies of all agreements must be kept on file by the parties to the agreements; and (3) Agreements between local and subdistributing agencies and other agencies. The State agency must ensure that local and subdistributing agencies enter into written agreements with other agencies prior to making USDA Foods or administrative funds available to these other agencies. The agreements must contain the information specified in paragraph (b) of this section. Copies of all agreements must be kept on file by the parties to the agreements. (b) What are the required contents of agreements? All agreements described under paragraphs (a)(2) and (a)(3) of this section must contain the following: (1) An assurance that each agency will administer the program in accordance with the provisions of this part and with the provisions of part 250 of this chapter, unless they are inconsistent with the provisions of this part; (2) An assurance that each agency will maintain accurate and complete records for a period of three years from the close of the fiscal year to which they pertain, or longer if the records are related to unresolved claims actions, audits, or investigations; (3) A statement that each agency receiving USDA Foods for distribution i… | |||||
| 7:7:4.1.1.1.11.0.1.5 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.5 State and local agency responsibilities. | FNS | [70 FR 47063, Aug. 11, 2005, as amended at 79 FR 38750, July 9, 2014; 85 FR 68721, Oct. 30, 2020; 89 FR 87244, Oct. 31, 2024; 89 FR 104393, Dec. 23, 2024] | State and local agencies are responsible for administering the program in accordance with the provisions of this part, and with the provisions of part 250 of this chapter, as applicable. Although the State agency may delegate some responsibilities to another agency, the State agency is ultimately responsible for all aspects of program administration. The following is an outline of the major responsibilities of State and local agencies; it is not intended to be all-inclusive. (a) What are the major responsibilities shared by State and local agencies? The major responsibilities shared by State and local agencies include: (1) Entering into required agreements; (2) Ordering USDA Foods for distribution; (3) Storing and distributing USDA Foods; (4) Establishing procedures for resolving complaints about USDA Foods; (5) Complying with civil rights requirements; (6) Maintaining accurate and complete records; and (7) Conducting program outreach. (b) What are the major State agency responsibilities? The major responsibilities of State agencies include: (1) Completing and submitting the State Plan; (2) Selecting local agencies to administer the program in local areas of the State; (3) Determining caseload needs, and submitting caseload requests to FNS; (4) Assigning caseload, and allocating administrative funds, to local agencies; (5) Establishing eligibility requirements, in accordance with the options provided to the State agency under § 247.9. (This function may not be delegated to another agency.); (6) Establishing nutritional risk criteria and a residency requirement for participants, if such criteria are to be used; (7) Establishing a financial management system that effectively accounts for funds received for program administration; (8) Developing a plan for the detection and prevention of dual participation, in coordination with CSFP local agencies; (9) Developing a plan for providing nutrition education to participants; (10) Establishing appeals and fair hearing procedures for local agencies a… | |||||
| 7:7:4.1.1.1.11.0.1.6 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.6 State Plan. | FNS | [70 FR 47063, Aug. 11, 2005, as amended at 79 FR 38750, July 9, 2014; 85 FR 68721, Oct. 30, 2020; 89 FR 87245, Oct. 31, 2024] | (a) What is the State Plan? The State Plan is a document that describes how the State agency will operate CSFP and the caseload needed to serve eligible applicants. The State agency must submit the State Plan to FNS for approval. Once submitted and approved, the State Plan is considered permanent, with amendments submitted at the State agency's initiative, or at FNS request. All amendments are subject to FNS approval. The State Plan may be submitted in the format provided in FNS guidance, in an alternate format, or in combination with other documents required by Federal regulations. The State Plan must be signed by the State agency official responsible for program administration. A copy of the State Plan must be kept on file at the State agency and must also be posted on a publicly available internet web page for public inspection. (b) When must the State Plan be submitted? The State Plan must be submitted by August 15 to take effect for the fiscal year beginning in the following October. FNS will provide notification of the approval or disapproval of the State Plan within 30 days of receipt, and will notify the State agency within 15 days of receipt if additional information is needed. Disapproval of the Plan will include a reason for the disapproval. Approval of the Plan is a prerequisite to the assignment of caseload and allocation of administrative funds, but does not ensure that caseload and funds will be provided. (c) What must be included in the State Plan? The State Plan must include: (1) The names and addresses of all local agencies and subdistributing agencies with which the State agency has entered into agreement; (2) The income eligibility standards and the options to be used relating to income or other eligibility requirements, as provided under § 247.9; (3) The nutritional risk criteria to be used, if the State chooses to establish such criteria; (4) A description of plans for serving participants and the caseload needed to serve them; (5) A description of plans for conducting outreach … | |||||
| 7:7:4.1.1.1.11.0.1.7 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.7 Selection of local agencies. | FNS | (a) How does a local agency apply to participate in CSFP? Local agencies wishing to participate in CSFP must submit a written application to the State agency. The application must describe how the local agency will operate the program and, for nonprofit agencies, must include the agency's tax-exempt status. To be eligible to participate in CSFP, a nonprofit agency must have tax-exempt status under the Internal Revenue Code (IRC), or have applied for tax-exempt status with the Internal Revenue Service (IRS), and be moving towards such status. Nonprofit agencies organized or operated exclusively for religious purposes are automatically tax-exempt under the IRC. Nonprofit agencies required to obtain tax-exempt status must provide documentation from the IRS that they have obtained such status, or have applied for it. (b) On what basis does the State agency make a decision on the local agency's application? The State agency must approve or disapprove the local agency's application based on, at minimum, the following criteria: (1) The ability of the local agency to operate the program in accordance with Federal and State requirements; (2) The need for the program in the projected service area of the local agency; (3) The resources available (caseload and funds) for initiating a program in the local area; and (4) For nonprofit agencies, the tax-exempt status, with appropriate documentation. (c) What must the State agency do if a nonprofit agency approved for CSFP is subsequently denied tax-exempt status by the IRS, or does not obtain this status within a certain period of time? In accordance with paragraph (a) of this section, the State agency may approve a nonprofit agency that has applied to the IRS for tax-exempt status, and is moving toward compliance with the requirements for recognition of tax-exempt status. However, if the IRS subsequently denies a participating agency's application for recognition of tax-exempt status, the agency must immediately notify the State agency of the denial. The State agenc… | ||||||
| 7:7:4.1.1.1.11.0.1.8 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.8 Individuals applying to participate in CSFP. | FNS | [70 FR 47063, Aug. 11, 2005, as amended at 79 FR 38750, July 9, 2014; 85 FR 68721, Oct. 30, 2020] | (a) What information must individuals applying to participate in CSFP provide? To apply for or to be recertified for CSFP benefits, the applicant or caretaker of the applicant must provide the following information on the application: (1) Name and address, including some form of identification for each applicant; (2) Household income; (3) Household size; and (4) Other information related to eligibility, such as age (b) What else is required on the application form? The application form must include a nondiscrimination statement that informs the applicant that program standards are applied without discrimination by race, color, national origin, age, sex, or disability. After informing the applicant or caretaker of the applicant of his or her rights and responsibilities, in accordance with § 247.12, the local agency must ensure that the applicant or caretaker signs the application form beneath the following pre-printed statement. The statement must be read by, or to, the applicant or caretaker before signing. “This application is being completed in connection with the receipt of Federal assistance. Program officials may verify information on this form. I am aware that deliberate misrepresentation may subject me to prosecution under applicable State and Federal statutes. I am also aware that I may not receive CSFP benefits at more than one CSFP site at the same time. Furthermore, I am aware that the information provided may be shared with other organizations to detect and prevent dual participation. I have been advised of my rights and obligations under the program. I certify that the information I have provided for my eligibility determination is correct to the best of my knowledge. I authorize the release of information provided on this application form to other organizations administering assistance programs for use in determining my eligibility for participation in other public assistance programs and for program outreach purposes. (Please indicate decision by placing a checkmark in the appropriate bo… | |||||
| 7:7:4.1.1.1.11.0.1.9 | 7 | Agriculture | II | A | 247 | PART 247—COMMODITY SUPPLEMENTAL FOOD PROGRAM | § 247.9 Eligibility requirements. | FNS | [85 FR 68721, Oct. 30, 2020, as amended at 89 FR 87245, Oct. 31, 2024; 89 FR 104393, Dec. 23, 2024] | (a) Who is eligible for CSFP? To be eligible for CSFP, individuals must be at least 60 years of age and meet the income eligibility requirements outlined in paragraph (b) of this section. (b) What are the income eligibility requirements for CSFP applicants? The State agency must use a household income limit at or below 150 percent of the U.S. Federal Poverty Guidelines published annually by the U.S. Department of Health and Human Services (HHS). Participants in households with income at or below this level must be considered eligible for CSFP benefits (assuming they meet other requirements contained in this part). However, participants certified before September 17, 1986 ( i.e., under the three elderly pilot projects) must remain subject to the eligibility criteria in effect at the time of their certification. (1) The State agency may accept as income-eligible for CSFP benefits any applicant that documents that they are certified as fully eligible for the following Federal programs: the Supplemental Nutrition Assistance Program, the Food Distribution Program on Indian Reservations, Supplemental Security Income (SSI), the Low Income Subsidy Program, or the Medicare Savings Programs. (2) The State agency may accept, as evidence of income within the State agency's CSFP guidelines, documentation of the applicant's participation in State-administered programs not specified in this paragraph that routinely require documentation of income, provided that those programs have income eligibility guidelines at or below the State agency's CSFP threshold. (3) Applicants who are adjunctively income eligible, as set forth in paragraphs (b)(1) and (2) of this section, shall not be subject to the income limits established under paragraph (b) of this section. (c) When must the State agency revise the CSFP income guidelines to reflect the annual adjustments of the U.S. Federal Poverty Guidelines? Each year, FNS will notify State agencies, by memorandum, of adjusted income guidelines by household size at 150 percent and 1… |
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